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Agenda Packet_2023-04-04
City Council and Housing Authority Meeting Packet April 4, 2023 SPECIAL CLOSED SESSION MEETING - 4:30 PM REGULAR OPEN MEETING - 5:45 PM (Immediately following the Closed Session Meeting) CITY COUNCIL CHAMBER 22 Civic Center Plaza Santa Ana, CA 92701 Valerie Amezcua Mayor Thai Viet Phan Councilmember—Ward 1 Jessie Lopez Mayor Pro Tern - Ward 3 Johnathan Ryan Hernandez Councilmember -Ward 5 Benjamin Vazquez Councilmember -Ward 2 Phil Bacerra Councilmember - Ward 4 David Penaloza Councilmember -Ward 6 Mayor and Council telephone: 714-647-6900 Agenda item inquiries: 714-647-6520 Sonia R. Carvalho Kristine Ridge City Attorney City Manager Jennifer L. Hall City Clerk In compliance with the Americans with Disabilities Act (ADA), if you need special assistance to participate in this Meeting, ®contact Michael Ortiz, City ADA Program Coordinator, at (714) 647-5624. Notification 48 hours prior to the Meeting will enable the City to make reasonable arrangements to assure accessibility to this meeting. The City Council agenda and supporting documentation can be found on the City's website — www.santa-ana.org/city-meetings. City Council 1 4/4/2023 CITY VISION AND CODE OF ETHICS The City of Santa Ana is committed to achieving a shared vision for the organization and its community. The Vision, Mission and Guiding Principles (Values) are the result of a thoughtful and inclusive process designed to set the City and organization on a course that meets the challenges of today and tomorrow, as follows: Vision - The dynamic center of Orange County which is acclaimed for our: Investment in youth • Safe and healthy community • Neighborhood pride • Thriving economic climate Enriched and diverse culture • Quality government services Mission - To deliver efficient public services in partnership with our community which ensures public safety, a prosperous economic environment, opportunities for our youth, and a high quality of life for residents. Guiding Principles - Collaboration • Efficiency • Equity • Excellence • Fiscal Responsibility Innovation • Transparency Code of Ethics and Conduct - At the Special Municipal Election held on February 5, 2008, voters approved an amendment to the City Charter which established the Code of Ethics and Conduct for elected officials and members of appointed boards, commissions, and committees to assure public confidence. The following are the core values expressed: Integrity • Honesty • Responsibility • Fairness • Accountability • Respect • Efficiency City Council 2 4/4/2023 Members of the public may attend the City Council meeting in -person or join via Zoom. The City Council meeting will occur live via teleconference Zoom webinar. You may view the meeting from your computer, tablet or smart phone via YouTube LiveStream at www.youtube.com/user/SantaAnaLibrary or on CTV3, available on Spectrum channel 3. PUBLIC COMMENTS — Members of the public who wish to address the City Council on closed session items, items on the regular agenda or on matters which are not on the agenda, but are within the subject matter jurisdiction of the City Council may do so by one of the following ways: • MAILING OPTION written communications — Public comments may be mailed to: Office of the City Clerk, 20 Civic Center Plaza M-30, Santa Ana, CA 92701. All written communications received via mail by 4:00 p.m. on the day of the meeting will be distributed to the City Council and imaged into the City's document archive system which is available for public review. • SENDING E-MAIL OPTION — Public comments may be sent via email to the City Clerk's office at eComment@santa-ana.org. Please note the agenda item you are commenting on in the subject line of the email. All emails received two (2) hours before the start of the meeting will be distributed to the City Council and imaged into the City's document archive system which is available for public review. • LIVE VIRTUAL OPTION — Members of the public may provide live comments during the meeting by Zoom or Conference Call. To join by Zoom click on or type the following address into your web browser httgs://us02web.zoom.us/j/315965149. To join the Conference Call: Dial (669) 900-9128 and enter MEETING ID: 315 965 149#. You will be prompted by the City Clerk when it is time for a: i) closed session item, ii) general agenda item, iii) public hearing item, iv) special agenda item, or v) for Housing Authority item. You may request to speak by dialing "9 from your phone or you may virtually raise your hand from Zoom. After the Clerk confirms the last three digits of the caller's phone number or Zoom ID and unmutes them, the caller must press '6 or microphone icon to speak. Callers are encouraged, but not required, to identify themselves by name. Each caller will be provided three (3) minutes to speak, unless due to the number of speakers wanting to speak a decision is made to provide a different amount of time to speak. • IN -PERSON OPTION - Members of the public can provide in -person comments at the podium in the Council Chamber. The Council Chamber will have seating available for members of the public to attend the meeting in -person. Public comments are limited to three (3) minutes per speaker, unless a different time is announced by the presiding chair. Speakers who wish to address the Council must do so by submitting a "Request to Speak" card by 4:30 p.m. for Closed Session items and by 6:00 p.m. for all other designated public comment periods as listed below. Cards will not be accepted after the Public Comment Session begins without the permission of the presiding chair. The following designated public comment periods are: 1. LIVE PUBLIC COMMENTS ON SPECIAL CLOSED SESSION ITEMS —You can provide live comments on closed session items by joining Zoom or the Conference Call as City Council 3 4/4/2023 described in the LIVE or IN -PERSON PUBLIC COMMENTS OPTION above. Speaker queue will open at 4:00 p.m. YOU MUST JOIN ZOOM OR THE CONFERENCE CALL BY 4:30 p.m. Speakers who are not in the speaker queue by 4:30 p.m. will not be permitted to speak. 2. LIVE PUBLIC COMMENTS ON REGULAR AGENDA ITEMS AND NON -AGENDA ITEMS (GENERAL PUBLIC COMMENT) —You can provide comments byjoining Zoom or the Conference Call as described in the LIVE or IN -PERSON PUBLIC COMMENTS OPTION above. Speaker queue will open at 4:00 p.m. YOU MUST JOIN ZOOM OR THE CONFERENCE CALL AND INDICATE YOUR DESIRE TO SPEAK BY DIALING *9 OR RAISING HAND PRIOR TO 6:00 p.m. Speakers who are not in the speaker queue by 6:00 p.m. will not be permitted to speak. 3. LIVE PUBLIC COMMENTS ON PUBLIC HEARING ITEMS — You can provide comments by joining Zoom or the Conference Call as described in the LIVE or IN -PERSON PUBLIC COMMENTS OPTION above. Speakers not in the queue by 6:00 p.m. will not be permitted to speak. 4. LIVE PUBLIC COMMENTS ON HOUSING AUTHORITY ITEMS — You can provide comments by joining Zoom or the Conference Call as described in the LIVE or IN -PERSON PUBLIC COMMENTS OPTION above. Speakers not in the queue by 6:00 p.m. will not be permitted to speak. TRANSLATION SERVICES - Spanish interpreting services are provided at City Council meetings. Simultaneous Spanish interpretation is provided through the use of headsets and consecutive interpretation (Spanish -to -English) in addition to those wishing to address the City Council at the podium. La ciudad provee servicios de interpretaci6n al espanol en las juntas del Concilio. La interpretaci6n simultanea al espanol se ofrece por medio del use de audifonos y la interpretaci6n consecutiva (espanol a ingl6s) tambi6n esta disponible para cualquiera que desee dirigirse al concilio municipal en el podio. About the Agenda To download or view the attachments (staff report and other supporting documentation) for each agenda item, you must select the agenda item to see the attachments to either open in a new link (the eyeball0) or download a pdf (the cloud symbol with the down arrow A ). City Council 4 4/4/2023 SPECIAL CLOSED SESSION CALL TO ORDER ATTENDANCE Council Members Mayor Pro Tern Mayor City Manager City Attorney City Clerk ROLL CALL Phil Bacerra Johnathan Ryan Hernandez David Penaloza Thai Viet Phan Benjamin Vazquez Jessie Lopez Valerie Amezcua Kristine Ridge Sonia R. Carvalho Jennifer L. Hall ADDITIONSIDELETIONS TO CLOSED SESSION PUBLIC COMMENTS — Members of the public may address the City Council on Closed Session items. RECESS — City Council will recess to Closed Session for the purpose of conducting regular City business. CLOSED SESSION ITEMS — The Brown Act permits legislative bodies to discuss certain matters without members of the public present. The City Council finds, based on advice from the City Attorney, that discussion in open session of the following matters will prejudice the position of the City in existing and anticipated litigation: 1. CONFERENCE WITH LABOR NEGOTIATOR pursuant to Government Code Section 54957.6(a): Agency Negotiators: Human Resources Executive Director, Jason Motsick Employee Organizations: • Santa Ana Police Officers Association (POA) • Service Employees' International Union (SEIU) Full -Time Employees 2. CONFERENCE WITH LEGAL COUNSEL- EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: A. In re National Prescription Opiate Litigation, United States District Court (Northern District of Ohio), Case No. 1:17-and-02804 City Council 5 4/4/2023 RECONVENE — City Council will reconvene to continue regular City business. CLOSED SESSION REPORT — The City Attorney will report on any action(s) from Closed Session. ADJOURNMENT —Adjourn the Special Closed Session meeting. City Council 6 4/4/2023 CITY COUNCIL REGULAR OPEN SESSION CALL TO ORDER ATTENDANCE Council Members Mayor Pro Tern Mayor City Manager City Attorney City Clerk ROLL CALL PLEDGE OF ALLEGIANCE WORDS OF INSPIRATION Phil Bacerra Johnathan Ryan Hernandez David Penaloza Thai Viet Phan Benjamin Vazquez Jessie Lopez Valerie Amezcua Kristine Ridge Sonia R. Carvalho Jennifer L. Hall Mayor Amezcua Pastor S. Anthony Simon ADDITIONS\DELETIONS TO THE AGENDA CEREMONIAL PRESENTATIONS 1. Proclamation presented by Mayor Amezcua to OneLegacy declaring April as DMV/Donate Life Month. 2. Certificate of Recognition presented by Mayor Pro Tern Lopez to Tethos for 20 Years of Outstanding Contributions to the Community. 3. Proclamation presented by Councilmember Hernandez and Councilmember Vazquez to Latino Health Access declaring April as National Child Abuse Prevention Month. 4. Certificates of Recognition presented by Councilmember Bacerra to Orange County Fire Authority and Santa Ana Police Department Dispatchers in Honor of National Public Safety Telecom municators Week. STAFF PRESENTATIONS 5. Presentation from the Arts and Culture Commission PUBLIC COMMENT — Public comments will be held during the beginning of the meeting for ALL comments on agenda and non -agenda items, with the exception of public hearings. Comments for public hearings will take place after the hearing is opened. City Council 7 4/4/2023 CONSENT CALENDAR RECOMMENDED ACTION: Approve staff recommendations on the following Consent Calendar Items: 6 through 26. 6. Excused Absences Department(s): City Clerk's Office Recommended Action: Excuse the absent members. 7. Appoint Nicholas Ortiz Nominated by Councilmember Bacerra as the Ward 4 Representative to the Youth Commission for a Full -Term Expiring December 8, 2026 Department(s): City Clerk's Office Recommended Action: Appoint Nicholas Ortiz to the Youth Commission as the Ward 4 representative and administer Oath of Office. (Pursuant to SAMC Sec. 2-326 (a) requires five affirmative votes) 8. Award a Purchase Order to Musco Sports Lighting, LLC in the Amount of $195,710 for LED Sports Lighting with Related Supplies and Services (General Fund) Department(s): Public Works Agency Recommended Action: Authorize a one-time purchase order to Musco Sports Lighting, LLC for the purchase of LED sports lighting, control and monitoring system, and installation services for the George Upton All Access Playground and basketball courts at Thornton Park in the amount of $177,918, with a contingency of $17,792, for a total amount not to exceed $195,710, subject to non -substantive changes approved by the City Manager and the City Attorney. 9. Award Purchase Order to Acco Engineered Systems in an Amount Not to Exceed $274,877 to replace HVAC at the Santa Ana Police Athletic & Activity League Center (General Fund) Department(s): Police Department Recommended Action: 1. Award a one-time purchase and payment to Acco Engineered Systems for a new heating, ventilation, and air conditioning (HVAC) system at the Santa Ana Police Athletic and Activity League Center, in the amount of $249,888, plus a 10-percent contingency of $24,989, for a total amount not to exceed $274,877, subject to non -substantive changes approved by the City Manager and City Attorney. 2. Approve an amendment to the Fiscal Year 2022-2023 Capital Improvement Program to include the Santa Ana Police Athletic and Activity League Center HVAC System Replacement project. 10. Award Contract to Motorola Solutions, Inc. in the Amount of $471,570 for Motorola City Council 8 4/4/2023 800 MHz Communications System Equipment (Specification No. 23-048) (General and Non -General Fund) Department(s): Police Department Recommended Action: Award a blanket order contract to Motorola Solutions, Inc. for Motorola 800 MHz communications system equipment for a 14-month period expiring June 30, 2024 in an amount not to exceed $471,570, subject to non - substantive changes approved by the City Manager and City Attorney. 11. Award a Construction Contract to AME Builders, Inc. in the Amount of $1,240,500 for the Salgado Community Center Improvements Project FY 2022-23 Project with an Estimated Project Delivery Cost of $1,550,625 (Project No. 22-1377) (General Fund; (Revive Santa Ana Program) Department(s): Public Works Agency Recommended Action: 1. Award a construction contract to AME Builders Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $1,240,500, for construction of the Salgado Community Center Improvements FY 2022-23, for the term beginning September 1, 2023 and ending December 31, 2023, 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 amendment to the Fiscal Year 2022-23 Capital Improvement Program to include $1,387,759 in Revive funding for the Salgado Community Center Renovations Project. (Project No. 22-1377) 3. Approve the Project Cost Analysis for a total estimated construction delivery cost of $1,550,625, which includes $1,240,500 for the construction contract, $186,075 for contract administration, inspection and testing, and a $124,050 project contingency for unanticipated or unforeseen work. 4. Determine these actions are exempt from further review in accordance with the California Environmental Quality Act as Categorical Exemption Environmental Review No. ER-2022-34 was filed for the project. 12. Award an Construction Contract to MMC, Inc. in an Amount Not to Exceed $2,870,000 for the Restrooms at Riverview Park, Heritage Park, Windsor Park, and Angels Park Project with an Estimated Project Delivery Cost of $3,307,000 (Project Nos. 22-1348, 22-1349, 22-1350, & 22-1412) (Non -General Fund) (Revive Santa Ana Program) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute a construction contract with MMC, Inc. to provide Design -Build services for demolition of existing restroom buildings, installation of new, pre -fabricated buildings, and associated site and utility work in the amount of $2,870,000, with a contingency of $287,000, for a three-year period from April 5, 2023 to April 4, 2026, with an option for two, one-year extensions, subject to non -substantive changes approved by the City Manager and City Council 9 4/4/2023 City Attorney. 2. Approve an amendment to the Fiscal Year 2022-23 Capital Improvement Program for the Riverview Park, Heritage Park, Windsor Park, and Angels Park Restrooms Project to be funded from American Rescue Plan Act (ARPA) funds. 3. Determine the recommended actions are exempt from further review in accordance with the California Environmental Quality Act as Categorical Exemption Environmental Review No. ER-2023-28 was filed for this project. 13. Grant an Easement to Southern California Edison to Allow Underground Power to Serve Traffic Signal (Non -General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute an Easement Deed granting Southern California Edison the right to own, place, and maintain power conduits and conductors underground to serve APN 016-035-14. 14. Approve Purchase Agreement with Property Owner Garnsey Corp., in the amount of $750,000 for the Full Property Acquisition for the Real Property Located at 843 N. Garnsey Street (APN 005-142-02) for the 10th and Flower Park Project (Revive Santa Ana Program) Department(s): Community Development Agency Recommended Action: Authorize the City Manager to execute a purchase agreement with property owner Garnsey Corp, for the full property acquisition for the real property located at 843 N. Garnsey Street, also identified as APN 005-142-02, (Property) in the amount of $750,000, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2023-XXX). 15. Approve an Agreement with Merritt Studio in a total agreement amount not to exceed $145,000 to provide Graphic Design Services for the Cultura Publication and Additional Design Services as Needed (General Fund) Department(s): Parks, Recreation, and Community Services Recommended Action: Authorize the City Manager to execute an agreement with Merritt Studio, LLC to provide graphic design services for the Cultura publication and additional design services as needed, for a three-year term beginning on April 4, 2023 through April 3, 2026 with options for two one-year extensions, and a total agreement amount not to exceed $145,000, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2023-XXX). 16. Amend Agreement with Landscape West Management Services, Inc. to Increase the Contract Amount by $2,300,000 for Right -of -Way and Median Landscape Maintenance Services (Project No. 22-1309) (General Fund and Non -General Fund) (Revive Santa Ana Program) City Council 10 4/4/2023 Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute the seventh amendment to the agreement for the second renewal option with Landscape West Management Services, Inc. for Right -of -Way and Median Landscape Maintenance Services to increase the contract amount by $2,300,000 for a total agreement amount not to exceed $8,222,000 for the remaining term of the agreement ending on June 30, 2025, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2023-XXX). 17. Approve an Appropriation Adjustment and Amend Agreement with Berg & Associates, Inc. for Construction Engineering Services for the SR-55/Ritchey Street Water Improvements Projects by an additional $900,000 for the remainder of the Agreement Term (Project Nos. 19-6438, 19-6439, 19-6440) (Non -General Fund) Department(s): Public Works Agency Recommended Action: 1. Authorize the City Manager to execute an amendment to the agreement with Berg & Associates, Inc. for Construction Engineering Services for the SR-55/Ritchey Street Water Improvements Projects to increase the compensation amount by $900,000, which includes a $780,000 increase to the base amount and a $120,000 contingency, for a total amount not to exceed $1,900,000 for the remainder of the term of the agreement, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2023-XXX). 2. Approve an appropriation adjustment to recognize an additional $900,000 in the Acquisition & Construction, Water Utility Capital Projects, Expense Reimbursement- OCTA revenue account and appropriate the same amount into the Acquisition & Construction, Water Utility Capital Projects, Water Capital Project expenditure account. (Requires five affirmative votes) 18. Amend Agreement with Sedaru, Inc. for Water System Computer Modeling and Engineering Services by an additional $50,000 for the remainder of the Agreement Term (Non -General Fund) Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute a First Amendment to the Agreement with Sedaru, Inc., formerly known as ID Modeling, Inc., for water system modeling and engineering services to increase the amount by $50,000, for a total not -to -exceed amount of $200,000 for the remainder of the term of the agreement, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2023-XXX). 19. Approve Agreements with Tetra Tech, Inc., Stantec Consulting Services, Inc., and EEC Environmental for On -Call Engineering Design Services for PFAS Treatment Systems in an Aggregate Amount Not to Exceed $3,000,000 for up to a Five -Year Term (Non - General Fund) City Council 11 4/4/2023 Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute agreements with Tetra Tech, Inc., Stantec Consulting Services, Inc., and EEC Environmental to provide on -call engineering design services for PFAS treatment systems, for a shared aggregate amount not to exceed $3,000,000, for a three-year term beginning April 4, 2023 and expiring April 3, 2026, with provisions for two, one-year extensions, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2023-XXX). 20. Approve a Lease Agreement with Senate Rules Committee, California Legislature for Office Space at the Santa Ana Regional Transportation Center for a Four-year Term for a Total Amount of $300,082 Department(s): Public Works Agency Recommended Action: Authorize the City Manager to execute a site lease agreement with Senate Rules Committee, California Legislature to compensate the City $6,400 per month, with any partial month prorated at $206 per day, for the lease of 3,200 square feet of office space located at the Santa Ana Regional Transportation Center for a four-year term beginning on April 4, 2023 and ending February 28, 2027, for a total of $300,082 in lease revenue for the entire term of the agreement, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2023-XXX). 21. Approve Agreement with SenseMakers LLC, in the amount of $896,370, for Grant Project and Fiscal Coordinator Services (Non -General Fund) Department(s): Police Department Recommended Action: Authorize the City Manager to execute a three-year professional services agreement with SenseMakers LLC for an on -site project and fiscal grant management coordinator services, for the period beginning June 1, 2023 through May 31, 2026, with a fourth- and fifth -year option in an amount not to exceed $896,370, subject to non -substantive changes approved by the City Manager and City Attorney (Agreement No. 2023-XXX). 22. Approve an Agreement with PetData, Inc. for Animal Licensing Services for up to a Three -Year Term and Two One -Year Renewal Periods Department(s): Finance and Management Services Recommended Action: Authorize the City Manager to execute an agreement with PetData, Inc. for animal licensing services for a three-year period, from April 4, 2023 through April 3, 2026, with two one-year extension periods, subject to non -substantive changes approved by the City Manager and City Attorney; there is a one-time start-up fee of $1,000 and an ongoing fee of $4.30 for each one-year license processed (Agreement No. 2023-XXX). City Council 12 4/4/2023 23. Adopt a Resolution Approving the Construction Installment Sale Agreement with the California State Water Resources Control Board for Financing of the Septic to Sewer Island Project (Non -General Fund) Department(s): Public Works Agency Recommended Action: Adopt Resolution No. 2023-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING A CONSTRUCTION INSTALLMENT SALE AGREEMENT WITH THE CALIFORNIA STATE WATER RESOURCES CONTROL BOARD IN CONNECTION WITH THE FINANCING OF THE SEPTIC TO SEWER ISLAND PROJECT AND AUTHORIZING CERTAIN OTHER RELATED ACTIONS (in an amount up to $1,529,220) 24. Adopt Resolution Accepting Grant Funds from the State Coastal Conservancy for Santiago Park Trail and Habitat Restoration Plan (Non -General Fund) Department(s): Public Works Agency Recommended Action: Adopt Resolution No. 2023-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE GRANT OF FUNDS FROM THE STATE COASTAL CONSERVANCY FOR THE SANTIAGO PARK TRAIL AND HABITAT RESTORATION PLAN (in the amount of $400,000) 25. Adopt a Resolution to Approve the Tenant Relocation Plan for the Acquisition of Real Property at 206 and 208 South Flower Street Department(s): Public Works Agency Recommended Action: Adopt Resolution No. 2023-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE RELOCATION PLAN FOR THE DEVELOPMENT OF A NEW WATER WELL SITE (206 AND 208 SOUTH FLOWER STREET) 26. Fiscal Year 2022-23 Mid -Year Appropriation Requests Department(s): Finance and Management Services Recommended Action: Approve the recommended Appropriation Adjustments. (Requires five affirmative votes) **END OF CONSENT CALENDAR** BUSINESS CALENDAR City Council 13 4/4/2023 27. Nominate and Appoint Representatives and Alternates to the Santa Ana River Flood Protection Agency (SARFPA), the Southern California Association of Governments (SCAG), and the Orange County Council of Governments (OCCOG) Department(s): City Clerk's Office I: 1T GL' I_C4iM 1. Nominate and appoint a representative and alternate to the Santa Ana River Flood Protection Agency (SARFPA). 2. Nominate and appoint a representative to the Southern California Association of Governments (SCAG) and the Orange County Council of Governments (OCCOG) and nominate and appoint an alternate to OCCOG. 3. Nominate and appoint an alternate for purposes of the SCAG Regional Conference and General Assembly Business Meeting only. 4. Direct the City Clerk to update and post the Fair Political Practices Commission (FPPC) Form 806 (Agency Report of Public Official Appointments) on the City's website. 28. Hear From and Consider Appointing Fernando Delgado Nominated by Councilmember Hernandez as the Ward 5 Representative to the Police Oversight Commission for a Full -Term Expiring December 10, 2024 Department(s): City Clerk Office Recommended Action: 1. Hear from Fernando Delgado, applicant and nominee to the Police Oversight Commission, Ward 5 Representative. 2. Consider appointing Fernando Delgado to the Police Oversight Commission as the Ward 5 representative, and if appointed, administer the Oath of Office. (Requires five affirmative votes.) **END OF BUSINESS CALENDAR** COUNCILMEMBER REQUESTED ITEMS 29. Discuss and Direct the City Manager to Direct Staff to Implement a Temporary Promotion Freeze for Police Management Until at Least 90 Percent of the Current Vacant Police Officer Positions are Filled — Mayor Amezcua CITY MANAGER COMMENTS COUNCIL COMMENTS AB1234 DISCLOSURE — If the City paid for travel or other expenses this is the time for City Council 14 4/4/2023 members of the Council to provide a brief oral report on attendance of any regional board or commission meeting or any conference, meeting or event attended. 1. March 31 —April 1, 2023 Mayor Pro Tern Lopez— WELL 11th Annual Statewide Conference in Van Nuys, CA ADJOURNMENT — Adjourn the City Council meeting and convene to the Housing Authority meeting. Future Items 1. Sunshine Ordinance — Work Study Session 2. Budget —Work Study Session City Council 15 4/4/2023 HOUSING AUTHORITY CALL TO ORDER ATTENDANCE Authority Members Vice Chair Chair City Manager City Attorney Recording Secretary ROLL CALL Phil Bacerra Johnathan Ryan Hernandez David Penaloza Thai Viet Phan Benjamin Vazquez Jessie Lopez Valerie Amezcua Kristine Ridge Sonia R. Carvalho Jennifer L. Hall ADDITIONS\DELETIONS TO THE HOUSING AUTHORITY AGENDA PUBLIC COMMENTS — Members of the public may address Housing Authority on items on the Housing Authority agenda. CONSENT CALENDAR RECOMMENDED ACTION: Approve staff recommendations on the following Consent Calendar Item: 1. 1. Excused Absences Department(s): City Clerk's Office Recommended Action: Excuse the absent members. **END OF CONSENT CALENDAR** BUSINESS CALENDAR 2. Public Hearing: Approve the Housing Authority Annual Plan Legal Notice published in the Orange County Register, La Opinion and Nguoi Viet on February 16, 2023. City Council 16 4/4/2023 Department(s): Community Development Agency Recommended Action: 1. Conduct a public hearing in consideration of the approval and submission of the Housing Authority Annual Plan to the United States Department of Housing and Urban Development. 2. Adopt Resolution No. 2023-XXX A RESOLUTION OF THE HOUSING AUTHORITY OF THE CITY OF SANTAANA APPROVING THE SUBMISSION OF THE ANNUAL PLAN FOR FISCAL YEAR 2023- 2024 **END OF BUSINESS CALENDAR** HOUSING AUTHORITY MEMBER COMMENTS ADJOURNMENT —Adjourn the Housing Authority meeting. City Council 17 4/4/2023 MAYOR Valerie Amezcua MAYOR PRO TEM Jessie Lopez COUNCILMEMBERS Phil Bacerra Johnathan Ryan Hernandez David Penaloza Thai Viet Phan Benjamin Vazquez CITY OF SANTA ANA CITY CLERK'S OFFICE 20 Civic Center Plaza • P.O. Box 1988 Santa Ana, California 92702 www.santa-ana.ora NOTICE OF SPECIAL MEETING CITY COUNCIL To: Valerie Amezcua, Mayor Jessie Lopez, Mayor Pro Tem, Ward 3 Phil Bacerra, Councilmember, Ward 4 Johnathan Ryan Hernandez, Councilmember, Ward 5 David Penaloza, Councilmember, Ward 6 Thai Viet Phan, Councilmember, Ward 1 Benjamin Vazquez, Councilmember, Ward 2 CITY MANAGER Kristine Ridge CITY ATTORNEY Sonia R. Carvalhc CITY CLERK Jennifer L. Hall Kristine Ridge, City Manager Sonia R. Carvalho, City Attorney Orange County Register Los Angeles Times NOTICE IS HEREBY GIVEN, pursuant to California Government Code §54956, that on April 4, 2023 at 4:30 P.M., the Santa Ana City Council will hold a Special Closed Session Meeting for the purpose of addressing the following items: CONFERENCE WITH LABOR NEGOTIATOR pursuant to Government Code Section 54957.6(a): - Agency Negotiators: Human Resources Executive Director, Jason Motsick Employee Organizations: • Santa Ana Police Officers Association (POA) • Service Employees' International Union (SEIU) Full -Time Employees 2. CONFERENCE WITH LEGAL COUNSEL -EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: A. In re National Prescription Opiate Litigation, United States District Court (Northern District of Ohio), Case No. 1:17-and-02804 1 nnifer . all, MC Jerk Dated: March 28, 2023 SANTA ANA CITY COUNCIL Valerie Arni Jessie Lopez Thai Viet Phan Benjamin Vazpuez Phil Baoema Jahnalhan Ryan Hernandez David Penaloze Mayor Mayor Pro Tem, WaN 3 Ward Ward Word Ward Word yem2cua(oisanla-anaom 'essie ooezfolsanta-ana.om lohanralsanla-anaora Cvazou o0sanla-ana.am obacemeAsinta-anaem ry.my.andez(alsanla-ana.me d City Council {{item.number))— 4/4/2023 {{item.pagenumber)) Public Works Agency www.santa-ana.org/public-works Item # 8 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report April 4, 2023 TOPIC: Purchase of Lighting and Control System for Thornton Park AGENDA TITLE Award a Purchase Order to Musco Sports Lighting, LLC in the Amount of $195,710 for LED Sports Lighting with Related Supplies and Services (General Fund) RECOMMENDED ACTION Authorize a one-time purchase order to Musco Sports Lighting, LLC for the purchase of LED sports lighting, control and monitoring system, and installation services for the George Upton All Access Playground and basketball courts at Thornton Park in the amount of $177,918, with a contingency of $17,792, for a total amount not to exceed $195,710, subject to non -substantive changes approved by the City Manager and the City Attorney. DISCUSSION The Public Works Agency's Parks Maintenance Division is responsible for overseeing and repairing various parks and facilities. In collaboration with the Parks and Recreation staff, Public Works staff evaluated the lighting at Thornton Park and determined that improvements need to be completed to support the various sporting and recreation events hosted at this site. At Thornton Park, the George Upton All Access Playground and basketball courts do not have sports court lighting, limiting the play and recreation opportunities for the community. Staff proposes installing new Musco LED light structures with luminaires that are energy -efficient and include a 25-year warranty. These light structures will save the City maintenance costs for many years, while also providing energy -efficient lighting and creating safer playing fields. These new light structures will also facilitate operations after dusk with area lighting. The Control Link and Monitoring System provides remote light control to maximize lighting efficiency as staff will be able to remotely operate lighting with respect to park use and programming. The addition of new lights will increase the community's sports and play options with lighted recreational amenities that will activate the park, thus decreasing the vandalism and illegal activities. Santa Ana Ordinance No. NS-2312 authorizes the City to utilize purchase contracts for any public agency utilizing a competitive bid process. Sourcewell awarded a contract to Musco Sports Lighting, LLC. (Contract No. 071619-MSL) as a result of open competitive City Council 8-1 4/4/2023 Purchase of LED Sports Lighting April 4, 2023 Page 2 bidding on behalf of its members, which includes government agencies. Utilizing the contract awarded to Musco Sports Lighting, LLC., allows the City to make purchases through August 27, 2023, and is in accordance with the City's existing Purchasing Guidelines. FISCAL IMPACT Funds are available in the current Fiscal Year 2022-2023 budget as follows. Fiscal Year Accounting Unit- Account # Fund Description Accounting Unit, Account Description Amount PWA - Park Service General Enhancement, 2022-23 01117652-62320 Maintenance & $195,710 Fund Repair Buildings & Ground TOTAL $195,710 Submitted By: Nabil Saba, P.E., Executive Director— Public Works Agency Approved By: Kristine Ridge, City Manager City Council 8-2 4/4/2023 Police Department www.santa-ana.org/police Item # 9 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report April 4, 2023 TOPIC: New HVAC System at Santa Ana Police Athletic & Activity League Center AGENDA TITLE: Award Purchase Order to Acco Engineered Systems in an Amount Not to Exceed $274,877 to replace HVAC at the Santa Ana Police Athletic & Activity League Center (General Fund) RECOMMENDED ACTION 1. Award a one-time purchase and payment to Acco Engineered Systems for a new heating, ventilation, and air conditioning (HVAC) system at the Santa Ana Police Athletic and Activity League Center, in the amount of $249,888, plus a 10-percent contingency of $24,989, for a total amount not to exceed $274,877, subject to non - substantive changes approved by the City Manager and City Attorney. 2. Approve an amendment to the Fiscal Year 2022-2023 Capital Improvement Program to include the Santa Ana Police Athletic and Activity League Center HVAC System Replacement project. DISCUSSION The Police Department currently operates the Santa Ana Police Athletic and Activity League (PAAL) program at two locations. The PAAL Center provides comprehensive community programs that builds a bond between kids and police officers through education, fitness, and activities. The primary center, located at 2627 W McFadden Avenue, is approximately 9,000 square feet and serves over 100 youths year-round. The PAAL Center was recently renovated with new flooring, exterior painting, and parking lot improvements, with funds from the City's Revive Santa Ana Spending Plan. However, the current air conditioning unit, which was not part of the renovation, is over 20 years old and the air handlers, also not part of the renovation, are over 40 years old. The Center's current split system with two indoor fan coil units have surpassed their usable life span and require constant repair. The new heating, ventilation, and air conditioning (HVAC) replacement with variable frequency drive for a three -zone system City Council 9-1 4/4/2023 New HVAC System at Santa Ana Police Athletic & Activity League Center April 4, 2023 Page 2 will provide better efficiency rating for energy usage and greatly improve comfort for the youth and residents. Santa Ana Ordinance No. NS-2312 authorizes the City to purchase against contracts issued to vendors who have been awarded by a state agency, county, city or other public agency after a competitive bidding process substantially equivalent to the City's standard bidding process. National Cooperative Purchasing Alliance awarded a contract to Acco Engineered Systems (No. 02-73) for HVAC Equipment, Installation, Service, & Related Products. By leveraging the procurement power through cooperative purchasing, the City of Santa Ana is able to obtain nationally vetted, high quality products and services at competitive volume pricing, and is in accordance with the City's existing Purchasing guidelines. FISCAL IMPACT Funds were approved as a carry forward to the FY 2022-23 budget for this project and is available for expenditure as follows: Fiscal Accounting Unit Fund Accounting Unit — Year — Account No. Description Account No. Amount Description PD Building & Facility, FY 22-23 01114403-66200 General Fund Buildings & Building $274,877 Improvements EXHIBIT 1. Capital Improvement Project Sheet — Santa Ana PAAL Center HVAC System Submitted By: David Valentin, Police Chief Approved By: Kristine Ridge, City Manager City Council 9-2 4/4/2023 §\ 7 !) % ! LU3 Ejf at u 2 F- e_; F- L) o� LUw2 LU7p o); o®> a. a- aGa K 2 k k -j k k0 \ \ \ » s Police Department www.santa-ana.org/police Item # 10 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report April 4, 2023 TOPIC: Motorola 800 MHz Communications System Equipment AGENDA TITLE: Award Contract to Motorola Solutions, Inc. in the Amount of $471,570 for Motorola 800 MHz Communications System Equipment (Specification No. 23-048) (General and Non - General Fund) RECOMMENDED ACTION Award a blanket order contract to Motorola Solutions, Inc. for Motorola 800 MHz communications system equipment for a 14-month period expiring June 30, 2024 in an amount not to exceed $471,570, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The Santa Ana Police Department (SAPD) utilizes handheld portable and mobile radios to communicate with other field personnel, the SAPD Dispatch Center, and Orange County agencies via the Orange County Communications System (countywide dispatch center). The 800 MHz Communications system has been in place since 1995 when the County of Orange completed a competitive bid process and entered into a contract with Motorola Solutions, Inc. to provide the 800 MHz Countywide Coordinated Communications System (CCCS) integrated radio communications system. Motorola designed, built, and installed this system using proprietary equipment and technology. This system allows all police, fire, public works, and marine safety agencies in Orange County to share a standard radio system, yet provides agencies with their own dispatch and tactical channels. Radios are utilized for both emergent and non -emergent radio traffic. Handheld radios are a critical lifeline for sworn and professional field personnel for sharing rapidly changing information pertaining to calls for service and for relaying field personnel safety messages. This contract will provide the Police Department with 60 APX6000 handheld pacsets and accessories for newly hired police officers, replacement radios for non -working radios, and adequate spares for emergency services purposes. The SAPD anticipates City Council 10 — 1 4/4/2023 Motorola 800 MHz Communications System Equipment April 4, 2023 Page 2 ordering $363,753 in equipment upon City Council's approval, with a contingency of $36,537 for additional pacsets, mobile radios, and accessories if needed through the end of the contract period. In addition, the Code Enforcement Division of the Planning and Building Agency will be purchasing ten radios. The purchase will provide the Code Enforcement Division with handheld APX4000 Model II radios for newly hired Code Enforcement Division staff and replacement radios for non -compatible or non -working radios for Animal Services staff. The handheld radios are critical for emergency and non -emergency communication with SAPID. The Planning and Building Agency anticipates ordering $47,520 in equipment upon City Council's approval, with a contingency of $23,760 for additional mobile radios, chargers, and accessories if needed through the end of the contract period. Santa Ana Municipal Code Section 2-807 requires that contracts for City purchases be awarded on the basis of obtaining maximum quality and minimum costs after a competitive process but allows for awards of purchases exempt from a bid process whenever it shall appear there is only one reasonable source. Accordingly, the County established Agreement No. MA-060-21010004 with Motorola Solutions, Inc. for the 800 MHz CCCS under their Sole Source Procurement Policy, providing access to the existing radio communication system throughout the County. Motorola Solutions, Inc., the manufacturer, offers the equipment at discounted pricing to all public agencies in Orange County under the 800 MHz CCCS program. FISCAL IMPACT The current fiscal year funding is available in each respective department's FY 2022-23 budget and future fiscal year funding will be included in the proposed budgets for City Council consideration as follows: II.1=2 oIl0 :ST-2ifa Fiscal Accounting Unit Accounting Unit — Year — Account No. Fund Description Account No. Amount Description PD Central FY 22-23 01114450-66400 General Fund Distribution $270,650 Center, Machinery & Equipment Supplemental SLESA, Machinery FY 22-23 12814407-66400 Law Enforcement & Equipment $ 93,103 Services Fund Supplemental SLESA, Machinery FY 23-24 12814407-66400 Law Enforcement & Equipment $ 36,537 Services Fund Subtotal $400,290 City Council 10 — 2 4/4/2023 Motorola 800 MHz Communications System Equipment April 4, 2023 Page 3 Planning and Building Agency Fiscal Accounting Unit Accounting Unit — Year — Account No. Fund Description Account No. Amount Description PBA Comm FY 22-23 01116540-66400 General Fund Preserv, Machinery $ 14,256 & Equipment PBA Enforcement FY 22-23 01216010-66400 Cannabis Fund Services, Machinery $ 9,504 & Equipment PBA Animal FY 22-23 01116570-66400 General Fund Services, Machinery $ 23,760 & Equipment PBA Comm FY 23-24 01116540-66400 General Fund Preserv, Machinery $ 19,008 & Equipment PBA Enforcement FY 23-24 01216010-66400 Cannabis Fund Services, Machinery $ 4,752 & Equipment Subtotal $ 71,280 Combined Total 1 $471,570 Submitted By: David Valentin, Police Chief; Mihn Thai, Executive Director of Planning and Building Agency Approved By: Kristine Ridge, City Manager City Council 10 — 3 4/4/2023 Public Works Agency www.santa-ana.org/public-works Item # 11 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report April 4, 2023 TOPIC: Salgado Community Center Improvements AGENDA TITLE Award a Construction Contract to AME Builders, Inc. in the Amount of $1,240,500 for the Salgado Community Center Improvements Project FY 2022-23 Project with an Estimated Project Delivery Cost of $1,550,625 (Project No. 22-1377) (General Fund) (Revive Santa Ana Program) RECOMMENDED ACTION 1. Award a construction contract to AME Builders Inc., the lowest responsible bidder, in accordance with the base bid in the amount of $1,240,500, for construction of the Salgado Community Center Improvements FY 2022-23, for the term beginning September 1, 2023 and ending December 31, 2023, 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 amendment to the Fiscal Year 2022-23 Capital Improvement Program to include $1,387,759 in Revive funding for the Salgado Community Center Renovations Project. (Project No. 22-1377) 3. Approve the Project Cost Analysis for a total estimated construction delivery cost of $1,550,625, which includes $1,240,500 for the construction contract, $186,075 for contract administration, inspection and testing, and a $124,050 project contingency for unanticipated or unforeseen work. 4. Determine these actions are exempt from further review in accordance with the California Environmental Quality Act as Categorical Exemption Environmental Review No. ER-2022-34 was filed for the project. DISCUSSION The Salgado Community Center, located in Rosita Park, hosts after -school activities, sports, and many local community events (Exhibit 1). The Community Center was constructed in 1994 and since then has not experienced many major renovations. The Salgado Community Center Improvements Project seeks to replace two critical items necessary to maintain the quality of the facility: the roof and heating, ventilation, and air City Council 11 — 1 4/4/2023 Award Construction Contract to AME Builders, Inc. April 4, 2023 Page 2 conditioning (HVAC) systems. These improvements will eliminate roof leaks and provide efficient air conditioning and heating throughout the community center. Public Outreach and Contractor Participation To provide an opportunity for local vendors to submit bids, the City notified a total of 1,192 regional vendors via PlanetBids, many of which are Santa Ana based. Fifty-six vendors requested bidding documents and two bids were received. No bids were received from Santa Ana contractors. As legally required, a Notice Inviting Bids was advertised in the Orange County Register newspaper on January 18, January 25, and February 1, 2023. The project was also advertised in PlanetBids from January 18, 2023 through February 15, 2023. Bids were received electronically via PlanetBids on February 15, 2023. Bid Results SummaN Rank Bidder's Name Location Base Bid 1 AME Builders, Inc. Pomona, CA $1,240,500 2 Letner Roofing Company Orange, CA $1,854,880 A total of two bids were received, all deemed responsive. AME Builders, Inc. submitted the lowest responsive base bid in the amount of $1,240,500 (Exhibit 2). As specified in the bid documents, the lowest bid shall be determined on the basis of the Base Bid. Based on the bid analysis and a contractor's reference check, staff recommends awarding the construction contract to AME Builders, Inc., in the amount of the base bid totaling $1,240,500 (Exhibit 3). Project Delivery To deliver a complete project, the estimated total project delivery cost includes 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, inspection of the Contractor's work to ensure contract compliance, workmanship, and quality, and materials 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 $1,550,625. Project Item Total Construction Contract $1,240,500 Construction Administration, Inspection, Testing $186,075 Contingencies $124,050 Total Construction Delivery Cost $1,550,625 City Council 11 — 2 4/4/2023 Award Construction Contract to AME Builders, Inc. April 4, 2023 Page 3 ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. ER- 2022-34 was filed for the project. FISCAL IMPACT As indicated in the Cost Analysis, the estimated total construction delivery cost of the project is $1,550,625, which includes construction, contract administration, inspection, testing, and an authorized contingency. Project No. 22-1377 is the number assigned to the Specifications and the Notice Inviting Bids. Funds for this project were appropriated in Fiscal Year 2022-23 and with the approval of the amendment to the FY 2022-23 Capital Improvement Program (Exhibit 5) will officially incorporate this project to the program. As part of the federal American Rescue Plan Act (ARPA), funds were allocated per the Revive Santa Ana Spending Plan for proposed expenditure categories. Funding is available in the FY 22-23 budget and any remaining balances not expended at the end of the fiscal year will be presented to the City Council for approval of carryovers to FY 23-24. The following table summarizes the funds budgeted and available for expenditure to deliver construction of this project. Accounting Accounting Unit, Fiscal Unit - Account Fund Account No. Amount Year No. Description Description Project No. 2022-23 18117013- Revive Santa ARPA-PRCSA, Buildings $1,387,759 66220 Ana ARPA & Building Improvements PWA — Service 2022-23 01117017- General Enhancement, $162,866 66220 Fund Improvements Other Than Buildings EXHIBIT(S) 1. Location Map 2. Bid Proposal 3. Construction Contract 4. Cost Analysis 5. Amendment to Fiscal Year 2022-23 CIP Submitted By: Nabil Saba, P.E., Executive Director— Public Works Agency Approved By: Kristine Ridge, City Manager City Council 11 — 3 4/4/2023 amp■r 1 �Ir C Lam 7 ! _Wli NW PF &I tP .Lillw 130 feet N EXHIBIT 1 Location Exhibit Project 22-1377 w�-_.,p 'S Inane Qemp; in. (;eRie,F � City Council -zon Digital Map Products. no aems45erve 4/4/2023 1 EXHIBIT 2 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 22-1377 SALGADO COMMUNITY CENTER IMPROVEMENTS BID PROPOSAL TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: AME Builders Inc dba AME Roofing 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: Item Description Qty Unit Unit Price Amount 1 Roofing Improvements 1 LS $ $ 888,800.00 888,800.00 2 Plywood Shect (4' x R') (As 100 EA $ $ Needed)* 150.00 15,000.00 3 Low Silhouette Hooded Vents (12" 2 EA $ $ x 12") 1,000.00 2,000.00 4 Remove and Replace Roof and I LS $ $ Gym HVAC System 324,000.00 324,000.00 5 Construction Pcnnit 1 LS $10,700 $ 10 700.00 TOTAL BASE BID S 1,240,500.00 City Council 11 — 5 4/4/2023 P-1 ofP-20 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 22-1377 SALGADO COMMUNITY CENTER IMPROVEMENTS 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. t This bid item is considered a Specialty Item per Section 3-2 of the Standard Specifications. 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 80 working days after the commencement date stated in the Notice to Proceed. In order to coordinate with other activities at the Center, the start of construction will not begin until September 1. 2023 and must be finished by January 2024. All contract unit pricing shall remain in effect from Council Award date to start of construction and throughout the life of the project. The liquidated damages amount, in lieu of the amount specified in Subsection 6-9 of the Standard Specifications, shall be $2,800 per calendar day. Name of Firm AME Builders Inc dba Signature of BIDDER Title Don Seo/President, Junghee Seo/Secretary (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.) City Council P-2 of P-2011 — 6 4/4/2023 EXHIBIT 3 CITY OF SANTA ANA CONSTRUCTION CONTRACT PROJECT 22-1377 SALGADO COMMUNITY CENTER ROOF IMPROVEMENTS This CONSTRUCTION CONTRACT is made and entered into this 4th day of April, 2023 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 AME Builders, INC. (hereinafter "CONTRACTOR"). W[TNESSETIL The CITY and the CONTRACTOR, for the consideration hereinafter named, mutually agree as follows: 1. 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 Salgado Community Center Improvements (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, Two hundred Forty Thousand, and Five Hundred Dollars and No Cents ($1,240,500.00), 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. 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. City Council 11 — 7 4/4/2023 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: https://www.santa-ana.org/documents/community-workforce-agreement/ CONTRACTOR shall, after award of this Contract, fumish 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. 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. 10. INDEMNIFICATION. To the fullest extent allowed by law, CONTRACTOR and its Subcontractors hereby agree to defend, indemnify, and hold harmless CITY, its City Council, boards and commissions, officers, agents, employees, representatives and volunteers (hereinafter collectively referred to as "Indemnitees"), through legal counsel acceptable to CITY, from and against any liability, claims, actions, costs, damages or losses, including reasonable costs and attorney's fees, for injury, including death to any person or damage to any property, arising directly or indirectly from, or in any manner relating to, any of the following: (i) Performance or nonperformance of the Work of Improvement by CONTRACTOR or its Subcontractors of any lower tier; (ii) Performance or nonperformance by CONTRACTOR or its Subcontractors of any lower tier, of any of the obligations under the Contract Documents; (iii) The construction activities of CONTRACTOR or its Subcontractors of any lower tier, either on the project site or on other properties; (iv) The payment or nonpayment by CONTRACTOR of any of its Subcontractors of any lower tier, for Work of Improvement performed on or off the project site; and (v) Any personal injury, property damage or economic loss to third persons related to and arising from the performance or nonperformance by CONTRACTOR or its Subcontractors of any 2 of 4 City Council 11 — 8 4/4/2023 lower tier, of the Work of Improvement. (vi) The indemnity obligations of Subcontractors provided by this Section shall be included in all subcontract documents issued by CONTRACTOR. Nothing in the Contract Documents shall be construed to give rise to any implied right of indemnity in favor of CONTRACTOR against CITY or any other Indemnitee. 11. USE OF CSLFRF FUNDS Funds from the Coronavirus State Fiscal Recovery Fund and/or the Coronavirus Local Fiscal Recovery Fund, together known as the Coronavirus State and Local Fiscal Recovery Funds ("CSLFRF") program, will be used to fund all or a portion of this Construction Contract. CONTRACTOR shall comply with all applicable federal requirements including, but not limited to, the following, all of which are expressly incorporated herein by reference: a. Sections 602 and 603 of the Social Security Act as added by Section 9901 of the American Rescue Plan Act of 2021 (the "Act"); b. U.S. Department of the Treasury ("Treasury") Final Rule for the Act; c. Treasury Compliance and Reporting Guidance for the Act; d. 2 C.F.R. Part 200 — Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, other than such provisions as the U.S. Department of the Treasury may determine are inapplicable to the CSLFRF program and subject to such exceptions as may be otherwise provided by the U.S. Department of the Treasury; e. Treasury Coronavirus Local Fiscal Recovery Fund Award Terms and Conditions; and f. Federal contract provisions attached hereto as Exhibit "B" and incorporated herein by reference. Subcontracts, if any, shall contain a provision making them subject to all of the provisions stipulated in this Construction Contract. With respect to any conflict between such federal requirements and the terms of this Construction Contract and/or the provisions of state law and except as otherwise required under federal law or regulation, the more stringent requirement shall control. [signature page to follow] City Council 11 — 9 4/4/2023 IN WITNESS WHEREOF, the parties hereto have executed this Construction Contract on the day and year first above written. ATTEST: Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: �4 9: -F., -I, J N FUNK Chief Assistant City Attorney RECOMMENDED FOR APPROVAL: NABIL SABA, PE Executive Director Public Works Agency CITY OF SANTA ANA KRISTINE RIDGE City Manager CONTRACTOR: AME Builders, INC. NAME: on Seo Title: President City Council 11 — 10 4/4/2023 EXHIBIT A CITY OF SANTA ANA PROPOSAL PROJECT NO.: 22-1377 SALGADO COMMUNITY CENTER IMPROVEMENTS BID PROPOSAL TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: AME Builders Inc dba AME Roofing 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: Item Description Qty Unit Unit Price Amount 1 Roofing Improvements 1 LS $ $ 888,800.00 888,800.00 2 Plywood Sheet (4' x 8') (As 100 EA $ S Needed)* 150.00 15,000.00 3 Low Silhouette Hooded Vents (12" 2 EA $ $ x 12") 1,000.00 2,000.00 4 Remove and Replace Roof and 1 LS $ $ Gym HVAC System 324,000.00 1 324,000.00 5 Construction Permit I LS $10,700 $ 10 700.00 TOTAL BASE BID $ 1,240,500.00 City Council 11 —11 4/4/2023 CITY OF SANTA ANA PROPOSAL PROJECT NO.: 22-1377 SALGADO COMMUNITY CENTER IMPROVEMENTS 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-altemate 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. f This bid item is considered a Specialty Item per Section 3-2 of the Standard Specifications. 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 80 working days after the commencement date stated in the Notice to Proceed. In order to coordinate with other activities at the Center, the start of construction will not begin until September 1, 2023 and must be finished by January 2024. All contract unit pricing shall remain in effect from Council Award date to start of construction and throughout the life of the project. The liquidated damages amount, in lieu of the amount specified in Subsection 6-9 of the Standard Specifications, shall be $2,800 per calendar day. Name of Firm AME Builders Inc dba Signature of BIDDER Title Don Seo/President , Junghee Seo/Secretary (If an individual, so state. If a limn or co -partnership, state the firm name and give the names of all individual co-partners composing the firm. If a corporation, state legal name of corporation, and names of President, Secretary, Treasurer and Manager, thereof.) P-2 of P-20 City Council 11 — 12 4/4/2023 EXHIBIT B FEDERAL CONTRACT PROVISIONS During the performance of this Construction Contract, CONTRACTOR shall comply with all applicable federal laws and regulations including, but not limited to, the federal contract provisions in this Exhibit ..B„ 1. REQUIRED CONTRACT PROVISIONS IN ACCORDANCE WITH APPENDIX II TO PART 200 — CONTRACT PROVISIONS FOR NON-FEDERAL ENTITY CONTRACTS UNDER FEDERAL AWARDS (2 C.F.R. § 200.327) (a) Appendix II to Part 200 (A); Appendix II to Part 200 (B): Remedies for Breach: Termination for Cause/Convenience. The Contract Documents include remedies for breach and termination for cause and convenience. (b) Appendix II to Part 200 (C) — Equal Employment Opportunity: During the performance of this Construction Contract, CONTRACTOR agrees as follows: (i) The CONTRACTOR will not discriminate against any employee or applicant for employment because of race, color, religion, sex, sexual orientation, gender identity, or national origin. The CONTRACTOR will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, religion, sex, sexual orientation, gender identity, 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. (ii) The CONTRACTOR will, 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, sexual orientation, gender identity, or national origin. (iii) The CONTRACTOR will not discharge or in any other manner discriminate against any employee or applicant for employment because such employee or applicant has inquired about, discussed, or disclosed the compensation of the employee or applicant or another employee or applicant. This provision shall not apply to instances in which an employee who has access to the compensation information of other employees or applicants as a part of such employee's essential job functions discloses the compensation of such other employees or applicants to individuals who do not otherwise have access to such information, unless such disclosure is in response to a formal complaint or charge, in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or is consistent with the CONTRACTOR's legal duty to furnish information. rcv.VVI Citv Council 11 — 13 4/4/2023 (iv) The CONTRACTOR will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the CONTRACTOR's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. (v) The CONTRACTOR will 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. (vi) The CONTRACTOR will 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 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. (vii) In the event of the CONTRACTOR's noncompliance with the nondiscrimination clauses of this Construction Contract or with any of the said rules, regulations, or orders, this Construction 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 Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law. (viii) The CONTRACTOR will include the portion of the sentence immediately preceding paragraph (i) and the provisions of paragraphs (i) through (vii) 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 subcontractor or vendor. The CONTRACTOR will take such action with respect to any subcontract or purchase order as the administering agency may direct as a 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 the United States to enter into such litigation to protect the interests of the United States. The CITY further agrees that it will be bound by the above equal opportunity clause with respect to its own employment practices when it participates in federally assisted construction work: Provided, That if the CITY so participating is a State or local government, the above equal opportunity clause is not applicable to any agency, instrumentality or subdivision of such government which does not participate in work on or under the Construction Contract. The CITY agrees that it will assist and cooperate actively with the administering agency and the Secretary of Labor in obtaining the compliance of the CONTRACTOR and subcontractors with the equal opportunity clause and the rules, regulations, and relevant orders of the Secretary of Labor, that it will furnish the administering agency and the Secretary of Labor such information as they may require for the City Council 11 — 14 4/4/2023 supervision of such compliance, and that it will otherwise assist the administering agency in the discharge of the agency's primary responsibility for securing compliance. The CITY further agrees that it will refrain from entering into any contract or contract modification subject to Executive Order 11246 of September 24, 1965, with a contractor debarred from, or who has not demonstrated eligibility for, Government contracts and federally assisted construction contracts pursuant to the Executive Order and will carry out such sanctions and penalties for violation of the equal opportunity clause as may be imposed upon contractors and subcontractors by the administering agency or the Secretary of Labor pursuant to Part II, Subpart D of the Executive Order. In addition, the CITY agrees that if it fails or refuses to comply with these undertakings, the administering agency may take any or all of the following actions: cancel, terminate, or suspend in whole or in part the grant (contract, loan, insurance, guarantee) for this project; refrain from extending any further assistance to the applicant under the program with respect to which the failure or refund occurred until satisfactory assurance of future compliance has been received from such applicant; and refer the case to the Department of Justice for appropriate legal proceedings. (c) Appendix II to Part 200 (D) — Davis -Bacon Act: Not applicable to this Construction Contract since it is funded by CSLFRF. (d) Appendix 11 to Part 200 (D) — Copeland "Antti-Kickback" Act: Not applicable to this Construction Contract since it is funded by CSLFRF. (e) Appendix II to Part 200 (E) — Contract Work Hours and Safety Standards Act: (i) Overtime Requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek. (ii) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in paragraph (ii) of this section the CONTRACTOR and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph (ii) of this section, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph (ii) of this section. (iii) Withholding for unpaid wages and liquidated damages. The CITY shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the CONTRACTOR or subcontractor under any such contract or any other Federal contract with the CONTRACTOR, or any other federally -assisted contract subject to the Contract Work Hours and Safety Standards Act, which is City Council 11 — 15 4/4/2023 held by the CONTRACTOR, such sums as may be determined to be necessary to satisfy any liabilities of CONTRACTOR or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (iii) of this section. (iv) Subcontracts. The CONTRACTOR or subcontractor shall insert in any subcontracts the clauses set forth in paragraph (ii) through (v) of this Section and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The CONTRACTOR shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs (ii) through (v) of this Section. (t) Appendix II to Part 200 (F) — Rights to Inventions Made Under a Contract or Agreement: Not applicable to this Construction Contract. (g) Avvendix II to Part 200 (G) — Clean Air Act and Federal Water Pollution Control Act: (i) Pursuant to the Clean Air Act, (1) CONTRACTOR agrees to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act, as amended, 42 U.S.C. § 7401 et seq., (2) CONTRACTOR agrees to report each violation to the CITY and understands and agrees that the CITY will, in turn, report each violation as required to assure notification to the Federal awarding agency and the appropriate Environmental Protection Agency Regional Office, and (3) CONTRACTOR agrees to include these requirements in each subcontract exceeding $150,000. (ii) Pursuant to the Federal Water Pollution Control Act, (1) CONTRACTOR agrees to comply with all applicable standards, orders or regulations issued pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251 et seq., (2) CONTRACTOR agrees to report each violation to the CITY and understands and agrees that the CITY will, in turn, report each violation as required to assure notification to the Federal awarding agency and the appropriate Environmental Protection Agency Regional Office, and (3) CONTRACTOR agrees to include these requirements in each subcontract exceeding $150,000. (h) Appendix II to Part 200 (H) — Debarment and Suspension: (i) This Construction Contract is a covered transaction for purposes oft C.F.R. pt. 180 and 2 C.F.R. pt. 3000. As such CONTRACTOR is required to verify that none of the CONTRACTOR, its principals (defined at 2 C.F.R. § 180.995), or its affiliates (defined at 2 C.F.R. § 180.905) are excluded (defined at 2 C.F.R. § 180,940) or disqualified (defined at 2 C.F.R. § 180.935). (ii) CONTRACTOR must comply with 2 C.F.R. pt. 180, subpart C and 2 C.F.R. pt. 3000, subpart C and must include a requirement to comply with these regulations in any lower tier covered transaction it enters into. (iii) This certification is a material representation of fact relied upon by CITY. If it is later determined that CONTRACTOR did not comply with 2 C.F.R. pt. 180, subpart C and 2 C.F.R. pt. 3000, subpart C, in addition to remedies available to the CITY, the Federal Government may pursue available remedies, including but not limited to suspension and/or debarment. (iv) CONTRACTOR warrants that it is not debarred, suspended, or otherwise excluded from or ineligible for participation in any federal programs. CONTRACTOR also agrees to verify that all City Council 11 — 16 4/4/2023 subcontractors performing work under this Construction Contract are not debarred, disqualified, or otherwise prohibited from participation in accordance with the requirements above. CONTRACTOR further agrees to notify the CITY in writing immediately if CONTRACTOR or its subcontractors are not in compliance during the term of this Construction Contract. (i) Appendix II to Part 200 (I) — Byrd Anti -Lobbying Act: CONTRACTORS that apply or bid for an award exceeding $100,000 must file the required certification. Each tier certifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 1352. Each tier must also disclose any lobbying with non -Federal funds that takes place in connection with obtaining any Federal award. Such disclosures are forwarded from tier to tier up to the recipient who in turn will forward the certification(s) to the awarding agency. CONTRACTOR must sign and submit to the CITY the certification regarding lobbying attached hereto as Attachment "1" and incorporated herein by this reference. 0) Appendix lI to Part 200 M — &200.323 Procurement of Recovered Materials: (i) CONTRACTOR shall comply with section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act. The requirements of Section 6002 include procuring only items designated in guidelines of the Environmental Protection Agency (EPA) at 40 C.F.R. part 247 that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition, where the purchase price of the item exceeds $10,000 or the value of the quantity acquired during the preceding fiscal year exceeded $10,000; procuring solid waste management services in a manner that maximizes energy and resource recovery; and establishing an affirmative procurement. (ii) In the performance of this Construction Contract, the CONTRACTOR shall make maximum use of products containing recovered materials that are EPA -designated items unless the product cannot be acquired: competitively within a timeframe providing for compliance with the contract performance schedule; meeting contract performance requirements; or at a reasonable price. (iii) Information about this requirement, along with the list of EPA -designate items, is available at EPA's Comprehensive Procurement Guidelines web site, https: //www. epa. gov/smm/comprehensive-procurement-guideline-cpg-program. (iv) The CONTRACTOR also agrees to comply with all other applicable requirements of Section 6002 of the Solid Waste Disposal Act." (k) Appendix II to Part 200 (K) — &200.216 Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment: (i) CONTRACTOR shall not contract (or extend or renew a contract) to procure or obtain equipment, services, or systems that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system funded under this Construction Contract. As described in Public Law 115-232, section 889, covered City Council 11 — 17 4/4/2023 telecommunications equipment is telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such entities). (1) For the purpose of public safety, security of government facilities, physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities). (2) Telecommunications or video surveillance services provided by such entities or using such equipment. (3) Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of the National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the government of a covered foreign country. (ii) See Public Law 115-232, section 889 for additional information. (1) Avvendix 1I to Part 200 (L) — &200.322 Domestic Preferences for Procurement: (i) CONTRACTOR shall, to the greatest extent practicable, purchase, acquire, or use goods, products, or materials produced in the United States (including but not limited to iron, aluminum, steel, cement, and other manufactured products). The requirements of this section must be included in all subcontracts. (ii) For purposes of this section: (1) "Produced in the United States" means, for iron and steel products, that all manufacturing processes, from the initial melting stage through the application of coatings, occurred in the United States. (2) "Manufactured products" means items and construction materials composed in whole or in part of nonferrous metals such as aluminum; plastics and polymer -based products such as polyvinyl chloride pipe; aggregates such as concrete; glass, including optical fiber; and lumber. 2. COMPLIANCE WITH U.S. DEPARTMENT OF THE TREASURY CORONAVIRUS LOCAL FISCAL RECOVERY FUND AWARD TERMS AND CONDITIONS (a) Maintenance of and Access to Records. CONTRACTOR shall maintain records and financial documents sufficient to evidence compliance with section 603(c) of the Act, Treasury's regulations implementing that section, and guidance issued by Treasury regarding the foregoing. CONTRACTOR agrees to provide the CITY, Treasury Office of Inspector General and the Government Accountability Office, or any of their authorized representatives access to any books, documents, papers, and records (electronic an otherwise) of the CONTRACTOR which are directly pertinent to this Construction Contract for the purposes of conducting audits or other investigations. Records shall be maintained by CONTRACTOR for a period of five (5) years after completion of the project. City Council 11 — 18 4/4/2023 (b) Compliance with Federal Regulations. CONTRACTOR agrees to comply with the requirements of section 603 of the Act, regulations adopted by Treasury pursuant to section 603(f) of the Act, and guidance issued by Treasury regarding the foregoing. CONTRACTOR also agrees to comply with all other applicable federal statutes, regulations, and executive orders, including, without limitation, the following: (i) Universal Identifier and System for Award Management (SAM), 2 C.F.R. Part 25, pursuant to which the award term set forth in Appendix A to 2 C.F.R. Part 25 is hereby incorporated by reference. (ii) Reporting Subaward and Executive Compensation Information, 2 C.F.R. Part 170, pursuant to which the award term set forth in Appendix A to 2 C.F.R. Part 170 is hereby incorporated by reference. (iii) OMB Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement), 2 C.F.R. Part 180, including the requirement to include a term or condition in all lower tier covered transactions (contracts and subcontracts described in 2 C.F.R. Part 180, subpart B) that the award is subject to 2 C.F.R. Part 180 and Treasury's implementing regulation at 31 C.F.R. Part 19. (iv) Recipient Integrity and Performance Matters, pursuant to which the award term set forth in 2 C.F.R. Part 200, Appendix XII to Part 200 is hereby incorporated by reference. (v) Governmentwide Requirements for Drug -Free Workplace, 31 C.F.R. Part 20. (vi) New Restrictions on Lobbying, 31 C.F.R. Part 21. (vii) Uniform Relocation Assistance and Real Property Acquisitions Act of 1970 (42 U.S.C. §§ 4601-4655) and implementing regulations. (c) Compliance with Federal Statutes and Regulations Prohibiting Discrimination. CONTRACTOR agrees to comply with statutes and regulations prohibiting discrimination applicable to the CSLFRF program including, without limitation, the following: (i) Title VI of the Civil Rights Act of 1964 (42 U.S.C. §§ 2000d et seq.) and Treasury's implementing regulations at 31 C.F.R. Part 22, which prohibit discrimination on the basis of race, color, or [rational origin under programs or activities receiving federal financial assistance. (ii) The Fair Housing Act, Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§ 3601 et seq.), which prohibits discrimination in housing on the basis of race, color, religion, national origin, sex, familial status, or disability. (iii) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794), which prohibits discrimination on the basis of disability under any program or activity receiving federal financial assistance. (iv) The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101 et seq.), and Treasury's implementing regulations at 31 C.F.R. Part 23, which prohibit discrimination on the basis of age in programs or activities receiving federal financial assistance. City Council 11 — 19 4/4/2023 (v) Title 11 of the Americans with Disabilities Act of 1990, as amended (42 U.S.C. §§ 12101 et seq.), which prohibits discrimination on the basis of disability under programs, activities, and services provided or made available by state and local governments or instrumentalities or agencies thereto. (d) False Statements. CONTRACTOR understands that making false statements or claims in connection with the CSLFRF program is a violation of federal law and may result in criminal, civil, or administrative sanctions, including fines, imprisonment, civil damages and penalties, debarment from participating in federal awards or contracts, and/or any other remedy available by law. (e) Protections for Whistleblowers. (i) In accordance with 41 U.S.C. § 4712, CONTRACTOR may not discharge, demote, or otherwise discriminate against an employee in reprisal for disclosing to any of the list of persons or entities provided below, information that the employee reasonably believes is evidence of gross mismanagement of a federal contract or grant, a gross waste of federal funds, an abuse of authority relating to a federal contract or grant, a substantial and specific danger to public health or safety, or a violation of law, rule, or regulation related to a federal contract (including the competition for or negotiation of a contract) or grant. (ii) The list of persons and entities referenced in the paragraph above includes the following: management; enforcement agency; (1) A member of Congress or a representative of a committee of Congress; (2) An Inspector General; (3) The Government Accountability Office; (4) A Treasury employee responsible for contract or grant oversight or (5) An authorized official of the Department of Justice or other law (6) A court or grand jury; or (7) A management official or other employee of CONTRACTOR, or a subcontractor who has the responsibility to investigate, discover, or address misconduct. (f) Increasing Seat Belt Use in the United States. Pursuant to Executive Order 13043, 62 FR 19217 (Apr. 18, 1997), CONTRACTOR is encouraged to adopt and enforce on-the-job seat belt policies and programs for their employees when operating company -owned, rented or personally owned vehicles, and encourage its subcontractors to do the same (g) Reducing Text Messaging While Driving. Pursuant to Executive Order 13513, 74 FR 51225 (Oct. 6, 2009), CONTRACTOR should encourage its employees and subcontractors to adopt and City Council 11 — 20 4/4/2023 enforce policies that ban text messaging while driving, and CONTRACTOR should establish workplace safety policies to decrease accidents caused by distracted drivers. (h) Assurances of Compliance with Civil Rights Requirements. The Civil Rights Restoration Act of 1987 provides that the provisions of this assurance apply to the Project, including, but not limited to, the following: (i) CONTRACTOR ensures its current and future compliance with Title VI of the Civil Rights Act of 1964, as amended, which prohibits exclusion from participation, denial of the benefits of, or subjection to discrimination under programs and activities receiving federal funds, of any person in the United States on the ground of race, color, or national origin (42 U.S.C. § 2000d et seq.), as implemented by the Department of the Treasury Title VI regulations at 31 CFR Part 22 and other pertinent executive orders such as Executive Order 13166; directives; circulars; policies; memoranda and/or guidance documents. (ii) CONTRACTOR acknowledges that Executive Order 13166, "Improving Access to Services for Persons with Limited English Proficiency (LEP)," seeks to improve access to federally assisted programs and activities for individuals who, because of national origin, are limited in their English proficiency. CONTRACTOR understands that the denial of access to persons to its programs, services and activities because of their limited proficiency in English is a form of national origin discrimination prohibited under Title VI of the Civil Rights Act of 1964. Accordingly, CONTRACTOR shall initiate reasonable steps, or comply with Treasury's directives, to ensure meaningful access to its programs, services and activities to LEP persons. CONTRACTOR understands and agrees that meaningful access may entail providing language assistance services, including oral interpretation and written translation where necessary to ensure effective communication in the Project. (iii) CONTRACTOR agrees to consider the need for language services for LEP persons during development of applicable budgets and when conducting programs, services and activities. As a resource, the Department of the Treasury has published its LEP guidance at 70 FR 6067. For more information on LEP, please visit http://www.lep.gov. (iv) CONTRACTOR acknowledges and agrees that compliance with this assurance constitutes a condition of continued receipt of federal financial assistance and is binding upon CONTRACTOR and CONTRACTOR's successors, transferees and assignees for the period in which such assistance is provided. (v) CONTRACTOR agrees to incorporate the following language in every contract or agreement subject to Title VI and its regulations between the CONTRACTOR and the CONTRACTOR's subcontractors, successors, transferees and assignees: The subcontractor, successor, transferee and assignee shall comply with Title VI of the Civil Rights Act of 1964, which prohibits recipients offederal financial assistance from excluding from a program or activity, denying benefits of, or otherwise discriminating against a person on the basis of race, color, or national origin (42 U.S.C. § 2000d et seq.), as implemented by Department of the Treasury Title VI regulations, 31 CFR Part 22, which are herein incorporated by reference and made a part of this contract (or agreement). Title VI also extends protection to persons with "Limited English proficiency" in any program or activity receiving federal financial assistance, 42 U.S.C. § 2000d et seq., as City Council 11 — 21 4/4/2023 implemented by Department of the Treasury Title VI regulations, 31 CFR Part 22, which are herein incorporated by reference and made a part of this contract (or agreement). (vi) CONTRACTOR understands and agrees that if any real property or structure is provided or improved with the aid of federal financial assistance by the Department of the Treasury, this assurance obligates the CONTRACTOR, or in the case of a subsequent transfer, the transferee, for the period during which the real property or structure is used for a purpose for which the federal financial assistance is extended or for another purpose involving the provision of similar services or benefits. If any personal property is provided, this assurance obligates the CONTRACTOR for the period during which it retains ownership or possession of the property. (vii) CONTRACTOR shall cooperate in any enforcement or compliance review activities by the Department of the Treasury of the aforementioned obligations. Enforcement may include investigation, arbitration, mediation, litigation, and monitoring of any settlement agreements that may result from these actions. CONTRACTOR shall comply with information requests, on -site compliance reviews, and reporting requirements. (viii) CONTRACTOR shall maintain a complaint log and inform the Department of the Treasury of any accusations of discrimination on the grounds of race, color, or national origin, and limited English proficiency covered by Title VI of the Civil Rights Act of 1964 and implementing regulations and provide, upon request, a list of all such reviews or proceedings based on the complaint, pending or completed, including outcome. CONTRACTOR must also inform the Department of the Treasury if CONTRACTOR has received no complaints under Title VI. (ix) CONTRACTOR must provide documentation of an administrative agency's or court's findings of non-compliance of Title VI and efforts to address the non-compliance, including any voluntary compliance or other agreements between the CONTRACTOR and the administrative agency that made the finding. If the CONTRACTOR settles a case or matter alleging such discrimination, CONTRACTOR must provide documentation of the settlement. If CONTRACTOR has not been the subject of any court or administrative agency finding of discrimination, please so state. If CONTRACTOR makes sub -awards to other agencies or other entities, CONTRACTOR is responsible for assuring that sub -recipients also comply with Title VI and all of the applicable authorities covered in this assurance. City Council 11 — 22 4/4/2023 EXHIBIT 4 COST ANALYSIS CONSTRUCTION OF PROJECT NO. 22-1377: Salgado Community Center Improvements Construction Contract $ 1,240,500.00 Contract Administration, Inspection and Testing $ 186,075.00 Contingencies $ 124,050.00 TOTAL ESTIMATED CONSTRUCTION COSTS $ 1,550,625.00 City Council 11 — 23 4/4/2023 (LU � \ a E \( /� �R \ | 3 § \ �} uj Ek w!! a5 02* e F- LU 2)® oEe o®\ CO CL\ƒ IL } / 2 [ § : [ { Lu ) , )/§ )\} §\$ \ R } \ » s Public Works Agency www.santa-ana.org/public-works Item # 12 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report April 4, 2023 TOPIC: New Prefabricated Restroom Installation at Four City Parks AGENDA TITLE Award an Construction Contract to MMC, Inc. in an Amount Not to Exceed $2,870,000 for the Restrooms at Riverview Park, Heritage Park, Windsor Park, and Angels Park Project with an Estimated Project Delivery Cost of $3,307,000 (Project Nos. 22-1348, 22-1349, 22-1350, & 22-1412) (Non -General Fund) (Revive Santa Ana Program) RECOMMENDED ACTION 1. Authorize the City Manager to execute a construction contract with MMC, Inc. to provide Design -Build services for demolition of existing restroom buildings, installation of new, pre -fabricated buildings, and associated site and utility work in the amount of $2,870,000, with a contingency of $287,000, for a three-year perioc from April 5, 2023 to April 4, 2026, with an option for two, one-year extensions, subject to non -substantive changes approved by the City Manager and City Attorney. 2. Approve an amendment to the Fiscal Year 2022-23 Capital Improvement Program for the Riverview Park, Heritage Park, Windsor Park, and Angels Park Restrooms Project to be funded from American Rescue Plan Act (ARPA) funds. 3. Determine the recommended actions are exempt from further review in accordance with the California Environmental Quality Act as Categorical Exemption Environmental Review No. ER-2023-28 was filed for this project. DISCUSSION On August 2, 2022, the City Council approved the Revive Santa Ana Spending Plan that reflected the entire American Rescue Plan Act (ARPA) allocation of local fiscal recovery funds. Four City park restrooms were allocated ARPA funding. These existing restrooms are a target for vandalism and require major efforts to maintain due to the old age and existing conditions. This project scope includes the following: demolishing the existing restroom buildings, installing new pre -fabricated restroom buildings, and site improvements to provide an accessible path of travel to these facilities. All four restroom replacement projects are located in ARPA Qualified Census Tracts (QCTs) as allowed by the ARPA rules. City Council 12 — 1 4/4/2023 Award Agreement for Riverview Park, Heritage Park, Windsor Park, and Angels Park Restrooms April 4, 2023 Page 2 On December 21, 2022, the Public Works Agency released Request for Proposals (RFP) No. 22-147A, to provide design -build services for "New Pre -Fabricated Restroom installation at Four City Parks." The RFP was advertised on the City's online procurement management and publication system with proposals due on February 8, 2023. One proposal was received and evaluated by a selection committee based on criteria outlined in the RFP. Staff recommends awarding an agreement to MMC, Inc. (Exhibit 1) based upon the design -build services described in the scope of work and selection criteria outlined in RFP 22-147A. Their proposal demonstrated the firm has the necessary capacity and expertise to complete the required services. The firm's rates are reasonable and within industry standard and the team qualifications are appropriate for this project. The proposal was determined to provide the best value for the City. As indicated in the Cost Analysis (Exhibit 2), the estimated total construction delivery cost of the project is $3,307,000. Project Item Total Construction Contract $2,870,000 Construction Administration, Inspection, Testing $150,000 Contingencies $287,000 TOTAL CONSTRUCTION DELIVERY COST $3,307,000 ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemption Environmental Review No. ER- 2023-28 was filed for this project. FISCAL IMPACT Funds are available in the current Fiscal Year 2022-23 budget, and funding for subsequent fiscal years will be included in the proposed budget for City Council consideration. Approval of the amendment to the FY 2022-23 Capital Improvement Program (Exhibit 3) will officially incorporate these projects into the program. Any remaining balances not expended at the end of the fiscal year will be presented to City Council for approval of carryovers to FY 23-24. The following table summarizes the funds budgeted for expenditure to deliver construction of these projects: City Council 12 — 2 4/4/2023 Award Agreement for Riverview Park, Heritage Park, Windsor Park, and Angels Park Restrooms April 4, 2023 Page 3 Accounting Accounting Unit, Fiscal Year Unit - Account Fund Account No. Amount No. Description Description Project No. FY 2022-23 13-66200 American Rescue Plan ARPA— PWA, Buildings $853,327 (22-13 22-1348) Act (ARPA) &Building Improvements FY 2022-23 13-66200 American Rescue Plan ARPA— PWA, Buildings $703,327 22-13 (22-13 49) Act (ARPA) &Building Improvements FY 2022-23 13-66200 American Rescue Plan ARPA— PWA, Buildings $853,328 (22-13 50) 22-13 Act (ARPA) &Building Improvements FY 2022-23 1412) 6200 American Rescue Plan ARPA— PWA, Buildings $897 018 (22 22-112) Act (ARPA) &Building Improvements Total $3,307,000 EXHIBIT(S) 1. Construction Contract with MMC, Inc. 2. Cost Analysis 3. FY 2022-23 CIP Sheet Submitted By: Nabil Saba, P.E., Executive Director— Public Works Agency Approved By: Kristine Ridge, City Manager City Council 12 — 3 4/4/2023 EXHIBIT 1 CITY OF SANTA ANA CONSTRUCTION CONTRACT PROJECT NOS. 22-1348, 22-1349, 22-1350, & 22-1412 RESTROOMS AT RIVERVIEW PARK, HERITAGE PARK, WINDSOR PARK, AND ANGELS PARK PROJECT This CONSTRUCTION CONTRACT is made and entered into this 4'h day of April, 2023 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 MMC, Inc. (hereinafter "CONTRACTOR"). WITNESSETH: The CITY and the CONTRACTOR, for the consideration hereinafter named, mutually agree as follows: 1. 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 Restrooms at Riverview Park, Heritage Park, Windsor Park, and Angels Park 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 Three Million One Hundred Fifty -Seven Thousand Dollars and No Cents ($3,157,000), as set forth and identified in the BID PROPOSAL, which is attached hereto and incorporated herein as Exhibit "A." City Council 12 — 4 4/4/2023 Page 1 of 4 4. 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. 5. 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 `B") including commencing construction within the timeframe therein specified after issuance of a Notice to Proceed. 6. 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. 7. 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: htip://www.santa-ana.org/pwa/documents/CWA.pdf 8. 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 fumished (Payment Bond). This Contract shall not become effective until such bonds are supplied to and approved by the CITY. 9. 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. 10. CONTRACTOR shall, after award of this Contract, famish Certificates of Liability Insurance and Worker's Compensation Insurance as outlined in the General Provisions, to be approved by the CITY. 11. INDEMNIFICATION. To the fullest extent allowed by law, CONTRACTOR and its Subcontractors hereby agree to defend, indemnify, and hold harmless CITY, its City Council, boards and commissions, officers, agents, employees, representatives and volunteers (hereinafter coltectivety referred to as "Indemnitees"), through City Council 12 — 5 4/4/2023 Page 2 of 4 legal counsel acceptable to CITY, from and against any liability, claims, actions, costs, damages or losses, including reasonable costs and attorney's fees, for injury, including death to any person or damage to any property, arising directly or indirectly from, or in any manner relating to, any of the following: (i) Performance or nonperformance of the Work of Improvement by CONTRACTOR or its Subcontractors of any lower tier; (ii) Performance or nonperformance by CONTRACTOR or its Subcontractors of any lower tier, of any of the obligations under the Contract Documents; (iii) The construction activities of CONTRACTOR or its Subcontractors of any lower tier, either on the project site or on other properties; (iv) The payment or nonpayment by CONTRACTOR of any of its Subcontractors of any lower tier, for Work of Improvement performed on or off the project site; and (v) Any personal injury, property damage or economic loss to third persons related to and arising from the performance or nonperformance by CONTRACTOR or its Subcontractors of any lower tier, of the Work of Improvement. (vi) The indemnity obligations of Subcontractors provided by this Section shall be included in all subcontract documents issued by CONTRACTOR. 11. FUNDING -RELATED PROVISIONS Funds from the Coronavirus State Fiscal Recovery Fund and/or the Coronavirus Local Fiscal Recovery Fund, together known as the Coronavirus State and Local Fiscal Recovery Funds ("CSLFRF") program, will be used to fund all or a portion of this Agreement. As applicable, Contractor shall comply with all federal requirements including, but not limited to, the following, all of which are expressly incorporated herein by reference: a. Sections 602 and 603 of the Social Security Act as added by Section 9901 of the American Rescue Plan Act of 2021 (the "Act"); b. U.S. Department of the Treasury ("Treasury") Final Rule for the Act, available at https://www.govinfO.gov/contentlpkg/FR-2022-01-27/pdf/2022-00292.pdf, C. Treasury Compliance and Reporting Guidance for the Act, available at https://home.treasury.gov/system/files/136/SLFRF-Compliance-and-Reporting-Guidance.pdf; d. 2 C.F.R. Part 200 — Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, other than such provisions as the U.S. Department of the Treasury may determine are inapplicable to the CSLFRF program and subject to such exceptions as may be otherwise provided by the U.S. Department of the Treasury; e. Treasury Coronavirus Local Fiscal Recovery Fund Award Terms and Conditions; and f. Federal contract provisions attached hereto as Exhibit "C" and incorporated herein by reference. City Council 12 — 6 4/4/2023 Page 3 of 4 Subcontracts, if any, shall contain a provision making them subject to all of the provisions stipulated in this Agreement. With respect to any conflict between such federal requirements and the terms of this Agreement and/or the provisions of state law and except as otherwise required under federal law or regulation, the more stringent requirement shall control. IN WITNESS WHEREOF, the parties hereto have executed this Construction Contract on the day and year first above written. ATTEST: JENNIFER L. HALL City Clerk APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney M. JOSE MONTOYA Assistant City Attorney Gi�KaL�l�l��n1.73_aLi)3J�•7 iltl7:�lA NABIL SABA, PE Executive Director Public Works Agency CITY OF SANTA ANA KRISTINE RIDGE City Manager CONTRACTOR: MMC Inc. h/u/w NAME: ehta TITLE: P si nt/Owner City Council 12 — 7 "A1'2' t3 EXHIBIT A City Council 12 — 8 4/4/2023 CITY OF SANTA ANA PROPOSAL RFP 22-127A New Pre -Fabricated Restroom Installation at 4 City Parks BID PROPOSAL TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: _MMC 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: Item Description Qty Unit Unit Price Amount 1 Design Engineering (Riverview LS $ 15,000 $ 15,000 Park) 2 Design Engineering (Heritage Park) LS S 15,000 $ 15,000 3 Design Engineering (Windsor Park) LS $ 15,000 $ 15,000 4 Design Engineering (Angels LS $ 15,000 S 15,000 Community Park) 5 Building Procurements Installation LS $ 540,000 $ 540,000 (Riverview Park) 6 Building Procurements Installation LS $ 540,000 $ 540,000 (Heritage Park) 7 Building Procurements Installation LS $ 540,000 $ 540,000 (Windsor Park) 8 Building Procurements Installation LS $ 250,000 $ 250,000 (Angels Community Park) 9 Site work Concrete (Riverview SF $ 100,000 $ 100,000 Park) 10 Site work AC (Heritage Park) SF $ 100,000 $100,000 11 Site work Concrete (Windsor Park) SF $ 100,000 $ _1 00,000 12 Site work Concrete (Angels SF S 100,000 $100,000 Community Park) 13 Site work -Landscape and Irrigation Ls $ 15,000 $ 15,000 (Riverview Park) 14 Site work- Landscape and Irrigation LS $ 15,000 $ 15,000 (Heritage Park) City Council P-1 ofP-212 — 9 4/4/2023 CITY OF SANTA ANA PROPOSAL RFP 22-127A New Pre -Fabricated Restroom Installation at 4 City Parks Item Description Qty Unit Unit Price Amount 15 Site work -Landscape and Irrigation (Windsor Park) LS $15,000 $15,000 16 Site work- Landscape and Irrigation (Angels Community Park) LS $ 15,000 $15,000 17 Utilities — water (Riverview Park) LF $ 30,000 $30,000 18 Utilities - water(Heritage Park) LF $30,000 $30,000 19 Utilities — water(Windsor Park) LF $ 30,000 $30,000 20 Utilities — water(Angels Community Park) LF $30,000 $30,000 21 Utilities — sewer (Riverview Park) LF $ 50,000 $50,000 22 Utilities — sewer (Heritage Park) LF $ 50,000 $50,000 23 Utilities — sewer(Windsor Park) LF $ 50,000 $50,000 24 Utilities — sewer (Angels Community Park) LF $ 50,000 $50,000 25 Utilities — electricity(Riverview Park) LS $40,000 $40,000 26 Utilities —electricity (Heritage Park) LS $40,000 $40,000 27 Utilities — electricity (Windsor Park) LS $ 40,000 $ 40,000 28 Utilities — electricity (Angels Community Park) LS $ 40,000 $ 40,000 TOTAL BASE BID $ 2,870,000 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-altemate 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 City Council Y-1 of F-242 — 10 4/4/2023 EXHIBIT B City Council 12 —11 4/4/2023 CITY OF SANTA ANA PROPOSAL RFP 22-127A New Pre -Fabricated Restroom Installation at 4 City Parks 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. -j This bid item is considered a Specialty Item per Section 3-2 of the Standard Specifications. 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 number (120) 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 $1,666 per calendar day. Name of Firm Signature of BIDDER Title (If an individual, so state. If a firth 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.) City Council 12 — 12 4/4/2023 P-3 of P-22 EXHIBIT C City Council 12 — 13 4/4/2023 EXHIBIT C FEDERAL CONTRACT PROVISIONS During the performance of this Agreement, Consultant shall comply with all applicable federal laws and regulations including, but not limited to, the federal contract provisions in this Exhibit C. 1. REQUIRED CONTRACT PROVISIONS IN ACCORDANCE WITH APPENDIX 11 TO PART 200 — CONTRACT PROVISIONS FOR NON-FEDERAL ENTITY CONTRACTS UNDER FEDERAL AWARDS (2 C.F.R. § 200.327) (a) Appendix 11 to Part 200 (A): Appendix 11 to Part 200 (B): Remedies for Breach: Termination for Cause/Convenience. The Contract Documents include remedies for breach and termination for cause and convenience. (b) Appendix 11 to Part 200 (C) — Equal Employment Opportunity: If this Agreement meets the definition of a "federal assisted construction contract" in 41 CER § 60-1.3, Consultant agrees as follows during the performance of this Agreement: (i) The Consultant will not discriminate against any employee or applicant for employment because of race, color, religion, sex, sexual orientation, gender identity, or national origin. The Consultant will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, religion, sex, sexual orientation, gender identity, 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. (ii) The Consultant will, 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, sexual orientation, gender identity, or national origin. (iii) The Consultant will not discharge or in any other manner discriminate against any employee or applicant for employment because such employee or applicant has inquired about, discussed, or disclosed the compensation of the employee or applicant or another employee or applicant. This provision shall not apply to instances in which an employee who has access to the compensation information of other employees or applicants as a part of such employee's essential job functions discloses the compensation of such other employees or applicants to individuals who do not otherwise have access to such information, unless such disclosure is in response to a formal complaint or charge, in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or is consistent with the Consultant's legal duty to furnish information. (iv) The Consultant will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Consultant's commitments underthis section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. City Council 12 — 14 4/4/2023 (v) The Consultant will 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. (vi) The Consultant will 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 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. (vii) in the event of the Consultant's noncompliance with the nondiscrimination clauses of this Agreement or with any of the said rules, regulations, or orders, this Agreement 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 Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law. (viii) The Consultant will include the portion of the sentence immediately preceding paragraph (i) and the provisions of paragraphs (i) through (vii) 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 subcontractor or vendor. The Consultant will take such action with respect to any subcontract or purchase order as the administering agency may direct as a means of enforcing such provisions, including sanctions for noncompliance: Provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the Consultant may request the United States to enter into such litigation to protect the interests of the United States. The City further agrees that it will be bound by the above equal opportunity clause with respect to its own employment practices when it participates in federally assisted construction work: Provided, That if the City so participating is a State or local government, the above equal opportunity clause is not applicable to any agency, instrumentality or subdivision of such government which does not participate in work on or under the Agreement. The City agrees that it will assist and cooperate actively with the administering agency and the Secretary of Labor in obtaining the compliance of the Consultant and subcontractors with the equal opportunity clause and the rules, regulations, and relevant orders of the Secretary of Labor, that it will furnish the administering agency and the Secretary of Labor such information as they may require for the supervision of such compliance, and that it will otherwise assist the administering agency in the discharge of the agency's primary responsibility for securing compliance. The City further agrees that it will refrain from entering into any contract or contract modification subject to Executive Order 11246 of September 24, 1965, with a contractor debarred from, or who has not demonstrated eligibility for, Government contracts and federally assisted construction con ta t sCp p o he xecu ive r er an wi .lc- Lylgut such sanctions an * for violation of the equal opportunity clause as may be imposed upon contractors and subcontractors by the administering agency or the Secretary of Labor pursuant to Part 11, Subpart D of the Executive Order. In addition, the City agrees that if it fails or refuses to comply with these undertakings, the administering agency may take any or all of the following actions: cancel, terminate, or suspend in whole or in part the grant (contract, loan, insurance, guarantee) for this project; refrain from extending any further assistance to the applicant under the program with respect to which the failure or refund occurred until satisfactory assurance of future compliance has been received from such applicant; and refer the case to the Department of Justice for appropriate legal proceedings. (c) Appendix 11 to Part 200 (D) — Davis -Bacon Act: Not applicable to this Agreement since it is funded by CSLFRF. (d) Appendix 11 to Part 200 (D) — Copeland "Antti-Kickback" Act: Not applicable to this Agreement since it is funded by CSLFRF. (e) Appendix IT to Part 200 (E) — Contract Work Hours and Safety Standards Act: (i) Overtime Requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek. (ii) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in paragraph (ii) of this section the Consultant and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph (ii) of this section, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph (ii) of this section. (iii) Withholding for unpaid wages and liquidated damages. The City shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the Consultant or subcontractor under any such contract or any other Federal contract with the Consultant, or any other federally -assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the Consultant, such suns as may be determined to be necessary to satisfy any liabilities of Consultant or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (iii) of this section. (iv) Subcontracts. The Consultant or subcontractor shall insert in any subcontracts the clauses set forth in paragraph (ii) through (v) of this Section and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The Consultant City Council 12 — 16 4/4/2023 shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs (ii) through (v) of this Section. (f) Appendix 11 to Part 200 (F) — Rights to Inventions Made Under a Contract or Agreement: If the Federal award meets the definition of "funding agreement" under 37 CFR § 401.2 (a) and the Consultant wishes to enter into a contract with a small business firm or nonprofit organization regarding the substitution of parties, assignment or performance of experimental, developmental, or research work under that "funding agreement," the Consultant must comply with the requirements of 37 CFR Part 401, "Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements," and any implementing regulations issued by the awarding agency.. (g) Appendix 11 to Part 200 (G) — Clean Air Act and Federal Water Pollution Control Act: (i) Pursuant to the Clean Air Act, (1) Consultant agrees to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act, as amended, 42 U.S.C. § 7401 et seq., (2) Consultant agrees to report each violation to the City and understands and agrees that the City will, in turn, report each violation as required to assure notification to the Federal awarding agency and the appropriate Environmental Protection Agency Regional Office, and (3) Consultant agrees to include these requirements in each subcontract exceeding $150,000. (ii) Pursuant to the Federal Water Pollution Control Act, (1) Consultant agrees to comply with all applicable standards, orders or regulations issued pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251 et seq., (2) Consultant agrees to report each violation to the City and understands and agrees that the City will, in turn, report each violation as required to assure notification to the Federal awarding agency and the appropriate Environmental Protection Agency Regional Office, and (3) Consultant agrees to include these requirements in each subcontract exceeding $150,000. (b) Appendix 11 to Part 200 (H) — Debarment and Suspension: (i) This Agreement is a covered transaction for purposes of 2 C.F.R. pt. 180 and 2 C.F.R. pt. 3000. As such Consultant is required to verify that none of the Consultant, its principals (defined at 2 C.F.R. § 180.995), or its affiliates (defined at 2 C.F.R. § 180.905) are excluded (defined at 2 C.F.R. § 180.940) or disqualified (defined at 2 C.F.R. § 180.935). (ii) Consultant must comply with 2 C.F.R. pt. 180, subpart C and 2 C.F.R. pt. 3000, subpart C and must include a requirement to comply with these regulations in any lower tier covered transaction it enters into. (iii) This certification is a material representation of fact relied upon by City. If it is later determined that Consultant did not comply with 2 C.F.R. pt. 180, subpart C and 2 C.F.R. pt. 3000, subpart C, in addition to remedies available to the City, the Federal Government may pursue available remedies, including but not limited to suspension and/or debarment. (iv) Consultant warrants that it is not debarred, suspended, or otherwise excluded from or ineligible for participation in any federal programs. Consultant also agrees to verify that all subcontractors performing work under this Agreement are not debarred, disqualified, or o t�ftrA&6Lyftehibited from participation in accorda1jq_u-4# the requirements abov44ft2jtant further agrees to notify the City in writing immediately if Consultant or its subcontractors are not in compliance during the term of this Agreement. (i) Appendix II to Part 200 (I) — Byrd Anti-Lobb3ing Act: Contractors that apply or bid for an award exceeding $100,000 must file the required certification. Each tier certifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 1352. Each tier must also disclose any lobbying with non -Federal funds that takes place in connection with obtaining any Federal award. Such disclosures are forwarded from tier to tier up to the recipient who in turn will forward the certification(s) to the awarding agency. (j) Appendix 11 to Part 200 (J) — §200.323 Procurement of Recovered Materials: 0) Consultant shall comply with section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act. The requirements of Section 6002 include procuring only items designated in guidelines of the Environmental Protection Agency (EPA) at 40 C.F.R. part 247 that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition, where the purchase price of the item exceeds $10,000 or the value of the quantity acquired during the preceding fiscal year exceeded $10,000; procuring solid waste management services in a manner that maximizes energy and resource recovery; and establishing an affirmative procurement. (i i) To the performance of this Agreement, the Consultant shall make maximum use of products containing recovered materials that are EPA -designated items unless the product cannot be acquired: competitively within a timeframe providing for compliance with the contract performance schedule; meeting contract performance requirements; or at a reasonable price. (iii) Information about this requirement, along with the list of EPA -designate items, is available at EPA's Comprehensive Procurement Guidelines web site, https://www. epa. gov/smm/comprehensive-procurement-guideline-cpg-program. (iv) The Consultant also agrees to comply with all other applicable requirements of Section 6002 of the Solid Waste Disposal Act." (k) Appendix 11 to Part 200 (K) — §200.216 Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment: (i) Consultant shall not contract (or extend or renew a contract) to procure or obtain equipment, services, or systems that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system funded under this Agreement. As described in Public Law, 115-232, section 889, covered telecommunications equipment is telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such entities). (1) For the purpose of public safety, security of government facilities, physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or txvidb&Mv or attiliate ot such entities). 12 — 18 4/4/2023 (2) Telecommunications or video surveillance services provided by such entities or using such equipment. (3) Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of the National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the government of a covered foreign country. (ii) See Public Law 115-232, section 889 for additional information. (1) Appendix 11 to Part 200 (L) — §200.322 Domestic Preferences for Procurement: (i) Consultant shall, to the greatest extent practicable, purchase, acquire, or use goods, products, or materials produced in the United States (including but not limited to iron, aluminum, steel, cement, and other manufactured products). The requirements of this section must be included in all subcontracts. (i i) For purposes of this section: (1) "Produced in the United States" means, for iron and steel products, that all manufacturing processes, from the initial melting stage through the application of coatings, occurred in the United States. (2) "Manufactured products" means items and construction materials composed in whole or in part of nonferrous metals such as aluminum; plastics and polymer -based products such as polyvinyl chloride pipe; aggregates such as concrete; glass, including optical fiber; and lumber. 2. CONTRACTING WITH SMALL AND MINORITY FIRMS, WOMEN'S BUSINESS ENTERPRISE AND LABOR SURPLUS AREA FIRMS (2 C.F.R. § 200.321) (a) Consultant shall be subject to 2 C.F.R. § 200.321 and will take affirmative steps to assure that minority firms, women's business enterprises, and labor surplus area firms are used when possible and will not be discriminated against on the grounds of race, color, religious creed, sex, or national origin in consideration for an award. (b) Affirmative steps shall include: (i) Placing qualified small and minority businesses and women's business enterprises on solicitation lists; (d) Assuring that small and minority businesses, and women's business enterprises are solicited whenever they are potential sources; (iii) Dividing total requirements, when economically feasible, into smaller tasks or quantities to permit maximum participation by small and minority business, and women's business enterprises; (iv) Establishing delivery schedules, where the requirement permits, which encourage participation by small and minority business_ and women's business enterprises and City Council 12 — 19 4/4/2023 (v) Using the services/assistance of the Small Business Administration (SBA), and the Minority Business Development Agency (MBDA) of the Department of Commerce. (c) Consultant shall submit evidence of compliance with the foregoing affirmative steps when requested by the City. 3. COMPLIANCE WITH U.S. DEPARTMENT OF THE TREASURY CORONAVIRUS LOCAL FISCAL RECOVERY FUND AWARD TERMS AND CONDITIONS (a) Maintenance of and Access to Records. Consultant shall maintain records and financial documents sufficient to evidence compliance with section 603(c) of the Act, Treasury's regulations implementing that section, and guidance issued by Treasury regarding the foregoing. Consultant agrees to provide the City, Treasury Office of Inspector General and the Government Accountability Office, or any of their authorized representatives access to any books, documents, papers, and records (electronic an otherwise) of the Consultant which are directly pertinent to this Agreement for the purposes of conducting audits or other investigations. Records shall be maintained by Consultant for a period of five (5) years after completion of the Project. (b) Compliance with Federal Regulations. Consultant agrees to comply with the requirements of section 603 of the Act, regulations adopted by Treasury pursuant to section 603(t) of the Act, and guidance issued by Treasury regarding the foregoing. Consultant also agrees to comply with all other applicable federal statutes, regulations, and executive orders, including, without limitation, the following: (i) Universal Identifier and System for Award Management (SAM), 2 C.F.R. Part 25, pursuant to which the award term set forth in Appendix A to 2 C.F.R. Part 25 is hereby incorporated by reference. (ii) Reporting Subaward and Executive Compensation Information, 2 C.F.R. Part 170, pursuant to which the award term set forth in Appendix A to 2 C.F.R. Part 170 is hereby incorporated by reference. (iii) OMB Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement), 2 C.F.R. Part 180, including the requirement to include a term or condition in all lower tier covered transactions (contracts and subcontracts described in 2 C.F.R. Part 180, subpart B) that the award is subject to 2 C.F.R. Part 180 and Treasury's implementing regulation at 31 C.F.R. Part 19. (iv) Recipient integrity and Performance Matters, pursuant to which the award term set forth in.' C.F.R. Part 200, Appendix X11 to Part 200 is hereby incorporated by reference. 20. (v) Governmentwide Requirements for Drug -Free Workplace, 31 C.F.R. Part (vi) New Restrictions on Lobbying, 31 C.F.R. Part 21. (vii) Uniform Relocation Assistance and Real Property Acquisitions Act of 1970 (42 U.S.C. §§ 4601-4655) and implementing regulations. City Council 12 — 20 4/4/2023 (c) Compliance with Federal Statutes and Regulations Prohibiting Discrimination. Consultant agrees to comply with statutes and regulations prohibiting discrimination applicable to the CSLFRF program including, without limitation, the following: (i) Title VI of the Civil Rights Act of 1964 (42 U.S.C. §§ 2000d et seq.) and Treasury's implementing regulations at 31 C.F.R. Part 22, which prohibit discrimination on the basis of race, color, or national origin under programs or activities receiving federal financial assistance. (ii) The Fair Housing Act, Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§ 3601 et seq.), which prohibits discrimination in housing on the basis of race, color, religion, national origin, sex, familial status, or disability. (iii) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794), which prohibits discrimination on the basis of disability under any program or activity receiving federal financial assistance. (iv) The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101 et seq.), and Treasury's implementing regulations at 31 C.F.R. Part 23, which prohibit discrimination on the basis of age in programs or activities receiving federal financial assistance. (v) Title TI of the Americans with Disabilities Act of 1990, as amended (42 U.S.C. §§ 12101 et seq.), which prohibits discrimination on the basis of disability under programs, activities, and services provided or made available by state and local governments or instrumentalities or agencies thereto. (d) False Statements. Consultant understands that making false statements or claims in connection with the CSLFRF program is a violation of federal law and may result in criminal, civil, or administrative sanctions, including fines, imprisonment, civil damages and penalties, debarment from participating in federal awards or contracts, and/or any other remedy available by law. (e) Protections for Whistleblowers. (i) In accordance with 41 U.S.C. § 4712, Consultant may not discharge, demote, or otherwise discriminate against an employee in reprisal for disclosing to any of the list of persons or entities provided below, information that the employee reasonably believes is evidence of gross mismanagement of a federal contract or grant, a gross waste of federal funds, an abuse of authority relating to a federal contract or grant, a substantial and specific danger to public health or safety, or a violation of law, rule, or regulation related to a federal contract (including the competition for or negotiation of a contract) or grant. the following: Congress; (ii) The list of persons and entities referenced in the paragraph above includes (1) A member of Congress or a representative of a committee of (2) An Inspector General; City Council 12 — 21 4/4/2023 management; enforcement agency; (4) A Treasury employee responsible for contract or grant oversight or (5) An authorized official of the Department of Justice or other law, (6) A court or grand jury; or (7) A management official or other employee of Consultant, or a subcontractor who has the responsibility to investigate, discover, or address misconduct. (f) Increasing Seat Belt Use in the United States. Pursuant to Executive Order 13043, 62 FR 19217 (Apr. 18, 1997), Consultant is encouraged to adopt and enforce on-the-job seat belt policies and programs for their employees when operating company -owned, rented or personally owned vehicles, and encourage its subcontractors to do the same (g) Reducing Text Messaging While Driving. Pursuant to Executive Order 13513, 74 FR 51225 (Oct. 6, 2009), Consultant should encourage its employees and subcontractors to adopt and enforce policies that ban text messaging while driving, and Consultant should establish workplace safety policies to decrease accidents caused by distracted drivers. (h) Assurances of Compliance with Civil Rights Requirements. The Civil Rights Restoration Act of 1987 provides that the provisions of this assurance apply to the Project, including, but not limited to, the following: (i) Consultant ensures its current and future compliance with Title VI of the Civil Rights Act of 1964, as amended, which prohibits exclusion from participation, denial of the benefits of, or subjection to discrimination under programs and activities receiving federal funds, of any person in the United States on the ground of race, color, or national origin (42 U.S.C. § 2000d et seq.), as implemented by the Department of the Treasury Title VI regulations at 31 CFR Part 22 and other pertinent executive orders such as Executive Order 13166; directives; circulars; policies; memoranda and/or guidance documents. (ii) Consultant acknowledges that Executive Order 13166, "Improving Access to Services for Persons with Limited English Proficiency (LEP)," seeks to improve access to federally assisted programs and activities for individuals who, because of national origin, are limited in their English proficiency. Consultant understands that the denial of access to persons to its programs, services and activities because of their limited proficiency in English is a form of national origin discrimination prohibited under Title VI of the Civil Rights Act of 1964. Accordingly, Consultant shall initiate reasonable steps, or comply with Treasury's directives, to ensure meaningful access to its programs, services and activities to LEP persons. Consultant understands and agrees that meaningful access may entail providing language assistance services, including oral interpretation and written translation where necessary to ensure effective communication in the Project. (iii) Consultant agrees to consider the need for language services for LEP persons during development of applicable budgets and when conducting programs, services and activities. As a resource, the Department of the Treasury has published its LEP guidance at 70 FR 6067. For more information on LEP, please visit http://www.lep.gov. City Council 12 — 22 4/4/2023 (iv) Consultant acknowledges and agrees that compliance with this assurance constitutes a condition of continued receipt of federal financial assistance and is binding upon Consultant and Consultant's successors, transferees and assignees for the period in which such assistance is provided. (v) Consultant agrees to incorporate the following language in every contract or agreement subject to Title VI and its regulations between the Consultant and the Consultant's subcontractors, successors, transferees and assignees: The subcontractor, successor, transferee and assignee shall comply with Title VI of the Civil Rights Act of'1964, which prohibits recipients offederal financial assistance from excluding from a program or activity, denying benefits of, or otherwise discriminating against a person on the basis of race, color, or national origin (42 U.S.C. § 2000d et seq.), as implemented by Department of the Treasury Title VI regulations, 31 CFR Part 22, which are herein incorporated by reference and made a part of this contract (or agreement). Title VI also extends protection to persons with `Limited English proficiency" in any program or activity receiving federal financial assistance, 42 U.S.C. § 2000d et seq., as implemented by Department of the Treasury Title VI regulations, 31 CFR Part 22, which are herein incorporated by reference and made a part of this contract (or agreement). (vi) Consultant understands and agrees that if any real property or structure is provided or improved with the aid of federal financial assistance by the Department of the Treasury, this assurance obligates the Consultant, or in the case of a subsequent transfer, the transferee, for the period during which the real property or structure is used for a purpose for which the federal financial assistance is extended or for another purpose involving the provision of similar services or benefits. If any personal property is provided, this assurance obligates the Consultant for the period during which it retains ownership or possession of the property. (vii) Consultant shall cooperate in any enforcement or compliance review activities by the Department of the Treasury of the aforementioned obligations. Enforcement may include investigation, arbitration, mediation, litigation, and monitoring of any settlement agreements that may result from these actions. Consultant shall comply with information requests, on -site compliance reviews, and reporting requirements. (viii) Consultant shall maintain a complaint log and inform the Department of the Treasury of any accusations of discrimination on the grounds of race, color, or national origin, and limited English proficiency covered by Title VI of the Civil Rights Act of 1964 and implementing regulations and provide, upon request, a list of all such reviews or proceedings based on the complaint, pending or completed, including outcome. Consultant must also inform the Department of the Treasury if Consultant has received no complaints under Title VI. (ix) Consultant must provide documentation of an administrative agency's or court's findings of non-compliance of Title VI and efforts to address the non-compliance, including any voluntary compliance or other agreements between the Consultant and the administrative agency that made the finding. If the Consultant settles a case or matter alleging such discrimination, Consultant must provide documentation of the settlement. If Consultant has not been the subject of any court or administrative agency finding of discrimination, please so state. City Council 12 — 23 4/4/2023 W If Consultant makes sub -awards to other agencies or other entities, Consultant is responsible for assuring that sub -recipients also comply with Title V1 and all of the applicable authorities covered in this assurance. City Council 12 — 24 4/4/2023 EXHIBIT 2 COST ANALYSIS CONSTRUCTION OF PROJECT NOS.: 22-1348, 22-1349, 22-1350, & 22-1412 Construction Contract $2,870,000.00 Contract Administration, Inspection and Testing $150,000.00 Contingencies $287,000.00 Total $3,307,000.00 City Council 12 — 25 4/4/2023 F W W Y UO N N () YW LL ) QO Z Qa QZ Z W y W LLO Oa ya F� UJ F a U C N O a Nw O W � � J o LU W F F 6 Ol Q F U i F ull N F W na=° W Q m n -aU- IL (LUQ- n n N N fp ID N N LL LL N N LL LL N N N N N N LL LL o o o 0 N r r N r n Q Q O O O Z F D O LL LL F= 0 O U W W 2 U a a a O a v) 0. 2 O a 0Z > m O ZL CO N O 1 U C 7 O CU Y Public Works Agency www.santa-ana.org/public-works Item # 13 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report April 4, 2023 TOPIC: Easement to Southern California Edison AGENDA TITLE Grant an Easement to Southern California Edison to Allow Underground Power to Serve Traffic Signal (Non -General Fund) RECOMMENDED ACTION Authorize the City Manager to execute an Easement Deed granting Southern California Edison the right to own, place, and maintain power conduits and conductors underground to serve APN 016-035-14. DISCUSSION In 2019, the City acquired a parcel of land located at 402 East Warner in conjunction with the Warner Avenue Improvements project from Main Street to Oak Street. Along the east side of the parcel exists a 17-foot wide Maple Street Bike Trail and Edison power pole and overhead power lines serving the residential lots fronting Maple Street and a traffic signal nearby (Exhibit 1). As part of the Warner Avenue project, Edison will need to modify the power pole adjacent to 402 East Warner to underground overhead facilities along Warner Avenue and provide service for proposed traffic signal at Warner and Maple intersection. Therefore, non- exclusive easement is needed for Edison to construct, use, maintain, operate, alter, add to, repair, replace, reconstruct, and inspect the underground electrical supply system in order to continue distributing electrical energy to the residents. FISCAL IMPACT There is no fiscal impact associated with this action. EXHIBIT(S) 1. Easement Deed Submitted By: Nabil Saba, P.E., Executive Director— Public Works Agency Approved By: Kristine Ridge, City Manager City Council 13 — 1 4/4/2023 RECORDING REQUESTED BY riSOUTHERN CALIFORNIA EXHIBIT 1 EDISON TIONAL WHEN RECORDED MAIL TO SOUTHERN CALIFORNIA EDISON COMPANY 2 INNOVATION WAY, 2nd FLOOR POMONA, CA 91768 Attn: Title and Real Estate Services SCE Doc. No. GRANT OF EASEMENT DOCUMENTARY TRANSFER TAX $ NONE Central OC TD1537026 VALUE AND CONSIDERATION LESS THAN $100,00) SCE C.pany HIM - ARN 016-035-14 VEGETTAATD 8 SLS/CCT 08/15/22 SIG. OF DECLARANT OR AGENT DETERMINING TAX FIRM NAME MANAGEMENT CITY OF SANTA ANA, a charter City and municipal corporation duly organized under the Constitution and laws of the State of California (hereinafter referred to as "Grantor"), hereby grants to SOUTHERN CALIFORNIA EDISON COMPANY, a corporation, its successors and assigns (hereinafter referred to as "Grantee', a non-exclusive easement and right of way to construct, use, maintain, operate, alter, add to, repair, replace, reconstruct, inspect and remove at any time and from time to time underground electrical supply systems and communication systems (hereinafter referred to as "systems"), consisting of wires, underground conduits, cables, vaults, manholes, handholes, and including above -ground enclosures, markers and concrete pads and other appurtenant fixtures and equipment necessary or useful for distributing electrical energy and for transmitting intelligence, data and/or coirummications (eg. through fiber optic cable), in, on, over, under, across and along that certain real property in the County of Orange, State of California, described as follows: SCE EASEMENT: A 7.00 FOOT WIDE STRIP OF LAND LYING WITHIN BLOCK'S" OF SOUTH SANTA ANA TRACT, AS PER MAP RECORDED IN BOOK 5, PAGE 43 OF MISCELLANEOUS MAPS, IN THE OFFICE OF THE COUNTY RECORDER OF SAID COUNTY, THE WESTERLY SIDELINE BEING CONTINGUOUS TO THE EAST LINE OF TRACT NO. 1575, AS PER MAP RECORDED IN BOOK 56, PAGES 36 AND 37 OF MISCELLANEOUS MAPS, IN THE OFFICE OF SAID COUNTY RECORDER, THE SOUTHERLY SIDELINE BEING PARALELL WITH AND DISTANT 5.00 FEET SOUTHERLY, MEASURED AT RIGHT ANGLES, FROM THE NORTHERLY LINE OF LOT 39 OF SAID TRACT NO. 1575 AND ITS EASTERLY PROLONGATION. EXCEPTING THEREFROM THAT PORTION INCLUDED WITHIN PUBLIC STREET. CONTAINING AN AREA OF APPROXIMATELY 336 SQUARE FEET. SEE EXHIBIT "A", SKETCH, ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF. This legal description was prepared by Spectrum Land Services pursuant to Sec. 8730(c) of the Business & Professions Code. Grantor agrees for himself, his heirs and assigns, not to erect, place or maintain, nor to permit the erection, placement or maintenance of any building, planter boxes, earth fill or other structures except walls and fences on the above described real property. The Grantee, and its contractors, agents and employees, shall have the right to trim or cut tree roots as may endanger or interfere with said systems and shall have free access to said systems and every part thereof, at all times, for the purpose of exercising the rights herein granted; provided, however, that in making any excavation on said property of the Grantor, the Grantee shall make the same in such a manner as will cause the least injury to the surface of the ground around such excavation, and shall replace the earth so removed by it and restore the surface of the ground to as near the same condition as it was prior to such excavation as is oracticable. City Council 13 — 2 4/4/2023 EXECUTED this _ day of , 20_ GRANTOR CITY OF SANTA ANA, a charter City and municipal corporation duly organized under the Constitution and laws of the State of California Signature Print Name Title A Notary Public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. State of California County of On before me, . a Notary Public, personally appeared , who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and official seal. Signature (Seal) 2 DSR802175224 City Council 13 — 3 4/4/2023Mts17026 EXECUTED this _ day of , 20_ GRANTEE SOUTHERN CALIFORNIA EDISON COMPANY, a corporation Signature Print Name Title A Notary Public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. State of California County of On before me, . a Notary Public, personally appeared , who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and official seal. Signature (Seal) 3 DSR802175224 City Council 13 — 4 4/4/2023mt537026 30 WARNER AVENUE I SCE EASEMENT I I 30' I PORTION OF LOT 38 0 7.00' Cli 5.00 TRACT NO. I �+ Maple St. Bike Trail I LOT 40 1 � 1 � v) I I �c �0 1�= I I y LOT 41 I z l I D i D Zi D i SKETCH EXHIBIT "A" I I LOT42 SCE EASEMENT LEGEND 30 0 30 60 DENOTES SCE FfA Ntd�Tjn&EA 13 — 5 scale 1 "= 22023 feet Community Development Agency santa-ana.org/community-development Item # 14 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report April 4, 2023 TOPIC: Real Property Purchase Agreement: 10th and Flower Park Project AGENDA TITLE: Approve Purchase Agreement with Property Owner Garnsey Corp., in the amount of $750,000 for the Full Property Acquisition for the Real Property Located at 843 N. Garnsey Street (APN 005-142-02) for the 10th and Flower Park Project (Revive Santa Ana Program) RECOMMENDED ACTION Authorize the City Manager to execute a purchase agreement with property owner Garnsey Corp, for the full property acquisition for the real property located at 843 N. Garnsey Street, also identified as APN 005-142-02, (Property) in the amount of $750,000, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION In August 2022, the City Council approved the American Rescue Plan Act (ARPA) Funding for the acquisition and expansion of parks and open space in the City of Santa Ana (City). The City also adopted a Parks Master Plan in May 2022 that provides goals to develop parkland within a 10-minute walk for all residents, and three acres of parkland per 1,000 residents citywide. The acquisition of this property will assist in expanding the future loth and Flower Park project boundaries to create a recreational amenity in a "park gap" area, serve four adjacent neighborhoods, and create a new park that was identified in the Parks Master Plan. The property is located in a qualified census tract and is necessary to expand the boundaries of the 10th and Flower Park, which was planned as a smaller 0.65-acre neighborhood park. The adjacent property (841 N Garnsey) was listed for sale by the property owner, and during discussions with the City about acquiring 841 N Garnsey, the property owner expressed interest in the City acquiring both properties owned by Garnsey Corp. The recommended property acquisition (Exhibit 1) and the mutually agreed -upon purchase offer were determined based upon a broker's opinion of value prepared by the City's right-of-way consultant (Exhibit 2). City Council 14 — 1 4/4/2023 Real Property Purchase Agreement: 101h and Flower Park Project April 4, 2023 Page 2 The Property has one family that will require relocation and a month -to -month lease agreement between the City and the tenants. FISCAL IMPACT Funds in the amount of $750,000 are budgeted and available in the ARPA account (no. 18117013-66100; Project #22-1342) for property acquisition expenditures in FY 2022- 23. EXHIBIT(S) 1. Location Map 2. Purchase and Sale Agreement Submitted By: Michael L. Garcia, Executive Director of Community Development Approved By: Kristine Ridge, City Manager City Council 14 — 2 4/4/2023 EXHIBIT 1 LOCATION MAP 1 LEGEND ■ ■ ■ ■ ■ ■ Original Proposed Boundary of—Approx. 0.88 acres New Proposed Boundary- Approx. 1.1 acres N\ Council 14-3 4/4/2023 EXHIBIT 2 PURCHASE AND SALE AGREEMENT FOR ACQUISITION OF REAL PROPERTY AND BILATERAL ESCROW INSTRUCTIONS THIS AGREEMENT (hereinafter "PSA"), entered into on , 2023, between the CITY OF SANTA ANA, a charter city and municipal corporation duly organized under the Constitution and laws of the State of California (hereinafter "City' or `Buyer"), and, Garnsey Corp., a Delaware Corporation ("Seller"), regardless of number or gender; THEREFORE, for and in consideration of their mutual promises, covenants and agreements, and subject to the terms, conditions and provisions of this PSA, Seller agrees to sell to City, and City agrees to purchase from Seller, that certain real property (hereinafter "Said Real Property') legally described as follows: SEE EXHIBIT "A" — Legal Description ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF (Commonly known as 843 North Garnsey Street, Santa Ana, CA 92701) (APN: 005-142-02) Said purchase and sale of Said Real Property shall be in accordance with and subject to all of the following terms, conditions, promises, covenants, agreements and provisions, to wit: 1. Conveyance by Seller. Seller agrees to convey said real property to City, by Grant Deed, at the office of Ticor Title, Johna L. Cannon - Title Officer, 1500 Quail Street, 3rd Floor, Newport Beach, California, johna@ticortitle.com, within sixty (60) days from and after the date on which the City has approved this Agreement. 2. Title to be Conveyed. Seller agrees that, except as may hereinafter be otherwise expressly provided, said real property shall be conveyed by Seller to City, as aforesaid, free and clear of any and all conditions, restrictions, reservations, exceptions, easements, assessments, profits, limitations, encumbrances (whether monetary or non -monetary, general or specific, including any and all leasehold interests), liens, clouds or defects in title except those exceptions shown in Paragraph 15 below. Seller hereby warrants that the title to said real property to be conveyed by Seller to City shall be free and clear as provided above. Seller further agrees that acceptance by City of any deed to said real property, with or without knowledge of any condition, restriction, reservation, exception, easement, assessment, profit, limitation, encumbrance (whether monetary or non -monetary, general or specific, and including any and all leasehold interests), lien, cloud or defect in title, shall not constitute a waiver by City of its right to the full and clear title hereinabove agreed to be conveyed by Seller to City, nor of any right which might accrue to City because of the failure of Seller to convey title as hereinabove provided. 3. Title Insurance. Seller agrees to deliver to City, concurrently with the conveyance of said real property to City, within the time and at the place hereinabove specified for said conveyance of said real property, a policy of title insurance to be issued by the above mentioned title company, with the City therein named as the insured, in the amount of $750,000 (Seven Hundred Fiftyty Thousand Dollars) insuring the title of the City to said real property is free and clear of any and all conditions, restrictions, reservations, exceptions, easements, assessments, profits, limitations, encumbrances (whether monetary or non - monetary, general or specific, and including any and all leasehold interests), liens, clouds or defects in title, excepting such specific ones as city may hereinafter expressly agree to take subject to. Acceptance by City of any such policy of insurance, whether such insurance complies with the requirements of this paragraph or not, shall not constitute a waiver by City of its right to such insurance as is herein required of Seller, nor a waiver by the City of any rights of action for damages or any other rights which may accrue to City by reason of the failure of Seller to convey title or to provide title insurance as required in this Agreement. City Council 14 — 4 4/4/2023 EXHIBIT 2 4. Escrow. City agrees to open an escrow at the office of Golden Coast Escrow, 130 Centennial Way, #D, Tustin, California, (the Escrow Agent) within five (5) days from and after the date on which the City has approved this Agreement. This Agreement constitutes the joint escrow instructions of the City and the Seller and a duplicate original of this Agreement shall be delivered to the Escrow Agent upon the opening of the escrow. Escrow to close within thirty (30) days of the City's execution of this Agreement. If escrow is not in a condition to close by the Close of Escrow, and failure to close is due to unforeseen conditions of title or interest of third parties in the Property that cannot be resolved in Escrow, then buyer may, at its option, request cancellation of escrow and this Agreement and return of any funds it has deposited into escrow. Thereupon, all obligations and liabilities of the Parties under this Agreement shall cease and terminate. If no such request is made, Escrow shall be closed as soon as possible thereafter. Buyer shall be entitled to possession of the Property immediately upon close of Escrow. The Escrow Agent hereby is empowered to act under this Agreement, and upon indicating its acceptance of this Section 4 and of the General Provisions described in Exhibit "B" attached hereto and incorporated herein by this reference, in writing, delivered to the City and to the Seller within five (5) days after delivery of this Agreement, shall carry out its duties as Escrow Agent hereunder. City agrees to bear and Escrow Agent is hereby authorized to charge to the City the cost of any transfer taxes, recording fees, cost of title insurance, re -conveyance fees, document preparation fees, escrow fees and any other closing costs incidental to the conveying of said real property to City. Penalties for prepayment of bona fide obligations secured by any existing deed of trust or mortgage shall be waived pursuant to Civil Code Procedures Section 1265.240. The liability to the Escrow Agent under this Agreement is limited to performance of the obligations imposed upon it under Section 4, Section 6, Section 8 and Exhibit "B" of the General Provisions of this Agreement. 5. Property Taxes. Such real property taxes, if any, on said real property for the fiscal year within which said real property is conveyed to City as are unpaid at the time of said conveyance shall be cleared and paid in accordance with the provisions of Section 4986 of the Revenue and Taxation Code of the State of California. Seller shall be eligible for a refund under Section 5096.7 of the Revenue and Taxation Code of the State of California for that portion of property taxes on said real property for said fiscal year which have been paid prior to the date the deed, as detailed in Exhibit "C" attached hereto and incorporated herein by this reference, conveying said real property to City is recorded which is allocable to that portion of the fiscal year which begins on the date the deed conveying said real property to City is recorded and made uncollectible if unpaid by reason of Section 5086 of the Revenue and Taxation Code of the State of California. To the extent that Seller has prepaid any taxes or assessments attributable to the Property; Seller shall be solely responsible for obtaining any refund due thereon from the taxing authority. Upon written request, Buyer shall assist Seller, at Seller's sole cost, in obtaining said refund, if any; however, in no case shall Buyer credit or otherwise pay Seller for that refund, if any, through or outside of Escrow. All unpaid taxes on said real property for any and all years prior to the fiscal year within which said conveyance is made shall be paid by Seller before conveyance of said real property to City. 6. Payment of Purchase Price. City agrees to pay to Seller and Seller agrees to accept from City, as and for the full purchase price for said real property, fixtures & equipment (improvements pertaining to the realty), goodwill (if any), and severance damages, the total sum of $750,000 (Seven Hundred Fifty Thousand Dollars). City agrees to deposit said purchase price, which are funds available from the American Rescue Plan Act as detailed in Exhibit "D", in escrow with the Escrow Agent within THIRTY (30) days from and after the date on which the City has approved this Agreement, and the Escrow Agent is hereby authorized to pay the same to Seller upon and after: (a) Conveyance of said real property by Seller to City as hereinabove provided; (b) Acceptance by City of a Grant Deed conveying said real property to City; City Council 14 — 5 4/4/2023 EXHIBIT 2 (c) Delivery to City of the policy of title insurance as hereinabove provided; (d) Recordation of the Deed conveying said real property to City. 7. Possession. Seller agrees to deliver to City, on the date the Deed conveying said real property to City is recorded, quiet and peaceful possession of said real property, which shall be made free by Seller of all personal property. a. No later than fourteen (14) days after the close of escrow, Seller shall have removed all merchandise, inventory, equipment, personal property, and/or removable trade fixtures from the Property. Any merchandise, inventory, equipment, personal property, and/or removable trade fixtures at the Property as of fourteen (14) days after the close of escrow shall be deemed abandoned by Seller on that date. 8. Rental and Occupancy By Tenants. Seller acknowledges the presence of tenants at the property. Seller agrees to execute a complete, current and correct statement of rentals (Seller Estoppel) on a form furnished to Seller by City and deliver same to City within fifteen (15) days hereof with copies of any written leases or rental agreements attached. All rents will be prorated as of the close of escrow on the basis of a 30-day month/360-day year consistent with that statement, subject to approval of City. Seller hereby agrees not to rent any units on the premises which are vacant as of the date that this agreement is executed by seller, or which may be vacated by present occupants prior to close of escrow. Seller agrees that any and all Tenant Security Deposits pertaining to the subject property collected by or in the possession of Seller prior to the close of escrow shall be transferred to and become the property of City during escrow. Seller hereby warrants that the rental statement referred to shall include the terms of all rental agreements, tenancies, and leases (written, unwritten, recorded, or unrecorded) and Seller agrees to hold City harmless from all liability from any such leases or agreements. Tenants on the property at the time this Agreement is approved shall be eligible for relocation advisory and financial assistance to the extent required by state and/or federal law. 9. Waivers. The waiver by City of any breach of any covenant or agreement herein contained on the part of the Seller shall not be deemed or held to be a waiver of any subsequent or other breach of said covenant or agreement nor a waiver of any breach of any other covenants or agreements contained herein. 10. Heirs, Assigns, Successors -in -Interest. This PSA, and all the terms, covenants and conditions hereof, shall apply to and bind the heirs, executors, administrators, successors and assigns of the respective Parties hereto. 11. Time is of the Essence. In all matters and things hereunder to be done and in all payments hereunder to be made, time is and shall be of the essence. 12. Just Compensation. Seller acknowledges and agrees that said purchase price is just compensation at fair market value for said real property and includes payment for fixtures & equipment (improvements pertaining to the realty), goodwill (if any), and severance damages. City Council 14-6 4/4/2023 EXHIBIT 2 13. Acknowledgment of Full Benefits and Release. A. By execution of this Agreement, Seller, on behalf of himself, his heirs, executors, administrators, successors and assigns, hereby acknowledges that this Agreement provides full payment for the acquisition of the Property by Buyer, and Seller hereby expressly and unconditionally waives any claim for compensation for injury to the remainder ("severance damages"); precondemnation damages; claims for inverse condemnation; loss of goodwill and/or lost profits; loss or impairment of any "bonus value" attributable to any lease; damage to or loss of improvements pertaining to the realty; damage to or loss of machinery, fixtures, inventory, equipment and/or personal property; any right to repurchase, leaseback from Seller, or receive any financial gain from, the sale of any portion of the Property, or challenge Buyer's adoption of a resolution of necessity, pursuant to Code of Civil Procedure sections 1245.245; any right to receive any notices pursuant to Code of Civil Procedure section 1245.245; any right to enforce any other obligation placed upon Seller pursuant to Code of Civil Procedure sections 1245.245, 1263.025 and 1263.615; any other rights conferred upon Defendants pursuant to Code of Civil Procedure sections 1245.245 and 1263.615 and 1263.025; and attorney's fees and costs. It being understood that this is a complete and full settlement of all acquisition claims, liabilities, or benefits of any type or nature whatsoever relating to or in connection with the acquisition of the Property by Buyer. This release shall survive the Close of Escrow. B. This Agreement arose out of Buyer's efforts to acquire the Property through its municipal authority. Seller, on behalf of himself, his heirs, executors, administrators, successors and assigns, hereby fully releases Buyer, its successors, agents, representatives (including attorneys), and assigns, and all other persons and associations, known or unknown, from all claims and causes of action by reason of any damage which has been sustained by Seller, or may be sustained by Seller, as a result of Buyer's efforts to acquire the Property or to construct the works of improvement thereon, or any preliminary steps thereto. This Agreement does not, and shall not be construed to, require Seller to indemnify Buyer for damages which may arise as a result of Buyer's efforts to construct improvements on the Property. This acknowledgment and release shall survive the Close of Escrow. 14. Notices. The mailing address of the City of Santa Ana is 20 Civic Center Plaza, M-25, P.O. Box 1988, in the City of Santa Ana 92701, County of Orange, State of California. The mailing address of the Seller is P.O. Box 1536, Tustin, CA 92781-1536. 15. Exceptions. City agrees to accept title to said real property subject to the following: NONE. 16. Entire Agreement. It is mutually agreed that the Parties hereto have herein set forth the whole of their Agreement. Performance of this PSA by City shall lay at rest, each, every, and all issue(s) that were raised or could have been raised in connection with the acquisition of Said Real Property by City. 17. Hazardous Waste. Neither Seller nor, to the best of Seller's knowledge, any previous owner, tenant, occupant, or user of the Property used, generated, released, discharged, stored, or disposed of any hazardous waste, toxic substances, or related materials ("Hazardous Materials") on, under, in, or about the Property, or transported any Hazardous Materials to or from the Property. Seller shall not cause or permit the presence, use, generation, release, discharge, storage, or disposal of any Hazardous Materials on, under, in, or about, or the transportation of any Hazardous Materials to or from, the Property. The term "Hazardous Material" shall mean any substance, material, or waste which is or becomes regulated by any local governmental authority, the State of California, or the United States Government, including, but not limited to, any material or substance which is: (i) defined as a "hazardous waste", "extremely hazardous waste", or "restricted hazardous waste" under Section 25115, 25117 or 25122.7, or listed pursuant to Section 25140 of the California Health and Safety Code, Division 20, Chapter 6.5 (Hazardous Waste Control Law), (ii) defined as "hazardous substance" under Section 25316 of the California Health and Safety Code, Division 20, Chapter 6.8 (Carpenter -Presley -Tanner Hazardous Substance Account Act), (iii) defined as a "hazardous material", "hazardous substance", or "hazardous waste" under Section 25501 of the California Health and City Council 14 — 7 4/4/2023 EXHIBIT 2 Safety Code, Division 20, Chapter 6.95 (Hazardous Materials Release Response Plans and Inventory), (iv) defined as a "hazardous substance" under Section 25281 of the California Health and Safety Code, Division 20, Chapter 6.7 (Underground Storage of Hazardous Substances), (v) petroleum, (vi) asbestos, (vii) polychlorinated biphenyls, (viii) listed under Article 9 or defined as "hazardous" or "extremely hazardous" pursuant to Article 11 of Title 22 of the California Administrative Code, Division 4, Chapter 20, (ix) designated as a "hazardous substances" pursuant to Section 311 of the Clean Water Act, (33 U.S.C. S1317), (x) defined as a "hazardous waste" pursuant to Section 1004 of the Resource Conservation and Recovery Act, 42 U.S.C. Section 6901 et sec. or (xi) defined as a "hazardous substances" pursuant to Section 101 of the Comprehensive Environmental Response, Compensation, as amended by Liability Act, 42. U.S.C. Section 9601 et sea. . 18. Compliance With Environmental Laws. To the best of Seller's knowledge the Property complies with all applicable laws and governmental regulations including, without limitation, all applicable federal, state, and local laws pertaining to air and water quality, hazardous waste, waste disposal, and other environmental matters, including, but not limited to, the Clean Water, Clean Air, Federal Water Pollution Control, Solid Waste Disposal, Resource Conservation Recovery and Comprehensive Environmental Response Compensation and Liability Acts, and the California Environment Quality Act, and the rules, regulations, and ordinances of the city within which the subject property is located, the California Department of Health Services, the Regional Water Quality Control Board, the State Water Resources Control Board, the Environmental Protection Agency, and all applicable federal, state, and local agencies and bureaus. 19. Indemnity. Seller agrees to indemnify, defend and hold the City harmless from and against any claim, action, suit, proceeding, loss, cost, damage, liability, deficiency, fine, penalty, punitive damage, or expense (including, without limitation, attorneys' fees), resulting from, arising out of, or based upon (i) the presence, release, use, generation, discharge, storage, or disposal of any Hazardous Material on, under, in or about, or the transportation of any such materials to or from, the Property, or (ii) the violation, or alleged violation, of any statute, ordinance, order, rule, regulation, permit, judgment, or license relating to the use, generation, release, discharge, storage, disposal, or transportation of Hazardous Materials on, under, in, or about, to or from, the Property. This indemnity shall include, without limitation, any damage, liability, fine, penalty, punitive damage, cost, or expense arising from or out of any claim, action, suit or proceeding for personal injury (including sickness, disease, or death, tangible or intangible property damage, compensation for lost wages, business income, profits or other economic loss, damage to the natural resource or the environment, nuisance, pollution, contamination, leak, spill, release, or other adverse effect on the environment). 20. Contingency. It is understood and agreed between the parties hereto that the completion of this transaction, and the escrow created hereby, is contingent upon the specific acceptance and approval of the City herein. The execution of these documents and the delivery of same to Escrow Agent constitute said acceptance and approval. 21. Modification and Amendment. This PSA may not be modified or amended except in writing signed by the Seller and City. 22. Partial Invalidity. Any provision of this PSA that is unenforceable or invalid or the conclusion of which would adversely affect the validity, legality, or enforcement of this PSA shall have no effect, but all the remaining provisions of this PSA shall remain in full force. 23. Captions. Captions and headings in this PSA, including the title of this PSA, are for convenience only and are not to be considered in construing this PSA. 24. Governinq Law. This PSA shall be governed by and construed in accordance with the laws of the State of California. 25. No Reliance By One Party On The Other. Each party has received independent legal advice from its attorneys with respect to the advisability of executing this PSA and the meaning of the provisions hereof. The City Council 14 — 8 4/4/2023 EXHIBIT 2 provisions of this PSA shall be construed as to their fair meaning, and not for or against any party based upon any attribution to such party as the source of the language in question. 26. No Third Party Beneficiary. This PSA is intended to benefit only the Parties hereto and no other person or entity has or shall acquire any rights hereunder. 27. Duty To Cooperate Further. Each party hereby agrees that it shall, upon request of the other, execute and deliver such further documents (in form and substance reasonably acceptable to the party to be charged) and do such other acts and things as are reasonably necessary and appropriate to effectuate the terms and conditions of this PSA, without cost. 28. Applicability of Aqreement To Assignees. This PSA shall be binding upon and shall inure to the benefit of the successors and assigns of the Parties to this PSA. 29. Authority to Execute Agreement. 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 PSA, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. 30. Incorporation of Exhibits. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this PSA. IN WITNESS WHEREOF, the Parties hereto have executed this PSA on the date and year first written above. [signature blocks appear on next page] City Council 14 — 9 4/4/2023 SELLER: EXHIBIT 2 Feb 23, 2023 Sheila eb 23. 202321:01 PST) Date: 2023 Sheila Soledad Alvarez President, Garnsey Corp DRE No. 01843338 Date: 12023 City/Buyer: City of Santa Ana Date: 12023 Kristine Ridge City Manager Attest: Date: 2023 City Clerk Approved as to Form: d7����- John M. Funk Chief Assistant City Attorney RECOMMENDED FOR APPROVAL: Michael L. Garcia Executive Director Community Development Agency March 21 Date: 2023 Date: 2023 City Council 14 — 10 4/4/2023 EXHIBIT 2 EXHIBIT "A" LEGAL DESRIPTION OF PROPERTY Legal Description of 843 North Garnsey, Santa Ana, CA 92701 THE LAND REFERRED TO HEREIN IS SITUATED IN THE COUNTY OF ORANGE, STATE OF CALIFORNIA, AND 13 DESCRIBED AS FOLLOWS; LOT 32 OF THE WAKEHAM TRACT, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS SHOWN ON A MAP RECORDED IN BOOK S, PAGE 3 OF MISCELLANEOUS MAPS, IN THE OFFICE OF THE COUNTY RECORDER OF SAID COUNTY. EfCEPTTRG THEREFROM A STRIP OF LAND 2 FEET WIDE OFF THE WEST SIDE OF SAID LOT AS CONVEYED TO THE CITY OF SANTA AMA, BY DEED RECORDED TM BOOK 206, PAGE 3W OF DEEDS, RECORDS OF ORANGE COUNTY, CALIFORNIA. ASSESSOR'S PARCEL NUMBER! 005.142�02 City Council 14 —11 4/4/2023 EXHIBIT 2 EXHIBIT "B" (Golden Coast Escrow) GENERAL ESCROW PROVISIONS City Council 14 — 12 4/4/2023 EXHIBIT "C" EXHIBIT 2 When recorded, please mail this instrument and tax statements to: Clerk of the Council City of Santa Ana 20 Civic Center Plaza, M-30 Santa Ana, California 92701 Free recording requested by THE CITY OF SANTA ANA PER GOVERNMENT CODE SECTION 6103. GRANT DEED SPACE ABOVE THIS LINE FOR RECORDER'S USE CANCEL fAK135 X APPR1OVED AS TO 1O1NBYA11Y. APPROA'ED BY D11tLC10R DESCRIPTION Nlll'1'11SN BY DESCRIPTION CELCIQD-0K A.P.N. 005_I41_02 R\VM1P NUMBLR PROJECT NUNWLR 843 Nmth Gnmscy Street, Santa Ana, CA 92701 DEED NZ,T RFR GRANT DEED FOR VALUABLE CONSIDERATION, receipt of which is hereby acknowledged, Garnsey Corp, a Delaware Corporation Do Hereby Grant to the CITY OF SANTA ANA, a charter city and municipal corporation duly organized under the Constitution and laws of the State of California, for public purposes, all that real property in the City of Santa Ana, Orange County, State of California, located at 843 North Garnsey Street, Santa Ana, CA 92701, described as follows: SEE EXHIBIT "A" ATTACHED HERETO AND BY THIS REFERENCE MADE A PART HEREOF; Dated : Feb 23, 2023 Dated : • al By: sheilaa iee eb23,202321:01PST) 0 City Council 14 — 13 4/4/2023 EXHIBIT 2 EXHIBIT "A" THE LAND REFERRED TO HEREIN IS $MATED IN THE CWNTY OF ORANGE, STATE OF CAUFORNA AND IS DESCRIBED AS FOLLOWS: LOT U OF THE WAKEHAM TRACT, IN THE CITY OF SANTA ANA, COUNTY Of ORANGE, STATE OF CALIFORNIA, AS SHOWN ON A MAP RECORDED IM BOOK S, PAGE 7 OF MISCELLANEOUS MAPS, IN THE OFFICE OF THE COUNTY RECORDER OF $AID COAIINTY. EXCEPTI46 THEREFROM A STRIP OF LAND 1 FEET WIDE OFF THE WEST SIDE OF SAID LOT AS CONVEYED TO THE CITY OF SANTA ANA„ BY DEED RECUR➢EU IN BOOK 206, PAGE 992 OF DEEDS, RECORDS OF ORANGE COUNTY, CALIFORNIA. ASSESSOR'S PARCEL NUMBER: ODS-142-02 City Council 14 — 14 4/4/2023 EXHIBIT 2 ACKNOWLEDGEMENT A notary public or other officer completing this certificate verifies only the identity of the individual who signed the document to which this certificate is attached, and not the truthfulness, accuracy, or validity of that document. STATE OF CALIFORNIA COUNTY OF ) On before me, , Notary Public, personally appeared who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under penalty of perjury under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and official seal. Signature (Seal) City Council 14 — 15 4/4/2023 EXHIBIT 2 EXHIBIT "D" AMERICAN RESCUE PLAN ACT FINDINGS The Purchase Price includes the use of American Rescue Plan Act funds that pursuant to 31 C.F.R. Section 35.6(b)(3)(ii)(A)(11) should be for "A program, service, capital expenditure, or other assistance that is provided to a disproportionately impacted household, population, or community" that meets the following purpose(s): (iii) Investments in communities to promote improved health outcomes and public safety such as parks, recreation facilities, and programs that increase access to healthy foods. The proposed park/open space for which this parcel is being acquired has total capital expenditures of greater than or equal to $1 Million, but less than $10 million has the following written justifications: The proposed park/open space was detailed as Project 22-1342: Addition of Park/Open Space — Site Acquisitions, Expenditure Category: 2.22, Strong Healthy Communities: Neighborhood Features that Promote Health and Safety in The City of Santa Ana 2022 Recovery Plan Performance Report. The project goal is to purchase additional open space for the 10th/Flower Properties for the development of a park with Outcome Measures to create additional open space that promotes health and safety. Project 22-1342 is in Qualified Census Tract 750.02 and was identified as providing Services to Disproportionately Impacted Communities (EC 3) to allow the addition of a park/open space area that will consist of an expansion of green space and allow for healthy activities for our community members to participate in; and would improve the health and wellbeing of residents through exercise and activity. City Council 14 — 16 4/4/2023 843 N Garnsey contract 0220223 Final Audit Report rZiYPA-MOM I! Created: 2023-02-24 By: Perla Zuniga (pzuniga@santa-ana.org) Status: Signed Transaction ID: CBJCHBCAABAA56CN5eT43a4yo_bJgMGBnl-BzXgNWogU "843 N Garnsey contract 0220223" History Document created by Perla Zuniga (pzuniga@santa-ana.org) 2023-02-24 - 0:47:41 AM GMT- IP address: 98.153.69.210 04 Document emailed to sheila alvarez (sheila@nationonere.com) for signature 2023-02-24 - 0:51:37 AM GMT Email viewed by sheila alvarez (sheila@nationonere.com) 2023-02-24 - 4,35,37 AM GMT- IP address: 104.28.85.126 40 Document e-signed by sheila alvarez (sheila@nationonere.com) Signature Date: 2023-02-24 - 5:01:29 AM GMT - Time Source: server- I P address: 172.89.32.236 0 Agreement completed. 2023-02-24 - 5:01:29 AM GMT Q Ado I y ounce 14 — 17 4/4/2023 EXHIBIT 2 6nMDEN COAST ESCROW 110 Centennial Way #D • "Tustin, CA 92780 Phone (714) 881-3282 Fax (714) 384-7581 (714) 881-3273 Ce11(949)378-9312 tiv i%.goldenco; stescrow.com lacy@goldencoastescrorv.net Date: 2/24/2023 Escrow No.: 4484-LG Escrow Officer: Lucia Guzman THIS DOCUMENT WILL AFFECT YOUR LEGAL RIGHTS — READ IT CAREFULLY! These Supplemental Escrow Instructions are not Intended to supersede the certain Purchase Agreement and Escrow Instructions dated 2/24/2023, but are for the purpose of procedures in order for the Escrow Officers to be able to transfer the ownership of the property from the Sellers to the Buyers in an administrative way. SUPPLEMENTAL CASH ESCROW INSTRUCTIONS & GENERAL PROVISIONS Buyer has handed Escrow Holder an initial deposit in the amount of 0.00 Buyer will deposit with Escrow Holder and additional deposit On or before 2/28/2023 in the amount of 750,000.00 TOTAL CONSIDERATION $ 750,000.00 Prior to the expiration of the time specified in this paragraph, Buyer(s) and/or Seller(s) will hand Escrow Holder, or cause to be handed to Escrow Holder, all funds and/or documents, required from Buyer(s) and/or Seller(s) to enable you to comply with these instructions, all of which Escrow Holder is authorized to use and/or deliver on 2/28/2023, provided that our title insurer, Ticor Title Company, has advised you that they are in a position to issue an Owner's Policy of Title Insurance in the issuing title company's usual form (as specified in with a liability of not less than the total consideration of $750,000.00, and insuring title to Real Property described as: All that certain real property situated in the County of Orange, State of California described as follows: See Attached, Exhibit'A', made a part hereof APN# 005-142-02 Commonly known as: (Escrow Holder shall not be concerned nor liable for the verification of said address) 843 N Garnsey St, Santa Ana , CA 92701 For purposes of this transaction the BUYER(S) Buyer(s) complete vesting is to be provided to Escrow Holder For purposes of this transaction the SELLER(S) is shown as Fee title to the property subject of this escrow is vested in: The undersigned Seller(s) amend the Residential Purchase Agreement and Joint Escrow Instructions (and Receipt for Deposit) to provide for the above referenced vested party(ies) as the Sellers. Buyer and Seller confirm that for the proposes of this escrow, the Escrow Holder shall be Golden Coast Escrow, Inc. and Title Company shall be Ticor Title Company for this transaction. Free from Encumbrances EXCEPT: 1. Current general and special taxes for the fiscal year in which this escrow closes, and taxes for the ensuing year, if any, a lien not yet due and payable. 2. The lien of supplemental taxes, if any, assessed pursuant to Chapter 3.5 (commencing with Section 75) of Seller(s) Mitiolc Riycr/cl Initi.lc City Council Page 1 14 — 18 4/4/2023 Date: 2/24/2023 RE: Escrow No. 4484-LGE_XH I B I T 2 the California Revenue and Taxation Code, all bonds and assessments levied or assessed subsequent to the date of these instructions. 3. Covenants, conditions, restrictions, reservations, rights, rights of way, easements and the exception or reservation of water, oil, gas, minerals, carbons, hydrocarbons or kindred substances on or under said land, now of record, if any, or in the Deed to file. 4. A First Deed of Trust, to record, in the amount of $0.00, in favor of lender of Buyers choice. 5. A Second Deed of Trust, to record, in the amount of $0.00, in favor of lender of Buyers choice. ADDITIONAL INSTRUCTIONS The following items are shown in these instructions for clarification purposes, due to the fact that the original contract deposited into escrow contained blanks within the instructions to escrow holder: INITIAL DEPOSIT(S), INCREASED DEPOSIT(S), BALANCE OF DOWN PAYMENT, AND CLOSING FUNDS DEPOSIT(S): Buyer and Seller herein acknowledge that Escrow Holder's acceptance of DEPOSIT FUNDS shall be limited/restricted to deposits made by wire transfer. Costs and Charges: Buyer(s) hereby agree(s) to pay the following fees and charges through escrow: Buyer's Escrow Fee, Loan -Tie in fee, if applicable, Recording Fees, Notary Fees, Lender's Policy of Title Insurance, Lender's Fees as required, Federal Express/Delivery Fees if any, and all additional fees/charges as set forth in the Estimated Escrow Statement to be executed. Seller(s) hereby agree(s) to pay the following fees and charges through escrow: Recording Fees, Notary Fees, Owner's Policy of Title Insurance, Seller's Escrow Fee, Document Preparation, County Transfer Tax, Federal Express, Delivery Fees, if any, Beneficiary Statement(s) and/or Demand(s) together with any amounts necessary to place title in condition called for, Commissions and any/all additional fees/charges as set forth in the Estimated Escrow Statement to be executed. Golden Coast Escrow, Inc. may be required to advance funds into this escrow, in order to expedite the processing of this transaction. All funds advanced shall be reimbursed to Golden Coast Escrow, Inc. at the closing of this escrow or upon the cancellation of this escrow, from the appropriate party(ies). Fire Insurance: Buyer herein will deposit with Escrow Holder, prior to the close of escrow, a new hazard insurance policy, acceptable to New Lender. Escrow Holder is instructed to charge Buyer and pay premium as billed at close of escrow, unless, prior to close of escrow, a paid receipt for same is Provided to Escrow Holder. Preliminary Title Report Approval: This escrow is subject to the Buyer's approval of the preliminary report issued by the title company in this transaction. Buyer will be provided with a separate prelim approval letter by the escrow holder and prelim shall be deemed approved and this condition shall be satisfied. Cancellation of Escrow: AS A CONDITION OF ESCROW HOLDER ACCEPTING THE ESCROW AGENCY CREATED BY THE AGREEMENT AND THE SUPPLEMENTAL ESCROW INSTRUCTIONS, BUYER AND SELLER ACKNOWLEDGE THEY UNDERSTAND AND CONSENT THAT REGARDLESS OF THE CONSUMMATION OF THIS TRANSACTION, ESCROW HOLDER'S MINIMUM CLERICAL FEE FOR THE PREPARATION OF THESE SUPPLEMENTAL INSTRUCTIONS AND ANY ADDITIONAL DOCUMENTS HERETO SHALL BE NOT LESS THAN $250.00. ALL PARTIES FURTHER UNDERSTAND THAT ADDITIONAL FEES MAY ALSO BE CHARGED AS A RESULT OF THE CANCELLATION OF ESCROW. GENERAL PROVISIONS IMPORTANT — PLEASE READ CAREFULLY 1. Execution & Delivery of Escrow Instructions These instructions may be executed in counterparts and said counterparts together will constitute one and the same Seller(s) Initials Buyer(s) Initials City Council Page 2 14 — 19 4/4/2023 Date: 2/24/2023 RE: Escrow No. 4484-L�EXHIBIT 2 instrument. In the event that the parties hereto utilize facsimile or electronically transmitted instructions to Escrow Holder, and said parties hereby instruct Escrow Holder to rely upon such instructions as if they were originals. Any amendments and supplements to these instructions must be in writing and shall only be effective when executed and delivered to Escrow Holder. Escrow Holder shall not be concerned with nor have any obligations with respect to items designated as memoranda in these instructions or with any other agreement or contract between the parties to this escrow. 2. Deposit of Funds (i) All funds received in this escrow will be deposited with other escrow funds in one or more non -interest -bearing escrow accounts of Escrow Holder in a financial institution selected by Escrow Holder. Escrow Holder shall not be responsible and shall have no liability for any delay in closing this escrow if the funds deposited in this escrow are not available for immediate withdrawal as a matter of right following deposit in such financial institution. (ii) Depositor has the opportunity to earn interest on the funds deposit with escrow holder through a deposit account arrangement that Escrow Holder has established with one of its financial institutions. The interest rate for these accounts varies between financial institutions, fluctuates periodically based on market conditions and other factors, and may change prior to or during the time depositor funds are on deposit. Depositor will not have an opportunity to earn interest on any funds deposited by a lender. (iii) If Depositor elected to earn interest through this special account arrangement, Escrow Holder will charge Depositor an additional fee of $50.00 for the establishment and maintenance of the account. This fee compensates Escrow Holder for the costs associated with opening and managing the interest -bearing account, preparing correspondence documentation, transferring funds, maintaining appropriate records for audit/reconciliation purposes and filing any required tax withholding statements. It is important that Depositor consider this cost in a decision since the cost may exceed the interest earned. If depositor is interested in having funds deposited in an interest -bearing account, please contact the escrow holder. (iv) If depositor does not elect to have funds deposited in an interest -bearing account. All funds (together with any funds deposited by a lender) will be held in Escrow Holder's general escrow trust account. The general escrow trust account is restricted and protected against claims by third parties or creditors of Escrow Holder. Escrow Holder and/or its parent company may receive certain direct and indirect financial benefits from the financial institution as a result of maintaining the general escrow trust account. These benefits may include, without limitation, credits allowed by such financial institution on loans to Escrow Holder and/or its parent company and earnings on investments made with the proceeds of such loans, as well as accounting, reporting and other services and products of such financial institution. Escrow Holder shall have no obligation to account to the parties to this escrow in any manner for the value of, or to pay to any party, any benefit received by Escrow Holder and/or its parent company. Any such benefits shall be deemed additional compensation of Escrow Holder for its services in connection with this escrow. Some or all of these benefits may be deemed interest due depositor under California Insurance Code Section 12413.5. As indicated above, depositor may elect to have funds placed in a separate, interest -bearing account and receive the benefits there from, but will be required to pay Escrow Holder an additional fee for this service. Alternatively, depositor may leave funds in the general escrow trust account and thereby authorize Escrow Holder to keep the benefits it and/or its parent company receives from the financial institution. In either event, depositor understands and agree that Escrow Holder and/or its parent company may receive and retain for their sole benefit any and all benefits derived from the general escrow trust account prior to the deposit of depositors funds in an interest -bearing account and following the withdrawal of funds from such interest- bearing account (normally two business days prior to the close of escrow). (v) All parties depositing funds in connection with this escrow are hereby notified that the funds so deposited are insured only to the limit provided by the Federal Deposit Insurance Corporation. (vi) Funds deposited by a lender are ordinarily deposited to escrow one or two days prior to closing. Depositor should be aware that the lender may begin charging interest on the loan from the date loan funds are deposited into Escrow Holder's escrow trust account. 3. Good Funds Law — California Insurance Code §12413.1 All parties are aware and understand that California Insurance Code §12413.1 mandates that funds deposited into an escrow must be collected and available for withdrawal PRIOR TO DISBURSEMENT. The determination of the availability of funds is set forth as follows: (i) ELECTRONIC TRANSFERS ("wired funds") are available for SAME DAY disbursement. 4. Prorations: All adjustments and prorations called for in this escrow shall be made on the basis of a thirty (30) day month, unless otherwise instructed in writing. S. Oral instructions: Escrow Holder are authorized to accept oral instructions from the parties' real estate broker(s), real estate agent(s), Lender(s) or Lender's agent(s) concerning the preparation of escrow instructions, amendments or supplements. However, Escrow Holder will not to act upon any instruction so delivered until received the same in writing signed by all parties to this escrow. 6. Loan Terms: Golden Coast Escrow, Inc. is not to be responsible in any way whatsoever nor to be concerned with the terms of any new loan or the content of any loan documents obtained by any party in connection with this escrow except to order such loan documents into the escrow file, transmit the loan documents to Buyer for execution and transmit the executed loan documents to Lender. The parties understand and agree that Escrow Holder is not involved nor to be concerned with the approval and/or processing of any loan or the contents and effect of loan documents prepared by a Lender. Seller(s) Initials Buyer(s) Initials City Council page 3 14 — 20 4/4/2023 Date: 2/24/2023 RE: Escrow No. 4484-L�EXHIBIT 2 Facsimile/Electronic Signature Certification: The Residential Purchase Contract and Joint Escrow Instructions along with any supplements, addendums or counter offers made a part thereof (Agreement), and bearing Electronic Signature(s) is a true, and complete copy of the Agreement entered into for the purchase of real property described herein and Escrow Holder is hereby authorized and instructed to rely upon said Electronic Signatures based upon the following certification. (i) The undersigned consented to the use of electronic records and signature in the creation and execution of the Agreement and subsequent addenda to the agreement. If applicable. (ii) The undersigned did sign the Agreement using an electronic signature. (iii) The undersigned was given the opportunity to keep a copy of the signed Agreement at the time the agreement was signed. (iv) The Electronic Signatures comply with the standards and requirement of the Federal Electronic Signatures in Global and National commerce Act (E-Sign) and, if applicable, the Uniform Electronic Transaction Act (UETA) adopted by the state in which the Electronic Signature is initiated and the Agreement in fully enforceable and legally binding in accordance with their terms. (v) The undersigned is signing this certification to indemnify and hold harmless the Escrow Holder from any past, present, or future loss that may occur from relying upon and accepting the Agreement with the electronic signatures affixed thereto. S. Escrow Holder is hereby authorized and instructed that, in the event any party utilizes email or "facsimile" transmitted signed documents or instructions to Escrow Holder, Escrow Holder is to rely on the same for all escrow instruction purposes and the closing of escrow as if they are original signatures. "Electronic Signature" means, as applicable, an electronic copy or signature complying with California Law. 9. Instructions not to Supersede: These escrow instructions are executed for the sole purpose of enabling the Escrow Holder to complete this transaction, and are not intended to amend, modify, supersede or in any way change that certain agreement entered into by the parties hereto and dated prior to these escrow instructions. Golden Coast Escrow, Inc., its officers and/or employees shall not be concerned with said agreement or any matters as contained therein and is responsible only for such matters as are specifically set out above in the instruction. 10. Special Recording; Late Confirmation of Recording Seller's proceeds may not be available, and encumbrances may not be paid off, until the first business day following the day of recording if 1) documents recorded at close of escrow are recorded later in the day than 8:00 a.m. (which is called a "special recording") or if 2) the County Recorder does not provide confirmation of recording within sufficient time to allow same -day disbursement of funds by wire or check. 11. IRS 1099 REPORTING: As a condition of Escrow Holder's agreement to process this transaction, certain information must be provided by the Seller(s)/Transferor(s) to Escrow Holder before the date of closing. Under the Tax Reform Act, Internal Revenue Service Code Section 6045(e), Escrow Holder will report the gross proceeds of an ownership interest in reportable real estate to the Internal Revenue Service ("IRS"). The Seller/Transferor is required by law to furnish a correct Taxpayer Identification Number ("TIN") or Social Security Number to Escrow Holder. The Seller/Transferor is aware that the failure to do so may subject the Seller/Transferor to civil or criminal penalties. Each Seller/Transferor must provide a permanent address to which the Escrow Holder can mail the IRS Form 1099-S following the close of escrow. 12. Disbursement of Funds: Any funds disbursed during or on the close of escrow will be issued jointly to the parties designated as payees unless escrow holder is instructed otherwise in writing by all designated payees. The funds representing loan and/or sale proceeds will be disbursed jointly to all persons who were the record owners of the real property that is the subject of the escrow. All disbursements of funds and/or delivery of other documents or instruments concerning this escrow will be mailed to the Entitled parties by regular first class mail, postage prepaid, at their respective addresses shown on file. However at Escrow Holders discretion, Buyer or Seller may send funds and/or other instruments or documents by certified or registered mail, federal express, messenger or facsimile machine, in which case the party for whom the delivery was made agrees to pay the costs. The provisions of this paragraph include, but are not limited to, requests for demand statements, requests for beneficiary Statements, requests for homeowners' association statements or any other requests may deem necessary for the timely closing of this escrow. Escrow Holder is to instruct the county recorder to mail recorded documents to the entitled parties at their respective addresses. Escrow Holder is to instruct the title company to mail the title policy(s) to the Lender(s) or Buyer(s) as appropriate. 13. No Disclosures warranties: The parties acknowledge that depending on the type (Commercial or Residential) and location (City) of real property involved in this escrow, there may be disclosure(s) as well as civil ordinance requirement(s) that would affect the transfer of the real property. Escrow Holder urges both parties to seek appropriate counsel from an attorney or licensed real estate broker to ascertain what disclosures, certificates and/or civil ordinances, if any, need to be complied with prior to the close of escrow, and outside of the escrow between the parties. The parties' signature upon these instructions shall be deemed evidence to the Escrow Holder that the parties have obtained independent counsel, are aware of any disclosures/civil ordinance requirements and will comply with same outside of this escrow. Unless otherwise instructed in writing Escrow Holder has no responsibility or liability in connection with any such Seller(s) Initials Buyer(s) Initials City Council Page 4 14 — 21 4/4/2023 Date: 2/24/2023 disclosures or requirements; RE: Escrow No. 4484-L�EXHIBIT 2 14. Payment of Cost(S) Incurred Prior to close of Escrow: Buyer and Seller are aware Golden Coast Escrow, Inc. may incur certain expenses during the course of processing this escrow, which must be paid prior to the close of escrow. Such costs may include but are not limited to, credit report and appraisal fees, demand request fees, homeowner's association document fees, courier fees, overnight mail service and city building reports, if applicable. Escrow Holder is authorized and instructed to release funds for payment of such costs, prior to the close of escrow, from funds deposited into escrow by Buyer. Said funds will only be released upon execution of an amendment signed by Buyer and Seller indicating the amount and payee. Both Buyer and Seller acknowledge and accept that said funds are not refundable, whether this escrow closes or cancels. However, at close of escrow, Escrow Holder is authorized and instructed to charge the appropriate party for costs incurred, and is released from any and all liability in connection with complying with this instruction. 15. Responsibilities: The parties agree that Escrow Holder has the responsibilities of an escrow holder only and there are no other legal relationships established in the terms and conditions of the escrow instructions. In connection with this escrow: (1) Escrow Holder shall have no duty or responsibility of notifying any of the parties to this escrow of any sale, resale, loan, exchange or other transaction involving any of the subject real property or personal property; (2) Escrow Holder shall have no responsibility or duty to disclose any benefit, including, but not limited to financial gain, realized by any person, firm or corporation involving any of the subject real property or personal property; and (3) Escrow Holder shall have no responsibility or duty to disclose any profit realized by any person, firm or corporation including, but not limited to, any real estate broker, real estate sales agent and/or a party to any other escrow, in connection therewith, although such other transaction may be handled by Escrow Holder in this escrow or in another escrow transaction. If, however, Escrow Holder is instructed in writing by any party, Lender or other entitled person to disclose any sale, resale, loan exchange or other transaction involving any of the subject real property or personal property or any profit realized by any person, firm or corporation to any party to this escrow, Escrow Holder shall do so without incurring any liability to any party. Escrow Holder shall not be liable for any acts or omission done in good faith for any claims, demands, losses or damages made or suffered by any party to this escrow, excepting such as may arise through or be caused by Escrow Holder willful neglect or gross misconduct. 16. Disclosure Reports: Escrow Holder is not to be concerned with disclosures made by the parties to each other. In the event Escrow Holder receives any disclosure reports requiring signatures or approval by a party, Escrow Holder's only responsibility will be to forward the report to the appropriate party. 17. Golden Coast Escrow, Inc. shall not be responsible for the following: (1) the sufficiency or correctness as to form, manner of execution or validity of any documents deposited in this escrow; (2) the identity, authority, or right of any person executing the same, either as to documents of record or those handled in this escrow; or (3) the failure of any party to comply with any of the provisions of any agreement, contract or other instrument flied or deposited in this escrow or referred to in these escrow instructions. Escrow Holder duties shall be limited to the safekeeping of money and documents received by escrow holder, and for the disposition in compliance with the written instructions accepted by Escrow Holder in this escrow. Escrow Holder shall not be required to take any action regarding the collection, maturity, or apparent outlaw of any obligations deposited with Escrow Holder unless otherwise instructed in writing. Escrow Holder shall not be liable for any acts or omissions done in good faith, nor for any claims, demands ,losses or damages made, claimed or suffered by any party to this escrow, excepting such as may arise. 18. FIRPTA-Withholding: FIRPTA-WITHHOLDING, The sale of a U.S. real property interest by a foreign person is subject to the Foreign Investment in Real Property Tax Act of 1980 (FIRPTA) income tax withholding. Persons purchasing U.S. real property interests from foreign persons, certain purchasers' holders, and settlement officers are required to withhold 10 % of the amount realized. Withholding is intended to ensure U.S. taxation of gains realized on disposition of such interests. The Buyer shall remain the withholding holder notwithstanding any act by the Escrow Holder. The Buyer must find out if Seller is a foreign person. If Seller is a foreign person and Buyer fails to withhold, the Buyer may be held liable for the tax. Seller and Buyer agree to execute and deliver to Escrow Holder any instrument, affidavit and statement or to perform any act reasonably necessary to carry out the provisions of FIRPTA and regulations promulgated there under. Seller herein certifies under penalty of perjury, that the information provided on said form is true, correct and complete. Buyer and Seller hereby agree to hold Escrow Holder harmless and indemnify Escrow Holder regarding compliance with this instruction. 19. Cal FIRPTA State Tax Withholding: Notifications to Buyer and Seller Regarding California Tax Withholding on the Sale of Real Property Certain Sellers are exempt from withholding. Each Party must seek independent tax advice from a professional. California Revenue and Taxation Code Section 18662 (as amended) requires prepayment of income tax by withholding 3-1/3% of the total sales price on real property for individuals and non -individual sellers of real property, whether resident or non-resident. Alternatively, a Seller may elect to withhold on the gain on the sale and based on the applicable withholding rates effective at the close of escrow. For more information, Buyers and Sellers should refer to Form 593 and 593 Booklet, Real Estate Withholding Certificate and Computation of Estimated Gain or Loss from the California Franchise Tax Board. Withholding is also required for real estate foreclosures and short sale transactions unless any exemptions certified on Form 593 apply, or the sale qualifies under the automatic exclusions. For more information on real estate foreclosures and short sale transactions, refer to Publication 1016, Real Estate Withholding Guidelines by the California Franchise Tax Board. Any further questions regarding Withholding Requirements for Sale of California Real Estate may be answered by seeking independent professional tax advice or at httn://www.ftb.ca.ciov/individuals/wsc/ Cal ifo rnia_Real_Estate. shtml. The parties acknowledge that Escrow Holder is under no duty to take action regarding Seller(s) Initials Buyer(s) Initials City Council Page 5 14 — 22 4/4/2023 Date: 2/24/2023 RE: Escrow No. 4484-L�EXHIBIT 2 withholding without further mutual written instructions of Buyer and Seller in form satisfactory to Escrow Holder, together with the completion of Franchise Tax Board forms. Section 18662 of California Revenue and Taxation Code (as amended) requires a BUYER of real property to withhold if the Seller's exemption is not met. If withholding is not made Buyer may become subject to a penalty in the amount equal to the greater of 10% of the amount required to be withheld or five hundred dollars ($500.00). For additional information, contact: FRANCHISE TAX BOARD, WITHHOLD AT SOURCE UNIT, P.O. BOX 651, SACRAMENTO, CA 95812-0651, PHONE: (916) 845-4900 OR Toll Free AT (888) 792-4900. Seller and Buyer hereby agree to comply with Section 18662 of California Revenue and Taxation Code (as amended), and Seller shall cause to be deposited into escrow such forms that may be necessary for the parties hereto to be in compliance with said tax code, as expanded. The parties agree to hold Escrow Holder harmless and indemnify Escrow Holder for complying with any CAL-FIRPTA instruction or any third -party claims that may arise. 20. Buyer and Seller due dates: If the date by which Buyer's or Seller's performances are due shall be other than a regular business day, such performances shall be due on the next succeeding business day. 21. Personal Property Title Search: Golden Coast Escrow, Inc. shall conduct no lien or title search of personal property regarding the sale or transfer of any personal property through this escrow. Should the party(ies) desire that Escrow Holder conduct a lien or title search of personal property, the party(ies) requesting the same shall deliver separate and specific written escrow instructions to Escrow Holder along with an agreement to pay any additional escrow fees. 22. Not to be concerned with usury of loan: Golden Coast Escrow, Inc. shall not be responsible in any way whatsoever nor are to be concerned with any question of usury in any loan or encumbrance, whether new or of record, which may arise during the processing of this escrow. 23. Provide Title: Golden Coast Escrow, Inc. are instructed to provide title to the subject real property in the condition identified in the escrow instructions by the parties. Escrow Holder is not responsible for the contents or accuracy of any beneficiary demands and/or beneficiary statements delivered to Escrow Holder by the existing lien holders. Escrow Holder is not required to submit any such beneficiary statement and/or beneficiary demand to the party(ies) for approval before the dose of escrow unless expressly instructed to do so in writing. Should the party(ies) desire to pre -approve any such beneficiary statement and/or beneficiary demand, the party(ies) requesting the same shall deliver separate and specific written escrow instructions to Escrow Holder. 24. Loan terms or Loan Document content: Golden Coast Escrow, Inc. are not to be responsible in any way whatsoever nor to be concerned with the terms of any new loan or the content of any loan documents obtained by any party in connection with this escrow except to order such loan documents into the escrow file, transmit the loan documents to Buyer for execution and transmit the executed loan documents to Lender. The parties understand and agree that Escrow Holder is not involved nor concerned with the approval and/or processing of any loan or the contents and effect of loan documents prepared by a Lender. 25. Third -Party Claims: The parties expressly indemnity and hold Escrow Holder harmless against third -party claims for any fees, costs or expenses where Escrow Holder has acted in good faith, with reasonable care and prudence and/or in compliance with these escrow instructions. 26. Escrow Holder only: The parties agree that Golden Coast Escrow, Inc. have the responsibilities of an escrow holder only and there are no other legal relationships established in the terms and conditions of the escrow instructions. In connection with this escrow: (1) Escrow Holder shall have no duty or responsibility of notifying any of the parties to this escrow of any sale, resale, loan, exchange or other transaction involving any of the subject real property or personal property; (2) Escrow Holder shall have no responsibility or duty to disclose any benefit, including, but not limited to financial gain, realized by any person, firm or corporation involving any of the subject real property or personal property; and Escrow Holder (3) shall have no responsibility or duty to disclose any profit realized by any person, firm or corporation including, but not limited to, any real estate broker, real estate sales agent and/or a party to any other escrow, in connection therewith, although such other transaction may be handled by Escrow Holder in this escrow or in another escrow transaction. If, however, Escrow Holder is instructed in writing by any party, Lender or other entitled person to disclose any sale, resale, loan exchange or other transaction involving any of the subject real property or personal property or any profit realized by any person, firm or corporation to any party to this escrow, Escrow Holder shall do so without incurring any liability to any party. Escrow Holder shall not be liable for any acts or omission done in good faith nor for any daims, demands, losses or damages made or suffered by any party to this escrow, excepting such as may arise through or be caused by Escrow Holder willful neglect or gross misconduct. 27. (6) Month period: Escrow holder agency shall terminate six (6) months following the date last set for close of escrow and shall be subject to earlier termination by receipt by Escrow Holder of mutually executed cancellation instructions. If this escrow was not dosed or canceled within the described six (6) month period, Escrow Holder shall have no further obligations as escrow holder except to disburse funds and documents pursuant to written escrow instructions and to interplead or otherwise dispose of funds and documents in accordance with a validly issued and validly served order from a court of competent jurisdiction. If the conditions of this escrow have not been complied with at the expiration date in these escrow instructions, Escrow Holder is instructed to complete the conditions at the earliest possible date, unless Buyer Seller(s) Initials Buyer(s) Initials City Council Page 6 14 — 23 4/4/2023 Date: 2/24/2023 RE: Escrow No. 4484-L(�EXHIBIT 2 or Seller have made written demand upon Escrow Holder for the return of the funds and/or instruments deposited by Buyer or Seller and/or for cancellation of this escrow. Should demands be made upon Escrow Holder, may withhold and stop all further proceedings in this escrow without liability for interest on funds held or for damages until mutual cancellation instructions signed by all parties shall have been deposited with Escrow Holder. The parties, jointly and severally, agree that, if this escrow cancels or is otherwise terminated and not closed, the parties shall pay for any costs and expenses which Escrow Holder has incurred or have become obligated for under these escrow instructions, including but not limited to, attorneys' fees and reasonable escrow fees for the services rendered by Escrow Holder, and the parties agree that such costs and expenses shall be paid and deposited in escrow before any cancellation or other termination of this escrow is effective. The parties agree that said charges for expenses costs and fees may be unilaterally or bilaterally apportioned between Buyer and Seller in a manner which, in Escrow Holders sole discretion, and consider equitable, in an amount not less than $250.00 and not greater than the amount of the entire escrow fee, to be determined by Escrow Holder, and that the decision will be binding and conclusive upon the parties. Upon receipt of mutual cancellation instructions or a final order or judgment of a court of competent jurisdiction with accompanying writs of execution, levies or garnishments, Escrow Holder is instructed to disburse the escrow funds and instruments in accordance with such cancellation instructions, order or judgment and accompanying writ and this escrow shall, without further notice, be considered terminated and canceled. 28. Parties shall cooperate: The parties shall cooperate with Escrow Holder in carrying out the escrow instructions deposited with Escrow Holder completing this escrow. The parties shall deposit into escrow, upon request, any additional funds instruments, documents, instructions, authorizations, or other items that are reasonably necessary to enable Escrow Holder to comply with demands made on Escrow Holder by third parties, to secure policies of title insurance, or to otherwise carry out the terms of their instructions and close this escrow. If conflicting demands or notices are made or served upon Escrow Holder, or any controversy arises between the parties or with any third person arising out of or relating to this escrow, Escrow Holder shall have the absolute right to withhold and stop all further proceedings in, and in performance of, this escrow until Escrow Holder has received written notification satisfactory to Escrow Holder of the settlement of the controversy by written agreement of the parties, or by the final order or judgment of a court of competent jurisdiction. All of the parties to this escrow, jointly and severally, promise to pay promptly on demand, as well as to indemnify Escrow Holder and to hold Escrow Holder harmless from and against all administrative governmental investigation, audit and legal fees, litigation and interpleader costs, damages, judgments, attorneys' fees, expenses, obligations and liabilities of every kind (collectively "costs") which in good faith Escrow Holder may incur or suffer in connection with or arising out of this escrow, whether said costs arise during the performance of or subsequent to this escrow, directly or indirectly, and whether at trial or on appeal. Escrow Holder is given a lien upon all the rights, titles and interests of the parties and all escrow papers and other property and monies deposited into this escrow to protect your rights and to indemnity and reimburse Escrow Holder. If the parties do not pay any fees costs or expenses due Escrow Holder under the escrow instructions or do not pay for costs and attorneys' fees incurred in any litigation or interpleader, on demand, they each agree to pay a reasonable fee for any attorney services which may be required to collect such fees or expenses, whether attorneys' fees are incurred before trial, at trial or on appeal. 29. All Notices, Demands and Instructions must be in Writing: No notice, demand, instruction, amendment, supplement or modification to these escrow instructions shall be of any effect in this escrow until delivered in writing to Escrow Holder and mutually executed by all parties. AS SET FORTH ABOVE, ESCROW HOLDER HAVE NO DUTY TO AND SHALL NOT VERIFY THE SIGNATURES OF ANY PARTIES OR NON-PARTIES UNLESS FURTHER WRITTEN ESCROW INSTRUCTIONS TO DO SO ARE RECEIVED AND THE ADDITIONAL ESCROW FEES ARE DEPOSITED. Any purported oral instruction, amendment, supplement, modification, notice or demand deposited with Escrow Holder by the parties or either of them shall be ineffective and invalid. Escrow Holder are to be concerned only with the directives expressly set forth in the escrow instructions, supplements and amendments thereto and are not to be concerned with nor liable for items designated as memorandum items in the escrow instructions. 30. Authorized delivery of Escrow Instructions: Golden Coast Escrow, Inc. is authorized to deliver copies of all escrow instructions, supplements and amendments, estimated and final closing statements preliminary title reports, and notices of cancellation, if any, to the real estate broker(s), real estate sales agent(s), Lender(s), Lenders agent(s) and/or attorneys(s) for the parties, upon the parties' oral or written request. Escrow Holder shall not incur any liability to the parties for delivery of the copies. 31. Cooperation by both parties: The parties shall cooperate with Escrow Holder in carrying out the escrow instructions they deposit with Escrow Holder and completing this escrow. The parties shall deposit into escrow, upon request, any additional funds, instruments, documents, instructions, authorizations, or other items that are reasonably necessary to enable Escrow Holder to comply with demands made on Escrow Holder by third parties, to secure policies of title insurance, or to otherwise carry out the terms of their instructions and close this escrow. All parties agree to provide Escrow Holder with a completed "Statement of Information" 7 days, after receipt of said form, as required by the Title Company providing the Title Insurance policies for this transaction. 32. Conflicting Instructions and Disputes: If Escrow Holder becomes aware of any conflicting demands or claims concerning this escrow, Escrow Holder shall have the right to discontinue all further acts on Escrow Holder's part until the conflict is resolved to Escrow Holder's satisfaction. Escrow Holder has the right at its option to file an action in interpleader requiring the parties to litigate their claims/rights. If such an action is filed, the parties jointly and severally agree (a) to pay Escrow Holder's cancellation charges, costs (including the funds held fees) and reasonable attorneys' Seller(s) Initials Buyer(s) Initials City Council Page 7 14 — 24 4/4/2023 Date: 2/24/2023 RE: Escrow No. 4484-LGE_XHIBIT 2 fees, and (b) that Escrow Holder is fully released and discharged from all further obligations under the escrow. If an action is brought involving this escrow and/or Escrow Holder, the party(ies) involved in the action agree to indemnify and hold the Escrow Holder harmless against liabilities, damages and costs incurred by Escrow Holder (including reasonable attorneys' fees and costs) except to the extent that such liabilities, damages and costs were caused by the gross negligence or willful misconduct of Escrow Holder. 33. Gender: In these escrow instructions, wherever the context so requires, the masculine gender includes the feminine and/or neuter and the singular number includes the plural. 34. Not to give financial advice: The parties acknowledge and understand that Golden Coast Escrow, Inc., as escrow holder, are not authorized to practice the law nor gives financial advice. The parties are advised to seek legal and financial counsel and advice concerning the effect of these escrow instructions. The parties acknowledge that no representations are made by Escrow Holder about the legal sufficiency, legal consequences, financial effects or tax consequences of the within escrow transaction. 35. Disposal of documents: Golden Coast Escrow, Inc. are authorized to destroy or otherwise dispose of any and all documents, papers, escrow instructions, correspondence and records or other material constituting or pertaining to this escrow at any time after five (5) years from the date of: (1) the close of escrow; (2) the date of cancellation; or (3) the date of the last activity, without liability and without further notice to the parties. If for any reason, any one party to the transaction request copies of said file in storage from Escrow Holder, there will be a minimum charge of $50.00 required to be deposited prior to the release of requested documentation. 36. Need for Independent Legal, Financial and Tax Advice: The parties acknowledge and understand that Escrow Holder, are not authorized to practice law nor does an escrow holder give financial or tax advice. The parties are advised to seek legal, financial and tax advice concerning the effect of these escrow instructions, and the terms and conditions of the purchase and sale transaction. The parties acknowledge that no representations are made by Escrow Holder about the legal sufficiency, legal consequences, financial effects or tax consequences of the within transaction. 37. Loan Payoffs When a mortgage, deed of trust or tax lien is to be paid off through escrow, Escrow Holder is authorized to pay the payoff demand received from the creditor. Seller/borrower understands that a loan payoff may include a prepayment penalty and other charges. 38. PRIVACY STATEMENT Effective Date: July 1, 2013 Golden Coast Escrow, Inc. respects the privacy and security of Clients non-public personal information ("Personal Information") and protecting Clients Personal Information is one of our top priorities. This Privacy Statement explains Golden Coast Escrow, Inc.'s privacy practices, including how we used the Personal Information we receive from the Client and from other specified sources, and to whom it may be disclosed, Golden Coast Escrow, Inc. may share information as described herein. PERSONAL INFORMATION COLLECTED We may collect personal information about you from the following sources: Information we receive from you on applications or other forms, such as your name, address, social security number, tax identification number, asset information, and income information; Information we receive from you through our Internet websites, such as your name, address, email address, Internet Protocol address, the website links you used to get to our websites, and your activity while using or reviewing our websites; Information about your transaction with or services performed by us, our affiliates, or others, such as information concerning policy, premiums, payment history, information about your home or other real property, information from lenders and other third parties involved in such transaction, account balances, and credit card information; and Information we receive from consumer or other reporting agencies and publicly recorded documents. DISCLOSURE OF PERSONAL INFORMATION We may provide your personal information (excluding information we receive from consumer or other credit reporting agencies) to various individuals and companies, as permitted by law, without obtaining your prior authorization. Such laws do not allow consumers to restrict these disclosures. Disclosures may include, without limitation, the following: To insurance agents, brokers, representatives, support organizations, or others to provide you with services you have requested, and to enable to detect or prevent criminal activity, fraud, material misrepresentation, or nondisclosure in connection with an insurance transaction; To third -party contractors or service providers for the purpose of determining your eligibility for an insurance benefit or payment and/or providing you with services you have requested; To an insurance regulatory authority, or a law enforcement or other governmental authority, in a civil action, in connection with a subpoena or a governmental investigation; To companies that perform marketing services on our behalf or to other financial institutions with which we have joint marketing agreements and/or Seller(s) Initials Buyer(s) Initials City Council Page 8 14 — 25 4/4/2023 Date: 2/24/2023 RE: Escrow No. 4484-1-(�'-XHIBIT 2 • To lenders, lien holders, judgment creditors, or other parties claiming an encumbrance or an interest in title whose claim or interest must be determined, settled, paid or released prior to a title or escrow closing. We may also disclose your Personal Information to others when we believe, in good faith, that such disclosure is reasonably necessary to comply with the law or to protect the safety of our customers, employees, or property and/or to comply with a judicial proceeding, court order or legal process. Disclosure to Affiliated Companies: We are permitted by law to share your name, address and facts about your transaction with other companies, such as insurance companies, agents, and other real estate service providers to provide you with services you have requested, for marketing or product development research, or to market products or services to you. We do not, however, disclose information we collect from consumer or credit reporting agencies with our affiliates or others without your consent, in conformity with applicable law, unless such disclosure is otherwise permitted by law. Disclosure to Nonaffiliated Third Parties: We do not disclose Personal Information about our customers or former customers to nonaffiliated third parties, except as outlined herein or as otherwise permitted by law. CONFIDENTIALITY AND SECURITY OR PERSONAL INFORMATION We restrict access to Personal Information about the Client to those employees who need to know that information to provide products or services. We maintain physical, electronic, and procedural safeguards that comply with federal regulations to guard Personal Information. ACCESS TO PERSONAL INFORMATION / REQUESTS FOR CORRECTION, AMENDMENT, OR DELETION OF PERSONAL INFORMATION As required by applicable law, Escrow Holder will afford the right to access personal information, under certain circumstances to find out to who the personal information has been disclosed, and request correction or deletion of personal information. However, Golden Coast Escrow, Inc.'s current policy is to maintain customers' Personal Information for no less than state's required retention requirements for the purpose of handling future coverage claims. For your protection, all requests made under this section must be in writing and must include notarized signature to establish your identity, Where permitted by law, we may charge a reasonable fee to cover the costs incurred in responding to such requests. Please send requests to: Chief Privacy Officer Golden Coast Escrow, Inc. 130 Centennial Way #D Tustin, CA 92780 CHANGES TO THIS PRIVACY STATEMENT This Privacy Statement may be amended from time to time consistent with applicable privacy laws. The effective date of this Privacy Statement, as stated above, indicates the last time this Privacy Statement was revised or materially changed. We, jointly and severally, acknowledge receipt of a complete copy of the within escrow instructions and by our signatures set forth below, acknowledge that we have read and understand and agree to the same in their entirety. 39. cannabis Please be aware that due to the conflict between Federal and State laws concerning the cultivation, distribution, manufacture or sale of cannabis, this company reserves the right to cancel at any time, any transaction held at Golden Coast Escrow, Inc., Inc. at Escrow Holder's discretion, should Escrow Holder become aware of any conflict within said transaction regarding the Federal and State laws concerning cannabis. Escrow Holder is held harmless and released from all liability, monetary or otherwise, from all parties, including, but not limited to Seller, Buyer, Real Estate Brokers/ Agents and Lenders should a conflict arise during escrow or after consummation of said escrow without Escrow Holder's knowledge. 40. Earnings Credits Escrow Holder (Golden Coast Escrow, Inc.) receives earning credit from COMMERCE WEST to offset Bank Fees. BY SIGNING BELOW, EACH PARTY SIGNING THE FOREGOING TERMS CONDITIONS, PROVISIONS AND INSTRUCTIONS TOGETHER WITH THE GENERAL PROVISIONS SET OUT HEREIN THESE INSTRUCTIONS HAS READ AND APPROVES, ACCEPTS AND AGREES TO BE BOUND. THE UNDERSIGNED BUYER (S) AND SELLER (S) ACKNOWLEDGES RECEIPT OF A COPY OF THESE INSTRUCTIONS. Seller(s) Garnsey Corp, a Delaware Corp Seller(s) Initials City Council Buyer(s) Santa Ana, a Charter City And Municipal Corporat Buyer(s) Initials Page 9 14 — 26 4/4/2023 Date: 2/24/2023 RE: Escrow No. 4484-L(�-XHIBIT 2 City Council page 10 14— 27 4/4/2023 Parks, Recreation, and Community Services www.santa-ana.org/parks Item # 15 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report April 4, 2023 TOPIC: Agreement with Merritt Studio for Cultura Magazine Design Services AGENDA TITLE Approve an Agreement with Merritt Studio in a total agreement amount not to exceed $145,000 to provide Graphic Design Services for the Cultura Publication and Additional Design Services as Needed (General Fund) RECOMMENDED ACTION Authorize the City Manager to execute an agreement with Merritt Studio, LLC to provide graphic design services for the Cultura publication and additional design services as needed, for a three-year term beginning on April 4, 2023 through April 3, 2026 with options for two one-year extensions, and a total agreement amount not to exceed $145,000, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION After completing the second issue of the piloted Cultura: A Community Connection Guide, staff determined that the community impact of the Cultura magazine is far- reaching and brings substantial value as it promotes the programs and services offered by the Library, Parks and Recreation, and the Zoo. There is a need in the community for continued outreach efforts and program awareness. The magazine publication provides the opportunity for these three services to reach residents. The City of Santa Ana issued a Request for Proposals (RFP) No. 22-164 (Exhibit 1) for Cultura magazine design services on issued November 17, 2022 with a deadline of November 23, 2022. A summary of the RFP results is below: 113 vendors notified • 16 Santa Ana vendors notified 15 vendors downloaded the bid packet • 3 bids received • 0 bids received from Santa Ana vendors City Council 15-1 4/4/2023 Agreement with Merritt Studio for Cultura Magazine Design Services April 4, 2023 Page 2 The staff review committee completed the first review of the three bids during the week of January 9, 2023 and conducted in -person interviews with the top two rated bidders on January 26, 2023. After evaluation, the selection committee decided to move forward with the Notice of Intent to Merritt Studio based on their overall vision for the project and understanding of the Santa Ana culture. Along with previous work experience in the world of recreation services, Merritt Studio provides a range of experience outside of government entities that the selection committee felt would lead to the Cultura magazine staying modern and up to date with marketing trends. Merritt Studio provides intimate and personalized services as a small business. Communication regarding the design process is streamlined and direct with the President and Creative Director. Staff believes that working with Merritt Studio will lead to the best collaboration and final products. FISCAL IMPACT Funds are budgeted and available in the following accounts for the current year and will be budgeted and made available for subsequent years of the initial term. Fiscal Accounting Fund Accounting Unit, Amount Year Unit -Account # Description Account Description FY 22-23 01113220- General PRCSA-Zoo-Contractual $2,500 62300 Fund Services Professional FY 22-23 01113230- General PRCSA-Recreation & $2,500 62300 Fund Community Services - Contractual Services Professional FY 22-23 01111110- General Library -Administration- $2,250 62300 Fund Contractual Services Professional FY 23-24 01113220- General PRCSA-Zoo-Contractual $10,000 62300 Fund Services Professional FY 23-24 01113230- General PRCSA-Recreation & $10,000 62300 Fund Community Services - Contractual Services Professional FY 23-24 01111110- General Library -Administration- $9,000 62300 Fund Contractual Services Professional FY 24-25 01113220- General PRCSA-Zoo-Contractual $10,000 62300 Fund Services Professional FY 24-25 01113230- General PRCSA-Recreation & $10,000 62300 Fund Community Services - City Council 15 — 2 4/4/2023 Agreement with Merritt Studio for Cultura Magazine Design Services April 4, 2023 Page 3 Contractual Services Professional FY 24-25 01111110- General Library -Administration- $9,000 62300 Fund Contractual Services Professional FY 25-26 01113220- General PRCSA-Zoo-Contractual $7,500 62300 Fund Services Professional FY 25-26 01113230- General PRCSA-Recreation & $7,500 62300 Fund Community Services - Contractual Services Professional FY 25-26 01111110- General Library -Administration- $6,750 62300 Fund Contractual Services Professional Total -Initial Term $87,000 The City has the option to extend the agreement for two, one-year terms. Funds will be budgeted and made available in the following accounts for future years. Fiscal Accounting Fund Accounting Unit, Amount Year Unit -Account # Description Account Description FY 25-26 01113220- General PRCSA-Zoo-Contractual $2,500 62300 Fund Services Professional FY 25-26 01113230- General PRCSA-Recreation & $2,500 62300 Fund Community Services - Contractual Services Professional FY 25-26 01111110- General Library -Administration- $2,250 62300 Fund Contractual Services Professional FY 26-27 01113220- General PRCSA-Zoo-Contractual $10,000 62300 Fund Services Professional FY 26-27 01113230- General PRCSA-Recreation & $10,000 62300 Fund Community Services - Contractual Services Professional FY 26-27 01111110- General Library -Administration- $9,000 62300 Fund Contractual Services Professional FY 27-28 01113220- General PRCSA-Zoo-Contractual $7,500 62300 Fund Services Professional FY 27-28 01113230- General PRCSA-Recreation & $7,500 62300 Fund Community Services - City Council 15 — 3 4/4/2023 Agreement with Merritt Studio for Cultura Magazine Design Services April 4, 2023 Page 4 Contractual Services Professional FY 27-28 01111110- General Library -Administration- $6,750 62300 Fund Contractual Services Professional Total -Extended Term $58,000 Agreement Total $145,000 EXHIBIT(S) 1. Agreement Submitted By: Hawk Scott, Executive Director of Parks, Recreation and Community Services Approved By: Kristine Ridge, City Manager City Council 15 — 4 4/4/2023 Exhibit 1 AGREEMENT WITH MERRITT STUDIO TO PROVIDE DESIGN SERVICES THIS AGREEMENT is made and entered into on this 4th day of April, 2023 by and between Merritt Studio, LLC, a California limited liability company ("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. On November 17, 2022, the City issued Request for Proposal (`RFP") No. 22-164, by which it sought a qualified consultant having special skill and knowledge in the field of design, layout, and translation services to provide the City an activity guide to distribute via print and digital format in different languages. B. Consultant submitted a responsive proposal that was selected by the City. Consultant represents that it is able and willing to provide the services described in the scope of work that was included in RFP 22-164. 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 graphic designs of up to four (4) City publications per year, including content translated into other languages at the sole discretion of the City as well as the tasks and obligations including all labor, materials, tools, equipment, and incidental customary work required to fully and adequately complete the services further described in the scope of work that was included in RFP No. 22-164, which is attached as Exhibit A and incorporated in full, and as further delineated in the Consultant's proposal, which is attached as Exhibit B and incorporated in full. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services for City, the rates and charges identified in Exhibit C. The total amount to be expended during the term of this Agreement, including any extension periods, shall not exceed One Hundred, Forty -Five Thousand Dollars and Zero Cents ($145,000.00). b. Payment by City shall be made within forty-five (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. c. Payment need not be made for work which fails to meet the standards of performance City Council 15 — 5 414 23 f 9 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 until April 3, 2026, unless terminated earlier in accordance with Section 15, below. The term of this Agreement may be extended for two (2), one-year periods upon a writing executed by the City Manager and City Attorney. 4. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent Consultant 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. Minimum Scope and Limit of Insurance 1. Professional Liability (Errors and Omissions): insurance appropriate to the Consultant's profession, with limit no less than $1,000,000 per occurrence or City Council 15 — 6 414 23 f 9 claim. If a general aggregate limit applies, either the general aggregate limit shall apply separately to this project (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit. 2. Automobile Liability: ISO Form Number CA 00 01 covering any auto (Code 1), or if Consultant has no owned autos, hired (Code 8) and non -owned autos (Code 9), with a limit of no less than $1,000,000 per accident for bodily injury and property damage. 3. Workers' Compensation: as required by the State of California, with Statutory Limits, and Employer's Liability insurance with limit of no less than $1,000,000 per accident for bodily injury or disease. 4. Broader Coverage: if the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by the Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. b. Other Insurance Provisions Additional Insured Status: The City, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Consultant including materials, parts, or equipment furnished in cormectionwith such work or operations. General liability coverage can be provided in the form of an endorsement to the Consultant's insurance (at Least as broad as ISO Form CG 20 10 1185 or if notavailable, through the addition of both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 2037 if a later edition is used). 2. Primary Coverage: For any claims related to this contract, the Consultant's insurance coverage shall be primary coverage at least as broad as ISO CG 20 0104 13 as respects the City, its officers, officials, employees, and volunteers. Any insurance or self-insurance maintained by the City, its officers, officials, employees, or volunteers shall be excess of the Consultant's insurance and shall not contribute with it. 3. Notice of Cancellation: Each insurance policy required above shall provide that coverage shall not be canceled, except with notice to the City. 4. Waiver of Subrogation: Consultant hereby grants to City a waiver of any right to subrogation that any insurer of said Consultant may acquire against the City by virtue of the payment of any loss under such insurance. Consultant agrees to obtain any endorsement that may be necessary to affect this waiver of City Council 15 — 7 414 23 f 9 subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer. 5. Self -Insured Retentions: Self -insured retentions must be declared to and approved by the City. The City may require theConsultant to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self - insured retention may be satisfied by either the named insured or City. 6. Acceptability of Insurers: Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best's rating of no less than ANII, unless otherwise acceptable to the City. 7. Claims Made Policies (applicable only to professional liability): i. The Retroactive Date must be shown, and must be before the date of the contract or the beginning of contract work. ii. Insurance must be maintained and evidence of insurance must be provided.for at least.ive (5) years after completion of the contract of work iii. If coverage is canceled or non -renewed, and not replaced with another claims -made policy form with a Retroactive Date prior to the contract effective date, the Consultant must purchase "extended reporting" coverage for a minimum of five (5) years after completion of work. 8. Verification of Coverage: Consultant shall furnish the City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage requiredby this clause) and a copy of the Declarations and Endorsement Page of the CGLpolicy listing allpolicy endorsements to City before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive the Consultant's obligation to provide them. The City reserves the right to require complete, certified copies of all required insurance policies,including endorsements required by these specifications, at any time. 9. Subcontractors: Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Consultant shall ensure that City is an additional insured on insurance required from subcontractors. City Council 15 — 8 414 23 f 9 10. Special Risks or Circumstances. City reserves the right to modify these requirements, including limits, based on the nature of therisk, prior experience, insurer, coverage, or other special circumstances. 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. f9 City Council 15 — 9 414 2 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-DISCRIMINATION 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 terns 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. f9 City Council 15 — 10 414 2 14. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 15. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver 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 tmless 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 City Council 15 —11 414 23 f 9 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. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa. Ana, CA 92702-1988 Fax: 714- 647-6956 With courtesy copies to: Executive Director, Parks, Recreation & Community Services Agency City of Santa Ana 20 Civic Center Plaza (M-23) P.O. Box 1988 Santa Ana, California 92702 Fax: 714-571-4211 To Consultant: Merritt Studio, LLC Attn: Merritt Devin Dailey 1140 Cerritos Dr. Fullerton, CA 92835 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. f9 City Council 15 — 12 414 2 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. The Agreement is the final and complete agreement and any prior or contemporaneous agreements for similar services between the parties is superseded by this Agreement. This shall not apply where the Parties are currently engaged and Consultant is providing services not contemplated by this Agreement. C. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Jennifer Hall City Clerk APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Br n Salvatierra Deputy City Attorney RECOMMENDED FOR APPROVAL: Hawk Scott Executive Director Parks, Recreation & Community Services Agency CITY OF SANTA ANA Kristine Ridge City Manager CONSULTANT: By: HE•t/rT Lt�IG6 Title: P2Es/O Eq�/mac OipE�lUa- Page 9 of 9 City Council 15 — 13 4/4/2023 EXHIBIT A City Council 15 — 14 4/4/2023 (2) I. SCOPE OF SERVICES CITY OF SANTA ANA EXHIBIT 1 SCOPE OF SERVICES The City of Santa Ana is seeking a graphics artist or design studio to create "Cultura: A Community Connection Guide" (Cultura), a quarterly magazine that will be posted online, as well as in print for distribution to the Santa Ana Community. Cultura can vary in pages from 30 to 50, including the cover, depending on the content needed at the time of year. A sample of the first issue of Cultura can be found at www.santa-ana.org/cultura. The City may also have a need for general graphic design services for additional projects, as needed (i.e. logos, flyers, brochures, maps, PowerPoint templates, etc.) A. Desired Services 1. Continue with the design concept set forth with the initial issue of "Cultura". While the design of the publications do not have to be identical, they should stay consistent with use of colors, fonts or other designs that tie them into the brand of the City. 2. Indicate the number of permissible client reviews allowed under the proposal. The City of Santa Ana prefers a minimum of five (5) drafts and changes. Indicate additional costs for additional drafts and changes if applicable in the proposal. 3. Provide a selection of stock photo files and art available for use at no extra cost. Stock photos used in City publications will be made available to the City for future use. Indicate any extra costs in the proposal. 4. Use of graphics and other design techniques is desirable to create an appealing look or to fill the layout. This may include reorganization of sections/information, fonts, headlines, and consistent graphic elements. Cover design and artwork should include high -resolution photography. 5. The City will provide general direction as to what information should be placed on each page, as well as articles/content and applicable in-house photos. B. Schedules and Deadlines The Cultura is scheduled to be published according to the following approximate schedule: RFP No. 22-164 Edition Approximate Publish Date Summer Beginning to Mid -August Fall Beginning to Mid -November Winter Beginning to Mid -February Spring Beginning to Mid -May RFP Cultura Magazine Design Services Page 18 of 35 City Council 15 — 15 4/4/2023 (aw�, t CITY OF SANTA ANA C. Publication Process for Cultura The City will lead publication efforts. The nature of the tasks involves ongoing communication between City staff and the graphic artist via email and phone calls to ensure a finished and professional product acceptable by the City. 2. The production timeline for Culture will span a minimum of 19 calendar days, but may vary based on content or needs, as determined by the Project Manager. 3. Production begins once City staff provides the project content and ends once a digital file is uploaded to the City's selected printer. 4. The graphic artist/design studio will design and provide a digital PDF proof to the City for review during the review process. City staff will provide the graphic artist all drafts in PDF files for proofing and correction, until publication is approved for sending to printer. 5. The graphic artist will provide files to the printer according to the printer's specifications or as an acceptable industry standard format. The graphic artist will upload the digital file via a File Transfer Protocol ("FTP") site to the City's printer. The graphic artist will communicate the successful transfer of the file via email to the printer and City staff. 6. The graphic artist/design studio will email an electronic PDF version of the newsletter for posting on the City's website. 7. The graphic artist/design studio will ensure all aspects of production are on schedule to meet delivery, print and mailing deadlines. Additionally, the graphic artist/design studio shall maintain open and regular communication with City staff and selected printer. 8. The publication process for other projects will be negotiated on a case -by -case basis with the project manager. D. Project Management The City will require one kick-off meeting following contract award. Progress meetings will be scheduled throughout the contract years, if needed. In -person meetings may be required as determined by the City. E. Additional Individual Services These services can be priced individually as a la carte items for the proposal but they may or not be included in the final agreement. RFP No. 22-164 The City may request additional photography from the graphic artist/design studio. These services may be performed by the studio directly or they may source out, as needed. 2. The City may have a need for translation services to produce a Spanish and Vietnamese version of the Cultura. This will be determined by the Project Manager, as needed. These services may be performed by the studio directly or they may source out, as needed. RFP Cultura Magazine Design Services Page 19 of 35 City Council 15 — 16 4/4/2023 (2) RFP No. 22-164 CITY OF SANTA ANA 3. The City may request copywriting for specific items included in the design of the Cultura or other items created for City use by the graphic artist/design studio. This will be determined at the discretion of the Project Manager, as needed. 4. The City may request specific designs and/or illustrations be created for City -use only. This will be determined at the discretion of the Project Manager, as needed. RFP Cultura Magazine Design Services Page 20 of 35 City Council 15 — 17 4/4/2023 EXHIBIT B City Council 15 — 18 4/4/2023 Table of Contents 1 A Statement of Qualifications ...............2 Firm and Team Experiences..............3 Proposed Work Plan ......................... 4 B Cost Proposal ..................................... 6 C Certifications.....................................7 City Coun aferritt StudioDesigne Vices q 4/4/2023 Statement of Qualifications a. Cover Letter Cori Lantz, Parks and Recreation Supervisor City of Santa Ana— Parks, Recreation and Community Services 20 Civic Center Plaza, M-23 Dear Cori, Merritt Studio is interested in continuing design services for Cultura. Our experience with other cities can contribute to a unique representation through printed and digital experiences. The first Cultura issue was a success but presented new opportunities to continue to refine how to better connect to the community. Merritt Studio would love to strive for more refinement, deeper connections, and robust resources for all community members. Sincerely, Merritt Devin Dailey City Coun aferritt Studio esign e Vice520 4/4/2023 Statement of Qualifications b. Firm and Team Experience i. Description of Firm: Creative Services include: branding and identity, design systems: print, digital, and environmental, content creation, brand direction and strategy. 1- Creative Director/Graphic Designer will be working with the City. ii. Firm Address: 1140 Cerritos Drive Fullerton, CA 92835 iii. Project Manager/Principal Agent: Name: Devin Dailey Title: Creative Director Telephone Number: 949.370.3824 Email: Devin@a merritt.la iv. Link to example of completed Digital Magazine: https: //indd. adobe. com/view/d 28fd 2f8 -e 304- 4641-bfel-17c 57cle9d3O City Coun aferritt Studio esign e Vice521 4/4/2023 Statement of Qualifications U c. Proposed Work Plan Merritt Studio understands the Scope of Services. i. Anticipated approach: 1. Continue to Explore - Refine the look and feel for the City of Santa Ana through Cultura - Visualize the essence of the city through vibrant typography, colors, photography, illustration, and stories - Heighten the awareness of the city's amenities and draw attention to the active and diverse community - Define the visual language that captures the attention of the diverse amenities 2. Design and Layout - Refine the design system that will continue to be flexible for various content - Focus on legible and contemporary typography that reads well across multiple generations of readers - Harness a color palette that is fresh, vibrant, and inviting ii. Suggestions - Create a photography guideline - Continue to build out a photography library (library services, zoo attractions and events, parks and recreation classes and community events) iii. Description of Deliverables and Implementation Plan - Fully designed magazine sent to print - English - Fully designed PDF posted online - English - Fully designed magazine sent to print - Spanish - Fully designed PDF posted online - Spanish - Fully designed magazine sent to print - Vietnamese - Fully designed PDF posted online - Vietnamese City Coun aferritt Studio esign e Vice522 4/4/2023 Statement of Qualifications 5 c. Proposed Work Plan Continued All content (copy, photos, QR codes, etc.) will be shared with Merritt Studio. Merritt Studio will begin the design and layout of Cultura. Simultaneously, the content will be given to translation services for Spanish and Vietnamese translation. There will be 5 revisions included. When the final issue is approved Merritt Studio will input the Spanish translation and prepare for print and digital export. Merritt Studio will share packaged InDesign files with translation services for Vietnamese production. Merritt Studio will prepare all three versions for print and digital export. Phase I 1 Week Kick-offmeeting Merritt Studio Design and Revise Templates Phase II 2 Weeks Merritt Studio receives content Merritt Studio Design and Layout - English City of Santa Ana review Phase III 1 Week Notes to Merritt Studio City of Santa Ana final review Final notes to Merritt Studio Send off copy to Translation Services -Spanish and Vietnamese 2 Weeks Send to printer - English Export to PDF for Digital upload - English Production for Spanish 1.5 days; .5 day for review Export to PDF for Digital upload - Spanish Send off for production - Vietnamese 2 days, .5 for review Export to PDF for Digital upload - Vietnamese City Coun aferritt Studio esign e Vice523 4/4/2023 Cost Proposal M a. Cost Proposal Deliverables - Cultura Issues broken out into seasons $5,000 - First Issue: Winter = 32 pages English (printed and digital) $1,500 - First Issue: Winter = 32 pages Spanish (printed and digital)" TBD - First Issue: Winter = 32 pages Vietnamese (printed and digital)" $5,000 - Second Issue: Spring = 32 pages English (printed and digital) $1,500 - Second Issue: Spring = 32 pages Spanish (printed and digital)' TBD - Second Issue: Spring= 32 pages Vietnamese (printed and digital)`* $6,500 - Third Issue: Summer = 48 pages English (printed and digital) $2,250 - Third Issue: Summer = 48 pages Spanish (printed and digital)' TBD - Third Issue: Summer —48 pages Vietnamese (printed and digital)" $5,000 - Fourth Issue: Fall — 32 pages English (printed and digital) $1,500 - Fourth Issue: Fa11= 32 pages Spanish (printed and digital)' TBD - Fourth Issue: Fall = 32 pages Vietnamese (printed and digital)" Translation Services costs not included " Translation Services, and Desktop Publishing costs not included b. Project Lump Sum $28,250 c. Additional Draft Reviews/Changes $150/hour d. Stock Photos Merritt Studio will try to use Royalty Free photos to begin with, if needed we will reach out to Getty Images, iStock, or other services. Purchase rates will depend on licensing agreement. We will route for apprvoal before purchase. e. Studio Rate $150/hour City Coun aferritt Studio esign e ViceN 4/4/2023 Attachment A 7 FI CITY OF SANTA ANA ATTACHMENT A PROPOSER'S CERTIFICATION, PROPOSAL ITEM PRICING Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Exhibit 1) and am qualified to provide services being requested as specified herein. 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'S STATEMENT: I have read, understood and agree to the terms and conditions on all pages of the Request for Qualifications. Upon request, I will transfer and deliver goods or services to the City in accordance with said terms and conditions. 64-01"'C) N12 R,erTT STvn/o, /mac. 7q7. 370.313L�l ('rA#'V1 LEGAL NAME OF COMPANY PHONE AND FAX NUMBERS //'�10 6FitR/TDS OQ. PV"iF-+e7VIV., cq `/2835 BUSINESS ADDRESS PRINTED NAME f'�c'S/06✓; AGENT DATE E-MAIL NUMBLK (IF AVVLIUAbLL) UUN I KAG 1 UK 1 (IFAPPLICABLE) THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP No. 22-164 RFP Culture Magazine Design Services Page 29 of 35 City Coun 6jerritt Studio esign e Ice525 4/4/2023 Attachment R M CITY OF SANTA ANA ATTACHMENT B 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:_ C /Ty pG f j} fii✓ifContact Individual: 71H1 , 1'1j0_r}ND Address: 20 G//'/C Cfl� Phone Number: 7/f) 'f71. 2 � S�t%✓1JLa/vA o/% EMAIL: 7_1746-f,0VV t!0SA4j'_,4 OAe4- '9s7o/ Contract Amountp�Zo,00 0 Year: 20 2-2-_/23 Description of supplies, equipment, or services provided (�'APif/c m�Ji/�i✓ 46,-Y uT Ai✓y PAi57-P.c15:S5 .4 AfzA -. REFERENCE Customer Name: �110� J , Contact Individual: OIA�D/ 544/1/44-,iWl O Address: 20 1:71r14 061A/2 oNiZH Phone Number: 2N,9T40W- 5W/—+N4%M 9270/ EMAIL: C,W>YI�bV SsHVD1 �i✓�4.LY21,— Contract Amount:.G2o,000 Year: 2oZ2123 Description of supplies, equipment, or services provided: J4-Mc 'fr A.-F6�"vc,E lPkv: REFERENCE Customer Name: C12oF-A^W,412'4'7_ ContactIndividual: ��/� F/✓ e$ Add ress:•33292•1A&V1W"'hV7XW_ Phone Number: ,DsYN/9 &/n�r_, 9a�z9 EMAIL: �'�EE�v!>EaS C�Ogit/AAo/oQ(r Contract Amount:/2�o�u Year: Description of supplies, equipment, or services provided: r THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP No. 22-164 RFP Cultura Magazine Design Services Page 30 of 35 City Coun 61crritt Studio esign cf�'ce526 4/4/2023 Attachment C 0 CITY OF SANTA ANA ATTACHMENT C PROPOSER'S STATEMENT Proposer understands and agrees that this written RFP (or any part thereof specifically designated and accepted by the City of Santa Ana, hereinafter City) shall constitute the entire agreement between proposer and the City only after it has been accepted by the City Council, endorsed by the Clerk of the Council with her signature and official seal noting hereon the action of approval of the Council, signed by the Executive Director or his duly authorized agent, and signed by the City Attorney, denoting his approval of the form of this document, and its execution, and when it or an exact copy of it has been either delivered to proposer or deposited with the United States Postal Service properly addressed to the proposer with the correct postage affixed thereto. Proposer further agrees that upon delivery (as defined above) of the accepted agreement he/she will furnish City all required bonds and certificate of liability insurance within ten (10) days (excluding Saturdays, Sundays and City's legal holidays), or the funds, check, draft, or proposers 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 proposers 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. AMW�l7T S77/0/0 Signed and Printed Name: /NCO Title C-) Date 2- Zo 2 Z �%6wvg/TT mil'", THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP No. 22-164 RFP Cu/fura Magazine Design Services Page 31 of 35 City COun 61crritt Studio esign ef�rce527 4/4/2023 Attachment D 10 MW CITY OF SANTA ANA ATTACHMENT D 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 non -collusion affidavit is part of the proposal. Signing this proposal on the signature portion thereof shall also constitute signature of this non -collusion affidavit. Proposers are cautioned that making a false certification may subject t certifier to criminal prosecution. /J /2.—t-2ozZ State of , County of Subscribed and sworn to (or affirmed) before me on this day of , 20_, by , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. Notary Public Signature Notary Public Seal THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP No. 22-164 RFP Culfura Magazine Design Services Page 32 of 35 City Coun 61crritt Studio esign e Ice528 4/4/2023 Attachment E it (9 CITY OF SANTA ANA ATTACHMENT E 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 all certify and disclose accordingly. Signed: _A� Title: 1-7Af 5-/Dzc-Af Firm: Date: /t-�g�7-01Z THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP No. 22-164 RFP Cultura Magazine Design Services Page 33 of 35 City Council 15 — 29 4/4/2023 Attachment F 12 M CITY OF SANTA ANA Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance: provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any consultant of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: %%f/✓/l7i✓� Title: /-0S/D�i1/%� Firm: % % Date: /272-02Z THIS RFP No. 22-164 AND DO NOT RFP Cultura Magazine Design Services Page 35 of 35 City Coun 6jerritt Studio esign e Ices30 4/4/2023 EXHIBIT C City Council 15 — 31 4/4/2023 Cultura - 32 Pages $5,000.00 Desiqn, Layout, Prepress and send off to Print. Prepare for diqital export as an interactive PDF. Cultura - 36 Pages $5,375.00 Design, Layout, Prepress and send off to Print. Prepare for digital export as an interactive PDF. Cultura - 40 Pages $5,750.00 Design, Layout, Prepress and send off to Print. Prepare for digital export as an interactive PDF. Cultura - 44 Pages $6,125.00 Design, Layout, Prepress and send off to Print. Prepare for digital export as an interactive PDF. Cultura - 48 Pages $6,500.00 Design, Layout, Prepress and send off to Print. Prepare for digital export as an interactive PDF. Cultura - 52 Pages $6,875.00 Design, Layout, Prepress and send off to Print. Prepare for digital export as an interactive PDF. Cultura - 4 Pages - Additional Spreads $375.00 Should additional pages need to be added above 52 pages, there will be an incremental charge of 375.00 per four pages. Cultura - 32 Pages - SPANISH $1,500.00 Translation Production taking English to Spanish. Prepress and send off to Print. Prepare for digital export as an interactive PDF. Does not include Translation Services. Cultura - 36 Pages - SPANISH $1,685.00 Translation Production taking English to Spanish. Prepress and send off to Print. Prepare for digital export as an interactive PDF. Does not include Translation Services. Cultura - 40 Pages - SPANISH $1,875.00 Translation Production taking English to Spanish. Prepress and send off to Print. Prepare for digital export as an interactive PDF. Does not include Translation Services. Cultura - 44 Pages - SPANISH $2,065.00 Translation Production taking English to Spanish. Prepress and send off to Print. Prepare for digital export as an interactive PDF. Does not include Translation Services. Cultura - 48 Pages - SPANISH $2,250.00 Translation Production taking English to Spanish. Prepress and send off to Print. Prepare for digital export as an interactive PDF. Does not include Translation Services. City Council 15 — 32 4/4/2023 Cultura - 52 Pages - SPANISH $2,435.00 Translation Production taking English to Spanish. Prepress and send off to Print. Prepare for digital export as an interactive PDF. Does not include Translation Services. Cultura - 4 Pages - Additional SPANISH Spreads $185.00 Translation Production taking English to Spanish. Should additional pages need to be added above 52 pages, there will be an incremental charge of 185.00 per four pages. Translation Services SPANISH - Rate per Word $0.18 To be determined based on total word count. Agreement between Merritt Studio and the City of Santa Ana made before sign -off of translation. Contracted through TransPerfect Translation. Translation Services VIETNAMESE - Rate per Word $0.24 To be determined based on total word count. Agreement between Merritt Studio and the City of Santa Ana made before sign -off of translation. Contracted through TransPerfect Translation. Translation Services VIETNAMESE Desktop Publishing - Hourly Rate $75.00 Hourly Rate for Desktop Publishing - Receiving InDesign Files and inserting translated copy. Contracted through TransPerfect Translation. Studio Rate - Hourly - Range of Services $150.00 Hourly Rate for various Services: Graphic Design, Illustration, Photography, Design and Layout, Collateral, etc. City Council 15 — 33 4/4/2023 Public Works Agency www.santa-ana.org/public-works Item # 16 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report April 4, 2023 TOPIC: Median Landscape Maintenance Services AGENDA TITLE Amend Agreement with Landscape West Management Services, Inc. to Increase the Contract Amount by $2,300,000 for Right -of -Way and Median Landscape Maintenance Services (Project No. 22-1309) (General Fund and Non -General Fund) (Revive Santa Ana Program) RECOMMENDED ACTION Authorize the City Manager to execute the seventh amendment to the agreement for the second renewal option with Landscape West Management Services, Inc. for Right -of - Way and Median Landscape Maintenance Services to increase the contract amount by $2,300,000 for a total agreement amount not to exceed $8,222,000 for the remaining term of the agreement ending on June 30, 2025, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Agency's Maintenance Services Division (Maintenance Services Division) is responsible for maintaining over 30 miles of City street medians and neighborhood entry areas. The services include but are not limited to mowing, weed mitigation and removal, trash removal, and irrigation system maintenance. On July 2, 2019, the City Council approved an agreement with Landscape West Management Services, Inc. to provide median landscape maintenance and right-of-way cleaning services. During the second round of the American Rescue Plan Act (ARPA) spending plan in 2022, $1,000,000 was allocated for Sanitation & Prevention Programs. Furthermore, as part of the Mid -Year budget process in March 2022, an additional $1,300,000 in ARPA funding (Project No. 22-1309) was identified and reallocated to contractual services for a total of $2,300,000, to continue with the enhanced cleaning and sanitization services of high -traffic pedestrian and bicyclist areas. Since 2022, program services have resulted in enhanced cleaning and sanitization of over 15,000 locations within the Qualified Census Tracts (QCT) outlined in the ARPA guidelines (Exhibit 1). City Council 16 — 1 4/4/2023 Amend Median Landscape Maintenance Services Agreement April 4, 2023 Page 2 Staff recommends increasing the agreement with Landscape West Management Services, Inc. by $2,300,000 for a total agreement amount not to exceed amount $8,222,000 (Exhibit 2). FISCAL IMPACT The current fiscal year funding is available in the FY 2022-23 budget and future fiscal year funding will be included in the proposed budgets for City Council consideration. Funds will be spent according to the spending plan below: Accounting Unit— Fund Accounting Unit, Amount Fiscal Year Account # Description Account Project No.)Description CURRENT ANNUAL CONTRACT (1ST TWO-YEAR EXTENSION — YEAR 2 of 2) Median Special Gas Landscaping, $1,270,000 02917635-62320 Tax Maintenance & Repair Buildings & Ground American Rescue 18117013-62300 American Plan Act-PWA, $612,000 FY 2022-23 (22-1309) Rescue Plan Contract Services - Act Professional PWA Service Enhancement, 01117017-62320 General Fund Maintenance & $500,000 Repair Buildings & Ground SUBTOTAL $2,382,000 REQUESTED AMENDMENT American American Rescue FY 2022-23 18117013-62300 Rescue Plan Plan Act-PWA, $255,556 (22-1309) Act Contract Services - Professional ADJUSTED SUBTOTAL $2,637,556 OPTIONAL TWO-YEAR EXTENSION Median Landscaping, 02917635-62320 Special Gas Maintenance & $1,270,000 Tax Repair Buildings & FY 2023-24 Ground 18117013-62300 American American Rescue (22-1309) Rescue Plan Plan Act-PWA, $1,022,222 Act City Council 16 — 2 4/4/2023 Amend Median Landscape Maintenance Services Agreement April 4, 2023 Page 3 Accounting Unit— Fund Accounting Unit, Amount Fiscal Year Account # Description Account Pro'ect No. Description Contract Services - Professional PWA Service Enhancement, 01117017-62320 General Fund Maintenance & $500,000 Repair Buildings & Ground Median Special Gas Landscaping, $1,270,000 02917635-62320 Tax Maintenance & Repair Buildings & Ground American American Rescue FY 2024-25 18117013-62300 Rescue Plan Plan Act-PWA, $1,022,222 (22-1309) Act Contract Services - Professional PWA Service Enhancement, 01117017-62320 General Fund Maintenance & $500,000 Repair Buildings & Grounds OPTIONAL EXTENSION SUBTOTAL $5,584,444 GRAND TOTAL $8,222,000 EXHIBIT(S) 1. ARPA Sanitization Location Map 2. Amendment to Agreement with Landscape West Management, Inc. Submitted By: Nabil Saba, P.E., Executive Director— Public Works Agency Approved By: Kristine Ridge, City Manager City Council 16 — 3 4/4/2023 EXHIBIT 1 Revive Santa Ana Sanitization & Prevention Program J5 F-1 "N o Sanitation Issue Location e - 2022 Qualified Census Tracts 6 '�a 1/2 City Council 16-4 iles EXHIBff 2 SEVENTH AMENDMENT TO AGREEMENT TO PROVIDE RIGHT OF WAY AND MEDIAN LANDSCAPE MAINTENANCE SERVICES THIS SEVENTH AMENDMENT to the above -referenced agreement is entered into on April 4, 2023, by and between Landscape West Management Services, Inc. ("Contractor"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ('City"). RECITALS A. The parties entered into Agreement No. A-2019-103, dated July 2, 2019, by which Contractor agreed to provide right-of-way and median landscape maintenance services for the Maintenance Services Division ofthe Public Works Agency ('Agreement"). B. On September 26, 2019, the parties entered into First Amendment No. N-2019-195 to increase the scope ofservices andthe amount expended under the Agreement from $770,000 to $1,020,000 for the period ending June 30, 2020. C. On May 5, 2020, the parties entered into Second Amendment No. A-2020-095 to further increase the amount expended under the Agreement from $1,020,000 to $1,055,000 for the period ending June 30, 2020. D. On December 1, 2020, the parties entered into the Third Amendment No. A-2020-248 to further increase the amount expended under the Agreement for the period ending June 30, 2021 and any extension periods to $1,020,000 annually. E. The original term ofthe Agreement was for two years until June 30, 2021 with the first two (2) year extension that was authorized on April 23, 2021. The Agreement remains in effect through June 30, 2023. F. On July 20, 2021, the parties entered into the Fourth Amendment A-2021-133 to further increase the amount expended under the Agreement from $1,020,000 annually to $1,270,000 annually. G. On September 7, 2021, the parties entered into the Fifth Amen din entA-2021-181 to further increase the amount expended under the Agreement for FY 2021-2022 only, from $1,270,000 to $2,270,000. H. On August 16, 2022, the parties entered into the Sixth Amendment A-2022-159 to further increase the amount expended imder the Agreement for FY 2022-2023 only, from $1,270,000 to $2,270,000. 1. The parties now wish to exercise the final two (2) year extension and further amend the Agreement to increase the contract amount for the remaining term o fthe agreement. Page I oft City Council 16 — 5 4/4/2023 The Parties therefore agree: 1. Section 2, Compensation, is hereby amended to increase the not -to -exceed amount to be expended under the Agreement by $2,300,000 for a total agreement not -to -exceed amount of $8,222,000 for the remaining term of the agreement, including the final extension period. 2. Section 3, Term, is hereby extended until June 30, 2025. The parties understand this extended tern is by exercise of the final two (2) year extension. 3. Except as modified by this Seventh Amendment, and all prior amendments, all terms and conditions of the Agreement shall remain in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this Seventh Amendment to the Agreement on the date and year first written above. ATTEST: Jennifer Hall City Clerk APPROVED AS TO FORM: Sonia R. Carvalho City Attorney rimdonSalvatierra Deputy City Attorney RECOMMENDED FOR APPROVAL Nabil Saba Executive Director Public Works Agency CITY OF SANTAANA Kristine Ridge City Manager CONTRACTOR Name: µto ae ( Title: Page 2 ot2 City Council 16 — 6 4/4/2023 Public Works Agency www.santa-ana.org/public-works Item # 17 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report April 4, 2023 TOPIC: Amend Agreement for Construction Engineering Services: SR-55/Ritchey Street Water Improvements AGENDA TITLE Approve an Appropriation Adjustment and Amend Agreement with Berg & Associates, Inc. for Construction Engineering Services for the SR-55/Ritchey Street Water Improvements Projects by an additional $900,000 for the remainder of the Agreement Term (Project Nos. 19-6438, 19-6439, 19-6440) (Non -General Fund) RECOMMENDED ACTION 1. Authorize the City Manager to execute an amendment to the agreement with Berg & Associates, Inc. for Construction Engineering Services for the SR- 55/Ritchey Street Water Improvements Projects to increase the compensation amount by $900,000, which includes a $780,000 increase to the base amount and a $120,000 contingency, for a total amount not to exceed $1,900,000 for the remainder of the term of the agreement, subject to non -substantive changes approved by the City Manager and City Attorney. 2. Approve an appropriation adjustment to recognize an additional $900,000 in the Acquisition & Construction, Water Utility Capital Projects, Expense Reimbursement-OCTA revenue account and appropriate the same amount into the Acquisition & Construction, Water Utility Capital Projects, Water Capital Project expenditure account. (Requires five affirmative votes) DISCUSSION On November 2, 2021, at the conclusion of a competitive bidding process, the City Council awarded a three-year agreement, with the provision for two one-year contract extensions, to Berg & Associates, Inc. to provide construction engineering services for the SR-55/Ritchey Street Water Improvements Projects. Berg & Associates, Inc. provide engineering staff support and assistance with the overall delivery of the project, including pre -construction tasks, construction management, contract compliance, and project closeout. City Council 17 — 1 4/4/2023 Amend Agreement for Construction Engineering Services April 4, 2023 Page 2 The SR-55/Ritchey Street Water Projects are being constructed as a result of Orange County Transportation Authority (OCTA)'s SR-55 Freeway widening project and OCTA is reimbursing the City for its cost. Berg & Associates, Inc. has continuously proved throughout the course of this project to be a valuable partner to the City. The firm has provided the additional staff and expertise necessary to manage construction of three separate water resources relocation projects. Berg & Associates, Inc. has encountered multiple unanticipated challenges during the construction phase of the projects, including extended project schedule due to material procurement delays and project scope changes, additional management services requested by the funding agency (OCTA), additional administrative duties due to inexperience of construction contractor on federally funded projects, and unexpected Community Workforce Agreement union fees. An additional description is provided in the consultant's request to increase the total contract amount (Exhibit 1). For these reasons, staff has exceeded the initial estimation of utilization of the contracted services. Staff recommends amending the agreement with Berg & Associates, Inc. to increase the not -to -exceed amount for the remainder of the contract term (Exhibit 2). This will ensure the City continues to meet the increased project demands and ensure a timely and quality delivery of the project. FISCAL IMPACT All funds expended for the water relocation project costs will be reimbursed by OCTA as outlined in the Cooperative Agreement No. C-0-2201 and three Utility Reimbursement Agreements for the State Route 55 Improvement Project. The approval of the appropriation adjustment will recognize $900,000 into the Acquisition & Construction, Water Utility Capital Projects, Expense Reimbursement-OCTA revenue account (No. 06617002-57004) and appropriate the same amount into the Acquisition & Construction, Water Utility Capital Projects, Water Capital Project expenditure account as shown below. Fiscal Accounting Unit— Fund Accounting Unit — Year Account No. Description Account No. Amount Description 2022-23 Acquisition & Water Utility Capital (July -June) 06617647-66301 Construction Projects, Water $180,000 Capital Project 2023-24 Acquisition & Water Utility Capital (July -June) 06617647-69011 Construction Projects, Reserve $600,000 Appropriation 2024-25 Acquisition & Water Utility Capital (July -Nov) 06617647-69011 Construction Projects, Reserve $120,000 Appropriation TOTAL: $900,000 City Council 17 — 2 4/4/2023 Amend Agreement for Construction Engineering Services April 4, 2023 Page 3 EXHIBIT(S) 1. Consultant Amendment Request 2. First Amendment to Agreement with Berg & Associates, Inc. Submitted By: Nabil Saba, P.E., Executive Director— Public Works Agency Approved By: Kristine Ridge, City Manager City Council 17 — 3 4/4/2023 EXHIBIT 1 Berg & Associates Inc. Your Bridge to a Better PP ct February 8, 2023 Mr. Gabriel Guerrero-Gabany, P.E. City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 RE: Construction Management Services for RFP 21-066 Estimate for Additional Budget - Increase to Total Contract Amount Dear Mr. Guerrero-Gabany, Through Bi-Weekly Owner/CM meetings and the Monthly Report, the Construction Management (CM) Team has kept the City informed as to the status of the CM budget and that additional budget for CM services will be required to complete the work. At this time, it appears the existing funds will be expended end of March 2023, based on the current usage rate. In general, the budget increase is due to 5 factors: 1) Additional admin work hours for various project issues, 2) Addition of CM scope for specialty inspections and scheduling included in Amendment 1, 3) Addition of CM scope for specialty inspections and scheduling to be included in Amendment 2, 4) Inspection OT/DT for Jack & Bore 72 hr/wk 5) Additional work periods of CM planned sched vs Contractor actual work sched. The original budget was built upon the assumption of the continuation of the CM budget with 6 months construction after March 2023 (2 months Ph-1 and 4 months Ph-2), as well as closeout (less than 1 month fulltime). The Contractor's current schedule update shows an increase in the schedule of 6 months in Phase 1 as compared to our original budgeted time (before construction bid). The time increase to the Contractor's schedule paired with the special issues/unbudgeted costs that have caused a budget overrun, are resulting In an additional 12 months to be applied to the CM budget. As requested by City staff, we have prepared an estimated cost for the CM Team to complete the project. Our analysis was performed using "to -date" defined as through November 30, 2022. CM PLANNED COSTS VERSUS ACTUAL COSTS: The CM Team has experienced many significant special issues that have arisen on the project as well as administrative setbacks on behalf of the Contractor that have required more hours from our staff than was originally proposed. These special issues and administrative items are detailed below. As a result of these, CM Costs have Exceeded Planned Cost to -date by $ 157,239.37, which is -40% over the Planned -To -Date for the Construction Period. When the savings from Pre -construction planned costs are applied, this represents $ 151,559.72. PM/RE and Contract Administrator Costs: During this period, the PM/RE position exceeded the original planned estimate by -95%, or ($128,328.30), the Contract Administrator position exceeded planned estimate amount by -10%, or ($10,984.96), the Inspector position was under the planned amount by -4%, $ 7,034.45, and the Utility Coordinator position was under the planned amount by -13%, $ 3,523.00. Note: The above differences between planned and actual costs include some of the costs that were included in Amendment No. 1 such as CWA Rate difference and utilizing a Jr. Office Engineer to offset Administrative time with a lower rate - the details of that Amendment are broken down below. Overage Costs from Original Estimate Due to Project Special Issues To -Date: (128,328.30) City Council 17 — 4 4/4/2023 �I Berg & Associates Inc. Your Bridge to a Better P J ct PM/RE and Contract Administrator Costs tasks that required a significant increase in hour allocation to ensure quality of project delivery include the following: 1. Issue w/ Project Sequencing (Plans vs Spec vs Actual) — meetings & discussions with designer 2. Obtaining Additional Caltrans Rider Permit for City and Coordinating Contractor Procurement of Double Permit 3. Establishing Relationship with City of Tustin and Obtaining Tustin Grading Permit 4. SCE Service to SA-7 — Coordination efforts of design issue. SCE design and coordination had not been started. CM team took on this role. 5. Project Specification not Reflecting Caltrans Spec and Caltrans Desires — i.e. casing requirements and welding requirements 6. Significant Number of Submittal Resubmittals (some resubmitted 4 times) 7. Contractor Baseline Schedule Review Sbmtl 004 — Contractor submitted 5 times and still had issues. Extensive time reviewing and meeting with Contractor 8. Contractor Jack & Bore Shoring Review — no assistance from designer, contractor plan unusually lacking 9. Contractor Issues with Procuring Casing Pipe — Contractor identified over 6 different pipe for submission which included additional submissions for welding. 10. Write-up of CCO-001 — extensive write-up, completed Background and CCO versus "assisting with CCO" per original scope. 11. RFI-034/PCO-012 SA-7 Automation and work of Enterprise Automated (EA) — Unusually time consuming RFI which is developing into a CCO. 12. Preparation of budget and coordination of staff for additional scope added by City with Amendment No. 01 13. Issues with the jack & bore ground monitoring. CWA Rate: As identified in meetings with the City and in BergCM's Letter to the City dated August 9, 2022, a CWA Rate was established for our Inspectors to be in compliance with the City's CWA. It was not known, by BergCM or the City, at the time of contract execution that the CWA would apply to CM staff. To -date, through Nov 30, 2022, this rate increase represents roughly $20,000 to -date. These are included in the Inspection estimate above. Submittal Reviews — Unplanned Costs: ON -SITE Conducted submittal reviews in March 2022 that was not allocated in original budget. Additional Admin Reviews by ON -SITE Technical To -Date: ($ 4,130.00) Amendment No. 01 — Unplanned Costs: All of the Amendment No. 01 costs are attached herein to this Letter. The additional unplanned costs that were utilized to date include the following: Specialty Inspection by ON -SITE Technical To -Date: ($ 15,370.25) Specialty Inspection by RMA Group To -Date: ($ 960.00) Scheduling Services for Contingency Plans and Shadow Schedule: ($ 6,280.07) Underestimated Working Days in Original Estimate: In our original budget, 360 working days were used for the Construction periods (Phase 1 and Phase 2). This should have been corrected in a negotiation period, as the actual working days is roughly 390 working days. If project special issues and unplanned costs had not occurred, the Contingency could have been used to account for this error. However, our attached spread sheet shows actual hours per month for the duration of the project according to the Contractor's baseline schedule. This represents versus proposed/actual (360 WD). difference of $69,519.75, for actual costs (390 WD) City Council 17 — 5 4/4/2023 Berg & Associates Inc. - N Your Bridge to a Better P ' ct FORECASTED COSTS FOR PROJECT COMPLETION Contractor's Schedule vs CM Proposal: As noted in the CM Proposal, there existed an issue with the allowed construction durations in the Project specifications. In the CM Proposal, the estimated (and budgeted) duration of Phase 1 Construction was 15 months. The Contractor's current plan indicates Phase 1 to be 21 months. The increase of 6 months is the largest factor for the CM budget increase. At the original planned rates and hours, this is an increase of $263,197.50. This cost is found in the attached budget analysis on line 18 for the monthly totals between June 2023 — November 2023. Cost of Original FTE %'s with 6-month Extension: $ 263,197.50 Costs Needed for Completion (Not including 6-month Schedule Extension): As noted in the above discussion, in addition to the Contractor's extended schedule of 6 months, funds will be needed to complete the contract according to the original schedule estimate. This represents another 6 months to be applied to the CM budget. This cost is found in the attached budget analysis on line 18 for the monthly totals between April 2023 — May 2023 and Phase 2. Cost of Original FTE %'s with 6-month Original Estimated Schedule: $ 267,344.26 Costs for Close-out: Due to the projection that the total approved contract amount will be dispersed entirely through the end of March 2023, we will need costs for close-out. This is shown on line item 37. Cost of Original FTE %'s for 1 month Close-out: $ 48,302.24 Inspection OT/DT: Overtime and doubletime charges were also not identified in our original budget estimate. The Contractor's means and methods have required our inspection staff to work 12 hours days, 6 days a week. We have taken measures to avoid doubletime charges as much as possible by supplying peak inspectors to the City, as originally proposed. However, Overtime charges are inevitable with this schedule. These costs were not included in the originally proposed budget. The Contractor is planning to work 6 days/week, 12 hour/day from December through January. This cost is found in the attached budget analysis on line 34. We have accounted for potential overtime moving beyond the 6/12 operations, for 10 hours of OT per month. These costs can be found on line 34 and 35 in the attached spreadsheet. Cost of Overtime for Alternate Schedule: $ 51,684.26 Anticipated CM Workload Due to Contractor Administrative Performance: It is anticipated that an increase to originally planned percentages should be anticipated based on previous performance and project issues including: • Contractor Submittal Resubmittals • Fully prepared CCO write-ups vs. Assistance/Recommendations for CCO write-ups • RFI-034 / PCO-012 SA-7 Automation Issue If we apply the average overage per month for PM/RE time for December 2022 — April 2023, it represents an increased amount of $ 81,727.05. Cost of PM/RE at 40% (Dec 22- Apr 23): $ 81,727.05 In an effort to minimize PM/RE hours, we propose utilizing a new position, Office Engineer. The personnel, Carlos Quiroz, QSP, we propose for this position has extensive construction knowledge, which will allow for more project oversight than our previous position, Contract Administrator, which is more geared towards contract compliance and document control. This will reduce the amount of time required for project oversight being utilized for PM/RE. City Council 17 — 6 4/4/2023 �I Berg & Associates Inc. Your Bridge to a Better P�ect Utilization of New Rate for Office Engineer at 60% FTE: It is requested that the current administrative positions (Brenda Ramirez, Contract Administrator, and Eric Vandenberg, Jr. Office Engineer) be replaced with an Office Engineer (Carlos Quiroz, QSP) for a more technical assistance. Carlos's experience and skill level will be a mitigation effort to allow for the PM/RE to minimize his hours from the current overage usage. Cost of Office Engineer at 60% (Mar 23— End of Phase 2): $ 61,636.96 Utilization of New Rate for Jr. Office Engineer at 20% (Feb 23 — May 23): Due to recent Change Orders issued by OCTA, and continuing project challenges, we highly recommend keeping additional help on through May 2023 to keep costs of PM/RE lower. Costs for this position in February 2023 are covered by the originally planned hours for Contract Administrator. Cost of Jr. Office Engineer at 20% (Mar 23 — May 23): $ 9,839.44 Additional Cost for Scheduling Services: To ensure a coherent schedule from the Contractor it is requested to extend the duration of the scheduler thru the Phase 1 period or at least a minimum of an additional 6 months. For Phase 1, Mar 2023 — Nov 2023 and the first month of Phase 2,16hr/mo is 160hr for Scheduler. Additional Budget for Scheduling Services: $ 30,750.40 Additional Cost for Specialty Inspection Services: RMA Group will be utilized to provide CWI Inspection/Testing of Field Welding of Welded Steel Pipe CMLC (24", 16", 14", 10", 8", 6"). Additional Budget for Specialty Inspection Services: $ 25,021.70 Additional Cost for CWA Rate: The CWA rate results in a $ 34.09 increase to our originally planned inspector rate. When this is applied to the additional time after Amendment 01 costs are expended, roughly June 2023. Additional Budget for CWA Rate with Schedule Extension: $ 53,474.80 The attached spread sheet shows all additional costs dispersed for the entire Contract including actual costs and forecasted costs. The amount needed to complete the project after budget expenditure through March 2023 is shown in the table below, we would consider this amount Amendment 02: Apr 2023 - Closeout Cost To Completion Remainder Amendment 01 $ 10,446.24 Forecasted Additional Costs (shown above) $ 190,192.50 Planned FTE %- Original Schedule $ 263,197.50 Planned FTE % - Contractor Extension $ 267,344.26 Planned FTE % - Close out $ 44,144.08 ESTIMATE TOTAL AMEDNMENT 02 $ 775,324.58" A difference of —3k is shown on the spreadsheet, due to ODCs and marginal estimate errors, all costs can be broken down further upon request. City Council 17 — 7 4/4/2023 �I Berg & Associates Inc. Your Bridge to a Better P�ect Mitigation/Cost Savings Potential Resolution: If the City is looking to reduce cost impacts from the extended Contractor's schedule, it would be most advisable to reduce CM costs during Phase 2 activities. It would be difficult and detrimental to the project and close-out to reduce CM hours during Phase 1. This would result in 8 months of additional CM budget as opposed to 12 months. As the City is aware, from many discussions between City and CM team staff regarding the above unplanned costs and project special issues, the construction management team requires additional budget to complete the SR-55/Ritchey Street Water Improvement Project. This additional budget represents an increase in our approved total contract amount and therefore it is expected to require City Council approval, as well as submission of a funding request to OCTA. We ask that the City consider Unplanned Costs, Project Issues, and the Contractor's extended schedule when reviewing this following request. Line items are negotiable, and our team is available for discussion of each cost estimate. Berg & Associates, Inc. is committed to providing quality services to the City of Santa Ana. You may contact Project Manager, Dave Smith, PE, QSD, at dave(a).bergcm.com, if you have any questions. Sincerely, Alicia M. Berg VP/Director of Development Berg & Associates, Inc. City Council 17 — 8 4/4/2023 r z � = s C _ d e _ as U u K O c M 1 iRRI a lag Cap $" ZO - •e tiro>rt .. ..o y.' .. ..s rr r:.e ers= r a e e = _ N 3 V rc � m a ge G & co N O Q V ►i u - 3 - � e UP ill, W lip 11,2 CO N O Q V ►i �U C 7 O U -2: u EXHIBIT-2 FIRST AMENDMENT TO AGREEMENT `VITH BERG & ASSOCIATES. INC.. TO PROVIDE CONSTRUCTION 11IANAGEMENT AND INSPECTION SERVICES FOR SR-55 / RITCHEY IMPROVEMENT PROJECTS THIS FIRST AMENDMENT to the above -referenced agreement is entered into on April 4, 2023, by and between Berg & Associates, Inc. ("Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. Following City's issuance of Request for Proposal No. 21-066, the parties entered into Agreement No. A-2021-212, dated November 2, 2021, by which Consultant agreed to provide Construction Management and Inspection Services for the SR-55 / Ritchey Improvement Projects (Ritchey St Water Main Relocation Project No. 19- 6438, SA-7 Pressure Reducing Station Relocation Project No. 19- 6439 and SR-55 Water Crossing Relocation Project No. 19- 6440) for the City's Public Works Agency ("Agreement"). B. The Agreement is current and in effect through November 1, 2024. C. The parties now wish to amend the Agreement to increase the not to exceed amount under the Agreement due to unanticipated challenges during the construction phase of the project. The Parties therefore agree: 1. Section 2.a., Compensation, is amended to increase the not to exceed amount by $900,000. This sum is comprised of (1) a $780,000 increase to the base amount and (2) an approximate 15% contingency increase in the amount of $120,000 for additional services at the City's sole discretion. The total not to exceed amount for the remainder of the term of the Agreement shall be $1,900,000. 2. Except as modified by this First Amendment, and all prior amendments, all terms and conditions of the Agreement 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. Jennifer Hall City Clerk Kristine Ridge City Manager [signatures continued on nextpage] City Council 17 —11 4/4/2023 APPROVED AS TO FORM SONIA R. CARVALHO, City Attorney By. B n Salvatierra Deputy City Attorney RECOMMENDED FOR APPROVAL Nabil Saba Executive Director Public Works Agency CONSULTANT 4wc� Name: Alicia Berg Title: Director of Research/Development City Council 17 — 12 4/4/2023 Public Works Agency www.santa-ana.org/public-works Item # 18 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report April 4, 2023 TOPIC: Amend Agreement for Water System Computer Modeling and Engineering Services AGENDA TITLE Amend Agreement with Sedaru, Inc. for Water System Computer Modeling and Engineering Services by an additional $50,000 for the remainder of the Agreement Term (Non -General Fund) RECOMMENDED ACTION Authorize the City Manager to execute a First Amendment to the Agreement with Sedaru, Inc., formerly known as ID Modeling, Inc., for water system modeling and engineering services to increase the amount by $50,000, for a total not -to -exceed amount of $200,000 for the remainder of the term of the agreement, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION On December 4, 2018, at the conclusion of a competitive bidding process, the City Council awarded a three-year agreement, with the provision for one two-year renewal option, to Sedaru, Inc. to provide water system computer modeling and engineering services for the Public Works Agency's Water Resources Division. Since 2018, staff has seen an increased volume of development plan submittals, especially those for large developments. These large developments require hydraulic modeling to ensure that sufficient water capacity is available in the existing water infrastructure. If not, the developer must make the necessary infrastructure improvements prior to being served by the City's water system. For these reasons, staff has exceeded the initial estimation of utilization of the contracted services. Staff recommends amending the agreement with Sedaru, Inc. (Exhibit 1) to increase the funding amount for the remainder of the term in order to continue to meet the increased demands and provide outstanding customer service. FISCAL IMPACT Funding for the requested increase to the agreement is available for expenditure in the current FY 2022-23 budget. City Council 18 — 1 4/4/2023 Amend Agreement for Water System Computer Modeling and Engineering Services April 4, 2023 Page 2 Fiscal Year Accounting Unit— Fund Accounting Unit, Amount Account # Description Account Description Water Administration & FY 2022-23 06017645-62300 Water Engineering, Contract $50,000 Services -Professional EXHIBIT(S) 1. Agreement amendment with Sedaru, Inc. Submitted By: Nabil Saba, P.E., Executive Director— Public Works Agency Approved By: Kristine Ridge, City Manager City Council 18 — 2 4/4/2023 DocuSign Envelope I D: B2572D57-12C8-41 DC-ACi B-FCD61484661 F EXHIBIT 1 THIS FIRST AMENDMENT to the above -referenced agreement is entered into on April 4, 2023, by and between Sedaru, formerly known as ID Modeling, Inc. ("Contractor"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City'). RECITALS A. The parties entered into Agreement No. A-2018-275 ("Agreement') dated December 4, 2018, to retain a qualified contractor to provide water system computer modeling and engineering services, including the design and creation of a water system computer model. B. On November 4, 2021, the parties executed the sole two (2) year extension. Therefore, the Agreement is in full force and effect through December 3, 2023. C. The parties now wish to amend the Agreement to increase the compensation under the Agreement due to an unanticipated increase in volume of development plan submittals. The Parties therefore agree: 1. Section 2.a., Compensation, is hereby amended to increase the total aniount to be expended under the term of the Agreement by $50,000. The total not -to -exceed amount of the Agreement shall be $200,000. 2. Except as modified by this First Amendment, all terms and conditions of the Agreement 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. Jennifer Hall City Clerk APPROVED AS TO FORM SONIA R. CARVALHO, City Attorney By: Bra Salvatierra Deputy City Attorney Kristine Ridge City Manager CONSULTANT 5DOCUSigned by; "�""V Uk,lnS{I"" Name[--Johh'Wenstrand Title: VP Marketing and Customer Success [.signatures continued on next page] Page 1 of 2 City Council 18 — 3 4/4/2023 DocuSign Envelope I D: B2572D57-12C8-41 DC-ACi B-FCD61484661 F RECOMMENDED FOR APPROVAL Nabil Saba Executive Director Public Works Agency Page 2 of 2 City Council 18 — 4 4/4/2023 Public Works Agency www.santa-ana.org/public-works Item # 19 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report April 4, 2023 TOPIC: Agreements for On -Call Engineering Services AGENDA TITLE Approve Agreements with Tetra Tech, Inc., Stantec Consulting Services, Inc., and EEC Environmental for On -Call Engineering Design Services for PFAS Treatment Systems in an Aggregate Amount Not to exceed $3,000,000 for up to a Five -Year Term (Non - General Fund) RECOMMENDED ACTION Authorize the City Manager to execute agreements with Tetra Tech, Inc., Stantec Consulting Services, Inc., and EEC Environmental to provide on -call engineering design services for PFAS treatment systems, for a shared aggregate amount not to exceed $3,000,000, for a three-year term beginning April 4, 2023 and expiring April 3, 2026, with provisions for two, one-year extensions, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Agency's Water Resources Division (Water Resources) oversees and maintains the daily operations of the City's water and sanitary sewer systems. The water system is composed of approximately 480 miles of water main, 21 groundwater wells, seven pump stations, 10 reservoirs with a storage capacity of 49 million gallons, four pressure regulating stations, and seven connection points to the Metropolitan Water District. The system has an average daily demand of 30 million gallons from its roughly 45,150 metered service connections. Due to recent monitoring orders issued by the California State Water Resources Control Board related to per- and polyfluoroalkyl substances (PFAS), the City has been proactive in pursuing advanced water treatment options to remove PFAS from the drinking water supply. On May 19, 2020, the City entered into an agreement with the Orange County Water District (OCWD) requesting them to design and construct PFAS treatment facilities at well stations which showed contaminant levels above the state Response Level thresholds. Currently, the City is in the design or construction phases of PFAS treatment facilities at several well locations that fall under the parameters of the OCWD agreement. City Council 19-1 4/4/2023 Agreements for On -Call Engineering Services April 4, 2023 Page 2 For the wells in which PFAS has been detected but do not exceed the state Response Levels, and therefore do not meet the requirements for OCWD agreement, the City has taken a conservative approach and taken the wells offline. In order to bring the wells back online, the City will need to design and construct PFAS treatment facilities at each affected well site. Water Resources is seeking engineering consultant firms to provide design services for PFAS ion exchange treatment facilities in order to optimize treatment at future sites impacted by the constituent of concern. It is imperative that the City prioritizes water treatment to ensure residents can be guaranteed the highest quality of potable drinking water. On October 3, 2022, the Public Works Agency released Request for Proposals (RFP) No. 22-133, by which it sought the services of qualified consulting firms to provide engineering design services for PFAS treatment systems. The RFP was advertised on PlanetBids, and proposals were received electronically via PlanetBids on November 17, 2022. The City notified a total of 112 regional vendors via PlanetBids, with 40 vendors downloading bidding documents. Three proposals were received and evaluated by a selection committee. Based on criteria outlined in the RFP, the following summarizes the responding firms and their ranking: Firm City Rank Tetra Tech, Inc. Irvine 1 Stantec Consulting Services, Inc. Irvine 2 EEC Environmental Orange 3 Staff recommends awarding agreements to Tetra Tech, Inc., Stantec Consulting Services, Inc., and EEC Environmental to provide engineering services on an as - needed basis (Exhibits 1-3). Their proposals demonstrated the firms have the necessary capacity and expertise to complete the required services. The firms' rates are reasonable and within industry standard, the teams' qualifications are appropriate, and the proposals were determined to provide the best value for the City. All firms selected for this award are currently under agreement with the City for other consulting services and have performed quality work for the City. FISCAL IMPACT Funding is available in the FY 2022-23 budget and funding for subsequent fiscal years will be included in the proposed budgets for City Council consideration. The following is an estimate of expenditures by fiscal year: Fiscal Accounting Unit Fund Accounting Unit, Amount Year - Account # Description Account Description Contract (3-Year Term) City Council 19 — 2 4/4/2023 Agreements for On -Call Engineering Services April 4, 2023 Page 3 Fiscal Accounting Unit Fund Accounting Unit, Year - Account # Description Account Description Amount Water Utility Production 2022-23 06017640-62300 Water Fund & Supply, Contract $400,000 Services -Professional Water Utility Production 2023-24 06017640-62300 Water Fund & Supply, Contract $1,000,000 Services -Professional Water Utility Production 2024-25 06017640-62300 Water Fund & Supply, Contract $1,000,000 Services -Professional 2025-26 Water Utility Production (July— 06017640-62300 Water Fund & Supply, Contract $400,000 April) Services -Professional Optional Two -Year Extension 2025-26 Water Utility Production (April — 06017640-62300 Water Fund & Supply, Contract $100,000 June) Services -Professional Water Utility Production 2026-27 06017640-62300 Water Fund & Supply, Contract $50,000 Services -Professional 2027-28 Water Utility Production (July - 06017640-62300 Water Fund & Supply, Contract $50,000 April) Services -Professional Total: $3,000,000 EXHIBIT(S) 1. Agreement with Tetra Tech, Inc. 2. Agreement with Stantec Consulting Services, Inc. 3. Agreement with EEC Environmental Submitted By: Nabil Saba, P.E., Executive Director— Public Works Agency Approved By: Kristine Ridge, City Manager City Council 19 — 3 4/4/2023 EXHIBIT 1 AGREEMENT WITH TETRA TECH, INC., TO PROVIDE ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS FOR THE CITY OF SANTA ANA 'PHIS AGREEMENT is made and entered into on this 4th day of April, 2023 by and between Tetra Tech, Inc., a Delaware 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. On September 29, 2022, the City issued Request for Proposal ("RFP") No. 22-133, by which it sought qualified consultants to provide on -call engineering design services for PFAS treatment systems for the City's Public Works Agency. B. Consultant submitted a responsive proposal that was among those selected by the City. Consultant represents that it is able and willing to provide the services described in the scope of work that was included in RFP 22-133. 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 perf:ormcd 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 On an on -call basis, and at the City's sole discretion, Consultant shall perform the services described in the scope of work that was included in RFP No. 22-133, which is attached hereto as Exhibit A and incorporated in full, and further delineated in Consultant's proposal, attached hereto as Exhibit B and incorporated in full. 2. COMPENSATION a. City neither warrants nor guarantees any minimum or maximum compensation to Consultant under this Agreement. Consultant shall be paid only for actual services performed under this Agreement at the rates and charges identified in Exhibit C. Consultant is one of three (3) consultants selected to provide engineering design services for PFAS treatment systems on an on -call basis under RFP 22-133. The total compensation for these services provided by all such consultants selected under RFP 22-133 shall not exceed the shared aggregate amount of Three Million, Dollars and Zero Cents ($3,000,000) during the term of the Agreement, including any extension periods. 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 City Council 19 — 4 4/4/2023 which may reasonably be expected by City, 3. TERM This Agreement shall commence on the date first written above and terminate on April 3, 2026, unless terminated earlier in accordance with Section 16, below. The term of this Agreement may be extended for up to two (2), one-year periods upon a writing executed by the City Manager and City Attorney. 4. PREVAILING WAGES Consultant is aware of the requirements of California Labor Code Section 1720, et seq., and 1770, or 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, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant 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. 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 subiect matter of this Agreement, however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services, Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. OWNERSHIP Or 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. City Council 19 — 5 4/4/2023 7. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Minimum Scope and Limit of Insurance (1) Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an "occurrence" basis, including products and completed operations, property damage, bodily injury and personal & advertising injru•y with limits no less than $1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregatelimit shall apply separately to this project location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit. (2) Automobile Liability: ISO Form Number CA 00 01 covering any auto (Code 1), or if Consultant has no owned autos, hired, (Code 8) and non -owned autos (Code 9), with a limit no less than $1,000,000 per accident for bodily injury and property damage. (3) Workers' Compensation: as required by the State of California, with Statutory Limits, and Employer's Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease. (4) Professional Liability (Errors and Omissions): 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 $2,000,000 per claim and a $2,000,000 aggregate. (5) Broader Coverage: if the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by the Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. b. Other Insurance Provisions (1) Additional Insured Status: The City, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Consultant including materials, parts, or equipment Kimished in connectionwith such work or operations. General liability coverage can be provided in the form of an endorsement to the Consultant's insurance (at least as broad as ISO Form CG 20 10 1185 or if notavailable, through the addition of both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 if a later edition is used). City Council 19 — 6 4/4/2023 (2) Primary Coverage: For any claims related to this contract, the Consultant's insurance coverage shall be primary coverage at least as broad as ISO CG 20 01 04 13 as respects the City, its officers, officials, employees, and volunteers. Any insurance or self- insurance maintained by the City, its officers, officials, employees, or volunteers shall be excess of the Consultant's insurance and shall not contribute with it. (3) Notice of Cancellation: Each insurance policy required above shall provide that coverage shall not be canceled, except with notice to the City. (4) Waiver of Subrogation: Consultant hereby grants to City a waiver of any right to subrogation that any insurer of said Consultant may acquire against the City by virtue of the payment of any loss under such insurance. Consultant agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer. (5) Self -Insured Retentions: Self -insured retentions must be declared to and approved by the City. The City may require the Consultant to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self -insured retention may be satisfied by either the named insured or City. (6) Claims Made Policies: If any of the required policies provide coverage on a claims -made basis, the following applies: The retroactive date must be shown, and must be before the date of the contract or the beginning of contract work. Insurance must be maintained and evidence of insurance must be provided,for at least five (5) years after completion of the contract q 'work. iii. If coverage is canceled or non -renewed, and not replaced with another claims- tnade policy form with a Retroactive Date prior to the contract effective date, the Consultant must purchase "extended reporting" coverage for a minimum of five (5) years after completion of work. (7) Acceptability of Insurers: Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best's rating of no less than A:VII, runless otherwise acceptable to the City. (8) Verification of Coverage: Consultant shall furnish the City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage requiredby this clause) and a copy of the City Council 19 — 7 4/4/2023 Declarations and Endorsement Page of the COL policy listing allpolicy endorsements to City before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive the Consultant's obligation to provide them. The City reserves the right to require complete, certified copies of all. required insurance policies, ineluding endorsements required by these specifications, at anytime. (9) Subcontractors, Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Consultant shall ensure that City is an additional insured on insurance required from subcontractors. For CGL coverage, subcontractors shall provide coverage with a form at least as broad as CG 20 38 04 13. (10) Special Risks or Circumstances: City reserves the right to modify these requirements, including limits, based on the nature oftherisk, prior experience, insurer, coverage, or other special circumstances. R. 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 t of this Agreement, and {2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is duo 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 propertyrights arises by reason of the terms of, or effects arising from this Agreement. City may male 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. 9. 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. City Council 19 — 8 4/4/2023 10. 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. 11. 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 Do 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. 12. 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. 13. NON-DISCRIMINATION 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. City Council 19 — 9 4/4/2023 14. 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 auypurchase 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. 15. 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 Agreomcnt shall be construed to limit the City's ability to have any of the services whicli are the subject to this Agreement performed by City personnel or by other contractors retained by City. 16. TERMINATION This Agreement maybe terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, 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, 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 shalt 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, City Council 19 — 10 4/4/2023 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 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. 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: 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 Consultant: Tetra Tech, Inc. Attn: Tom Epperson, Vice President 17885 Von Karman Ave. Suite 500, Irvine, CA 92614 City Council 19 —11 4/4/2023 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. 21. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Jennifer Hall Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: B n Salvatierra Deputy City Attorney RECOMMENDED FOR APPROVAL: Nabil Saba Executive Director Public Works Agency CITY OF SANTA ANA Kristine Ridge City Manager CONSULTANT Tom Epper on Vice President City Council 19 — 12 4/4/2023 EXHIBIT A City Council 19 — 13 4/4/2023 CITY OF SANTA ANA RFP NO.: 22.133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENTSYSTEMS SCOPE OF WORK A, INTRODUCTION AND BACKGROUND "rho City of Santa Ana Public Works Agency— Water Resources Division oversees and maintains the daily operations of the Water system and Sanitary Sewer System. The Clty's water system has an average day demand of about 30 million .gallons (MG) with 45,000 services. It .is comprised of approximately A 78 :miles of water main, 45 MG of storage at five .(:5) sites, seven (7) MWD connections, 21 groundwater wells, seven (7) pump stations, four (4) pressure regulating stations and utilizestwo,(2) pressure zones, The purpose of this Request for Proposals (RFP) is to solicit on -call consulting and engineering design services for per. and polyfluoroalkyl substances {PFAS) treatment facilities from qualified engineering firms. The City is currently using Ion Exchange (IX) pressure vessei treatment and will employ this method of .advanced water treatment -for PFAS at future sites impacted by the constituent of concern- 13. CONSULTANT RESPQN51031LITIES The Consultant shall provide all labor, materials., services, and equipment necessary for the services described herein. The Consultant shall possess all Federal, State and Local permits, licenses, and approvals necessary to provide good/services roquired in the Scope of Work. The Consultant chosen to provide the engineering design services for the PFAS IX treatment facilities must demonstrate familiarity; knowledge, and experience in PFAS matters. In addition, the Consultant shall take Into account current and potential future regulation of .emerging contaminants identified through the Environmental Protection Agency's Unregulated Contaminant Monitoring Rule (UCMR), the department of Drinking Water Monitoring Orders, and any odditionai regulations by the California State Water Resources Control Board and the EPA.. C, SCOPE OF SERVICES The City is seeking qualified Consultants to provide engineering and consulting services for PFAS Treatment System Designs at various potable ground water:sites. The Consultant shall be capable of providing all tasks listed in the scope of services, 1� PLANNING STUDY AND CONSULTING SERVICES The Consultant shall perform a Planning Study for the City In which the number of wells impacted by PFAS, their location, and areas available for a treatment system(s) and truck access would be examined. The Planning Study would determine how the treatment system(s) would be integrated into the City's existing operations, determine If a centralized treatment plant is feasible for combining wells, provide alternative design options, assess the potential for blending, provide initial support for permitting and develop capital costs associated with potential land acquisition, permitting, pipeline connections and system integration. In general, City of Santa Ana RFP 22,133 On -Gall Engineering resign Services for PFAS Treatrnent Systeins Page 14 City Council 19 — 14 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS'rREATMENT SYSTEMS the scope of work shall include the following for the Planning Study: A. MANAGEMENT ACTIVITIES The Consultant shall .conduct project management activities to ensure adherence to budget and schedule. The Consultant shall coordinate and attend meetings with City staff pertaining to the project kiekoif, reviewing draft reports,.and as needed to prepare and address projr:ct inquiries and Issues, In addition, the Consultant shall provide meeting minutes,for each meeting as well is biweekly update; of.progross to the City, B. WELL ASSESSMENT AND INITIAL TREATMENT DESIGN The Consultant shall gather.infornlatiari on ilia City's groundwater conVbyance systerns, impacted wells, reservoirs, imported Water connections, and conduct site visits per the City's request to determine available area of land for the PFAS treatment system(s) as well as determine how the treatment;system(s) wlil be Integrated into the My's existing operations. The Consultant shall also review any existing and available informatiori nn the City's .historical PFAS bench- and pilot -scale testing as well as historical Planning Studies perforated and existing PFAS treatment facility layouts, and adhere to the standards set therein, In .the preliminary Planning Study, the Consultant shall provide a conceptual layout for each requested location by the City based on exlsting ion exchange (IX) treatment systems (AqueoUS Vets System rated for 150 PSI). For all IX wellhead treatment designs; the Consultant shall Include cartridge filter pre-treatment, a sand separator, IX lead -lag system capable of addressing the wells)'s gallon per minute capacity; an emorgerwy generator, and .an additional sourid attenuated booster pump to combat the head loss experienced through the new.treatment system, C. PERMIT ASSESSMENT The Consultant shall perform an initial permitting assessment to understand any requirements, as well as develop a list of required permits (Include permit description, Issuing regulatory agency, summary of permit requirements, and permit acquisitfon timelines): D, FEASIBILITY STUDY The Planning Study shall possess a Feasihility Study in which the Consultant shall Investigate hydraulic conditions of existing wells and. determine what modifications to existing well purrips and transmission systems (booster pumps] will be necessary, if any; for the installation of the proposed PFAS wellhead treatment facilities. E. COST ESTIMATES City of Santa Ana RFP 22-133 on -Call Engineering Design Services for PFAS Treatment Systems Page 15 City Council 19 — 15 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS The Consultant shall provide cost estimates for the treatment facility equipment, any necessary land acquisitior to acrominodate d treatment system(s), permitting, plumbing connections., transmission alignments and system integration. The Consultant shall also include capital, maintenance and operation cost estimates for IX treatment s.ystem(s), F. PRELIMINARY SCHEDULE The Consultant :shall devdap a preliminary phasing schedule for construction in the Planning Study.. The plan is intendod to provide the City a schedule .and projected annual outlays for financial planning. In the preliminary schedule, the Consultant shall include the anticipated duration of construction as well as any necessary utility extensions required. G, FINAL. REPORT The final report shalt include discussion of all items listed herein and shall be submitted to the City for review and ccmi-nents. The Consultant shall provide a PDF digital copy of the preliminary report and shall incorporate all commonts made by the City prior to submlaing of the final report. In addition to the aforementioned items, the final report shall also include one or more sections summarizing major findings, any significant challenges or common themes relevant to,the City's system, anti recommend anyfuture-notions by the City as next steps towards PFAS treatment implementation, The report shall contain descriptions of operation and maintenance such as IX resin frequency of charge out., equipment details, samplelanalysis frequency, and what staff augmentation/certification is required, 2. DESIGN PHASES Once the Planning Study has been completed, the Consultant shal[ provide design services including preparation of design sheets, specifications and permitting. All submittals described herein shall be provided in the form of a PDF digital copy (full-slze). The design phases shall Include, but are not limited to the following Items: A. DRAFT DESIGN REPORT (10% DESIGN SUBMITTAL) The Contractor is required to create a Preliminary Design Report (PDR) based on the Planning Study for each treatment site requested by the City. The PDR shall be considered a 10% design level package for the project In which the IX wellhead treatment project goals and design criteria are addressed with alternatives, analysis and potential risks. B. FINAL. DESIGN REPORT (30% DESIGN SUBMITTAL) After the City defines the major design elements of the project and refines the project's scope, schedule and budgetaxpressed inthe preliminary design report, the Consultant shall develop the Final Design Report, The Final Design Report shall be considered a 30% design City of Santa Ana l 22-133 On -Call Engineering Design Servloes for PFAS Treatment Systems Page '16 City Council 19 — 16 4/4/2023 CITY OF SANTA ANA RFP NO,: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS level package for the project in which the Consultant provides a refined project.budget, cost estimate and project schedule that the City can commit to. Land acquisitions, fatal flaws, and the finalized design criteria shall be Incorporated -Into the Final Design Report, C. 60% DESIGN SUBMITTAL After receiving and incorporating comments provided by the City on the. 30% Dosign Submittal, the Contractor shall provide an updated 60%u Design Submittal -in which Expectations and objections are finalized of the project as well as confirmation of constructabiitty and permit requirements, The Consultant shall also provide plans aria specifications as.weil as an engineering cost estimate. The Consultant shall also implement acceptable value engineering requirements (if applicable) and Identify preferred equipment and materials. D. 90% DESIGN SUBMITTAL The Contractor shall provide 90% Design Plans with the complete pYpjectdesign, including plans and ispecifications, subject to review Comments by the City and any other potential stakeholders, The 90% Design Package shall confirm the bid availability of the project, possess an `englneer's cost estimate for the bid., and flnaliFe the building. permit package (when applicable). The Consultant shall also provide a. Commissioning Plan in the 90% De' sign SuhmittaiIn which the -goals, systems, acid commissioning processes are identified; E., -FINAL DESIGN (100%DESIGN SUBMITTAL.) In the final design submittal, the Contractor shall Incorporate all comments and requests made by the City in _previous design submittals and shall include, but is not limited to the following: Cost Estimate, Specifications and Project Schedule: a, Final' construction schedule and estimate of construction duration b. Construction phasing plan c. Finai construction staging plan with access to.construction staging area obtained or final staging area,to be obtained d. Final commissioning plan e. Engineer's cost estimate for bid and backup documentation F. All land permits received g. Complete set of stamped permit application drawingsanddo�c.uments h. Complete -set of project permit applications excluding Contractor obtained permits Complete set of technical specifications J, Complete list of special conditions related to construction H. 'Architectural system (If Applicable) a. Complete sat of architectural drawings City of Sanla Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems Page 17 City Council 19 — 17 4/4/2023 CITY OF SANTA ANA RFP NO, 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR Pli TRE/1-ri SYSTEMS b. Final architectural details — coordinated with structural system details c. Special construction details completed d, Complete coiling plan e, Interior equipment f. Boom finished schedule including: i. Color selection ii, Floor selection iii, Wall finish iv. Ceiling finish g., Door schedule - including hardwares master key plan working with the City's access control specialist h, Window schedule Including hardware I. Architectural accessories schedule j. C.xi:erior finish and color schedule III. Structural System a. Completesetof structural drawings b. Final structural details coordinated with architectural systern details (if applicable)' o, Permit set of stamped structural calculations d. Final foundation and footing details e. Final structural details including construction details f. Final structural calculations g. Performance requirements for shoring system identified IV. Civil Site Plan System a. Final estimate of fill and excavation quantities b. Location of new utilities finalized c. Utility connections finalized d. Final design of water treatment facilities e. Final channellzation plans f. Final signing plans g. Final landscaping plans (if applicable Including plant schedule) h. 'Final irrigation system plans i. Final erosion and sediment control plans 1, Final design of traffic mitigation k. Permit set of stamped storm water management calculations I. Surface Water Pollution Prevention Plans (SWPPS) when applicable V. Mechanical System a. Complete equipment schedule b, Final piping plans o. Final heating, ventilation and air conditioning (HVAC) plans d. Final plumbing plans e, Final fire protection plans and performance specifications City of Santa Ana RFP 22-133 On -Calf Engineering Design Services for nFAS Treatment Systems Page is City Council 19 — 18 4/4/2023 CITY OF SANTA ANA RFn NO,: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PEAS TREATMENT SYSTEMS f, Final section views g. Final plans of mechanical rooms h. Final control diagrams including control point list and final sequence of operation I. Final building components "Ll" value calculations j. Final mechanical details k. Final energy code calculations VI. ;Electrical System a, Lighting'and receptaclescirculted b, •Special electrical equipment circuited. c, Final panel schedules-showing'balan.ced loads d. Final arc flash analysis e. Final electrical fixture sohedule f. Complete one -lisle diagrams which are directly applicable to the panel schedule g. Final electricai details h, Final electrical load calculations including emergen-cy generator system V11, Instrumoritation and Control System a. Final control schematics la. Final security and access control pians. c. Final location ofalarm devices determined d. Final PLCIDOS wiring diagram e. AC/DC power distribution wiring diagrams 3. _RIU PRASE Upon completion and approval of the 1 p0%o design phase;.the City shall requestthe Consultant to assist with the bidding phase., A. PROJECT MANAGEMENT The Consultant shall coordinate and expedite the preparation, assembly and delivery of bid ,documents for the City to administer via PlanetBids Portal. The Consultant shall take the necessary procedures to administer any prequalification of potential Construction Contractors as directed by the City to ensure that all Contracts are competitively bid.: p, TECHNICAL SUPPORT The Consultant shall provide technical support to the City on questions regarding the meaning and intent of the drawings and specifications, and shall assist in achieving the resolution in clarifying any comments potential Construction Contractors may have during the bidding phase, City of Santa Ana RFP 22-133 Or -Call Cngineering Design Services for PFAS Treatment Systems Pape 19 City Council 19 — 19 4/4/2023 CITY OF SANTA ANA RFP NO, 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PEAS TREATMENT SYSTEMS C. PROJECT ADDENDAS The GonsGtant is responsible for assisting with any addGrda required during the bidding process. The City shall work in conjunction with the Consultant in bidding out the project, providing clarification and evaluating the potential: Construction Contractors. 4, CONSTRUCTION PRASE Upon request, 'thc Consultant shall provide general: services to support the construction efforts and serve as an extension or City staff to assist In the overall delivery of the: project, including pre -construction tasks, reviewing construction submittals and ensuring that the work is completed in accordance with the bohtract documents, project closeout and commissioning phase. A. SUIBMITTALfSHOP DRAWING REVIEW The Consultant shall be responsible for revfew of completeness and quantity of all required shop drawirgs, .product data, samples and other submittals. The Consultant shall transmit the Submittals to City staffing for review and :approval, and shall establish and imploment procedures for expediting the processing and approval of Submittals, D. REQUEST FOR INFORMATION (RFI) RESPONSE The Consultant shall assist with requests for information(RFls) and shall update the City on all RFls issued in the duration of the project, The Consultant shall maintain, at the job site, records of contract documents including drawings, addenda, change orders, and other modifications of plans and specifications marked to show all changes made during construction. The Consultant shall also maintain -as-guilt records of :underground utilities, including locations and depths of trenches. At the completion of the project, the Consultant shall deliver to the City all contract doeurnents'including .as -built records, C, CHANGE ORDERS The Consultant shall conduct comprehensive evaluation of change order requests, provide independent estimates, render recommendations and assist in claim resolution, The Consultant shall regularly monitor and report on the status of the Project Construction Budget on a monthly basis, indicating actual costs for completed activities and work in progress, and indicating estimates for uncompleted work. Report should Identify variances between actual and budgeted or estimated costs, and shall advise the City whenever it appears that the Actual Construction Cost has exceeded, or will exceed, :the Project Construction Budget for the entire Project or any Project Component. D. PROJECT CLOSEOUT The Consultant shall evaluate the completion of the work of the Construction Contractor and City of Santa Ana RFP.22-133 on -Call Engineering Design Services for PFAS Treatment Systems Page 20 City Council 19 — 20 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CAL[. ENGINEERING DESIGN SERVICES FOR PFAB TREATMENT SYSTEMS make recommendations to the City when work is ready for final inspection. Upon request, the Consultant shall assist the City in conducting final inspections. D, CODE COMPLIANCE All materials and workm@nship shall be in strict conformity with federal, state and local codes, requirements, standards of the latest editions, and guidelines including revisions of the following: • California building Code (013C) r American National Standards Instituto (ANSI) a American Society of Testing and Materials (ASTM) ® Department of Transportation (DOT) * California State Water Rasoorces Control Board Department of Drinking Water * South Coast Air Quality Management Districtl(SCAQMD) * Environmental Protection Agency (EPA) Occupational Safety and Health Adininistration (OSHA) E. PROJECT MANAGEMENT ANDCOORDINATION ION'. When a. request for service 'is Issued to the City, the Consultant shall issue an estimate to the Citys designated Project Manager. The Consultant shall not proceed with any work without the approval of the City's deslcdhafed Project Manager in the form of a Notice to Proceed. Consultants shatl invoice the City on a monthly basis for a.11 work performed during the period or provide a one-time invoice at the completion of work issued;. Each Invoice shall be accompanied by a summary of tasks performed; contract agreement number; results and progress on long- term tasks if. any, F. VALUE AD®ED RELATED SERVICES The Consultant May propose additional related services that the City, has not specifically Identified In this RFP to accomplish the stated goals of this RFP. Value added related services will be considered by the City and may or may not be. Incorporated in the agreement, All parts and materials must be supplied new and factory approved.. O, MARKUP The following markup percentages shall be added to the Consultant's s costs and shall constitute the markup for all overhead and profits (to the sum of the costs and markups, one (1) percent shall be added as compensation for bonding): 1) Labor...,,,• 2) Mate`tais.. 3) Equiprneni City of Santa Ana RFP 22-1". On -Call Engineering Design Services for PFAS Treatment Systems Page 21 ... 20 ..,15 15 City Council 19 — 21 4/4/2023 CITY OF SANTA ANA RF'P NO 22-1 33 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT S`FSTFMS 4) Other Items and Expenditures ........................ .......•..•.•................. 15 H. MINIMUM G1UALIFiCATIONS The Consultant shall meet the following minimum quallficatlons. 1. All work :is to be performed in compliance with all applicable codes, ordinances, laws, standards, due care, and Occupational Safety and Health Administration (OSHA) safety requirements. . The Contractor shall nave a minimum of five (6) years of experience to providing the services described in ATTACHMENT 1: SCOPE OF SERVICES. 3. The Contractor shall possess state and local permits, licenses :and certificates required by law to commence, carry, and complete the work. 4. Provide all necessary equipment to competently perform and complete work as specified. I. SAFETY Proposer shall be solely and completely responsible for the condition of the project site, 1110luding safety of all persons and properties daring the performance of the work. in addition, proper safety equipment must be worn at all times, These requirements shall apply continuously until the contract is terminated and shall not be limited to normal working hours The Consultant shall assure that each employee or subcontractor under the contractor's supervision is trained in the work practices necessary to safely perform his or her job. The Consultant's drivers/delivery crews shall be 'HAZMAT trained acid certified in safety measures to prevent accidents endangering personnel and property. Hazardous Materials shall be clearly marked with the proper shipping name and identification number as required by the Department of Transportation. The Consultant shall provide current, applicable and required Material Safety Data Sheets (MSDS) at any time during the contract as requested by the City of Santa Ana. J. INSURANCE REQUIREMENTS The successful bidders shall furnish the Citywith original copies of valid insurance policies herein required upon execution of the contract and shall maintain said policies in full force and effect at all times during the term of this contract. Said Insurance policies shall comply with all requirements set forth in these specifications. Consultant(s) shall keep a current cerlifloate of insurance at the City of Santa Ana at all times and shall immediately report any changes to the City. K. FEE SCHEDULE The Consultant shall submit a fee schedule and labor rates as described in Section 111;13.3 of City of Santa Ana RFP 22.133 On -Call Fngineoring Design Services for PFAS Treatment Systems Page 22 City Council 19 — 22 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS RFP regarding design services for a PFA5 IX water treatmeant facility at the City's potable water Well 26 (located at 1730 S Santa Fe, Santa Ana CA 92706). The Consultant shall refer to APPENDICES A, B, and C for additional information regarding the potable water well site, No separately stated freight or deliveries will be considered. Bidders shall Include all costs in the unit price bid, The Consultant's delivered .product pricing shall be inclusive of all freight/unloading/handling and delivery charged. Furthermore, flip Consultant shall submit additional labor,. material and rental equipment rates alone with fee schedule. Consultant's labor and equipment rate sheet shall list rates for all labor designations, equipment, rentals, .and materials, The bid 'items specified In the fee .schedule are for reference purposes only, labor increases shall be subject to mutually agreeable terms between the City and the Consultant. The City may request slated services that will be paid at the vendor's standard tabor and equipment rate submitted. Fee proposal shall be outlined as follows: ... End of SCOPE OF WORK Section -•- City of Santa Ana RFIP 22.133 On -Call Engineering Design Services for PFAS Treahrent Systems Page 23 City Council 19 — 23 4/4/2023 EXHIBIT B City Council 19 — 24 4/4/2023 41. \ W,, 4 Serrano Water District C.L. "Larry" Pharris Jr. Filtration Plant York, 4WWW"atet ulsrnct -- Headquarters PFAS Treatment Plant SANTA ANA Itl6V— T� r AA City of Fullerton r- IKimberly Well IA PFAS Treatment Plant P FAS Treatment Systems r NOVEMBER2022 N TETRA TECH N TETRA TECH November 17, 2022 Armando Fernandez, PE Project Manager City of Santa Ana, Public Works Agency 220 S. Daisy Ave., M-85 Santa Ana, CA 92703 Reference: Request for Proposals for On -Call Engineering Design Services for PFAS Treatment Systems, RFP No. 22-133 Dear Mr. Fernandez, Tetra Tech is very pleased to provide our proposal for your On -Call Engineering Design Services for PFAS Treatment Systems. In the last four years Tetra Tech has been performing similar PFAS engineering services for public agencies in both Orange and Los Angeles Counties. We are one of only a few firms that have completed the design of six PFAS projects, including the first operating project in Orange County and the largest PFAS Ion Exchange (IX) project in the United States. The Team we are proposing has extensive, local experience developed over the last five years on PFAS projects. Steve Tedesco, PE, our Project Manager has directed each of these projects making sure the Team provides high -quality engineering while meeting project budgets and schedule. Over the last four years our team has developed a large data base of costs on completed projects that can be used to provide cost certainty in this time of rapidly changing prices. To accelerate the schedule and reduce costs, Tetra Tech has developed an implementation strategy that will provide the City of Santa Ana (City) with two separate design teams working under the direction of a single Project Manager and reviewed by a single QA/QC Manager for consistency. Each team includes a Task Leader and key design team members in the following engineering disciplines: ■ Civil ■ Process/Mechanical ■ Structural ■ Electrical, Instrumentation & Control ■ Water Quality ■ 3D CADD Each team will also have access to an additional 20 engineers and production staff to use as needed to further accelerate the schedule. Tetra Tech is committing 35 full-time staff with over 90% of them located in Southern California. Our only sub -consultants on the project consist of Leighton Associates for Geotechnical Engineering and Metz Surveying for Site Topographic Survey. We have also included Alan Ludwig of Pascal & Ludwig to assist with cost estimating and constructability review. Having a local contractor who has built numerous IX plants brings additional credibility to a project. 17885 Von Kai man Avenue, Suite 500. Irvine. CA 92614-5227 City Council 19 TS1�69.809 5000 Fax 949.809.SO4g4mee-T-h.mm Armando Fernandez, PE November 17, 2022 Page 2 Our detailed understanding and scope of services was developed by our Team based on our successfully completed PFAS studies and design projects. In our approach to the study phase of the project we propose to review each well site and determine if it should be considered for a single well site design or be combined into a centralized system. We will determine if the existing well pump and motor is large enough to pump through the proposed PFAS plant and piping system. On centralized systems we will prepare a hydraulic model to determine the required pump and motor sizing to determine if the system is the most cost effect option. Our scope of services includes the required coordination, reports and design needed to obtain a California Division of Drinking Water (DDW) permit. The Tetra Tech team assigned to this project brings the following important advantages to this contract: ■ We have studied and designed PFAS Plants on single well sites and Centralized Treatment Facilities to serve multiple wells on a single site. Our team knows how to model, size and design well field connecting piping on busy urban streets. ■ We bring extensive local experience including four completed studies and six completed PFAS system designs. Our Headquarters Project for Yorba Linda Water District is the largest PFAS IX plant in the United States and the winner of both the ASCE Orange County Branch and ASCE Los Angeles Region Project of the Year. ■ We have obtained permits for similar PFAS projects from the DDW, other State and local agencies. We have obtained three permits from the Santa Ana DDW office for IX PFAS treatment plants. ■ Our team will use 3D modeling in all our design efforts to allow the City staff to visualize what your completed project will look like as we progress with the design. We have reviewed the City's Sample Standard Agreement attached to the Request for Proposal and concur with the provisions contained in the Agreement. Additionally, this proposal shall remain valid for a period of not less than 120 days from the date of submittal. Tetra Tech and members of our team for this project have worked together with the City on water projects for over 30 years. Let us assure you that our entire team understands the importance of this project. As Tetra Tech's client manager, I promise to ensure that our work will not only be timely but also of the highest -quality that the City expects and deserves. If you have any questions, please feel free to contact Steve Tedesco, our sole source of contact at (949) 632-2169. ZSincly, Tom Ep son, PE Vice President TETRPitS Muncil 19-27 4/4/2023 z IRWD Shallow GW Unit PFAS WTP As l.. ent Systems i :`ti wad _I _I f FIRM AND TEAM EXPERIENCE SANTA ANA O TETRA TECH PROPOSAL FOR On -Call Engineering Design Services PFAS Treatment Systems FIRM AND TEAM EXPERIENCE Overview of Tetra Tech Since 1966, Tetra Tech has helped provide safe, abundant water supplies from treatment to distribution; planning and implementation of wastewater collection and treatment systems and management of stormwater that meet these objectives in a way that maximizes benefit for investment and incorporates a combination of state-of-the-art techniques and demonstrated best practices. Today, Tetra Tech is a full -service global engineering firm with more than 21,000 engineers, technology specialists, scientists, and technical support personnel in 450 offices worldwide. Leading with Science® drives our core principles and passion to deliver safe accessible water resources. Our ranking as the No. 1 engineering firm in Water for 19 years straight by Engineering News -Record represents our commitment for a successful project. We will provide services with the innovation and capabilities our national rankings represent and will deliver this program with the responsiveness and attentiveness one should expect from your local engineering company. This project will be managed and designed from our Irvine Office (17885 Von Karman Ave, Suite 500, Irvine, CA) with a staff of 162 personal. Overview of Experience Tetra Tech has sampled and analyzed PFAS on over 100 military, commercial, and municipal sites throughout the United States. We fully understand that PFAS treatment is dependent on the concentrations of competing contaminants such as total organic carbon, iron, manganese, sulfate, nitrate, chloride, oil and grease, suspended solids and other compounds present throughout groundwater basins. PFAS Groundwater Remediation Pilot Test at former Naval Air Station Joint Reserve Base, PA Drinking Water and Groundwater PFOAIPFOS at Former Pease Air Force Base, NH Nationwide PFOS and PFOA ARNG ownedloperated drinking water systems, Nationwide PFAS Groundwater Testing, City of Cape Canaveral, FL ; Muskogee Mill Water PFAS Sampling, OK Facility Wide PFAS PAISI, Bethpage, NY Site Investigation for PFAS Contamination, Brunswick, ME Swanson PFAS Engineering Investigation, Georgetown, Washington, D.C. _ On -Site Perfluoroalkyl Substances Investigation, Former Naval Air Station, Cecil Field, FL Land use control management, real estate support and PFAS, CNC Charleston, S Owosso Wastewater PFAS Assessment, MI NAS Corpus Christi PFAS PAJSI, Corpus Christi, TX PFAS Treatment System Design, Wallops Flight Facility, VA PFAS Excavation Dewatering Fluids Treatment, Kennedy Space Center, FL PFAS Site Investigation, Kalamazoo, MI Martha's VineyardlPFAS MCP Services, Marlborough, MA Tank Farms Groundwater PFAS Investigations (39 Wells), Newport, RI Government Government Government Municipal Industrial Government Government Industrial Government Government Industrial Government Government Government Industrial Municipal Government TETRA V06uncil 19 — 29 4/4/2023 Page 11 PROPOSALFOR On -Call Engineering Design Services PFAS Treatment Systems Serrano Water PFAS WTP, Villa Park, CA 4.0 PFOA, PFOS IX Kimberley 1A PFAS WTP, Fullerton, CA 4.3 PFOA, PFOS IX Fullerton Main PFAS Plant, Fullerton, CA 12.0 PFOA, PFOS, TCE GAC YLWD Headquarters PFAS Plant, Placentia, CA 25.0 PFOA, PFOS IX Well ET-1 PFAS Study & Design, Irvine, CA 1.4 to 4.5 PFOA, PFOS, TCE GAC Well SGU PFAS Study & Design, Irvine, CA 0.7 PFOA, PFOS, TCE GAC PFAS Compliance Study for City Well, South Gate, CA 7.0 PFOA, PFOS, TOE, 1,4-Dioxane IX, GAC, UVAOP Citywide PFAS Study for City Wells 20.0 PFOA, PFOS, 1,4-Dioxane IX, GAC, UVAOP PFAS Study & Design Well #2, Downey, CA 4.0 PFOA, PFOS IX PFAS Study & Design Well #4, Downey, CA 4.0 PFOA, PFOS IX Well #15, Huntington Park, CA 2.0 TOE GAC Well #9 WTP, Signal Hill, CA 2.6 Color, TOO, Benzene NF, GAC MTBE WTP, San Juan Capistrano, CA 5.3 MTBE GAC Well #9 WTP, Signal Hill, CA 2.6 Color, TOO, Benzene NF, GAC Richardson WTP, Loma Linda, CA 6.9 TOE, Perchlorate GAC, IX V-ippecanoe Final Expansion, Redlands, CA 3.5 TOE, Perchlorate GAC, IX [Burbank Operable Unit, Burbank, CA 13.0 TOE, PCE, 1,2,3-TCP, 1, 4-Dioxane GAC, UVAOP Deep Aquifer Treatment Plant, Santa Ana, CA 8.0 Color, TOC NF Irvine Desalter Potable Treatment Plant, Irvine, CA 8.0 TDS, Mn RO, Greensand Filters Wells #21 and #22 Desalter, Tustin, CA 6.6 TDS, Nitrates RO 'Groundwater Recovery Plant, Dana Point, CA 1.7 TDS, Fe, MN RO, Greensand Filters Temescal Desalter, Corona, CA 10.0 TDS RO Legend. GAC—Granular Activated Carbon,lx — ]on Exchange,UVAOP— Ultraviolet Light Advanced Oxidation Process,RO— ReverseOsmosis TETR ounoil 19 — 30 4/4/202fage 12 MPOSn FOR On,Call Engineering Design Services PROJECT TEAM The Tetra Tech team brings to the City the following key attributes PFAS Treatment Systems ■ Innovation - In-depth technical experience that can bring ingenuity and practicality ■ Implementation - Mindset of flexibility that will promote original and creative solutions ■ Collaboration -Local core team comprised of key decision makers, technical, and support staff Tetra Tech is committed to providing the City with the most qualified staff to complete this project. Tetra Tech has assembled a uniquely qualified team who is available and committed to successfully delivering the professional engineering services needed for this project. Our team has proven experience working together to deliver similar projects for other clients across Southern California. Our local Project Manager, Steve Tedesco, PE, has worked in the water industry in California for the majority of his 39 years with an emphasis on water and wastewater, treatment design using GAC, IX, and centralized treatment approaches. Steve has an innovative and forward thinking personality and is always looking for the best solution and opportunity to best support his client's needs. Tom Epperson, PE Irvine, CA 50% 41 A, Steve Tedesco, PE, BCEE Irvine, CA 90% 39,� A A A Mark Bush, PE Irvine, CA 50% 28' A A, A Gary Revoir, PE Orlando, FL 10% 34= A Alan Ludwig Ontario, CA 10% 45M A A A Kara Buttacavoli, PE Irvine, CA 100% 25 A A A Crisna Raymond, PE Irvine, CA 100% 25 A A A Amanda Taylor, PE Irvine, CA 90% 13 A A A Victor Ramirez, PE, SE San Dimas, CA 50% 41 A A A Mazen Kassar, PE Irvine, CA 90% 30 A A A Mark Wilf, PhD San Diego, CA 50% 44 A A A William Johnson Irvine, CA 90% 20 A A A Beverly Encino, PE Irvine, CA 100% 20 A A A Corey Hess, PE Irvine, CA 100% 19 A A A Peter Yu, PE , Irvine, CA 100% 15 A A A Eric Yuen, PE, SE San Dimas, CA 80% 15 A A A Doug Seaman Irvine, CA 90% 10 A A A James Christopher, PE, BCEE Odando, FL 50% 42 A A A Kyle Matsumoto _ __ Irvine, CA 90% 4 A A A TETIO ff iMuncil 19 — 31 4/4/2023Page 13 PROPOSAL FOR On -Call Engineering Design Services PFAS Treatment Systems In order to provide the most comprehensive services possible, our team has been thoughtfully assembled to capitalize on the strengths of each team member and provide you with unparalleled technical excellence. Through our past experience we fully understand how to successfully complete this type of engineering contract. TETRA TECH r CLIENT MANAGER `A Mark Bush, PE Gary ReVoir, PE Alan Ludwig + "ILEADER "2LEADER Kara Buttacavoll, PE Crisna Raymond, PE Amanda Taylor, PE Victor Ramirez, PE, SE Mazen Kassar, PE Mark Will, PhD W Iliam Johnson Leighton Consulting, Inc. + GeolecMkol Engineering Metz Surveying + Design Survey + Sub -consultant Meet our Team Management Team Beverly Encina, PE Corey Hess, PE Peter Yu, PE Eric Yuen, PE, SE Douglas Seamen James Christopher, PE, BCEE Kyle Matsumoto Civil Electrical, I&C-6 Designers -10 Process Administrative Designers-5 Staff -4 Mechanical CADD Designers-5 Designers.6 Steve Tedesco, PE, EICEE, Project Manager, has worked in the water industry in California for the majority of his 39-year career with an emphasis on planning, analysis, design, and construction of water and wastewater, treatment design using GAC, IX, and centralized treatment approaches. Steve has an innovative and forward thinking personality and is always looking for the best solution and opportunity to best support his client's needs. He has recently lead the team on six PFAS water treatment plants and three PFAS well studies. TETR ouncil 19 — 32 4/4/2023Page 14 PROPOSAL FOR On -Call Engineering Design Services Tom Epperson, PE, Client Manager, has more than 41 years of professional experience in water, wastewater, and reclaimed water engineering; and has completed the design, bidding, and construction management of over 300 miles of water/reclaimed water sewer mains, 40 water/reclaimed water pump stations, 15 well head facilities, 12 sewer lift stations and 25 water/reclaimed water storage reservoirs throughout Southern California. Using experience from his 20-plus year relationship with the City's Water Resources team, Tom will share his knowledge with the Team to produce projects of the highest -quality. Mark Bush, PE, Technical Advisor/QA/QC, has more than 28 years of professional experience in water, wastewater and recycled water engineering. He has been responsible for the completion of over 100 miles of potable water, recycled water and sewer mains, 20 potable water and recycled water pump station and well projects and 14 potable and recycled water reservoirs. Gary Revoir, PE, Technical Advisor/QA/QC, has more than 34 years of professional experience which encompasses a full range of wastewater collection, transmission, treatment, and effluent disposal planning, as well as water supply, treatment, and distribution. His experience also includes funding, permitting, final design, construction administration, start-up, and project management with emphasis on advanced water and wastewater treatment processes, including potable reuse. Alan Ludwig, Technical AdvisorlQA/QC, has more than 45 years of construction experience as project manager, estimator and company manager of heavy engineering construction projects in the water and wastewater field, including hazardous waste remedial projects, fuel tank removallreplacement projects, and all phases of pipeline, pumping facilities, treatment, and waste disposal projects. Alan is most familiar with constructing treatment systems using GAC, IX, and centralized treatment. Design Team #1 Kara Buttacavoli, PE, Design Team Lead, has 25 years of experience in analysis, design, and construction management for various types of public works projects. She is experienced with PFAS Treatment Systems treatment design using GAC, IX, and centralized treatment approaches. Kara has recently completed the design of six other PFAS plants ranging in size from 4 to 25 MGD. She fully understands all the tasks needed for completing this type of project. Kara will provide overall design direction, coordination, and technical oversight. Crisna Raymond, PE, Civil Lead, has 25 years of professional experience in water, wastewater, site grading, construction and roadway engineering. She has been responsible for the planning, design and construction support of water/wastewater and transportation projects. Her water/wastewater projects include pipelines, wells, ump stations, reservoirs, treatment facilities, site improvements and site grading. Crisna has worked on the design and was the Construction Manager on the recently completed PFAS plants in Orange County. Amanda Taylor, PE, Process/Mechanical, brings to the team extensive experience in process engineering for water treatment facilities. In her 13 years of experience she has provided analysis, studies, design, and construction management for various types of public works projects including five PFAS projects, two advanced water treatment plants and numerous wellhead treatment plants for nitrates, iron, manganese, and TDS. Victor Ramirez, PE, SE, Structural, has over 41 years of structural engineering design experience with special emphasis in the design of water storagetwater containment and water conveyance related structures. This includes various types of public works projects including five PFAS projects. Victor will be responsible for the design of all the structures, management and oversight of the structural design team, and interdisciplinary coordination. Mazen Kassar, PE, Electrical, I&C, is experienced in the electrical design of water and wastewater facilities, system studies, power distribution, emergency power supply, motor and instrumentation control. During his 30 years of experience his projects have included designing water and wastewater facilities, desalination plants, lift stations, pump stations, drinking water wells, pipelines, and odor control systems. Mazen has also worked with the team on the recently completed PFAS plants in Orange County. TETMiFf Muncil 19 — 33 4/4/2023Page 15 PROPOSl FOR On -Call Engineering Design Services Mark Wilf, PhD, Water Quality, provides his expertise to clients in the engineering and scientific community worldwide and participates in professional forums defining future directions for membrane technology and application development. This includes membrane technology for reverse osmosis, nanofiltration, ultrafiltration, and microfiltration technologies applied for water desalination, potable water treatment, and industrial and municipal wastewater reclamation. William Johnson, 3D CADD, has more than 20 years of CADD experience covering electrical, telecommunications, roadway, highway, traffic, freeway, and water/recycled water/wastewater design and drafting using AutoCAD, Revit, and Civil 3D. Mr. Johnson works with various staff members to meet the needs of our designers as well as our clients. He has experience coordinating multi -office, multi -discipline projects that utilize the latest Autodesk application software, industry -leading technologies, and managing project documents so the client receives a complete set of required documents. Design Team #2 Beverly Encina, PE, Design Team Lead, brings to the team over 20 years of experience in analysis, design, and construction management for various types of public works projects including, but not limited to, water treatment plants, wells, water booster pump stations, reservoirs, hydraulic analysis, storm drainage systems, and site improvement design. Beverly has recently worked with the team on four PFAS water treatment plants and one PFAS well study. Corey Hess, PE, Civil Lead, Corey has 19 years of professional experience in the design and master planning of water, wastewater, and recycled water pipelines, pump stations and reservoirs. He has led the design and performed project management tasks on pump station, pipeline, master planning and hydraulic analysis reports. Corey is knowledgeable in the use of computer software including, AutoCAD, hydraulic modeling software, and various hydraulic analysis spreadsheets and programs. Peter Yu, PE, Process/Mechanical, with 15 years of experience in the water and wastewater industry including six years managing associate engineers; Peter is a specialist in HAS Treatment Systems wastewater and stormwater systems, industrial wastewater regulatory requirements, and water reduction strategies. He has experience with indirect potable reuse, advanced water purification systems, pump stations, conveyance systems, injection and monitoring wells, and wastewater systems and plants. Eric Yuen, PE, SE, Structural, has over 15 years of experience in the design, analysis and detailing in structural engineering. He is knowledgeable in reinforced concrete, masonry, structural steel and wood frame design, and construction for a variety of building and infrastructure projects including reservoirs, water/wastewater treatment facilities, as well as seismic retrofit of existing structures. Doug Seaman, Electrical, I&C, responsibilities include the design and specification of instrumentation systems that monitor, control, and record the various stages of crude oil as it progresses through the refining process. More recently, he has stepped into the role of control system programming and configuration which involves the Honeywell Distributed Control System and its link with various Programmable Logic Controllers. James Christopher, PE, BCEE, Water Quality, is a Vice President and the practice leader for drinking water treatment for Tetra Tech. His knowledge of water chemistry and water infrastructure design makes him highly qualified in defining, evaluating, and implementing water quality solutions to the most challenging problems. James has 42 years of professional engineering experience and is highly qualified in environmental engineering, with special expertise in water resources, water quality and treatment, reverse osmosis and nanofiltration, granular activated carbon, pumping system analysis/station design, facility planning, construction and administration, and overall project administration and coordination. Kyle Matsumoto, 3D CADD, has experience in the design of various water/wastewater municipality projects such as advanced water purification systems, hydraulic modeling, nanofiltration and advanced membrane treatment plants, booster pump stations, pipeline distribution systems, wells, and reservoirs. TETR ouncil 19 — 34 4/4/202fage 16 7rt, N. 2 IRWO ShallWGWUmll'FASWIP AS �ent Systems PROJECT APPROACH W INN 1W SANTA ANA N TETRA TECH PROPOSAL FOR On -Call Engineering Design Services PROJECT APPROACH Project Management PFAS Treatment Systems Tetra Tech fully understands the importance of this project to the City. Our team has therefore developed a plan and a system that can complete a group of projects in the most expeditious manner possible. We have dedicated over 35 staff members (90% of which are local) to work on this project. They will be grouped into two teams which will each have a leader along with six other key staff members from various disciplines (civil, process/mechanical, structural, electrical, I&C, water quality, and 3D CADD) under the direction of our Project Manager, Steve Tedesco, PE. This approach will allow our team to work on multiple sites at the same time. Each team will also be assisted, from a pool of 20 additional staff members, to provide both technical and production assistance. Members of the pool will work on certain specifications, details, and control descriptions that are common to both teams. Our Project Manager, Steve Tedesco, will meet weekly with the City to review progress and resolve any issues. At these meetings, our team will roll out the latest plans, review the design, and solicit input. In this manner we expect to have most issues resolved before our submittals, allowing for review periods to be shortened to one to two weeks per submittal. Tetra Tech will develop and maintain a Project Management Plan (PMP) to ensure successful execution of the project. The draft PMP will be submitted within 10 days of project award, and the final PMP will be submitted within five days of receiving the City's draft comments. The purpose of the PMP is to clearly define Tetra Tech's approach, personnel, resources, project schedule, and milestones in executing and managing scope, schedule, cost, and to comply with the requirements of the project. We propose a concise document organized as follows: ■ Project Management Organization ■ Key Personnel Roles and Responsibilities ■ Project Scope, Work Breakdown Structure (VVBS), and Technical Approach that defines activities and milestones ■ Detailed Activity -Based Schedule (organized consistently with the WBS) ■ A plan to keep the City up to date on the project Technical Approach We are very familiar with the City's water wells, reservoirs and distribution from our many years of service. Our team will obtain and review all relevant information on the proposed treatment sites so we can determine the best way to treat all affected wells and cost effectively get the treated water distribution system. As we work on each treatment system the first thing, we will do is confirm available information and provide a design criteria document that is site specific to each well. Pre -purchasing vessels for the project can be a significant time savings for the projects. It is critical that our design teams incorporate the pre -purchased vessels correctly into our construction bid packages. Tetra Tech has done this in the past on several IX projects. In order to take full advantage of the time saved through pre -purchased vessels, we recommend the following: ■ Design the concrete slab as a single mat foundation to hold all vessels, piping, pipe racks, drain system, and conduits. ■ Design the slab with no pipe or conduit penetrations. This will allow slab work to begin as soon as the contract is approved. ■ Design late proof packets to allow ease of installation of vessels and anchor bolts. No matter how good the vessel quality control is, it is impossible for all bolt locations to be exact in the field. TETR ouncil 19 — 36 4/4/2023Pa9e I I PROPOSAL FOR On -Call Engineering Design Services PFAS Treatment Systems ■ Layout for each site is extremely important. Design needs to accommodate large tanker trucks to deliver the GAC or IX media. These trucks need room to access the site, unload spent media, and install new replacement media. ■ We highly recommend the use of 5 micron filters as a pre-treatment step prior to IX media. This prevents fine sediments that may come from the wells or pipelines from potentially clogging the filters and/or damaging the media. ■ On large systems where there is available space it is good to have a waste backwash tank. This tank stores the waste backwash during change outs, and allows suspended particles to settle and then be pumped back to the front of the plant. Due to the "forever nature" of PFAS, it is not a good idea to send waste into either sewer or storm drain systems. ■ Installation of a drainage system on the tank slab will allow drainage water from rainfall to be collected and disposed of. It can also be used to collect, store, and alarm the operators when a leak has occurred. Since the sites are in highly urban areas, it is best to prevent any leakage from discharging off the site. ■ Consider replacing rupture disks with pressure relief valves that contain limit switches that can signal an over pressurization and alarm the wells to shut down. Rupture disk needs to be replaced after every over pressurization. All of our designs on this project will be performed using 3D CADD Revit design drawings. As each site is completed, we will provide the City with a visualization of the proposed site. Below is an example of one of our sites currently in final design. Preferred layout for a lead/tag configuration with pretreatment fitters and backwash tank. Current code provisions for the anchorage of tanks and vessel contain speck requirements for the strength of the anchor bolts. These requirements can be found in Chapter 15 of the ASCE 7-16 and Chapter 17 of the ACI 318. The intent of these provisions is to avoid catastrophic, brittle failures of the concrete at anchor bolts by ensuring that the concrete at an anchor bolt group has significantly more strength than the anchors themselves. The anchor design provisions effectively prevent the use of post -installed anchors because of their limited bond strength. Cast -in -place anchors must be used for tanks and vessels, but cast -in -place anchor bolts are difficult to locate accurately. The use of cast -in -place anchors requires additional time and TETFOA,E06uncil 19 — 37 4/4/2023 Page 18 PROPOSALPOR On -Call Engineering Design Services PFAS Treatment Systems cost during construction, as full-size anchor layout templates must be created for each vessel, the templates must be field located by surveyors and secured to the formwork to keep the anchors from shifting as the concrete is placed. The convenience of post -installed anchors can be reclaimed by the use of late pour pockets at each of the tank legs. Please refer to the sketches below for a typical plan and section of the late pour pockets. A small portion of the tank foundation will be blocked out with formwork so that the space within the block -out will not be filled with concrete at the time the rest of the foundation concrete is placed. The reinforcing for the foundation will run through the late pour block -out, and it will be located to miss the tank anchors. This will create relatively clear areas at each tank base plate where the cast -in -place anchor bolts can be located with some freedom for field adjustments. Additional reinforcing stirrups (if required) may be placed in the late pour pocket for increased concrete strength. After the tanks are properly located and temporarily supported, the late pour pockets will be filled with high strength cementitious grout. After the grout in the late pour pocket sets, final adjustments to the tank height may be made, to plumb and level the tanks. These adjustments are made using the leveling nuts under the base plates. Ay<MLR AOGTS TJN/f bV[ym♦ '— r. K 4w r FL M (ClLW6!) Cafe 6l;W PacfrT F"d IX Preliminary Treatment Sizing I /7JWf pW614FlTr /.VCHq� �plC N/N Nv/J !lp�-JNa/NK-.� � �LIr'ILING ARpiT Az�fe,,��NC.f M<r TeN/fST � IN LATG J�oNCf� A M1eNOF prLT! �111N �rrNN A/GwJ /N Lr'R /OUS f'Xfo-T /A \ CAY�NWC %JOCffT S6LT/O.✓ IX system sizing is based on the minimum Empty Bed Contact Time (EBCT) required to successfully adsorb a particular pollutant and the allowable superficial velocity, or hydraulic loading rate of the vessel. IX treatment for PFAS removal is configured in 2-vessel trains, with one train acting as the lead and the second train acting as the lag (i.e. the vessels operate in series). Santa Ana Well 26 was evaluated to consider what a WAS treatment system for this site could look like. Santa Ana Well 26 supplies the East Reservoir and Pumping Station. The well production from 2010 to 2022 varied from 1,565 gpm to 2,454 gpm. Design criteria of the existing well are summarized in Table 1. TET 0unci1 19 — 38 4/4/2023Page 19 PROPOSAL FOR OaZall Engineering Design Services PFAS Treatment Systems Maximum Production Rate 2,454 gpm Pump Rating 2050 gpm 1220 ft TDH Pump Motor Size 125 HP Well Pump Depth 310 ft bgs Well Casing Diameter 18 in. ID Total Well Depth 1152 ft bgs Maximum Pumping Water Level 240 ft bgs Minimum Pumping Water Level 214 ft bgs The standard train (2 vessels) IX treatment systems are widely commercially available in 2 sizes for treatment plants of similar size to Santa Ana Well 26: 10-ft diameter with or 12-ft diameter. Ion exchange resin has a high headloss per ft of bed depth, and for this reason many facilities cap their treatment capacity based on a maximum resin depth of 3.7-ft per vessel. The recommended treatment capacity for PFAS removal is 500 to 1,100 gpm per 10-ft vessel train and 700 gpm to 1,600 gpm per 12-ft vessel train. Santa Ana Well 26 could be configured with two (2) 12-ft trains and treat the maximum production currently reported, or two (2) 10-ft trains to treat the well pump design flow rate of 2,050 gpm. Either IX system should also consider the installation of 5-micron pre-treatment cartridge or bag filters ahead of the IX vessels. Design Flow Rate (gpm) 2,050 2,454 PFAS Treatment Concept: Number of IX Trains 2 Trains 2 Trains Flow per Train (gpm) 1,025 gpm 1,227 gpm EBCT (min) zf 2.15 min 2.56 min Superficial Flow (gpm/sf) 13.1 gpm/SF 10.8 gpm/SF IX Resin per Vessel (ft3) 294 550 Vessel Diameter (ft) 10 12 System Height (ft) 20' — 4" 15 — 9" Vessel Surface Area (sf) 78.5 113 Allowable Superficial Flow (gpm/sf) 6-18 Design Minimum EBCT (min) 2 Well 26 Hydraulic Evaluation Hydraulic calculations for the expected pressure losses through the PFAS treatment plant using the IX vessels and pretreatment bag fitters were estimated based on the information provided for Santa Ana Well 26 based on Alternative B, as presented above. The headloss for the IX vessels is calculated as a function of the resin depth as it relates to the flow through the IX train. The system losses were calculated for both clean pre-treatment filters and pre-treatment filters with maximum dP prior to replacement. Table 3 summarizes the design points at the maximum and minimum lifts for the pretreatment conditions as well as the proposed IX treatment condition. TETFLN�El buncil 19-39 4/4/202f age I " PRO„ AA, I I' On Call Engineering Design Servl<es PFAS Treatment Systems Existing Condition 2,454 256 285 (No PFAS) Proposed IX Treatment with Clean 2,454 302 328 Filters Proposed IX Treatment with Dirty 2,454 317 343 Filters A system curve for Well 26 with PFAS treatment is presented in Figure 1. The existing well pump curve is not provided at this time, therefore a generic curve is included to indicate a pump curve that would be capable of incorporating treatment. During the design process Tetra Tech will evaluate all of the actual existing well pump curves against the calculated new system curve to determine the well pump's ability to meet the new system pressure requirements with PFAS treatment. The maximum flow rate the pump will operate at with the new treatment will be presented, and if unacceptable recommendations made for modifications such as adding bowls, changing motor size, or replacing the well pump entirely. i sao eaa ilwv ----- -- ------ ----- n IP 17 1C 15 le 2. 21 21 Te 1. . s> ll lc rw„u.. m OPe,rtb� Figure 1. Preliminary system curve for Well 26 and example pump curve. note, actual pump curve not available, shown is an example for demonstrative purposes. Figure 2. Example lead lag model for use to establish increased monitoring and resin change -out frequency requirements. TET ouncil 19 — 40 4/4/202 aye I r t PROPOSAL FOR On -Call Engineering Design Services Pilot Testing Data and DDW Permitting PFAS Treatment Systems Orange County Water District (OCWD) pilot test of non -potable well (Bessie Well) located in Anaheim, CA near Warner Basin and pilot results at neighboring Water Replenishment District (WRD) sites have all demonstrated excellent ability of many IX resins to successfully remove PFAS containments. Table 4 compares key organic and inorganic water quality data from a generic OCWD well with WRD and OCWD PFAS pilot tests. It is observed that the water quality of the example well is generally similar in PFOA, PFOS, and other relevant IX water quality parameter concentrations to that of OCWD-BESS. Given that the pertinent water quality parameter concentrations are similar between the pilot test source water and the example well, and that the pilot testing has shown several IX products successfully remove PFOA and PFOS, DDW permitted implementation of IX at the example site based off of the OCWD pilot data and a site specific lead -lag performance model to approximate lag performance at the speck example well site. Once water quality data is received a similar comparison would be provided for any Santa Ana wells that require treatment. TABLE 4. COMPARISON OF PILOTINGRECENT DATA Description OCWD WELL WATER QUALITY •CALIFORNIA Example Raw Water from Well in Oran a Coun OCWD Pilot WRD Pilot Units Well 1A Bessie Well LHHCWD Well #10 MTBLW Well #7 Test Type ___ Full Scale Pilot _Full Scale Pilot IX Resin Tested Calgon Cal Res 2301, ECT2 SRBIX IC4, Evoqua PSR2+, Purolite Purofine PFA694E Evoqua PSR2+, Purolite Purofine PFA694E, SIR-110-HP, PFCR-2 Sulfate m 89.8 131 174.0 77.5 Nitrate as N m L as N 2.44 0.3 2.8 2.5 Alkalinity as CaCO3)m 123 195 200.0 168.0 Chloride m 55.6 130 107.0 51.1 Arsenic ppb 1.05 6.2 3.0 2.0 Calcium m /L 50.3 82.2 109.0 65.0 Iron uoJL 1 3.3 8.83 ND Manganese ua 0.7 236 3.0 Sodium m 69.0 54.0 Potassium MCA 3.4 5.0 4.0 Magnesium mg1L 9.35 21.7 21.0 13.0 H Units 7.82 7.66 TDS m /L 366 624 643.0 410.0 Total Organic Carbon I m /L 0.22 1.3 0.77 0.81 Perfluoro hexanoic acid PFHxA I n /L t 5.4 2A 3.4 5.1 Pedluorodecanoic acid PFDA n t ND 3.1 2.0 Perfluoro he tanoic acid PFH A n /L t 2.8 2.2 3.7 Perfluoro octanoic add PFOA n t 9A7 16 12.4 15.0 Perfluoro nonanoic add PFNA n L t ND 2.2 3.0 3.6 Perfluoro butane sulfonic acid PFBS n L t 4.2 14 6.3 9.0 Perfluoro hexane sulfonic acid PFHxS n L t 8.7 11 6.4 6.6 Perfluoro octane sulfonic acid PFOS n t 22 23 32.2 35.7 Notes: 1, Blue cells impact IX performance. 2. Green cells can impact IX performance, depending on amount of metals that are undissolved and could clog the filter. Pre-treatment recommended to remove any particulates prior to IX treatment. TETR&Tf gtbunCil 19 - 41 4/4/202gage 111 PROPOSAL FOR On -Call Engineering Design Services PFAS Study PFAS Treatment Systems Our team has been involved in numerous PFAS Studies for water systems in Southern California. Our approach is to start with a site visit to each proposed well site followed by a detailed review of available record drawings. It is our understanding that the City has approximately 6 to 8 wells that will need to be considered for PFAS treatment. Once we have completed this work we would proceed with the following: ■ Obtain and review 3 to 5 years of water quality data from each well. This data will be reviewed and analyzed to confirm that the water quality is within the range required for effective PFAS treatment with IX media. is Determine if any of the wells have issues with sand, turbidity or suspended solids that would affect the 5 micron pretreatment filter and/or the IX media. ■ Prepare a comparison of each wells water quality to the pilot results in the OCWD Pilot Report. This data will be used to determine if the City wells could use the existing pilot test results or if they would require additional pilot testing be performed. in Using areal photographic mapping determine proposed layouts for each site considering both construction working room and room for future maintence including IX media change outs. ■ Determine which sites could be piped together to allow for a centralized treatment system to treat all or some of the wells. See the figure below for a typical centralized treatment system layout. CENTRALIZED TREATMENT SYSTEM WELL FIELD SYSTEM We would then work closely with the City staff to narrow down the options to 3 or 4 which include both centralized and single well treatment plants. The next step in the process would be to build a hydraulic computer model that could analyze the operations of each of the 3 to 4 options. The hydraulic computer model would include the following inputs: ■ Pump curves for all affected wells in New Pipelines from the Wells to the centralized treatment plant ■ Storage reservoirs (if required) ■ Booster Pumps (if required) ■ Existing City Distribution pipeline size and pressure where treated water will be delivered to The models are run and updated to obtain the optimum pipe diameter, pump, and motor sizing for each option. Once this is completed our team will then prepare capital and operational costs for each option. Our draft and final reports will provide the costs indicating the total capital cost, annual operating costs and the cost per acre feet of water produced. TET ouncil 19 — 42 4/4/202gage 113 IRWD Shallow GW Unit PFASVVTP 4nent Systems 9 RELEVANT PROJECT EXPERIENCE W IBM l:wl SANTA ANA O TETRA TECH PRO"AL FOR On -Call Engineering Design Services PFASTreatment Systems RELEVANT PROJECT EXPERIENCE In this section we have included a list of relevant PFAS Projects. The design of each project was completed in the last five years for a local Public Agency. Serrano Water District I C.L. "Larry" Pharris Jr. Filtration Plant Owner: Serrano Water District Number of Wells: 2 Capacity: 3,000 GPM Status: Operational since February 2022 Construction Costs: $3.8 million PFAS Treatment: Ion Exchange Reference: Benjamin Smith, PE, Orange County Water District (714)378-3211 Project Benefits: • Online within one year of construction start • Fully utilizes local groundwater • Designed partially below grade to soften the view of neighbors • Second project placed into service by OCWD PFAS program • Winner of ASCE Orange County Branch Water Treatment Project of the Year 2020 City of Fullerton I Kimberly Well 1A Water Treatment Plant Owner. City of Fullerton Number of Wells: 1 Capacity. 3,200 GPM Status: Operational since June 2021 Construction Costs. $1.7 million PFAS Treatment: Ion Exchange Reference: Benjamin Smith, PE, Orange County Water District (714) 378-3211 Project Benefits: F • Constructed on extremely small site • Upgrades to well, pump, motor and VFD added to project • First Orange County Project to obtain a Division of Drinking Water Permit • First project placed into service by OCWD PFAS program City of Fullerton I Main Plant Water Treatment Plant Owner: City of Fullerton Number of Wells: 5 Capacity: 9,400 GPM Status: Design Completed & Under Construction Construction Costs: $11.3 million PFAS Treatment: Granular Activated Carbon Reference: Ryan Bouley, PE, Orange County Water District (714) 378-8207 Project Benefits: • GAC used due to presence of VOCs & PFAS in the groundwater • Designed to be built within existing operating City Water Plant • Layout included planning for future expansion • 3D renderings used to provide visual view of the completed site during CEQA process TETR ouncil 19 — 44 4/4/2025eye 114 P90MSAI FOR On -Call Engineering Design Services Irvine Ranch Water District I ET-1 PFAS Treatment Plant Owner: Irvine Ranch Water District Number of Wells: 1 Capacity: 1,100 GPM Status: Design Completed & Under Construction Construction Costs: $3.0 million PFAS Treatment: Granular Activated Carbon Reference: Rich Mori, PE, Irvine Ranch Water District (949) 453-5571 Project Benefits: • GAC used due to presence of VOCs & PFAS in the groundwater • Designed to be built on an existing operating well site • Layout included planning for future expansion • City permits were required for piping connection Irvine Ranch Water District I SGU PFAS Treatment Plant Owner: Irvine Ranch Water District Number of Wells: 12 Shallow Wells Capacity: 600 GPM Status. Design Completed & Under Construction Construction Costs: $2.9 million PFAS Treatment Granular Activated Carbon Reference: Rich Mori, PE, Irvine Ranch Water District (949) 453-5571 Project Benefits: • GAC used due to presence of very high VOC levels & PFAS in the groundwater • Designed to replace existing air stripper system • Located on site of former El Toro Marine Base • Permitting required from City on required pipeline Yorba Linda Water District I Headquarters PFAS Treatment Plant Owner: Yorba Linda Water District Number of Wells: 10 Capacity: 17,360 GPM (25.0 MGD) Status: Operational since May 2022 Construction Costs: $32.5 million PFAS Treatment: Ion Exchange (IX) Reference: Chris Olsen, PE, Orange County Water District (714) 378-3211 Project Benefits: • Largest PFAS IX treatment plant in the United States • Studied options to treat at 3 sites or at one combined site • Project includes a 25.0 MGD pump station and emergency generators • Competed detailed blending analysis required for DDW permitting • Winner of ASCE Orange County Branch Project of the Year 2021 • Winner of ASCE Los Angeles Chapter Section Project of the Year 2022 PFAS Treatment Systems TETI'Mi5i Muncil 19 — 45 4/4/202:'age I" PROPOSAL FOR On -Call Engineering Design Services City of Downey I PFAS Study for Five Wells Owner: City of Downey Number of Wells: 5 Capacity: 1,100 GPM to 1600 GPM Status: Study Completed July 2021 Construction Costs: $3.0 million to $5.5 million PFAS Treatment: Ion Exchange & Granular Activated Carbon Reference: Dan Mueller, PE, City of Downey (562)904-7110 Project Benefits: • Analyzed Water Quality • Reviewed Well pumps & motors • Analyzed centralized treatment option • Provided site layouts • Developed Capital & Operations costs City of South Gate I PFAS Compliance Study Owner: City of South Gate Number of Wells: 4 Capacity: 5,000 GPM Status: Study Completed September 2022 Construction Costs: $4.8 million PFAS Treatment: Ion Exchange & Granular Activated Carbon Reference: Chris Castillo, City of South Gate (323)563-5779 Project Benefits: • Analyzed Water Quality • Reviewed Well pumps & motors • Analyzed centralized treatment option • Provided site layouts • Developed Capital & Operations costs • Provided Costs for 1,4-Dioxane treatment if needed in future PFAS Treatment Systems TITRIERyTouncil 19 — 46 4/4/202gage 116 z IRWD Shallow GW Unit PFAS WTP �fnent Systems SCOPE OF SERVICES O TETRA TECH AL PROPUSAL FOR On -Call Engineering Design Services SCOPE OF SERVICES Tetra Tech proposes to provide engineering and consulting services for PFAS Treatment System Designs as outlined in the City's RFP and the following sections. 1. Planning Study and Consulting Services Tetra Tech will perform a Planning Study for the City in which the number of wells impacted by PFAS, their location, and areas available for a treatment system(s) and truck access would be examined. The Planning Study would determine how the treatment system(s) would be integrated into the City's existing operations, determine if a centralized treatment plant is feasible for combining wells, provide alternative design options, assess the potential for blending, provide initial support for permitting and develop capital costs associated with potential land acquisition, permitting, pipeline connections and system integration. In general, the scope of work will include the following for the Planning Study: A. Management Activities Tetra Tech will conduct project management activities to ensure adherence to budget and schedule. We will coordinate and attend meetings with City staff pertaining to the project kickoff, reviewing draft reports, and as needed to prepare and address project inquiries and issues. In addition, Tetra Tech will provide meeting minutes for each meeting as well as biweekly updates of progress to the City. B. Well Assessment and Initial Treatment Design Our staff will gather information on the City's groundwater conveyance systems, impacted wells, reservoirs, imported water connections, and conduct site visits to all well sites affected to determine available area of land for the PFAS treatment system(s) as well as determine how the treatment system(s) will be integrated into the City's existing operations. Tetra Tech will also review existing and available information on the City's historical PFAS bench -and pilot -scale testing as well as historical Planning Studies performed and existing PFAS treatment facility layouts and adhere to the standards set therein. In the preliminary Planning Study, Tetra Tech will provide a conceptual layout for each requested location by the City based on existing ion exchange (IX) treatment systems (Aqueous Vets System rated PFAS Treatment Systems for 150 PSI). For all IX wellhead treatment designs we will include cartridge finer pre-treatment, a sand separator, IX lead -lag system capable of addressing the well(s)'s gallon per minute capacity, an emergency generator, and an additional sound attenuated booster pump to combat the head loss experienced through the new treatment system. C. Permit Assessment Tetra Tech will perform an initial permitting assessment to understand any requirements, as well as develop a list of required permits (including permit description, issuing regulatory agency, summary of permit requirements, and permit acquisition timelines). D. Feasibility Study The Planning Study will include a Feasibility Study which investigates hydraulic conditions of existing wells and determine what modifications to existing well pumps and transmission systems will be necessary, if any, for the installation of the proposed PFAS wellhead treatment facilities. E. Cost Estimates Tetra Tech will provide cost estimates for the treatment facility equipment, any necessary land acquisition to accommodate a treatment system(s), permitting, plumbing connections, transmission alignments and system integration. We will also include capital, maintenance, and operation cost estimates for IX treatment system(s). F. Preliminary Schedule Tetra Tech will develop a preliminary phasing schedule for construction in the Planning Study. The plan is intended to provide the City a schedule and projected annual outlays for financial planning. In the preliminary schedule, Tetra Tech will include the anticipated duration of construction as well as any necessary utility extensions required. G. Final Report Our final report will include discussion of all items listed herein and will be submitted to the City for review and comments. We will provide a PDF digital copy of the preliminary report and will incorporate all comments made by the City prior to submitting of the final report. The following page contains a proposed layout of Well 26. 2. Design Phases Once the Planning Study has been completed, Tetra Tech will provide design services including preparation of design sheets, specifications, and TETKERFouncil 19 — 48 4/4/202§age 111 City Council , 49 nti..h,o�F ,„A a •.3 ,n, 41412027'< —"' PROPOSAL FOR On -Call Engineering Design Services permitting. All submittals described herein will be provided in the form of a PDF digital copy (full-size). We have included the proposed sheet counts for the 10%, 30%, 60%, 90% and 100% design. The design phases will include the following items: A. Draft Design Report (10% Design Submittal) Tetra Tech will create a Preliminary Design Report (PDR) based on the Planning Study for each treatment site requested by the City. The PDR will be considered a 10% design level package for the project in which the IX wellhead treatment project goals and design criteria are addressed with alternatives, analysis, and potential risks. The following design drawings will be provided: • General (3 Sheets) • Civil (3 Sheets) • Structural (2 Sheet) • Mechanical/Process (4 Sheets) • Electrical (3 Sheets) • Instrumentation (4 Sheets) B. Final Design Report (300/6 Design Submittal) After the City defines the major design elements of the project and refines the projects scope, schedule and budget expressed in the PDR, we will develop the Final Design Report. The Final Design Report will be considered a 30% design level package for the project which provides a refined project budget, cost estimate and project schedule that the City can commit to. Land acquisitions, fatal flaws, and the finalized design criteria will be incorporated into the Final Design Report. The following design drawings will be provided: • General (3 Sheets) • Civil (3 Sheets) • Structural (2 Sheets) • Mechanical/Process (4 Sheets) • Electrical (3 Sheets) • Instrumentation (4 Sheets) C. 60% Design Submittal After receiving and incorporating comments provided by the City on the 30% Design Submittal, the Tetra Tech will provide an updated 60% Design Submittal in which expectations and objections are finalized of the project as well as confirmation of constructability and permit requirements. Tetra Tech will also provide plans and specifications as well as an engineering cost estimate. Our team will also implement acceptable value engineering requirements (if applicable) and identify preferred PFAS Treatment Systems equipment and materials. The following design drawings will be provided: • General (4 Sheets) • Civil (8 Sheets) • Structural (4 Sheets) • Mechanical/Process (8 Sheets) • Electrical (6 Sheets) • Instrumentation (6 Sheets) D. 90% Design Submittal Tetra Tech will provide 90% Design Plans with the complete project design, including plans and specifications, subject to review comments by the City and any other potential stakeholders. The 90% Design Package will confirm the bid availability of the project, possess an engineer's cost estimate for the bid, and finalize the building permit package (when applicable). Tetra Tech will also provide a Commissioning Plan in the 90% Design Submittal in which the goals, systems, and commissioning processes are identified. The following design drawings will be provided: • General (6 Sheets) • Civil (11 Sheets) • Structural (7 Sheets) • Mechanical/Process (13 Sheets) • Electrical (9 Sheets) • Instrumentation (6 Sheets) • Traffic Control (3 Sheets) E. Final Design (1000/6 Design Submittal) In the final design submittal, Tetra Tech will incorporate all comments and requests made by the City in previous design submittals. The following design drawings will be provided: • General (6 Sheets) • Civil (11 Sheets) • Structural (7 Sheets) • Mechanical/Process (13 Sheets) • Electrical (9 Sheets) • Instrumentation (6 Sheets) • Traffic Control (3 Sheets) In addition, the following items will be provided with the final design, as requested in the City's RFP: • Cost Estimate, Specifications and Project Schedule • Structural System • Civil Site Plan System • Mechanical System • Electrical System • Instrumentation and Control System TETRthRouncil 19 — 50 4/4/202gage 118 PROPOSAL FOR On -Call Engineering Design Services 3. Bid Phase Tetra Tech will assist with the bidding phase providing the following services: A. Project Management Tetra Tech will coordinate and expedite the preparation, assembly and delivery of bid documents for the City to administer via PlanetBids Portal. We will take the necessary procedures to administer any prequalification of potential Construction Contractors as directed by the City to ensure that all Contracts are competitively bid. B. Technical Support Tetra Tech will provide technical support to the City on questions regarding the meaning and intent of the drawings and specifications, and will assist in achieving the resolution in clarifying any comments potential Construction Contractors may have during the bidding phase. C. Project Addendas Tetra Tech will assist with any addenda required during the bidding process. The City will work in conjunction with Tetra Tech in bidding out the project, providing clarification and evaluating the potential Construction Contractors. 4. Construction Phase Tetra Tech will provide general services to support the construction efforts and serve as an extension of City staff to assist in the overall delivery of the project, including pre -construction tasks, reviewing construction submittals, and ensuring that the work is completed in accordance with the contract documents, project closeout and commissioning phase. A. Submittal/Shop Drawing Review Tetra Tech will be responsible for review of completeness and quantity of all required shop drawings, product data, samples, and other submittals. We will transmit the Submittals to City staffing for review and approval and will establish and implement procedures for expediting the processing and approval of Submittals. B. Request for Information (RFI) Response Tetra Tech will assist with RFIs and will update the City on all RFIs issued in the duration of the project. Tetra Tech will maintain, at the job site, records of contract documents including drawings, addenda, change orders, and other modifications of plans and specifications marked to show all changes made during construction. We will also maintain as -built records of underground utilities, including locations PFAS Treatment Systems and depths of trenches. At the completion of the project, Tetra Tech will deliver to the City all contract documents including as -built records. C. Change Orders Tetra Tech will conduct comprehensive evaluation of change order requests, provide independent estimates, render recommendations, and assist in claim resolution. Tetra Tech will regularly monitor and report on the status of the Project Construction Budget monthly, indicating actual costs for completed activities and work in progress, and indicating estimates for uncompleted work. D. Project Closeout Tetra Tech will evaluate the completion of the work of the Construction Contractor and make recommendations to the City when work is ready for final inspection. Upon request, Tetra Tech will assist the City in conducting final inspections. 5. Code Compliance All materials and workmanship shall be in strict conformity with federal, state and local codes requirements, standards of the latest editions, and guidelines including revisions of the following: • California Building Code (CBC) • American National Standards Institute (ANSI) • American Society of Testing and Materials (ASTM) • Department of Transportation (DOT) • California State Water Resources Control Board • Department of Drinking Water • South Coast Air Quality Management District (SCAQMD) • Environmental Protection Agency (EPA) • Occupational Safety and Health Administration (OSHA) 6. Project Management and Coordination When a request for service is issued to the City, Tetra Tech will issue an estimate to the City's designated Project Manager. Our team will not proceed with any work without the approval of the City's designated Project Manager in the form of a Notice -to -Proceed. We will invoice the City on a monthly basis for all work performed during the period. Each invoice will be accompanied by a summary of tasks performed, contract agreement number, results and progress on long-term tasks if any. TETRAig0buncil 19 — 51 4/4/202fage 111 City of Downey Well IRWD Shallow GW Unit PFAS WTP SANTA ANA \ AS ;A ON +. at ent Systems t ATTACHMENT 3 REFERENCES NTETRA TECH CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS ADDENnIY ATTACHMENT 3: PROPOSER'S 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: Orange County Water District Address: 18700 Ward Street Fountain Valley, CA 92708 Contract Amount: $5,234,000 Description of supplies, equipment, or services District and Yorba Linda Water District. Reference Customer Name: Irvine Ranch Water District Address: P.O. Box 57000 CA 92619 Contract Amount: $702,740 Contact Individual: Chris Olsen, PE Phone Number: 714-378-3232 Email: colsen@ocwd.com Year: 2020 to Current for Contact Individual: Rich Mori PE Phone Number: 949-453-5571 Email: mori@IRWD.com Year: 2021 & 2022 Description of supplies, equipment, or services provided: Design of 2 PFAS treatment plants (Well ET-1 & Well SGU) treating PFOA, PFAS, PCE and TCE. Reference Customer Name: City of Downey Address: 11111 Brookshire Ave. Downey, CA 90241 Contract Amount: $48,000 Description of supplies, equipment, or services provided: Contact Individual: Dan Mueller, PE Phone Number: 562-904-7110 Email: dmueller@downeyca.org Year: 2020 & City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems Pape 26 City Council 19 — 53 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS studies performed on Wells #2, #4, #11, #16, #24 and Wells #8, #10 & #12. Studies included Reference Customer Name: City of South Gate Contact Individual: Chris Castillo Address: 4244 Santa Ana Street Phone Number: 323-563-5779 South Gate, CA 90280 Contract Amount: $165,000 Description of supplies, equipment, or services Prepared a City Wide PFAS Compliance Email: ccastillo@sogate.org Year: 2022 analyzed options to comply with PFAS regulations THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems Page 27 City Council 19 — 54 4/4/2023 Orange County Water Disirirl Fullerton Main Plant PFAS 4 j IRWD - w PFAS Well ET-1 ws�' d _ a..1, r-Iwoo C aA a�� JM _ 1 •.wiK�. :. jr swill..{ RESUMES N TETRA TECH m PROPOSALFON On -Call Engineering Design Services Steve Tedesco, PE, BCEE Project Manager Steve is experienced in the planning, analysis, design, and construction of water supply, water treatment, and water distribution. His experience includes water master planning, water treatment plant design, construction management and Design -Build delivery methods. Steve has extensive design experience in the water and wastewater treatment, including Desalination, Membrane Filtration, Reverse Osmosis, Ultraviolet Treatment, Nanofiltration, Granular Activated Carbon (GAC), Ion Exchange (IX), and waste disposal projects. PFAS Treatment Systems Education BS, Civil Engineering, Polytechnic Institute of New York, 1979 Registrations Professional Civil Engineer, California, No. 39261, 1985 Board Certified Environmental Engineer (BCEE), California, No. 11-20037, 2011 Years of Experience 39 PFAS On -Call Contract, Orange County Water District, CA. 2021. L- Principal-in-Charge for IX/GAC treatment for PFOS and PFOA design for 18 affected wells in the main Orange County Basin. Projects included design, estimating of capital and operating costs, coordinating with vessel suppliers, and construction management for the following projects: ■ Serrano Water District Well #5 and #9 (In Operation): This project consists of a 3,000 GPM IX System with a bag filter pre-treatment, 3,000 GPM Booster Pump Station and new chemical feed system for disinfection. ■ Kimberley Well 1A (In Operation): Located on a very small site with a single well this facility is designed to produce 3,000 GPM using an IX System with a bag filter pre-treatment and new chemical feed system for disinfection. ■ Fullerton Main Plant (Completed Design): The Fullerton Main Plant will treat six onsite wells with a total capacity of 10,100 GPM. PFOS, PFOA and VOCs will be removed using 6 to 12 ft diameter, 40,000 lb. GAC vessels that will discharge into an existing forebay then pumped into the distribution system. The remaining wells will be treated with an IX system consisting of 8 vessels and bag filters for pre-treatment. ■ Yorba Linda Water District Headquarters Plant (In Operation): This system will treat water from 10 wells with a total capacity of 17,400 GPM. An IX System consisting of 11 pairs of Lead/Lag Vessels (22 vessels total), bag filter pre-treatment, Booster Pump Station, and new Onsite Generation System for chlorine disinfection. In order to get the system on the existing site an extensive analysis of the site improvements was completed. PFAS Study for Wells ET-1, ET-2 and 78, Irvine Ranch Water District, Irvine, CA. 2021. Principal -in -Charge for a study to determine the options to add PFAS treatment to an operating VOC air stripper project. Well ET-1 operates at 2.0 MGD through one tray air stripper that discharges into a small wet well with a single booster pump station. The existing plant is located on a small lot with limited space. Project included analysis of water quality, options for IX or GAC treatment and analysis of adding wells ET-2 and 78 to the project if they become affected by PFAS. Capital and O&M costs were also prepared. PFAS Study for Five Wells, City of Downey, CA. 2021. Project Director for a study to determine the options to add PFAS treatment to five existing wells in Downey affected by PFOS and PFOA. Study included analysis of water quality, siting study, comparison of IX and GAC treatment, evaluation of piping wells to a central location for treatment, capital cost estimates, O&M estimates and lifecycle cost analysis. The report was used as an attachment to the City of Downey's funding application to Water Replenishment District of Southern California. Well No. 29 and PFOS/PFOA Treatment Systems, City of Orange, CA. 2020 - Ongoing. QA/QC. Tetra Tech is providing design and construction support services for the City's new Well No. 29 and PFOS/PFOA treatment system. The proposed Well No, 29 will pump water to 370 Zone and is expected to produce approximately 3,000 GPM. The PFOS/PFOA treatment system shall be designed to treat approximately 3,500-4,500 GPM, which includes the total production of proposed Well No. 29 and existing Well No. 9. TET Ouncil 19-56 4/4/2023 PROPOSAL FOR On -Call Engineering Design Services Tom Epperson, PE Client Manager PFAS Treatment Systems Education BS, Environmental Engineering, University of Tom has more than 41 years of professional experience in water, Calitornia, Irvine, 19, 8 wastewater, and reclaimed water engineering. He has been Registrations responsible for the preparation of water, wastewater, and reclaimed Professional Civil Engineer, water master plans; project design reports for various water, California, No. 36399, 1983 wastewater, and reclaimed water facilities; and the planning and design of water, wastewater, and reclaimed water pipelines, along years of Experience with pump stations and reservoirs. Tom has completed the design, 41 bidding, and construction management of over 300 miles of water/reclaimed water sewer mains, 40 water/reclaimed water pump stations, 15 well head facilities, 12 sewer lift stations and 25 water/reclaimed water storage reservoirs throughout Southern California. EXPERIENCE PFAS On -Call Contract, Orange County Water District, CA, 2021. QA/QC Manager for IX/GAC treatment for PFOS and PFOA design for 18 affected wells in the main Orange County Basin. Projects included design, estimating of capital and operating costs, coordinating with vessel suppliers, and construction management for the following projects: ■ Serrano Water District Well #5 and #9 (In Operation): This project consists of a 3,000 GPM IX System with a bag filter pre-treatment, 3,000 GPM Booster Pump Station and new chemical feed system for disinfection. ■ Kimberley Well 1A (In Operation): Located on a very small site with a single well this facility is designed to produce 3,000 GPM using an IX System with a bag filter pre-treatment and new chemical feed system for disinfection. is Fullerton Main Plant (Completed Design): The Fullerton Main Plant will treat six onsite wells with a total capacity of 10,100 GPM. PFOS, PFOA and VOCs will be removed using 6 to 12 ft diameter, 40,000 lb. GAC vessels that will discharge into an existing forebay then pumped into the distribution system. The remaining wells will be treated with an IX system consisting of 8 vessels and bag filters for pre-treatment. is Yorba Linda Water District Headquarters Plant (In Operation): This system will treat water from 10 wells with a total capacity of 17,400 GPM. An IX System consisting of 11 pairs of Lead/Lag Vessels (22 vessels total), bag filter pre-treatment, Booster Pump Station, and new Onsite Generation System for chlorine disinfection. In order to get the system on the existing site an extensive analysis of the site improvements was completed. PFAS Study for Wells ET-1, ET-2 and 78, Irvine Ranch Water District, Irvine, CA. 2021. QA/QC Manager for a study to determine the options to add PFAS treatment to an operating VOC air stripper project. Well ET-1 operates at 2.0 MGD through one tray air stripper that discharges into a small wet well with a single booster pump station. The existing plant is located on a small lot with limited space. Project included analysis of water quality, options for IX or GAC treatment and analysis of adding wells ET-2 and 78 to the project if they become affected by PFAS. Capital and O&M costs were also prepared. Equipping Well No. 15 and Treatment Plant, City of Paramount, CA. 2010. Project Manager. Design and construction support for a new bulk sodium hypochlorite and ammonia chemical delivery system at the City's new Well No. 15. Design included the equipment for the well including the pump and motor, the discharge piping, and a manganese and future arsenic treatment system. Included within the facility are an arsenic manganese filtration system, backwash tank, backwash recirculation pumps, sludge mixer pumps, sodium hypochlorite and ammonia treatment systems, and an emergency generator. The facility included a well building removable sound enclosure, a pre-engineered, prefabricated precast concrete electrical building, and a prefabricated fiberglass insulated building for the backwash pump enclosure. TETKAifWGKuncil 19 — 57 4/4/2023 PROPOSALFOR On -Call Engineering Design Services Mark Bush, PE Technical Advisor/QA/QC Mark has more than 28 years of professional experience in water, wastewater and recycled water engineering. He has been responsible for the completion of over 100 miles of potable water, recycled water and sewer mains, 20 potable water and recycled water pump station and well projects and 14 potable and recycled water reservoirs. Mr. Bush is an integral part of the Water/Wastewater Department and brings leadership, strong work ethic, technical knowledge and dedication to overall client satisfaction on every project. PFAS Treatment Systems Education BS, Civil and Environmental Engineering, University of California, Irvine, 1997 Registrations Professional Civil Engineer, California, No. 60477, 2000 Years of Experience 28 Water Resources Integration Program, Phase 2 Pump Station Improvements, San Antonio Water System, San Antonio, TX. 2020. QA/QC. Phase 2 project elements included two additional 1,250 hp vertical turbine pumps installed in existing cans with VFDs at Twin Oaks West Pump Station, a booster pump station with variable frequency drives in addition to hydropneumatic surge tanks, a second 7.5 MG ground storage tank No. 2, and a fourth pump at the PZ 4 Pump Station at Old Pearsall Road Pump Station, and approximately 3,000 feet of 48-inch water pipeline with a control valve assembly to transition from production mode to recharge mode on site. City Trunk Line North Unit 2, Los Angeles Department of Water & Power, Los Angeles, CA. 2018. QA/QC Manager. Design of the City Trunk Line North Unit 2, which will consist of 12,200 linear feet of 54-inch diameter welded steel pipe. The design includes three bore and jack tunnels and 3,500 linear feet of slip -lining, where new 54-inch steel pipe will be pushed through an existing 72-inch riveted steel pipeline. San Jacinto Valley Water Banking Project - Enhanced Recharge and Recovery Program, Phase 1 Well Equipping, Phase 1B Pipelines and Treatment Facilities Final Design, Eastern Municipal Water District, San Jacinto, CA. 2018 - Ongoing. Pipeline Design Lead. Final design for the well equipping, associated piping and central groundwater treatment plant. The scope of work includes survey, geotechnical investigation, final plans for civil site, mechanical, process, electrical and instrumentation components of the treatment and blending facility, final plans for well site work, final plans for pipeline plan and profile sheets, specifications and cost estimates. Central Water Integration Pipeline, San Antonio Water System, San Antonio, TX. 2017 - Ongoing. Technical Reviewer. Pump station improvements included a new 30.0 MGD horizontal split case BPS consisting of four pumps located at the Terminus Treatment Facility and a new 30.0 MGD vertical turbine pump station consisting of three pumps located at the Bitters Pump Station. The Maltsberger pump station improvements included the replacement of all electrical facilities including the switchgear, transformers and ductbanks for six water wells and eight booster pumps. The new electrical pump switchgear and Maltsberger pump station will be housed in a new electrical building. The integration of the water at the three existing pump stations will be controlled with sleeve valve flow control assemblies up to 20 inches allowing for flows up to 45 MGD at each pump station providing for controlled pressure dissipation without cavitation issues. La Salina Wastewater Treatment Plant (LSWWTP), City of Oceanside, CA. 2015 - Ongoing. Technical Design Lead. The LSWWTP was originally constructed in 1948 and has been expanded and rehabilitated over the years. LSWWTP serves as the connection point for multiple regional discharge pipelines including treated effluent from Fallbrook, Camp Pendleton, and the San Luis Rey Water Reclamation Facility (SLRWRF). This project consists of demolishing the LSWWTP and replacing it with a new 5 MGD raw wastewater lift station to convey wastewater from the LSWWTP collection area to San Luis Rey Water Reclamation Facility. The scope of work also includes the relocation of an existing 1 MGD UV storm water treatment facility and preliminary design of a new 24-inch HDPF force main that will be used to convey the raw wastewater to the SLRWRF. TETR ouncil 19-58 4/4/2023 PROPOSAL FOR On -Call Engineering Design Services Gary ReVoir, PE Technical Advisor/QA/QC Gary has more than 34 years of engineering consulting experience in the municipal sector covering all aspects of public works and utility related projects; particularly drinking water, wastewater, reclaimed water, storm water and solid waste. This experience includes a broad range of engineering and consulting covering the full range of planning, design, permitting, funding support and assistance during construction for various infrastructure projects. His involvement in a number of infrastructure projects nationwide has afforded him additional expertise and industry knowledge to support utility management in all aspects of implementing capital programs at all levels. Mr. ReVoir has a BSE in Environmental Engineering from the HAS Treatment Systems Education MS, Environmental Engineering, University of Central Florida, 1995 University of Florida, a MSE from the University of Central Florida, and is currently a Vice President with Tetra Tech, as well as a member of the Board of Directors for the Water Research Foundation. EXPERIENCE Eastern Regional Water Supply Facility, Orange County Utilities, FL. 2022. Technical Advisor. Groundwater treatment facility expansion to 62.5 MGD with master planning for an ultimate capacity of 75 MGD. Process facilities occupy a constrained site with adjacent residential properties. Both a conjunctive use study and an evaluation of plant redundancy and reliability were conducted to determine viable preliminary design concepts for facility expansion. Glendale WWTP Dewatering Improvements, City of Lakeland, FL. 2020. Technical Advisor. To increase dewatering capacity and create a permanent situation, the City intends to install a dewatering system, including a centrifuge plus other ancillary equipment as required for a complete system. Centrifuge will be a fixed unit housed within the thickener building that currently houses two belt thickeners. Provided preliminary and final design, permitting, bidding, and construction administration services associated with installation of the centrifuge and associated systems for dewatering the digested sludge at the facility. Dewatering system improvements included new sludge feed pumps housed within the sludge feed pump building which draws sludge from Retention Basin Nos. 4 and 5. Additionally, the City installed a high solids cake conveyance system to transport the dewatered material to a hauling vehicle parked adjacent to the thickening building. Project also included electrical, instrumentation, civil site and yard piping modifications as needed for the proposed sludge mixing, feed, dewatering, and conveyance improvements. Alternative Water Supply Design/Build, City of Tarpon Springs, FL. 2016. Client Manager. Preliminary engineering, final design, permitting, and construction administration. Project consisted of raw water supply wells and a new reverse osmosis WTP capable of treatment up to 6.4 MGD, designed for high salinity groundwater treatment. Cypress Lake Water Treatment Plant, STOPR, City of Kissimmee, FL. 2015. Client Manager. Strategic planning efforts which determined that a regional project yielding a minimum 30 MGD of water supply would help to collectively meet the Utility Partners (Toho Water Authority, City of St. Cloud, Orange County Utilities, Polk County, and Reedy Creek Improvement District) needs for the near future. The Groundwater Desalination Regional Alternative Water Supply Preliminary Design Report presents a basis of design, preliminary layout of proposed facilities (buildings, site and yard piping), facility implementation, overview of regulatory requirements, and an estimate of probable capital and O&M costs for the 34 MGD Cypress Lake water treatment plant, wellfield, and raw water main, and concentrate disposal facilities. TETILAitY.CJduncil 19 — 59 4/4/2023 PROPOSAL FOR On,Call Engineering Design Services Alan Ludwig Technical Advisor/QAIQC Alan has more than 45 years of construction experience as Project Manager, Estimator and Company Manager of heavy engineering construction projects principally in the water and wastewater field. His experience also includes hazardous waste remedial projects, fuel tank removal1replacement projects, and all phases of pipeline, pumping facilities, treatment, and waste disposal projects. EXPERIENCE PFAS Treatment Systems Education MBA, Business Management, University of Southern California Registrations Class A General Contractor, California, No. 373525 Years of Experience 45 Fullerton Kimberly 1A, Orange County Water District, CA. 2022. Construction Manager. Located on a very small site with a single well this facility was constructed to produce 3,000 GPM using an IX System with a bag filter pretreatment and new chemical feed system for disinfection. Piru Wastewater Treatment Plant, Ventura County Water Works District, Piru, CA. 2015. Construction Manager for this Design -Build project that consisted of constructing a 0.5 MGD wastewater treatment plant in order to upgrade and expand the existing Piru Wastewater Treatment Plant. New facilities were constructed on 4 acres of land immediately east of the existing treatment plant. Project elements include an oxidation ditch activated sludge process, secondary clarifiers, digester tanks, sludge dewater facility, effluent pump station, onsite pipelines, Operations building, electrical and instrumentation. final product water pump station clear well. Groundwater Treatment Plant Modifications GAC for MTBE Removal, San Juan Capistrano, CA. 2012. Construction Manager for the modification to the Groundwater Treatment Plant to remove the MTBE found in the feed water. The 5.3 MGD system includes eight 10-feet diameter GAC vessels with feed, backwash, and effluent piping. Richardson Treatment Plant, Lockheed Martin Corporation, CA. 2008. Construction Manager. Supervised the ion exchange (IX)/granular activated carbon (GAC) treatment system designed to remove TCE and Perchlorate from well feed water. The treatment plant is supplied by one on -site and one off -site newly drilled groundwater well located in the City of Loma Linda. The total flow rate treated is 4,800 GPM. The design included pretreatment and post treatment bag filtration, treated water storage break tank, product water booster pump station, backwash pumping system, backwash waste storage tank and pumping system, backwash waste treatment system, and chlorination system. Site improvements included an on -site drywell, gravel and asphalt paving on the site, a perimeter block wall and two entrance gates, site lighting, and camera security system. Initial engineering work included preparation of a Basis of Design Report. Hydraulic, chemical feed, and structural and electrical calculations were prepared to complete the design plans. Filter vessels included (5-12 diameter) pair for GAC and (3-12 diameter) pair for IX equipment. Treated water is conveyed via the booster pumps to two separate pressure zones within the City of Loma Linda. Electrical design included a system compatible with City's SCADA system. Electrical loads were estimated to design new 2,000-amp electrical service for the site. Tippecanoe Groundwater Plant, Lockheed Martin Corporation, CA. 2008. Construction Manager. Tetra Tech prepared final design documents and acted as general contractor to construct the Tippecanoe Regional Groundwater Treatment Facility using a Design -Build delivery process. The completed facility utilizes GAC to remove trichloroethylene (TCE). Groundwater is pumped from three wells to the site where it is metered prior to treatment. The GAC units consist of a battery of ten units, with each battery consisting of two 20,000-pound carbon vessels. The vessel piping and valving are arranged so that each battery of carbon vessels can be operated either in series or in parallel. Treated water is discharged directly into the potable water system. State of California Department of Health Services reviewed and approved the engineering design and monitoring provisions. Tetra Tech constructed the expansion of the existing pump station that boosts water through the facility. The total pump station capacity is 10,000 GPM. TETR,SWyQ,H0Unci1 19 — 60 4/4/2023 reorosm. voR On Call Engineering Design Services Kara Buttcavoll, PE Team 1 Leader Kara has more than 25 years of experience in analysis, design, and construction management for various types of public works projects including, but not limited to, water pipeline distribution systems, water and wastewater treatment plants, wastewater collection mains, water booster pump stations, reservoirs, hydraulic analysis, storm drainage systems, and site improvement design. EXPERIENCE PFAS Treatment Systems Education BS, Civil and Environmental Engineering, University of California, Irvine, 1997 Registrations Professional Civil Engineer, California, No. 60452, 2000 Years of Experience 25 PFAS On -Call Contract, Orange County Water District, CA. 2021. Team Leader for IX/GAC treatment for PFOS and PFOA design for 18 affected wells in the main Orange County Basin. Projects included design, estimating of capital and operating costs, coordinating with vessel suppliers, and construction management for the following projects: is Serrano Water District Well #5 and #9 (In Operation): This project consists of a 3,000 GPM IX System with a bag filter pre-treatment, 3,000 GPM Booster Pump Station and new chemical feed system for disinfection. in Kimberley Well 1A (In Operation): Located on a very small site with a single well this facility is designed to produce 3,000 GPM using an IX System with a bag filter pre-treatment and new chemical feed system for disinfection. ■ Fullerton Main Plant (Completed Design): The Fullerton Main Plant will treat six onsite wells with a total capacity of 10,100 GPM. PFOS, PFOA and VOCs will be removed using 6 to 12 ft diameter, 40,000 Ib. GAC vessels that will discharge into an existing forebay then pumped into the distribution system. The remaining wells will be treated with an IX system consisting of 8 vessels and bag filters for pre-treatment. ■ Yorba Linda Water District Headquarters Plant (In Operation): This system will treat water from 10 wells with a total capacity of 17,400 GPM. An IX System consisting of 11 pairs of Lead/Lag Vessels (22 vessels total), bag filter pre-treatment, Booster Pump Station, and new Onsite Generation System for chlorine disinfection. In order to get the system on the existing site an extensive analysis of the site improvements was completed. PFAS Study for Wells ET-1, ET-2 and 78, Irvine Ranch Water District, Irvine, CA. 2021. Project Manager for a study to determine the options to add PFAS treatment to an operating VOC air stripper project. Well ET-1 operates at 2.0 MGD through one tray air stripper that discharges into a small wet well with a single booster pump station. The existing plant is located on a small lot with limited space. Project included analysis of water quality, options for IX or GAC treatment and analysis of adding wells ET-2 and 78 to the project if they become affected by PFAS. Capital and O&M costs were also prepared. PFAS Study for Five Wells, City of Downey, CA. 2021. Lead Project Engineer for a study to determine the options to add PFAS treatment to five existing wells in Downey affected by PFOS and PFOA. Study included analysis of water quality, siting study, comparison of IX and GAC treatment, evaluation of piping wells to a central location for treatment, capital cost estimates, O&M estimates and lifecycle cost analysis. The report was used as an attachment to the City of Downey's funding application to Water Replenishment District of Southern California. Albert Robles Center for Water Recycling and Environmental Learning (Formerly known as GRIP), Water Replenishment District of Southern California, Pico Rivera, CA. 2019. Project Engineer for a new 13,000 acre-feet per year of fully advanced treated recycled water. Treatment process includes influent facilities, MF/LIF system, RO system, LIV Advanced Oxidation system, post-treatment/stabilization/disinfection, product water wet well, and brinelwaste disposal connection. TETRbit F06uncil 19 — 61 4/4/2023 PROPOSAL FOR On -Call Engineering Design Services Crisna Raymond, PE Civil Lead Crisna has 25 years of engineering experience in design and construction support in water/wastewater and transportation. Her experience in water/wastewater projects includes pressure and gravity pipelines, wells, pump stations, water treatment plants and reservoirs. Crisna's experience in transportation projects includes new arterials, street improvement/widening projects, storm drainage, grading and site improvement. PFAS Treatment Systems Education BS, Civil Engineering, University of Washington, Seattle WA, 1996 Registrations Professional Civil Engineer, California, No. 69403, 2006 Years of Experience 25 PFAS On -Call Contract, Orange County Water District, CA. 2021. Project Engineer for IX/GAC treatment for PFOS and PFOA design for 18 affected wells in the main Orange County Basin. Projects included design, estimating of capital and operating costs, coordinating with vessel suppliers, and construction management for the following projects: ■ Serrano Water District Well #5 and #9 (In Operation): This project consists of a 3,000 GPM IX System with a bag filter pre-treatment, 3,000 GPM Booster Pump Station and new chemical feed system for disinfection. ■ Kimberley Well 1A (In Operation): Located on a very small site with a single well this facility is designed to produce 3,000 GPM using an IX System with a bag filter pre-treatment and new chemical feed system for disinfection. ■ Fullerton Main Plant (Completed Design): The Fullerton Main Plant will treat six onsite wells with a total capacity of 10,100 GPM. PFOS, PFOA and VOCs will be removed using 6 to 12 ft diameter, 40,000 lb. GAC vessels that will discharge into an existing forebay then pumped into the distribution system. The remaining wells will be treated with an IX system consisting of 8 vessels and bag filters for pre-treatment. ■ Yorba Linda Water District Headquarters Plant (In Operation): This system will treat water from 10 wells with a total capacity of 17,400 GPM. An IX System consisting of 11 pairs of Lead/Lag Vessels (22 vessels total), bag filter pre-treatment, Booster Pump Station, and new Onsite Generation System for chlorine disinfection. In order to get the system on the existing site an extensive analysis of the site improvements was completed. PFAS Study for Wells ET-1, ET-2 and 78, Irvine Ranch Water District, Irvine, CA. 2021. Project Engineer for a study to determine the options to add PFAS treatment to an operating VOC air stripper project. Well ET-1 operates at 2.0 MGD through one tray air stripper that discharges into a small wet well with a single booster pump station. The existing plant is located on a small lot with limited space. Project included analysis of water quality, options for IX or GAC treatment and analysis of adding wells ET-2 and 78 to the project if they become affected by PFAS. Capital and O&M costs were also prepared. PFAS Study for Five Wells, City of Downey, CA. 2021. Project Engineer for a study to determine the options to add PFAS treatment to five existing wells in Downey affected by PFOS and PFOA. Study included analysis of water quality, siting study, comparison of IX and GAC treatment, evaluation of piping wells to a central location for treatment, capital cost estimates, O&M estimates and lifecycle cost analysis. The report was used as an attachment to the City of Downey's funding application to Water Replenishment District of Southern California. Huntington Park Well No. 15 Wellhead Treatment Plant, Water Replenishment District of Southern California, Huntington Park, CA. 2019. Project Engineer for the preliminary design report, final design, construction management and inspections services to upgrade the Wellhead Treatment system at Huntington Park Well No. 15. Design included removal of the existing air stripping units at Well No. 15 and replaced with liquid phase GAC treatment system to remove contamination, particularly volatile organic compounds from the well. TETR Ouncil 19-62 4/4/2023 F,RO"AL FOR On -Call Engineering Design Services Amanda Taylor, PE Process/Mechanical Amanda is experienced in analysis and process design of various municipal and industrial water/wastewater projects. Amanda has experience with traditional and advanced water and wastewater projects, including Title 22, Microfiltration, Ultrafiltration, Reverse Osmosis, and Ultraviolet Treatment. EXPERIENCE PFAS On -Call Contract, Orange County Water District, CA. 2021. Process Engineer for IXIGAC treatment for PFOS and PFOA design for 18 affected wells in the main Orange County Basin. Projects included design, estimating of capital and operating costs, coordinating with vessel suppliers, and construction management for the following projects: ■ Serrano Water District Well #5 and #9 (In Operation): This project consists of a 3,000 GPM IX System with a bag filter pre-treatment, 3,000 GPM Booster Pump Station and new chemical feed system for disinfection. PFAS Treatment Systems Education MS, Environmental Engineering and Science, Johns Hopkins University, Baltimore, MD, 2011 BS, Biological Systems Engineering, Virginia Polytechnic Institute and State University, Blacksburg, VA, 2008 ■ Kimberley Well to (in Operation): Located on a very small site with a single well this facility is designed to produce 3,000 GPM using an IX System with a bag filter pre-treatment and new chemical feed system for disinfection. ■ Fullerton Main Plant (Completed Design): The Fullerton Main Plant will treat six onsite wells with a total capacity of 10,100 GPM. PFOS, PFOA and VOCs will be removed using 6 to 12 ft diameter, 40,000 lb. GAC vessels that will discharge into an existing forebay then pumped into the distribution system. The remaining wells will be treated with an IX system consisting of 8 vessels and bag filters for pre-treatment. ■ Yorba Linda Water District Headquarters Plant (In Operation): This system will treat water from 10 wells with a total capacity of 17,400 GPM. An IX System consisting of 11 pairs of Lead/Lag Vessels (22 vessels total), bag filter pre-treatment, Booster Pump Station, and new Onsite Generation System for chlorine disinfection. In order to get the system on the existing site an extensive analysis of the site improvements was completed. PFAS Study for Wells ET-1, ET-2 and 78, Irvine Ranch Water District, Irvine, CA. 2021. Process Engineer for a study to determine the options to add PFAS treatment to an operating VOC air stripper project. Well ET-1 operates at 2.0 MGD through one tray air stripper that discharges into a small wet well with a single booster pump station. The existing plant is located on a small lot with limited space. Project included analysis of water quality, options for IX or GAC treatment and analysis of adding wells ET-2 and 78 to the project if they become affected by PFAS. Capital and O&M costs were also prepared. PFAS Study for Five Wells, City of Downey, CA. 2021. Process Engineer for a study to determine the options to add PFAS treatment to five existing wells in Downey affected by PFOS and PFOA. Study included analysis of water quality, siting study, comparison of IX and GAC treatment, evaluation of piping wells to a central location for treatment, capital cost estimates, O&M estimates and lifecycle cost analysis. The report was used as an attachment to the City of Downey's funding application to Water Replenishment District of Southern California. Albert Robles Center for Water Recycling and Environmental Learning (Formerly known as GRIP), Water Replenishment District of Southern California, Pico Rivera, CA. 2019. Process Engineer for a new 13,000 acre-feet per year of fully advanced treated recycled water. Treatment process includes influent facilities, MF/UF system, RO system, UV Advanced Oxidation system, post-treatment/stabilization/disinfection, product water wet well, and brine/waste disposal connection. TETIiO➢ggiliuncil 19 — 63 4/4/2023 PROPOSAL FOR On -Call Engineering Design Services Victor Ramirez, PE, SE Structural Victor has more than 41 years of structural engineering design experience with special emphasis in the design of water storage/water containment and water conveyance related structures. His experience includes reservoirs, water/wastewater treatment plants, booster pump stations, flow control facilities, pressure reducing stations and pipelines. Victor is thoroughly knowledgeable in all types of construction, including reinforced concrete, masonry, structural steel, and timber. EXPERIENCE PFAS Treatment Systems Education 3S, Civil Engineering, California State University, Los Angeles, 1995 Registrations Professional Civil Engineer, California, No. 56863, 1997 Professional Structural Engineer, California, No. 4720, 2004 Years of Experience 41 PFAS On -Call Contract, Orange County Water District, CA. 2021. 1 Lead Structural Engineer for IX/GAC treatment for PFOS and PFOA design for 18 affected wells in the main Orange County Basin. Projects included design, estimating of capital and operating costs, coordinating with vessel suppliers, and construction management for the following projects: ■ Serrano Water District Well #5 and #9 (In Operation): This project consists of a 3,000 GPM IX System with a bag filter pre-treatment, 3,000 GPM Booster Pump Station and new chemical feed system for disinfection. ■ Kimberley Well 1A (In Operation): Located on a very small site with a single well this facility is designed to produce 3,000 GPM using an IX System with a bag filter pre-treatment and new chemical feed system for disinfection. ■ Fullerton Main Plant (Completed Design): The Fullerton Main Plant will treat six onsite wells with a total capacity of 10,100 GPM. PFOS, PFOA and VOCs will be removed using 6 to 12 ft diameter, 40,000 lb. GAC vessels that will discharge into an existing forebay then pumped into the distribution system. The remaining wells will be treated with an IX system consisting of 8 vessels and bag filters for pre-treatment. ■ Yorba Linda Water District Headquarters Plant (In Operation): This system will treat water from 10 wells with a total capacity of 17,400 GPM. An IX System consisting of 11 pairs of Lead/Lag Vessels (22 vessels total), bag filter pre-treatment, Booster Pump Station, and new Onsite Generation System for chlorine disinfection. In order to get the system on the existing site an extensive analysis of the site improvements was completed. PFAS Study for Wells ET-1, ET-2 and 78, Irvine Ranch Water District, Irvine, CA. 2021. Lead Structural Engineer for a study to determine the options to add PFAS treatment to an operating VOC air stripper project. Well ET-1 operates at 2.0 MGD through one tray air stripper that discharges into a small wet well with a single booster pump station. The existing plant is located on a small lot with limited space. Project included analysis of water quality, options for IX or GAC treatment and analysis of adding wells ET-2 and 78 to the project if they become affected by PFAS. Capital and O&M costs were also prepared. PFAS Study for Five Wells, City of Downey, CA. 2021. Lead Structural Engineer for a study to determine the options to add PFAS treatment to five existing wells in Downey affected by PFOS and PFOA. Study included analysis of water quality, siting study, comparison of IX and GAC treatment, evaluation of piping wells to a central location for treatment, capital cost estimates, 0&M estimates and lifecycle cost analysis. The report was used as an attachment to the City of Downey's funding application to Water Replenishment District of Southern California. Hunting Horn Reservoir Evaluation, Golden State Water Company, North Tustin, CA. 2019. QA/QC Structural Manager for the structural and seismic evaluation and study of Hunting Horn Reservoir, a partially buried, cylindrical, reinforced concrete tank with a wood framed roof. The tank has a capacity of 0.44 MG and is about 72 feet in diameter by 16 feet deep. It has a flat concrete floor, concrete masonry walls, and a wood framed roof. TETR ouncil 19-64 4/4/2023 PROPOSAL FOR On -Call Engineering Design Services Mazen Kassar, PE Electrical, I&C Mazen has more than 30 years of experience in electrical engineering and industry standard that include electrical engineering staff management, project management, construction management and supervision, water and wastewater treatment, petro-chemical design, and environmental soil and groundwater treatment. Mazen's background includes designing medium and low voltage power distribution, designing instrumentation, control systems and SCADA systems for a wide -variety of projects, and the installation of electrical systems for remediation projects, including soil vapor extraction systems and groundwater pump and -treat systems. EXPERIENCE PFAS Treatment Systems Education BS, Electrical Engineering, California Slate University, Long Beach,1990 Registrations Professional Electrical Engineer, California, No. 15809, 1998 General Construction, Class B, Califomia, No. 77845, 2008 Years of Experience 30 PFAS On -Call Contract, Orange County Water District, CA. 2021. Lead Electrical Engineer for IX/GAC treatment for PFOS and PFOA design for 18 affected wells in the main Orange County Basin. Projects included design, estimating of capital and operating costs, coordinating with vessel suppliers, and construction management for the following projects: is Serrano Water District Well #5 and #9 (In Operation): This project consists of a 3,000 GPM IX System with a bag filter pre-treatment, 3,000 GPM Booster Pump Station and new chemical feed system for disinfection. ■ Kimberley Well I (In Operation): Located on a very small site with a single well this facility is designed to produce 3,000 GPM using an IX System with a bag filter pre-treatment and new chemical feed system for disinfection. ■ Fullerton Main Plant (Completed Design): The Fullerton Main Plant will treat six onsite wells with a total capacity of 10,100 GPM. PFOS, PFOA and VOCs will be removed using 6 to 12 ft diameter, 40,000 Ib. GAC vessels that will discharge into an existing forebay then pumped into the distribution system. The remaining wells will be treated with an IX system consisting of 8 vessels and bag filters for pre-treatment. ■ Yorba Linda Water District Headquarters Plant (In Operation): This system will treat water from 10 wells with a total capacity of 17,400 GPM. An IX System consisting of 11 pairs of Lead/Lag Vessels (22 vessels total), bag filter pre-treatment, Booster Pump Station, and new Onsite Generation System for chlorine disinfection. In order to get the system on the existing site an extensive analysis of the site improvements was completed. PFAS Study for Wells ET-1, ET-2 and 78, Irvine Ranch Water District, Irvine, CA. 2021. Lead Electrical Engineer for a study to determine the options to add PFAS treatment to an operating VOC air stripper project. Well ET-1 operates at 2.0 MGD through one tray air stripper that discharges into a small wet well with a single booster pump station. The existing plant is located on a small lot with limited space. Project included analysis of water quality, options for IX or GAC treatment and analysis of adding wells ET-2 and 78 to the project if they become affected by PFAS. Capital and O&M costs were also prepared. Well No. 32 Rehabilitation, City of Santa Ana, CA. 2017 - Present. Electrical Project Manager. The project involved the preparation of a Preliminary Design Report and plans/specifications for the rehabilitation of the well facility. The underground well would be scraped, cleaned and modified to be within an above ground CMU block control building (housing mechanical and electrical rooms). The design also included a separate on -site generation sodium hypochlorite building, 3,500 feet of 12-inch discharge pipe to John Garthe Reservoir and modification at the reservoir to connect to the on -site piping. TETIMT,E96uncil 19 — 65 4/4/2023 PROPOSAL FOR On -Call Engineering Design Services Mark Wilf, PhD Water Quality Dr. Wilf provides his expertise to clients in the engineering and scientifific community worldwide and participates in professional forums defifining future directions for membrane technology and application development. This includes membrane technology for reverse osmosis, nanofifiltration, ultrafifiltration, and microfifiltration technologies applied for water desalination, potable water treatment, and industrial and municipal wastewater reclamation. EXPERIENCE PFAS Treatment Systems Education PhD, Chemistry, Technion- Instilute of Technology, Haifa, Israel, 1974 MSc., Chemical Engineering, Wroclaw Institute of Technology, Wroclaw, Poland,1968 Years of Experience 44 Carlsbad Desalination Intake Pump Station, Design of a 300 MGD Dilution Pump Station, Phase 1, Kiewit Infrastructure West, Carlsbad, CA. 2019 - Ongoing. Membrane Specialist. This design -build project provides for the design and construction of brine dilution pumps at the existing Carlsbad Desalination Plant (CDP) with minimal production shutdown. The project consists of hydraulic pump modeling and design of dilution pumps, discharge piping, brine piping, and flowmeter facilities, NRG forebay modifications including new screen backwash pumps and tunnel bulkheads, a new electrical building, and the associated civil and grading work. The project has extensive structural rehabilitation work and a new floating dock in the lagoon. The project provides instrumentation and controls for the operation of the new facility and will tie in new signals to the existing CDP control system. The project has many environmental factors and requires working closely with local permitting agencies, the City, the CDP operators, and the Encina Power Station. Pure Water Oceanside, Conveyance and Injection Facilities, City of Oceanside, CA. 2019 - Ongoing. Membrane Specialist. As part of the Pure Water Oceanside project Tetra Tech designed the pipelines that will be constructed as part of the Advanced Water Purification Facility (AWPF) that convey the advanced treated water to the existing Lower Recycled Water Pump Station and to the Upper Recycled Water Pump Station that will be built along with the AWPF. In addition, Tetra Tech designed three new injection wells (Well 1, Well 3 and Well 6) and conveyance pipelines to the wells, totaling a maximum capacity of 6.0 MGD. Albert Robles Center for Water Recycling and Environmental Learning (Formerly known as GRIP), Water Replenishment District of Southern California, Pico Rivera, CA. 2019. Membrane Specialist. Dr. Wilf provided process design and expertise for a process development and 30- and 90-percent design for the wastewater reclamation system. The facility is designed to treat secondary effluent for indirect potable reuse at an initial capacity of 14.8 MGD expandable to 27.0 MGD. The process development included an evaluation of previous studies, pilot testing documentation, and innovative design concepts. Process equipment includes membrane filtration pretreatment system, primary and secondary, reverse osmosis, membrane units operating at high recovery rate, advanced oxidation unit (ultraviolet + NaOCI), degasification, and transfer pumping and piping. The membrane filtration and reverse osmosis systems are designed to operate at > 92-percent recovery to maximize water use and minimize membrane concentrate disposal. 10.0 MGD Brackish Groundwater Desalination, San Antonio Water System, San Antonio, TX. 2017. Membrane Specialist. Dr. Wilf provided process design and expertise for a conceptual and preliminary design report that evaluated various process configurations for the treatment of a new brackish water supply. The $148,000,000 facility is designed to treat brackish water from the Wilcox Aquifer at an initial capacity of 10.0 MGD expandable to 25.0 MGD. The process development included an evaluation of previous studies, pilot testing documentation, and innovative design concepts. Process equipment includes green sand filtration for iron removal, reverse osmosis for the reduction of total dissolved solids, chemical feed facilities for pre- and post -treatment, degasification, and transfer pumping and piping. The reverse osmosis system is designed to operate at 90-percent recovery to maximize water use and minimize membrane concentrate. TETR Ouncil 19-66 4/4/2023 PROPOSALFOR On -Call Engineering Design Services William Johnson 3D CADD William has more than 20 years of CADD experience covering electrical, telecommunications, roadway, highway, traffic, freeway, and water/recycled waterlwastewater design and drafting using AutoCAD, Revit, and Civil 3D. Mr. Johnson works with various staff members to meet the needs of our designers as well as our clients. He has experience coordinating multi -office, multi -discipline projects that PFAS Treatment Systems Education Aulodesk Civil 313, Westech College, 2017 Tri County Technology, Bartlesville, OK, 1999 Years of Experience 20 utilize the latest Autodesk application software and managing project documents so the client receives a complete set of required documents. EXPERIENCE PFAS On -Call Contract, Orange County Water District, CA. 2021. 3D CADD Lead for IX/GAC treatment for PFOS and PFOA design for 18 affected wells in the main Orange County Basin. Projects included design, estimating of capital and operating costs, coordinating with vessel suppliers, and construction management for the following projects: ■ Serrano Water District Well #5 and #9 (In Operation): This project consists of a 3,000 GPM IX System with a bag filter pre-treatment, 3,000 GPM Booster Pump Station and new chemical feed system for disinfection. ■ Kimberley Well 1A (In Operation): Located on a very small site with a single well this facility is designed to produce 3,000 GPM using an IX System with a bag filter pre-treatment and new chemical feed system for disinfection. ■ Fullerton Main Plant (Completed Design): The Fullerton Main Plant will treat six onsite wells with a total capacity of 10,100 GPM. PFOS, PFOA and VOCs will be removed using 6 to 12 It diameter, 40,000 lb. GAC vessels that will discharge into an existing forebay then pumped into the distribution system. The remaining wells will be treated with an IX system consisting of 8 vessels and bag filters for pre-treatment. ■ Yorba Linda Water District Headquarters Plant (In Operation): This system will treat water from 10 wells with a total capacity of 17,400 GPM. An IX System consisting of 11 pairs of Lead/Lag Vessels (22 vessels total), bag filter pre-treatment, Booster Pump Station, and new Onsite Generation System for chlorine disinfection. In order to get the system on the existing site an extensive analysis of the site improvements was completed. PFAS Study for Wells ET-1, ET-2 and 78, Irvine Ranch Water District, Irvine, CA. 2021. 3D CADD Lead for a study to determine the options to add PFAS treatment to an operating VOC air stripper project. Well ET-1 operates at 2.0 MGD through one tray air stripper that discharges into a small wet well with a single booster pump station. The existing plant is located on a small lot with limited space. Project included analysis of water quality, options for IX or GAC treatment and analysis of adding wells ET-2 and 78 to the project if they become affected by PFAS. Capital and O&M costs were also prepared. Albert Robles Center for Water Recycling and Environmental Learning (Formerly known as GRIP), Water Replenishment District of Southern California, Pico Rivera, CA. 2019. 3D CADD Lead for a new 13,000 acre-feet per year of fully advanced treated recycled water. Treatment process includes influent facilities, MF/UF system, RO system, UV Advanced Oxidation system, post-treatment/stabilization/disinfection, product water wet well, and brine/waste disposal connection. Pure Water Oceanside, Advanced Water Purification Facility, City of Oceanside, CA. CADD Coordinator. 2018 - Ongoing. To counteract the growing reliance on imported water supply while increasing local water supplies, and to meet the City's long-term goal of 50 percent water independence by 2030, the City of Oceanside has selected a team led by Tetra Tech to design a new Advanced Water Purification Facility. TET"tV06uncil 19 — 67 4/4/2023 PROPOSAL FOR On -Call Engineering Design Services PFAS Treatment Systems Beverly Encina, PE Education Team 2 Leader BS, Civil Engineering, University of California, Irvine, Beverly is experienced in analysis and design for various types of 2002 public works projects including, but not limited to, water pipeline Registrations distribution systems, water booster pump stations, hydraulic analysis, Professional Civil Engineer, storm drainage system, site improvement design, and membrane California, No. 74408, 2009 treatment plant design. EXPERIENCE Years of Experience 2D PFAS On -Call Contract, Orange County Water District, CA. 2021. Project Engineer for IX/GAC treatment for PFOS and PFOA design for 18 affected wells in the main Orange County Basin. Projects included design, estimating of capital and operating costs, coordinating with vessel suppliers, and construction management for the following projects: ■ Serrano Water District Well #5 and #9 (In Operation): This project consists of a 3,000 GPM IX System with a bag filter pre-treatment, 3,000 GPM Booster Pump Station and new chemical feed system for disinfection. ■ Kimberley Well 1A (In Operation): Located on a very small site with a single well this facility is designed to produce 3,000 GPM using an IX System with a bag filter pre-treatment and new chemical feed system for disinfection. ■ Fullerton Main Plant (Completed Design): The Fullerton Main Plant will treat six onsite wells with a total capacity of 10,100 GPM. PFOS, PFOA and VOCs will be removed using 6 to 12 ft diameter, 40,000 lb. GAC vessels that will discharge into an existing forebay then pumped into the distribution system. The remaining wells will be treated with an IX system consisting of 8 vessels and bag filters for pre-treatment. ■ Yorba Linda Water District Headquarters Plant (In Operation): This system will treat water from 10 wells with a total capacity of 17,400 GPM. An IX System consisting of 11 pairs of Lead/Lag Vessels (22 vessels total), bag filter pre-treatment, Booster Pump Station, and new Onsite Generation System for chlorine disinfection. In order to get the system on the existing site an extensive analysis of the site improvements was completed. PFAS Study for Wells ET-1, ET-2 and 78, Irvine Ranch Water District, Irvine, CA. 2021. Project Engineer for a study to determine the options to add PFAS treatment to an operating VOC air stripper project. Well ET-1 operates at 2.0 MGD through one tray air stripper that discharges into a small wet well with a single booster pump station. The existing plant is located on a small lot with limited space. Project included analysis of water quality, options for IX or GAC treatment and analysis of adding wells ET-2 and 78 to the project if they become affected by PFAS. Capital and O&M costs were also prepared. PFAS Study for Five Wells, City of Downey, CA. 2021. Project Engineer for a study to determine the options to add PFAS treatment to five existing wells in Downey affected by PFOS and PFOA. Study included analysis of water quality, siting study, comparison of IX and GAC treatment, evaluation of piping wells to a central location for treatment, capital cost estimates, O&M estimates and lifecycle cost analysis. The report was used as an attachment to the City of Downey's funding application to Water Replenishment District of Southern California. Albert Robles Center for Water Recycling and Environmental Learning (Formerly known as GRIP), Water Replenishment District of Southern California, Pico Rivera, CA. 2019. Project Engineer for a new 13,000 acre-feet per year of fully advanced treated recycled water. Treatment process includes influent facilities, MF/UF system, RO system, UV Advanced Oxidation system, post-treatment/stabilization/disinfection, product water wet well, and brine/waste disposal connection. TET touncil 19-68 4/4/2023 PROPOSAL FOR On -Call Engineering Design Services Corey Hess, PE Civil Lead Corey has more than 19 years of professional experience in the design of water, wastewater, and recycled water facilities. He has led design and performed project management tasks for the design of pump stations, pipelines, various water and wastewater treatment plant process areas, as well as site civil and drainage design. The early years of his career consisted of master planning, hydraulic analysis, and written reports. EXPERIENCE PFAS Treatment Systems Education BS, Civil Engineering, Specialization: Water Resources, University of California, Irvine, 2002 Registrations Professional Civil Engineer, California, No. 68499, 2005 Years of Experience 19 PFAS On -Call Contract, Orange County Water District, CA. 2021. Project Engineer for IX/GAC treatment for PFOS and PFOA design for 18 affected wells in the main Orange County Basin. Projects included design, estimating of capital and operating costs, coordinating with vessel suppliers, and construction management for the following projects: ■ Serrano Water District Well #5 and #9 (In Operation): This project consists of a 3,000 GPM IX System with a bag filter pre-treatment, 3,000 GPM Booster Pump Station and new chemical feed system for disinfection. at Kimberley Well 1A (In Operation): Located on a very small site with a single well this facility is designed to produce 3,000 GPM using an IX System with a bag filter pre-treatment and new chemical feed system for disinfection. at Fullerton Main Plant (Completed Design): The Fullerton Main Plant will treat six onsite wells with a total capacity of 10,100 GPM. PFOS, PFOA and VOCs will be removed using 6 to 12 ft diameter, 40,000 lb. GAC vessels that will discharge into an existing forebay then pumped into the distribution system. The remaining wells will be treated with an IX system consisting of 8 vessels and bag filters for pre-treatment. ■ Yorba Linda Water District Headquarters Plant (In Operation): This system will treat water from 10 wells with a total capacity of 17,400 GPM. An IX System consisting of 11 pairs of Lead/Lag Vessels (22 vessels total), bag filter pre-treatment, Booster Pump Station, and new Onsite Generation System for chlorine disinfection. In order to get the system on the existing site an extensive analysis of the site improvements was completed. Carlsbad Desalination Intake Pump Station, Design of a 300 MGD Dilution Pump Station, Phase 1, Klewit Infrastructure West, Carlsbad, CA. 2019 - Ongoing. Project Engineer. This design -build project provides for the design and construction of brine dilution pumps at the existing Carlsbad Desalination Plant (CDP) with minimal production shutdown. The project consists of hydraulic pump modeling and design of dilution pumps, discharge piping, brine piping, and flowmeter facilities, NRG forebay modifications including new screen backwash pumps and tunnel bulkheads, a new electrical building, and the associated civil and grading work. The project has extensive structural rehabilitation work and a new floating dock in the lagoon. The project provides instrumentation and controls for the operation of the new facility and will tie in new signals to the existing CDP control system. The project has many environmental factors and requires working closely with local permitting agencies, the City, the CDP operators, and the Encina Power Station. Pure Water Oceanside, Conveyance and Injection Facilities, City of Oceanside, CA. 2019 - Ongoing. Project Engineer. As part of the Pure Water Oceanside project Tetra Tech designed the pipelines that will be constructed as part of the Advanced Water Purification Facility (AWPF) that convey the advanced treated water to the existing Lower Recycled Water Pump Station and to the Upper Recycled Water Pump Station that will be built along with the AWPF. In addition, Tetra Tech designed three new injection wells (Well 1, Well 3 and Well 6) and conveyance pipelines to the wells, totaling a maximum capacity of 6.0 MGD. TETUVGKuncil 19 — 69 4/4/2023 PROPOSAL FOR On -Call Engineering Design Services PFAS Treatment Systems Peter Yu, PE f Education Process/Mechanical BS, Mechanical Engineering, Cornell University, 2007 Peter is a detail -oriented engineer with 15 years experience in the Registrations water and wastewater industry including six years managing associate Professional Civil Engineer, engineers. Peter is a specialist in wastewater and stormwater California, No. 88056, 2017 systems, industrial wastewater regulatory requirements, and water reduction strategies. Additionally, Peter has experience with indirect Years of Experience potable reuse, advanced water purification systems, pump stations, 15 conveyance systems, injection and monitoring wells, and wastewater systems and plants. EXPERIENCE PFAS On -Call Contract, Orange County Water District, CA. 2021. Project Engineer for IX/GAC treatment for PFOS and PFOA design for 18 affected wells in the main Orange County Basin. Projects included design, estimating of capital and operating costs, coordinating with vessel suppliers, and construction management for the following projects: ■ Serrano Water District Well #5 and #9 (In Operation): This project consists of a 3,000 GPM IX System with a bag filter pre-treatment, 3,000 GPM Booster Pump Station and new chemical feed system for disinfection. ■ Kimberley Well 1A (In Operation): Located on a very small site with a single well this facility is designed to produce 3,000 GPM using an IX System with a bag filter pre-treatment and new chemical feed system for disinfection. ■ Fullerton Main Plant (Completed Design): The Fullerton Main Plant will treat six onsite wells with a total capacity of 10,100 GPM. PFOS, PFOA and VOCs will be removed using 6 to 12 ft diameter, 40,000 lb. GAC vessels that will discharge into an existing forebay then pumped into the distribution system. The remaining wells will be treated with an IX system consisting of 8 vessels and bag filters for pre-treatment. ■ Yorba Linda Water District Headquarters Plant (In Operation): This system will treat water from 10 wells with a total capacity of 17,400 GPM. An IX System consisting of 11 pairs of Lead/Lag Vessels (22 vessels total), bag filter pre-treatment, Booster Pump Station, and new Onsite Generation System for chlorine disinfection. In order to get the system on the existing site an extensive analysis of the site improvements was completed. PFAS Study for Five Wells, City of Downey, CA. 2021. Project Engineer for a study to determine the options to add PFAS treatment to five existing wells in Downey affected by PFOS and PFOA. Study included analysis of water quality, siting study, comparison of IX and GAC treatment, evaluation of piping wells to a central location for treatment, capital cost estimates, O&M estimates and lifecycle cost analysis. The report was used as an attachment to the City of Downey's funding application to Water Replenishment District of Southern California. Pure Water Oceanside, Conveyance and Injection Facilities, City of Oceanside, CA. 2019 - Ongoing. Project Engineer. As part of the Pure Water Oceanside project Tetra Tech designed the pipelines that will be constructed as part of the Advanced Water Purification Facility (AWPF) that convey the advanced treated water to the existing Lower Recycled Water Pump Station and to the Upper Recycled Water Pump Station that will be built along with the AWPF. In addition, Tetra Tech designed three new injection wells (Well 1, Well 3 and Well 6) and conveyance pipelines to the wells, totaling a maximum capacity of 6.0 MGD, Albert Robles Center for Water Recycling and Environmental Learning (Formerly known as GRIP), Water Replenishment District of Southern California, Pico Rivera, CA. 2019. Project Engineer for a new 13,000 acre-feet per year of fully advanced treated recycled water. Treatment process includes influent facilities, MF/UF system, RO system, UV Advanced Oxidation system, post-treatment/stabilization/disinfection, product water wet well, and brine/waste disposal connection. TETR ouncil 19-70 4/4/2023 PROPOSALFOR On -Call Engineering Design Services Eric Yuen, PE, SE Structural Eric has more than 15 years of experience in the design, analysis and detailing in structural engineering. Mr. Yuen is knowledgeable in reinforced concrete, masonry, structural steel and wood frame design, and construction for a variety of building and infrastructure projects including reservoirs, water/wastewater treatment facilities, as well as seismic retrofit of existing structures. EXPERIENCE PFAS On -Call Contract, Orange County Water District, CA. 2021. Structural Engineer for IX/GAC treatment for PFOS and PFOA design for 18 affected wells in the main Orange County Basin. Projects included design, estimating of capital and operating costs, coordinating with vessel suppliers, and construction management for the following projects: PFAS Treatment Systems Education BS, Civil Engineering, California State Polytechnic University, Pomona, 2007 MS, Structural Engineering, California State Polytechnic University, Pomona, 2016 Registrations Professional Civil Engineer, California, No. 75983, 2009 ■ Serrano Water District Well #5 and #9 (in Operation): This project consists of a 3,000 GPM IX System with a bag filter pre-treatment, 3,000 GPM Booster Pump Station and new chemical feed system for disinfection. ■ Kimberley Well 1A (In Operation): Located on a very small site with a single well this facility is designed to produce 3,000 GPM using an IX System with a bag filter pre-treatment and new chemical feed system for disinfection. ■ Fullerton Main Plant (Completed Design): The Fullerton Main Plant will treat six onsite wells with a total capacity of 10,100 GPM. PFOS, PFOA and VOCs will be removed using 6 to 12 ft diameter, 40,000 lb. GAC vessels that will discharge into an existing forebay then pumped into the distribution system. The remaining wells will be treated with an IX system consisting of 8 vessels and bag filters for pre-treatment. ■ Yorba Linda Water District Headquarters Plant (In Operation): This system will treat water from 10 wells with a total capacity of 17,400 GPM. An IX System consisting of 11 pairs of Lead/Lag Vessels (22 vessels total), bag filter pre-treatment, Booster Pump Station, and new Onsite Generation System for chlorine disinfection. In order to get the system on the existing site an extensive analysis of the site improvements was completed. Pure Water Oceanside, Advanced Water Purification Facility, City of Oceanside, CA. 2018 - Ongoing. Structural Engineer. To counteract the growing reliance on imported water supply while increasing local water supplies, and to meet the City's long-term goal of 50% water independence by 2030, the City has selected a team led by Tetra Tech to design a new Advanced Water Purification Facility (AWPF). The newly proposed AWPF will provide highly -treated water supply with the specific purpose to recharge the MGB in the upper San Luis Rey recycled water service area through indirect potable reuse as a component of the overall Pure Water Oceanside project. The AWPF will be built on an existing former recycled water storage pond at the San Luis Rey Water Reclamation Facility. The AWPF process will be designed as a multi -barrier treatment process including microfiltration, reverse osmosis, and ultraviolet advanced oxidation process. In addition to these three main unit treatment processes, the AWPF will include chemical storage and feed equipment for conditioning, stabilizing and membrane cleaning. Albert Robles Center for Water Recycling and Environmental Learning (Formerly known as GRIP), Water Replenishment District of Southern California, Pico Rivera, CA. 2019. Structural Engineer for a new 13,000 acre-feet per year of fully advanced treated recycled water. The structures include a two-story administration building with a rooftop garden, a 45,000 square foot process building, a 3 MG buried concrete equalization tank, and a dozen ancillary structures. The administration building has rigid floor and roof diaphragms with concentric steel braced frames as the lateral force resisting elements. The process building has a steel framed roof and concrete masonry shear walls. An extensive network of cable trays and piping are supported from the roof for gravity and seismic loads. TETV06uncil 19 — 71 4/4/2023 PROPOSAL FOR On -Call Engineering Design Services Douglas Seaman Electrical, AC As a Control Systems Engineer, Doug's responsibilities include the design and specification of instrumentation systems that monitor, control, and record the various stages of crude oil as it progresses through the refining process. More recently, he has stepped into the role of control s stem ro rammin and confi -ratio h h M I PFAS Treatment Systems Education BS, Electrical Engineering, California State University, Long Beach,2012 y p g g g I n w Ic Invo ves the Honeywell Distributed Control System and its link with various Programmable Logic Controllers. PFAS On -Call Contract, Orange County Water District, CA. 2021. Electrical Engineer for IX/GAC treatment for PFOS and PFOA design for 18 affected wells in the main Orange County Basin. Projects included design, estimating of capital and operating costs, coordinating with vessel suppliers, and construction management for the following projects: ■ Serrano Water District Well #5 and #9 (in Operation): This project consists of a 3,000 GPM IX System with a bag filter pre-treatment, 3,000 GPM Booster Pump Station and new chemical feed system for disinfection. ■ Kimberley Well 1A (In Operation): Located on a very small site with a single well this facility is designed to produce 3,000 GPM using an IX System with a bag filter pre-treatment and new chemical feed system for disinfection. ■ Fullerton Main Plant (Completed Design): The Fullerton Main Plant will treat six onsite wells with a total capacity of 10,100 GPM. PFOS, PFOA and VOCs will be removed using 6 to 12 ft diameter, 40,000 lb. GAC vessels that will discharge into an existing forebay then pumped into the distribution system. The remaining wells will be treated with an IX system consisting of 8 vessels and bag filters for pre-treatment. ■ Yorba Linda Water District Headquarters Plant (In Operation): This system will treat water from 10 wells with a total capacity of 17,400 GPM. An IX System consisting of 11 pairs of Lead/Lag Vessels (22 vessels total), bag filter pre-treatment, Booster Pump Station, and new Onsite Generation System for chlorine disinfection. In order to get the system on the existing site an extensive analysis of the site improvements was completed. Pure Water Oceanside Advanced Water Purification Facility, City of Oceanside, Oceanside, CA. 2018 — Ongoing. Instrument and Control Systems Engineer. To counteract the growing reliance on imported water supply while increasing focal water supplies, and to meet the City's long-term goal of 50 % water independence by 2030, the City of Oceanside has selected a team led by Tetra Tech to design a new Advanced Water Purification Facility (AWPF). The newly proposed AWPF will provide highly treated water supply with the specific purpose to recharge the Mission Groundwater Basin in the upper San Luis Rey recycled water service area through indirect potable reuse as a component of an overall project titled Pure Water Oceanside. The AWPF will be built on an existing former recycled water storage pond at the San Luis Rey Water Reclamation Facility. The AWPF process will be designed as a multi -barrier treatment process including microfiltration, reverse osmosis, and ultraviolet advanced oxidation process. In addition to these three main unit treatment processes, the AWPF will include chemical storage and feed equipment for conditioning, stabilizing and membrane cleaning. Influent flow storage, flow diversion, and associated pumping will also be included in the facilities design. Well No. 32 Rehabilitation, City of Santa Ana, CA. 2017 - Present. Electrical Engineer. The project involved the preparation of a Preliminary Design Report and plans/specifications for the rehabilitation of the well facility. The underground well would be scraped, cleaned and modified to be within an above ground CMU block control building (housing mechanical and electrical rooms). The design also included a separate on -site generation sodium hypochlorite building, 3,500 feet of 12-inch discharge pipe to John Garthe Reservoir and modification at the reservoir to connect to the on -site piping. TETR ouncil 19-72 4/4/2023 PROPOSnLFOR On -Call Engineering Design Services James Christopher, PE, BCEE Water Quality James is a Vice President and the practice leader for drinking water treatment for Tetra Tech. His knowledge of water chemistry and water infrastructure design makes him highly qualified in defining, evaluating, and implementing water quality solutions to the most challenging problems. James has 42 years of professional engineering experience and is highly qualified in environmental engineering, with special expertise in water resources, water quality and treatment, reverse osmosis and nanofiltration, granular activated carbon, pumping system analysis/station design, facility planning, and construction planning and administration. EXPERIENCE PFAS Treatment Systems Education MS, Environmental Engineering and Science, University of Central Florida, 1980 BS, Chemistry, Duke University, 1976 Registrations Professional Engineer, Florida, No. 34204 Board Certified Environmental Engineer (BCEE) Water Supply Wastewater Management Hidden Springs Water Treatment Plant Pilot Testing Program, Years of Experience Orange County, FL. 2022 - Ongoing. Lead Process Engineer. 42 Providing technical support for the design and implementation of a pilot testing program to select a process for removal of total sulfides and total organic carbon from the existing ground water source. The pilot test will test ozonation, catalytic GAC, GAC in the adsorption and biological removal modes following ozonation and anion exchange resin following ozonation. Lily Pond WTP-GAC Pilot Test and Final Design, Town of Cohasset, MA. 2020 - Ongoing. Lead Process Engineer. Developed testing plan and permitted through Massachusetts Department of Environmental Protection a GAC pilot program to test the removal of TOCs from the filtered water at the 3 MGD Lily Pond surface water treatment plant to reduce the level of disinfection byproducts within the distribution system. The pilot test was run for six months across the summer, fall and winter seasons and tested the removal in the adsorption and biologically active modes. Sampling and analysis of the influent and GAC columns' effluent was performed twice per week. Testing also included limited sampling of PFAS compounds in the pilot column feed and effluent to assess the occurrence and the removal effectiveness of the GAC. A summary report was prepared to document the results, provide design criteria and costs for implementation of the full-scale system. Ellms Meadow PFAS Pilot Testing and Final Design, Town of Cohasset, MA. 2021. Project Manager for the RSSCT testing of ion exchange and GAC for the removal of six regulated PFAS compounds to comply with the Massachusetts maximum contaminant level of 20 ng/L. The work was funded by a grant from the Massachusetts Department of Environmental Protection. The scope of work included the design of the testing program using RSSCT to test GAC and IX resin, interpretation and presentation of the results and design of a full-scale system to remove PFAS from this groundwater supply to the potable water system. Ion exchange was selected for the full-scale design. Buena Ventura Lakes Water Treatment Plant Full Scale GAC Pilot, Toho Water Authority, Kissimmee, FL. 2021. Technical Advisor. Toho Water needed to provide service from their Buena Ventura Lakes WTP to an area outside its normal service area which caused THMs to exceed the regulatory limit and the Florida Department of Environmental Protection requested the utility take corrective action to lower the concentrations. GAC treatment was considered as an alternative that could be implemented quickly within the constraints of the existing plant site. The full-scale installation was proposed as a pilot test to expedite permitting. Four 20,000 pound carbon contactors were installed operating in parallel. Water quality and supplemental disinfection byproduct (DBP) testing was performed during the initial 90 day operating period. Review, comment and editing of the testing plan and final report were provided along with directions for the DBP testing and a GAC isotherm test to estimate the carbon usage rate. A data analysis report and modelling of carbon change out frequencies versus TOC removal was prepared to assist the utility with ongoing operation and optimization of system performance. TETI V06uncil 19-73 4/4/2023 PROPOSAL FOR On -Call Englneenng Design Services Kyle Matsumoto 3D CADD Kyle is an aspiring engineer with more than four years experience in the water and wastewater industry; including water pipeline distribution systems, water booster pump stations, hydraulic analysis, storm drainage systems, site improvement design, and membrane treatment design. Kyle's most recent experience includes working on advanced water purification systems, injection and monitoring wells, and reservoirs. EXPERIENCE PFAS Treatment Systems Education BS, Civil and Environmental Engineering, SUNY College of Technology at Canton, New York, 2018 Years of Experience PFAS On -Call Contract, Orange County Water District, CA. 2021. 3D CADD for IX/GAC treatment for PFOS and PFOA design for 18 affected wells in the main Orange County Basin. Projects included design, estimating of capital and operating costs, coordinating with vessel suppliers, and construction management for the following projects: ■ Serrano Water District Well #5 and #9 (in Operation): This project consists of a 3,000 GPM IX System with a bag filter pre-treatment, 3,000 GPM Booster Pump Station and new chemical feed system for disinfection. ■ Kimberley Well 1A (In Operation): Located on a very small site with a single well this facility is designed to produce 3,000 GPM using an IX System with a bag filter pre-treatment and new chemical feed system for disinfection. ■ Fullerton Main Plant (Completed Design): The Fullerton Main Plant will treat six onsite wells with a total capacity of 10,100 GPM. PFOS, PFOA and VOCs will be removed using 6 to 12 ft diameter, 40,000 lb. GAC vessels that will discharge into an existing forebay then pumped into the distribution system. The remaining wells will be treated with an IX system consisting of 8 vessels and bag filters for pre-treatment. ■ Yorba Linda Water District Headquarters Plant (In Operation): This system will treat water from 10 wells with a total capacity of 17,400 GPM. An IX System consisting of 11 pairs of Lead/Lag Vessels (22 vessels total), bag filter pre-treatment, Booster Pump Station, and new Onsite Generation System for chlorine disinfection. In order to get the system on the existing site an extensive analysis of the site improvements was completed. PFAS Study for Wells ET-1, ET-2 and 78, Irvine Ranch Water District, Irvine, CA. 2021. Design Engineer for a study to determine the options to add PFAS treatment to an operating VOC air stripper project. Well ET-1 operates at 2.0 MGD through one tray air stripper that discharges into a small wet well with a single booster pump station. The existing plant is located on a small lot with limited space. Project included analysis of water quality, options for IX or GAC treatment and analysis of adding wells ET-2 and 78 to the project if they become affected by PFAS. Capital and O&M costs were also prepared. Albert Robles Center for Water Recycling and Environmental Learning (Formerly known as GRIP), Water Replenishment District of Southern California, Pico Rivera, CA. 2019. Design Engineer for a new 13,000 acre-feet per year of fully advanced treated recycled water. Treatment process includes influent facilities, MF/UF system, RO system, UV Advanced Oxidation system, post-treatment/stabilization/disinfection, product water wet well, and brine/waste disposal connection. Pure Water Oceanside, Conveyance and Injection Facilities, City of Oceanside, CA. 2019 - Ongoing. Design Engineer. As part of the Pure Water Oceanside project Tetra Tech designed the pipelines that will be constructed as part of the Advanced Water Purification Facility (AWPF) that convey the advanced treated water to the existing Lower Recycled Water Pump Station and to the Upper Recycled Water Pump Station that will be built along with the AWPF. In addition, Tetra Tech designed three new injection wells (Well 1, Well 3, and Well 6) and conveyance pipelines to the wells, totaling a maximum capacity of 6.0 MGD, TETR Ouncil 19-74 4/4/2023 Leighton Consulting, Inc. (Leighton) provides geotechnical engineering, environmental consulting, and materials testing and special inspection services. Our firm enjoys a rich history in Southern California having provided professional engineering and geologic services for 60 years and earned a reputation as a leader in this field through our innovative yet practical design solutions and field support for construction projects. Leighton has been providing Tetra Tech geotechnical consulting services for over 20 years and understands the expectation and requirements of the design team and local agencies. Our 180 employees are strategically located throughout Southern California to serve our clients from offices in Irvine, Downtown Los Angeles, Rancho Cucamonga, Temecula, San Diego, Ventura, and Santa Clarita. Our staff is comprised of California licensed Geotechnical Engineers (GE), Professional Engineers (PE), Certified Engineering Geologists (CEG), Hydrogeologists (CHG), Professional Geologists (PG), and Registered Environmental Assessors (REA). Supporting the professional consulting services, we have in-house geotechnical and materials testing laboratories that are certified by Caltrans, AASHTO, Division of State Architects (DSA), and City of Los Angeles. Our local experience gives us an incomparable history and basis for understanding site issues and constraints. We have successfully completed projects with complex geology and constraints and won over 40 awards for engineering excellence. We have provided professional services for many water infrastructure projects, including water tanks and reservoirs, storm drains, storm channels, detention basins, sewer lines, potable water and recycled water pipelines, desalination plants, and groundwater replenishment facilities. %/ / Leighton fwI City Council 19 — 75 4/4/2023 METZ SURVEYING INC. 24303 WALNUTST, SUITE D, SANTA CLARITA, CA TEL:661-388-4492 WWW.MET75U RVEYING.COM Company Profile Metz Surveying is a full -service land surveying company founded in 2016 by president Eric Metz based out of Santa Clarita, California. Metz Surveying can offer clientsthe experience of large firms with the efficiency of a small business, allowing projects to be completed on time and budget. This is accomplished utilizing the latest in Trimble CPS &Trimble Robotic total stations allowing for a seamless field to office workflow that ensures projects are completed quickly and efficiently while adhering to the highest of industry standards. Priorto the company founding, Mr, Metz worked as a project surveyor for Tetra Tech Inc. for over 16 years. During his career at Tetra Tech, Mr. Metz was responsible for a variety of surveying projects. From large scale boundary and GPS control surveys of various government installations to municipality water and sewer line improvement projects, The experience gained from working at Tetra Tech has allowed Metz Surveying to offer services to clientele that most small sized surveying companies lack the experience to provide. Metz Surveying Is a California certified Small Business and an active member of the California Land Surveyors Association, City Council 19 — 76 4/4/2023 City of Downey Well 2 Orange County Water District Fullerton Main Plant PFAS SANTA ANA FAS _.,:.. ftmS e- -rl 1 CERTIFICATIONS OTETRA TECH CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS 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 crinynal prosecution. Signed State of Caljfrinia County Subsggribed and sworn to (or affirmed) before me on this 15 day of 10✓emig20!�A by J r-e-Vevi R Tcdc 560 proved to me on the basis of satisfactory evidence to be the persons) who appeared before me Notary Public Signature Notary Public Seal CAROLA. RONDO Notary Public • Calffornla oraw County Conirmssslon 61194875 My Carom. EXPIM Feb E9, 7016 City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems Page 38 City Council 19 - 78 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS 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. City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems Page 40 City Council 19 — 79 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS The Consultant shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Se tion 1420, and any consultant of public works violating this Section is subject to all KE pities osed for a violation of the Chapter. Signed: Title: Senior Vice President Firm: Tetra Tech, Inc. Date: 11/17/2022 City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems Page 41 City Council 19 — 80 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS 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 xceed $100,000 and that all such subrecipients shall certify and disclose accordingli/� Signed: Title: Senior Vice President Firm: Tetra Tech, Inc. Date: 1111712022 City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems Page 39 City Council 19 — 81 4/4/2023 City P( Fullerton Kimberly Well lA PFAS Treatment Plant PFAS Treatment Systems N TETRA TECH EXHIBIT C City Council 19 — 83 4/4/2023 City of Santa Ana - Well a26 PFAS IX Treatment Plant O TETRATECH Drawing Sheet Count 3n%a.,. I Gass n.a&n I sea, n.a..I Sox ns..l sma rs.a.. Sepuentlal Number Suhaet Count Sheet Number De ... l ion Planned Planned Planned Plannetl Planned e I 1 1 I GA00 Title Sheet 10% 30% 60% 90% 10D93 2 2 G-001 Sheet Index, Vicinity Map &Logtlon Map IM 30% M 90% IODSs 3 3 G-002 General Notes and Erasion Control Notes 9D% loll% 4 4 G-00 Standard Drawings, Symbols, Abbrevlations,&Survey Data W% 90% 100% 5 5 G-000 Process Flow Diagram 10% 30% 60% 90% 100% 6 6 G-005 Horizontal Control Plan 9D% l00% 7 1 C-101 Site Demolition Plan 10% 30% WA 90% 100% 8 2 CG302 Demolition Details l 60% 90% 100% 9 3 C•103 Derechtsen Details 2 60% 90% 10096 10 4 C IN Proposed Site Plan 10% 30% 60% M I00% it 5 C-105 Yard Piping Plan 10% 30% 60% 90% low 12 6 C-301 yard Plping P.f lP, 90% 100% 13 7 C-501 CM1 Details 1 60% 911% 100% 14 a C-502 CMI Details 90% 10056 IS 9 C-503 Civil Details gp% 100% 16 10 C-So4 Cpnnec0on Details 60% 90% 100% 17 11 C-505 [pnnec0on Details W% 9056 100% Structural 18 1 5-al General Structural Notes 1014 30% 60% 90% 100% 19 2 5.002 Steel Inspection& Structural observations 6n% 9q{ 100R 20 3 5-101 Foundation Plan 30% 30% EM 9l1% 100% 21 4 5.303 Sectlom 60% 90% 100% 22 5 5.503 Structural Detailsl 90% 11M 23 6 5-502 Structural0etails2 90% 100% 24 7 5-503 Structural Details3 90% IDD% Mechanical Praess 25 1 DIN Overall Process Plan 10% 3TA 60% 90% 100% 26 2 D-101 Pump Modakatlons Plan &Sactl.n 60% 90% IOo% 27 3 0-103 PFAS Vessel Process Plan IO% 3054 60A 911% lom 29 4 0-1D9 Pretreatment Process Plan Sim 90% 100% 29 5 D-105 Koester Pumps Plan 10% 30% 60% 90% 30014 30 6 D-306 Send Separator 31 7 D-301 PFAS Vessel Process Sections I0% 30% 60% 90% IM 32 8 D-302 PFAS Vassal Process Sections SOY; I00% 33 9 D-303 Koester Pump Sections 6096 9D% 100% 34 10 0-304 Process Piping Sections CA% 90% 10D% 35 11 0-501 Process Details l 90% 1o03c 36 12 D-502 Praess Detalls2 log Ipp% 37 13 0-901 Treatment Plant 3D PerspeOV. 90% IW% iharillillit 38 1 E-001 Electrical Symhols,Notes &Abbreviations IM 30% 605s 90% t00% 39 2 E-SOS Electrical Site Vermilion Plan 6014 9014 IDD% 40 3 E-103 Electrical Overall Site Plan 10% M 60% go% l00% 41 4 li Vessels Electrical Plan 613% 90% 10 42 5 E-105 Era, envy Gi armor lim IN 43 6 E-201 Panel & Conduit Schedule fil 90% 100% 44 7 E-202 Panel& Conduit Schedule go% IODN 45 8 E-501 Elecical Details 60% 90% 100% 46 9 E-502 Electrical Details linstrumentall(in 47 1 1.001 P&10 Symbols&Abbreviations 10% 305f M 904 Jim 48 2 1.102 P&ID Pretreatnent&Saud Separator 10% 3016 60% 90% 100% 49 3 1.102 P&ID PPAS Treatment IM got; 60% 90% 1p0X 50 4 1-103 P&1D Booster Pumps 10% 30% 60X go% t00% 51 5 1-104 P&ID Chemical Facilities fi0% 90% ll 0 52 6 1-105 P&ID ENluant Modi4catens 601T Ses; lop% TraFflc Control Plans 53 1 1-001 Traffic Control Notes 1 90% 100% S4 2 1-101 Tr.fie Coneml Plant g056 1004 55 3 1-102 jTr.fflcCsndr.lPlPr2 go% 100.E Taal Ddevaii Count 19 19 36 53 53 City Council 19 — 84 4/4/2023 INN �I u■�i 91 HIM � �i� i 0 UNION■i 0 City Council 19 — 85 4/4/2023 PROPOSAL FOR On -Call Engineering Design Services CITY OF SANTA ANA On -Call Engineering Design Services for HAS Treatment Systems RFP No. 22.133 Project Rate Chart Position Hourly Rate Project Manager $290 Team Leader $240 Senior Engineer 3 $225 Senior Engineer 2 $200 Engineer 3 $140 Engineer 2 $125 Senior CADD Designer 2 $165 Project Administrator $125 PFAS Treatment Systems TETR3ity'Council 19 — 87 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS APPENDIX ATTACHMENT 2: FEE PROPOSAL Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposal. I have examined the ATTACHMENT 1: 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 shall submit hourly rates schedule, which shall include but not limited to, direct and indirect costs for labor, for staff per job classification, material, equipment rates, overhead, incidental supplies, travel, mileage, and fuel. Any special materials will be purchased by the contractor only after discussed and authorized by the City projects manager or designee in writing. Prior to commencement of services, Contractor shall provide separate quotes, upon request by the City, which shall be approved by the City's Public Works Water Resources Division. FEE SCHEDULE The undersigned declares that he/she has carefully examined the request for proposal, that he/she has examined the Proposed Scope of Services, and hereby proposes to furnish all material and do all the work required to complete the said work in accordance with said Proposed Scope of Services, for the unit price(s) set forth in the following schedule: Note: This contract Is subject to prevailing wages. TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: Tetra Tech, Inc. Item # Bid Item Unit Quantity Amount Well 26 (Located at 1730 S. Santa Fe, Santa Ana, CA 92705) Please refer to the APPENDICES A, B, and C for further details on Well 26 and East Station Reservoir Site 1. Planning Study EA 1 g 90,505 2. Draft Design Report (10% Design) EA 1 $ 57,900 3. Final Design Report (30% Design) EA 1 $ 117,910 4. 60% Design Submittal EA 1 $ 117,210 City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems Page 24 City Council 19 — 88 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS 5. 90% Design Submittal EA 1 $ 133,415 6. Final Design Submittal EA $ 68,630 Total $ 585,570 Contractor shall submit rate schedule, additional labor, material and rental equipment rates along with fee schedule. Contractor's labor and equipment rate sheet shall list rates for all labor designations, equipment and materials. BIDDER INFORMATION: Legal Company Name: _ Tetra Tech, Inc. Complete address: 17885 Von Karman Ave., Suite 500, Irvine, CA 92614 Phone Number: 949-809-5153 Email Address: Authorized Signature: Name: Steve Tedesco, PE, BCEE Senior Vice President .com City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems Paqe 25 City Council 19 — 89 4/4/2023 AGREEMENT WITH STANTEC TO PROVIDE ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS FOR THE CITY OF SANTA ANA THIS AGREEMENT is made and entered into on this 4th day of April, 2023 by and between Stantec ("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. On September 29, 2022, the City issued Request for Proposal ("RFP") No. 22-133, by which it sought qualified consultants to provide on -call engineering design services for PEAS treatment systems for the City's Public Works Agency. B. Consultant submitted a responsive proposal that was among those selected by the City. Consultant represents that it is able and willing to provide the services described in the scope of work that was included in RFP 22-133. C. in undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: SCOPE OF SERVICES On an on -call basis, and at the City's sole discretion, Consultant shall perform the services described in the scope of work that was included in RFP No. 22-133, which is attached hereto as Exhibit A and incorporated in fall, and further delineated in Consultant's proposal, attached hereto as Exhibit B and incorporated in full. 2. COMPENSATION a. City neither warrants nor guarantees any minimum or maximum compensation to Consultant under this Agreement. Consultant shall be paid only for actual services performed under this Agreement at the rates and charges identified in Exhibit C. Consultant is one of three (3) consultants selected to provide engineering design services for PEAS treatment systems on an on -call basis under RFP 22-133. The total compensation for these services provided by all such consultants selected under REP 22-133 shall not exceed the shared aggregate amount of Three Million, Dollars and Zero Cents ($3,000,000) during the term of the Agreement, including any extension periods. 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 City Council 19 — 90 4/4/2023 which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above and terminate on April 3, 2026, unless terminated earlier in accordance with Section 16, below. The term of this Agreement may be extended for up to two (2), one-year periods upon a writing executed by the City Manager and City Attorney. 4. PREVAILING WAGES Consultant 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, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant 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. 5. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. 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. City Council 19 — 91 4/4/2023 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. Minimum Scope and Limit of Insurance (1) Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an "occurrence" basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregatelimit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit. (2) Automobile Liability: ISO Form Number CA 00 01 covering any auto (Code 1), or if Consultant has no owned autos, hired, (Code 8) and non -owned autos (Code 9), with a limit no less than $1,000,000 per accident for bodily injury and property damage. (3) Workers' Compensation: as required by the State of California, with Statutory Limits, and Employer's Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease. (4) Professional Liability (Errors and Omissions): 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 $2,000,000 per claim and a $2,000,000 aggregate. (5) Broader Coverage: if the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by the Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. b. Other Insurance Provisions (1) Additional Insured Status: The City, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Consultant including materials, parts, or equipment furnished in connectionwith such work or operations. General liability coverage can be provided in the form of an endorsement to the Consultant's insurance (at least as broad as ISO Form CG 20 1011 85 or if notavailable, through the addition of both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 if a later edition is used). City Council 19 — 92 4/4/2023 (2) Primary Coverage: For any claims related to this contract, the Consultant's insurance coverage shall be primary coverage at least as broad as ISO CG 20 0104 13 as respects the City, its officers, officials, employees, and volunteers. Any insurance or self- insurance maintained by the City, its officers, officials, employees, or volunteers shall be excess of the Consultant's insurance and shall not contribute with it. (3) Notice of Cancellation: Each insurance policy required above shall provide that coverage shall not be canceled, except with notice to the City. (4) Waiver of Subrogation: Consultant hereby grants to City a waiver of any right to subrogation that any insurer of said Consultant may acquire against the City by virtue of the payment of any loss under such insurance. Consultant agrees to obtain any endorsement that may be necessary to affect this waiverof subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer. (5) Self -Insured Retentions: Self -insured retentions must be declared to and approved by the City. The City may require the Consultant to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self -insured retention may be satisfied by either the named insured or City. (6) Claims Made Policies: If any of the required policies provide coverage on a claims -made basis, the following applies: i. The retroactive date must be shown, and must be before the date of the contract or the beginning of contract work. ii. Insurance must be maintained and evidence of insurance roust be provided for at least five (5) years after completion of the contract of work. iii. if coverage is canceled or non -renewed, and not replaced with another claims - made policy form with a Retroactive Date prior to the contract effective date, the Consultant must purchase "extended reporting" coverage for a minimum of five (5) years after completion of work. (7) Acceptability of Insurers: Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best's rating of no less than A:VII, unless otherwise acceptable to the City. (8) Verification of Coverage: Consultant shall furnish the City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage requiredby this clause) and a copy of the City Council 19 — 93 4/4/2023 Declarations and Endorsement Page of the CGL policy listing allpolicy endorsements to City before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive the Consultant's obligation to provide them. The City reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time. (9) Subcontractors: Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Consultant shall ensure that City is an additional insured on insurance required from subcontractors. For CGL coverage, subcontractors shall provide coverage with a form at least as broad as CG 20 3804 13. (10) Special Risks or Circumstances: City reserves the right to modify these requirements, including limits, based on the nature oftherisk, prior experience, insurer, coverage, or other special circumstances. 8. 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. 9. 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. City Council 19 — 94 4/4/2023 10. 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 daring 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 tinder this Agreement. 11. 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. 12. 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. 13. NON-DISCRIMINATION 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. City Council 19 — 95 4/4/2023 14. 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 ternls 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 ternls 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. 15. 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 mull 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. To 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 tem2ination, 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. 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, City Council 19 — 96 4/4/2023 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 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. 20. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be property given if delivered in person or mailed by first class or certified mail, postage prepaid, or sentby fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax: 714- 647-6956 With courtesy copies to: Executive Director, 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 Consultant: Stantec Attn: James A. Cathcart, Project Manager 38 Technology Drive Irvine, CA 92618 iim.cathcart a�stantec.com City Council 19 — 97 4/4/2023 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. 21. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terns of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Jennifer Hall Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Br n Salvatierra Deputy City Attorney RECOMMENDED FOR APPROVAL: Nabil Saba Executive Director Public Works Agency CITY OF SANTA ANA Kristine Ridge City Manager CONSULTANT Digitally signed by James A. James A. Cathcart Cathcart Date: 2023,03,1611:5632-07'00' James A. Cathcart Project Manager City Council 19 — 98 4/4/2023 EXHIBIT A City Council 19 — 99 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS SCOPE OF WORK A. INTRODUCTION AND BACKGROUND The City of Santa Ana Public Works Agency— Water Resources Division oversees and maintains the daily operations of the Water System and Sanitary Sewer System. The City's water system has an average day demand of about 30 million gallons (MG) with 45,000 services. It is comprised of approximately 478 miles of water main, 45 MG of storage at five (5) sites, seven (7) MWD connections, 21 groundwater wells, seven (7) pump stations, four (4) pressure regulating stations and utilizes two (2) pressure zones. The purpose of this Request for Proposals (RFP) is to solicit on -call consulting and engineering design services for per- and polyfluoroalkyl substances (PFAS) treatment facilities from qualified engineering firms. The City is currently using Ion Exchange (IX) pressure vessel treatment and will employ this method of advanced water treatment for PFAS at future sites impacted by the constituent of concern. B. CONSULTANT RESPONSIBILITIES The Consultant shall provide all labor, materials, services, and equipment necessary for the services described herein. The Consultant shall possess all Federal, State and Local permits, licenses, and approvals necessary to provide good/services required in the Scope of Work. The Consultant chosen to provide the engineering design services for the PFAS IX treatment facilities must demonstrate familiarity, knowledge, and experience in PFAS matters. In addition, the Consultant shall take into account current and potential future regulation of emerging contaminants identified through the Environmental Protection Agency's Unregulated Contaminant Monitoring Rule (UCMR), the Department of Drinking Water Monitoring Orders, and any additional regulations by the California State Water Resources Control Board and the EPA. C. SCOPE OF SERVICES The City is seeking qualified Consultants to provide engineering and consulting services for PFAS Treatment System Designs at various potable ground water sites. The Consultant shall be capable of providing all tasks listed in the scope of services. 1. PLANNING STUDY AND CONSULTING SERVICES The Consultant shall perform a Planning Study for the City in which the number of wells impacted by PFAS, their location, and areas available for a treatment system(s) and truck access would be examined. The Planning Study would determine how the treatment system(s) would be integrated into the City's existing operations, determine if a centralized treatment plant is feasible for combining wells, provide alternative design options, assess the potential for blending, provide initial support for permitting and develop capital costs associated with potential land acquisition, permitting, pipeline connections and system integration. In general, City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems City Council Page 14 19 — 100 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS the scope of work shall include the following for the Planning Study: A. MANAGEMENT ACTIVITIES The Consultant shall conduct project management activities to ensure adherence to budget and schedule. The Consultant shall coordinate and attend meetings with City staff pertaining to the project kickoff, reviewing draft reports, and as needed to prepare and address project inquiries and issues. In addition, the Consultant shall provide meeting minutes for each meeting as well as biweekly updates of progress to the City. B. WELL ASSESSMENT AND INITIAL TREATMENT DESIGN The Consultant shall gather information on the City's groundwater conveyance systems, impacted wells, reservoirs, imported water connections, and conduct site visits per the City's request to determine available area of land for the PFAS treatment system(s) as well as determine how the treatment system(s) will be integrated into the City's existing operations. The Consultant shall also review any existing and available information on the City's historical PFAS bench- and pilot -scale testing as well as historical Planning Studies performed and existing PFAS treatment facility layouts, and adhere to the standards set therein. In the preliminary Planning Study, the Consultant shall provide a conceptual layout for each requested location by the City based on existing ion exchange (IX) treatment systems (AqueoUS Vets System rated for 150 PSI). For all IX wellhead treatment designs, the Consultant shall include cartridge filter pre-treatment, a sand separator, IX lead -lag system capable of addressing the well(s)'s gallon per minute capacity, an emergency generator, and an additional sound attenuated booster pump to combat the head loss experienced through the new treatment system. C. PERMIT ASSESSMENT The Consultant shall perform an initial permitting assessment to understand any requirements, as well as develop a list of required permits (include permit description, issuing regulatory agency, summary of permit requirements, and permit acquisition timelines). D. FEASIBILITY STUDY The Planning Study shall possess a Feasibility Study in which the Consultant shall investigate hydraulic conditions of existing wells and determine what modifications to existing well pumps and transmission systems (booster pumps) will be necessary, if any, for the installation of the proposed PFAS wellhead treatment facilities. E. COST ESTIMATES City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems City Council Page 15 19 — 101 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS The Consultant shall provide cost estimates for the treatment facility equipment, any necessary land acquisition to accommodate a treatment system(s), permitting, plumbing connections, transmission alignments and system integration. The Consultant shall also include capital, maintenance and operation cost estimates for IX treatment system(s). F. PRELIMINARY SCHEDULE The Consultant shall develop a preliminary phasing schedule for construction in the Planning Study. The plan is intended to provide the City a schedule and projected annual outlays for financial planning. In the preliminary schedule, the Consultant shall include the anticipated duration of construction as well as any necessary utility extensions required. G. FINAL REPORT The final report shall include discussion of all items listed herein and shall be submitted to the City for review and comments. The Consultant shall provide a PDF digital copy of the preliminary report and shall incorporate all comments made by the City prior to submitting of the final report. In addition to the aforementioned items, the final report shall also include one or more sections summarizing major findings, any significant challenges or common themes relevant to the City's system, and recommend any future actions by the City as next steps towards PFAS treatment implementation. The report shall contain descriptions of operation and maintenance such as IX resin frequency of change out, equipment details, sample/analysis frequency, and what staff augmentation/certification is required. 2. DESIGN PHASES Once the Planning Study has been completed, the Consultant shall provide design services including preparation of design sheets, specifications and permitting. All submittals described herein shall be provided in the form of a PDF digital copy (full-size). The design phases shall include, but are not limited to the following items: A. DRAFT DESIGN REPORT (10% DESIGN SUBMITTAL) The Contractor is required to create a Preliminary Design Report (PDR) based on the Planning Study for each treatment site requested by the City. The PDR shall be considered a 10% design level package for the project in which the IX wellhead treatment project goals and design criteria are addressed with alternatives, analysis and potential risks. B. FINAL DESIGN REPORT (30% DESIGN SUBMITTAL) After the City defines the major design elements of the project and refines the projectes scope, schedule and budget expressed in the preliminary design report, the Consultant shall develop the Final Design Report. The Final Design Report shall be considered a 30% design City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems City Council Page 16 19 — 102 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS level package for the project in which the Consultant provides a refined project budget, cost estimate and project schedule that the City can commit to. Land acquisitions, fatal flaws, and the finalized design criteria shall be incorporated into the Final Design Report. C. 60% DESIGN SUBMITTAL After receiving and incorporating comments provided by the City on the 30% Design Submittal, the Contractor shall provide an updated 60% Design Submittal in which expectations and objections are finalized of the project as well as confirmation of constructability and permit requirements. The Consultant shall also provide plans and specifications as well as an engineering cost estimate. The Consultant shall also implement acceptable value engineering requirements (if applicable) and identify preferred equipment and materials. D. 90% DESIGN SUBMITTAL The Contractor shall provide 90% Design Plans with the complete project design, including plans and specifications, subject to review comments by the City and any other potential stakeholders. The 90% Design Package shall confirm the bid availability of the project, possess an engineer's cost estimate for the bid, and finalize the building permit package (when applicable). The Consultant shall also provide a Commissioning Plan in the 90% Design Submittal in which the goals, systems, and commissioning processes are identified. E. FINAL DESIGN (100% DESIGN SUBMITTAL) In the final design submittal, the Contractor shall incorporate all comments and requests made by the City in previous design submittals and shall include, but is not limited to the following: Cost Estimate, Specifications and Project Schedule: a. Final construction schedule and estimate of construction duration b. Construction phasing plan c. Final construction staging plan with access to construction staging area obtained or final staging area to be obtained d. Final commissioning plan e. Engineer's cost estimate for bid and backup documentation f. All land permits received g. Complete set of stamped permit application drawings and documents h. Complete set of project permit applications excluding Contractor obtained permits i. Complete set of technical specifications j. Complete list of special conditions related to construction II. Architectural system (If Applicable) a. Complete set of architectural drawings City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems City Council Page 17 19 — 103 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS b. Final architectural details — coordinated with structural system details c. Special construction details completed d. Complete ceiling plan e. Interior equipment f. Room finished schedule including: i. Color selection ii. Floor selection iii. Wall finish iv. Ceiling finish Door schedule — including hardware; master key plan working with the City's access control specialist Window schedule including hardware Architectural accessories schedule Exterior finish and color schedule III. Structural System a. Complete set of structural drawings b. Final structural details coordinated with architectural system details (if applicable) c. Permit set of stamped structural calculations d. Final foundation and footing details e. Final structural details including construction details f. Final structural calculations g. Performance requirements for shoring system identified IV. Civil Site Plan System a. Final estimate of fill and excavation quantities b. Location of new utilities finalized c. Utility connections finalized d. Final design of water treatment facilities e. Final channelization plans f. Final signing plans g. Final landscaping plans (if applicable including plant schedule) h. Final irrigation system plans i. Final erosion and sediment control plans j. Final design of traffic mitigation k. Permit set of stamped storm water management calculations I. Surface Water Pollution Prevention Plans (SWPPS) when applicable V. Mechanical System a. Complete equipment schedule b. Final piping plans c. Final heating, ventilation and air conditioning (HVAC) plans d. Final plumbing plans e. Final fire protection plans and performance specifications City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems City Council Page 18 19 — 104 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS f. Final section views Final plans of mechanical rooms Final control diagrams including control point list and final sequence of operation Final building components "U" value calculations Final mechanical details Final energy code calculations VI. Electrical System a. Lighting and receptacles circuited b. Special electrical equipment circuited c. Final panel schedules — showing balanced loads d. Final arc flash analysis e. Final electrical fixture schedule f. Complete one -line diagrams which are directly applicable to the panel schedule g. Final electrical details h. Final electrical load calculations including emergency generator system VII. Instrumentation and Control System a. Final control schematics b. Final security and access control plans c. Final location of alarm devices determined d. Final PLC/DCS wiring diagram e. AC/DC power distribution wiring diagrams 3. BID PHASE Upon completion and approval of the 100% design phase, the City shall request the Consultant to assist with the bidding phase. A. PROJECT MANAGEMENT The Consultant shall coordinate and expedite the preparation, assembly and delivery of bid documents for the City to administer via PlanetBids Portal. The Consultant shall take the necessary procedures to administer any prequalification of potential Construction Contractors as directed by the City to ensure that all Contracts are competitively bid. B. TECHNICAL SUPPORT The Consultant shall provide technical support to the City on questions regarding the meaning and intent of the drawings and specifications, and shall assist in achieving the resolution in clarifying any comments potential Construction Contractors may have during the bidding phase. City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems City Council Page 19 19 — 105 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS C. PROJECT ADDENDAS The Consultant is responsible for assisting with any addenda required during the bidding process. The City shall work in conjunction with the Consultant in bidding out the project, providing clarification and evaluating the potential Construction Contractors. 4. CONSTRUCTION PHASE Upon request, the Consultant shall provide general services to support the construction efforts and serve as an extension of City staff to assist in the overall delivery of the project, including pre -construction tasks, reviewing construction submittals and ensuring that the work is completed in accordance with the contract documents, project closeout and commissioning phase. A. SUBMITTAL/SHOP DRAWING REVIEW The Consultant shall be responsible for review of completeness and quantity of all required shop drawings, product data, samples and other submittals. The Consultant shall transmit the Submittals to City staffing for review and approval, and shall establish and implement procedures for expediting the processing and approval of Submittals. B. REQUEST FOR INFORMATION (RFI) RESPONSE The Consultant shall assist with requests for information (RFIs) and shall update the City on all RFIs issued in the duration of the project. The Consultant shall maintain, at the job site, records of contract documents including drawings, addenda, change orders, and other modifications of plans and specifications marked to show all changes made during construction. The Consultant shall also maintain as -built records of underground utilities, including locations and depths of trenches. At the completion of the project, the Consultant shall deliver to the City all contract documents including as -built records. C. CHANGE ORDERS The Consultant shall conduct comprehensive evaluation of change order requests, provide independent estimates, render recommendations and assist in claim resolution. The Consultant shall regularly monitor and report on the status of the Project Construction Budget on a monthly basis, indicating actual costs for completed activities and work in progress, and indicating estimates for uncompleted work. Report should identify variances between actual and budgeted or estimated costs, and shall advise the City whenever it appears that the Actual Construction Cost has exceeded, or will exceed, the Project Construction Budget for the entire Project or any Project Component. D. PROJECT CLOSEOUT The Consultant shall evaluate the completion of the work of the Construction Contractor and City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems City Council Page 20 19 — 106 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS make recommendations to the City when work is ready for final inspection. Upon request, the Consultant shall assist the City in conducting final inspections. D. CODE COMPLIANCE All materials and workmanship shall be in strict conformity with federal, state and local codes, requirements, standards of the latest editions, and guidelines including revisions of the following: • California Building Code (CBC) • American National Standards Institute (ANSI) • American Society of Testing and Materials (ASTM) • Department of Transportation (DOT) • California State Water Resources Control Board • Department of Drinking Water • South Coast Air Quality Management District (SCAQMD) • Environmental Protection Agency (EPA) • Occupational Safety and Health Administration (OSHA) E. PROJECT MANAGEMENT AND COORDINATION When a request for service is issued to the City, the Consultant shall issue an estimate to the City's designated Project Manager. The Consultant shall not proceed with any work without the approval of the City's designated Project Manager in the form of a Notice to Proceed. Consultants shall invoice the City on a monthly basis for all work performed during the period or provide a one-time invoice at the completion of work issued. Each invoice shall be accompanied by a summary of tasks performed, contract agreement number, results and progress on long- term tasks if any. F. VALUE ADDED RELATED SERVICES The Consultant may propose additional related services that the City has not specifically identified in this RFP to accomplish the stated goals of this RFP. Value added related services will be considered by the City and may or may not be incorporated in the agreement. All parts and materials must be supplied new and factory approved. G. MARKUP The following markup percentages shall be added to the Consultant's s costs and shall constitute the markup for all overhead and profits (to the sum of the costs and markups, one (1) percent shall be added as compensation for bonding): 1) Labor................................................................................................20 2) Materials...........................................................................................15 3) Equipment Rental............................................................................. 15 City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems City Council Page 21 19 — 107 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS 4) Other Items and Expenditures.......................................................... 15 H. MINIMUM QUALIFICATIONS The Consultant shall meet the following minimum qualifications: 1. All work is to be performed in compliance with all applicable codes, ordinances, laws, standards, due care, and Occupational Safety and Health Administration (OSHA) safety requirements. 2. The Contractor shall have a minimum of five (5) years of experience in providing the services described in ATTACHMENT 1: SCOPE OF SERVICES. 3. The Contractor shall possess state and local permits, licenses and certificates required by law to commence, carry, and complete the work. 4. Provide all necessary equipment to competently perform and complete work as specified. I. SAFETY Proposer shall be solely and completely responsible for the condition of the project site, including safety of all persons and properties during the performance of the work. In addition, proper safety equipment must be worn at all times. These requirements shall apply continuously until the contract is terminated and shall not be limited to normal working hours. The Consultant shall assure that each employee or subcontractor under the contractor's supervision is trained in the work practices necessary to safely perform his or her job. The Consultant's drivers/delivery crews shall be HAZMAT trained and certified in safety measures to prevent accidents endangering personnel and property. Hazardous Materials shall be clearly marked with the proper shipping name and identification number as required by the Department of Transportation. The Consultant shall provide current, applicable and required Material Safety Data Sheets (MSDS) at any time during the contract as requested by the City of Santa Ana. J. INSURANCE REQUIREMENTS The successful bidders shall furnish the City with original copies of valid insurance policies herein required upon execution of the contract and shall maintain said policies in full force and effect at all times during the term of this contract. Said insurance policies shall comply with all requirements set forth in these specifications. Consultant(s) shall keep a current certificate of insurance at the City of Santa Ana at all times and shall immediately report any changes to the City. K. FEE SCHEDULE The Consultant shall submit a fee schedule and labor rates as described in Section III.B.3 of City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems City Council Page 22 19 — 108 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS RFP regarding design services for a PFAS IX water treatmeant facility at the City's potable water Well 26 (located at 1730 S Santa Fe, Santa Ana CA 92705). The Consultant shall refer to APPENDICES A, B, and C for additional information regarding the potable water well site. No separately stated freight or deliveries will be considered. Bidders shall include all costs in the unit price bid. The Consultant's delivered product pricing shall be inclusive of all freight/unloading/handling and delivery charged. Furthermore, the Consultant shall submit additional labor, material and rental equipment rates along with fee schedule. Consultant's labor and equipment rate sheet shall list rates for all labor designations, equipment, rentals, and materials. The bid items specified in the fee schedule are for reference purposes only. Labor increases shall be subject to mutually agreeable terms between the City and the Consultant. The City may request related services that will be paid at the vendor's standard labor and equipment rate submitted. Fee proposal shall be outlined as follows: ---End of SCOPE OF WORK Section --- City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems City Council Page 23 19 — 109 4/4/2023 EXHIBIT B City Council 19 — 110 4/4/2023 Proposal for On -Call Engineering Design Services for HAS Treatment Systems CITY OF SANTA ANA I RFP NO. 22-133 NOVEMBER 17, 2022 m N. Contents A. Cover Letter 1 B. Agreement Statement 2 C. Firm and Team Experience 3 D. Understanding Scope of Services 7 E. Relevant Experience 19 F. Reference Forms G. Fee (separate package) Appendices Certifications A-1 Resumes A-7 ,Q Hyperlink-enabled table of contents in City Council 19 —112 4/4/2023 Intentionally blank page City Council 19 — 113 4/4/2023 W A. Cove r Lette r a n d B. Agreement Statement y A. COVER LETTER November 17.2022 Attention: Armando Fernandez, PE City of Santa Ana Public Works Agency Water Resources Division 22D S. Daisy Avenue, M-85 Santa Ana, CA 92703 Reference: Proposal For On -Call Engineering Design Services for PFAS Treatment Systems, RFP No. 22-133 Dear Mr. Fernandez and Selection Committee Members: The City of Santa Ana (City) is proactively addressing the challenge of providing your residents with a safe, reliable water supply by treating your groundwater wells for polyfluoroalkyl substances (PFAS), to comply with California's notification levels. Under Orange County Water District's (OCWD) PFAS basin -wide program, of the 21 City wells, four treatment systems are in various stages of design and construction to treat five wells impacted by PFAS. The 2020 Carollo Producer Report, prepared by OCWD, identified nine impacted City wells and evaluated individual or centralized treatment schemes. Your planned feasibility study will build upon that early effort to develop a comprehensive City-wide plan to address PFAS at all impacted wells. Stantec Consulting Services Inc. (Stantec) has been involved in PFAS research, planning, and treatment design for more than a decade. We regularly track both federal and state regulations for our clients across the US. Through our ongoing work at your four OCWD-selected well sites, we have gained significant experience in learning how your water system operates and the unique challenges at each location. Well sites within and adjacent to park areas will require coordination and buy -in from your Parks Department, as well as nearby affected residents. Older well sites may require electrical and or controls upgrades to update to current City standards. In turn, Stantec has teamed with Enterprise Automation (EA) to help design treatment systems that incorporate your system control and operation strategy. Some well sites also have limited treatment space available, such as your Well 38 site that presents unique design challenges. In addition, Leighton Consulting, Inc. (Leighton) will provide geotechnical support, as they have at your four current project sites. Stantec has partnered with both EA and Leighton on the OCWD projects for the City. We recognize this is a significant financial impact to system operations and the sooner affected wells come online, the less you have to rely on costly imported water. With a City -led treatment program, projects can be accelerated to meet your schedule rather than relying on OCWD-led designs that have been extended, due to faster and larger expenditure of OCWD funds. Also, the City can progress with treating all affected wells, irrespective of PFAS levels, pending available funding. To expedite implementation and construction, Stantec recommends the City consider prepurchasing long -lead items. Lessons learned from our recent experience with OCWD projects demonstrated that treatment vessels require significant lead time for delivery, which prompted OCWD's prepurchase of up to 150 vessels. Similarly, emergency generators and motor control centers are experiencing several months to more than a year in lead time. Stantec can work with the City to prepare prepurchase designs and specifications early in our design process to minimize these material delays. Our team also provides the following benefits: Well Established Local Relationships and Knowledge of Local Infrastructure Our project manager/principal agent, Jim Cathcart, PE, F. ASCE, has been working in Orange County for most of his 45-year career. He is currently overseeing the team working on OCWD's PFAS Treatment Systems Design for the City. These established relationships and knowledge of local infrastructure will benefit the City by implementing your treatment systems quickly and efficiently. City Council 19 — 115 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 Water Quality/Water Treatment/Infrastructure Experts For the past 10 years, Stantec has advised municipalities, industry, and federal agencies on the science and technologies to address PFAS challenges in communities. Our 1,300 California -based engineers and scientists have also completed planning, design, and construction services for challenging groundwater treatment projects, including supporting: + Los Angeles Department of Water and Power's San Fernando Groundwater Treatment design -build project —one of the largest facilities of its kind + South Pasadena Graves Reservoir Granular Activated Carbon (GAC) and Ion Exchange (IX)Treatment system + West Valley 1,2,3-TCP Planning project + Sacramento County Water Agency PFAS Treatment Feasibility Study, Well 43 and 47 Committed to Delivering on Schedule Required Statements + We acknowledge receipt of the addenda posted on PlanetBids: Addendum 1 on October 17.2022. + This proposal is valid for 120 days and is signed by a senior principal/authorized representative who can make legally binding commitments for Stantec. + Stantec Consulting Services Inc.is a publicly owned Corporation. We understand the critical time frames associated with these projects. Similarly, you'll find that our provided references will support our ability to successfully deliver similar projects and provide the necessary resources to meet your schedule. For example, two recent PFAS treatment system designs were both successfully completed on a fast -track basis. For the City of Cottage Grove, Minnesota, our team expedited the design -build of two temporary treatment facilities to be processing clean water within three months. The design process began May 30, 2017, and water was flowing in the second temporary treatment plant by August 15, 2017. In providing safe, reliable potable water supplies to City residents —our team looks forward to the opportunity of working with you as trusted advisors to implement your PFAS Treatment Systems. Regards, Stantec Consulting Servic s Inc. J mes A Cathcart, PE, F A E Project Manager/Principal Agent/Senior Principal 38 Technology Drive I Irvine CA 92618-5312 (949) 328-2405 jim.cathcart@stantec.com B. AGREEMENT STATEMENT We have reviewed your proposed RFP/contract terms in Attachment 4: Standard Agreement and believe that should we be selected for this assignment; we will be able to conclude a mutually satisfactory contract with you. Stantec will also meet your stated insurance requirements. City Council 19 — 116 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 C. Firm and Team Experience . FIRM AND TEAM EXPERIENCE., Established in 1954, the Stantec community unites 26,000 employees in 400 locations across six continents. With 23 California offices, Stantec encompasses 240 water specialists working throughout the Golden State, including our core team members who are locally available from Irvine and Pasadena. Uas . ..,ices —water treatment, environmental sciences, engineering, architecture, landscape architecture, surveying, project management, project economics from initial project concept and planning through design, construction, and management —begins at the intersection Of community, creativity, and client relationships. Communities are fundamental. At Stantec, our 67 years of public works engineering experience includes master plan development, water resources development, and design of water supply and treatment facilities. We offer a thorough understanding of requirements, procedures, and protocols for engineering consultant services on city -related projects. Stantec brings innovative, fit -for - purpose solutions our team will provide on -call planning, design, bid phase support, and construction phase support services to address your needs. We will work with you to evaluate options to optimize site layouts, to combine centralized treatment facilities, and to consider the latest in industry knowledge about PFAS treatment. Stantec's PFAS Treatment Experience We are continuously looking toward what is next in the industry and Stantec brings innovative approaches to the most complex projects. Our designs have satisfied discharge limits that push the boundaries of existing solutions. And we continue to conduct research in the application of developing technologies, and impacts of contaminants on clients, through our Stantec Institute of Water Technology and Policy, including a focus on PFAS treatment. Due to new regulations, and continued statewide drought—Stantec recognizes the City's water resource landscape is changing. This furthers the need for safe, reliable local water supplies and for multiple treatment systems to protect public health. Our team has the right experience to support the City through this new landscape, as demonstrated by our recent project experience (see table below). Our team—Stantec has partnered with the following firms: Enterprise Automation (EA) —Established in 1998 EA is a full -service integration and automation consulting firm located in Irvine, California. With a 42-person staff, EA specializes in water and wastewater treatment, distribution, and storage. Traditional systems integration services are complemented by a suite of services ranging from Supervisory control and data acquisition (SCADA) and OT network audits, consultant and contractor submittal reviews, master planning, and budget e On -Call Consulting Services For Orange County HAS Treatment Systems Design Water District ✓ ✓ ✓ ✓ ✓ Santa Ana, California San Fernando Groundwater Los Angeles Treatment Department of Water ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ 'PFAS Pilot Phase 1 City of Cottage Grove ✓ ✓ ✓ ✓ ✓ Cottage Grove, Minnesota HAS Extended Pilot City of Cottage Grove ✓ ✓ ✓ ✓ ✓ Cottage Grove, Minnesota HAS in Groundwater City of Cottage Grove ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Cottage Grove, Minnesota City ounce — City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 3 rL CEC and PEAS Study City of Aurora ✓ ✓ ✓ Aurora, Colorado Eielson Air Force Base US Air Force Civil ✓ ✓ ✓ ✓ ✓ Fairbanks, Alaska Engineer Center Feasibility Study: Treatment of Sacramento County Well Sites 43 and 47 for PFAS Water Agency ✓ ✓ ✓ ✓ ✓ ✓ Removal —Elk Grove, California Evaluation of Sources and North Park Public Solutions for Presence of PFAS Water District ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Machesney Park, Illinois Graves Reservoir Replacement City of South and Wellhead GAC and IX Pasadena Treatment ✓ ✓ ✓ ✓ ✓ ✓ ✓ City of South Pasadena, California West Valley 1,2,3-TCP Impact West Valley Water and Solutions Study District ✓ ✓ ✓ ✓ ✓ Rialto, California Sustainable Water Infrastructure City of Santa Monica ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Santa Monica, California Feasibility/Scoping Study to Monte Vista Water Construct Granular Activated District ✓ ✓ ✓ ✓ Carbon Treatment Plants Montclair, California Lake Forest Zone B to C Irvine Ranch Water Recycled Water Pump Station District ✓ ✓ ✓ ✓ Lake Forest, California Wellhead Treatment, Well 4 City of Tempe ✓ ✓ ✓ ✓ ✓ Tempe, Arizona management. EA's 24 control system engineers (all with house, Caltrans- and AASHTO-approved geotechnical Engineering degrees and a broad range of industry and and materials testing laboratories. Technical team manufacturer certifications) share a core focus on the members are OSHA HAZWOPER trained and certified to development of modern SCADA platform. recognize potentially hazardous substances and materials. LEIGHTON CONSULTING, INC.—Founded in 1961, Leighton Laboratories are fully certified and equipped to perform Consulting, Inc. (Leighton) is a California corporation Superpave hot -mix asphalt, Portland cement concrete, and bringing more than 60 years of regional knowledge of soils and aggregate testing. geology; regulatory agencies; and local, state, and federal We have the extensive subject matter codes to keep projects moving forward. Leighton's expertise to provide practical project 190-member staff from nine Southern California offices, offers highly experienced Professional Geologists (PGs), solutions. Our breadth of qualified discipline Certified Engineering Geologists (CEGs), Registered Civil experts are readily available to complete and Geotechnical Engineers (PEs and GES), and Regulatory the work within City"s desirPrq tirrp frame. Compliance Specialists. Leighton operates three in - City Council 19 — 119 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 4 Project Team Experience., The following team members are available to start the assigned design packages immediately with the highest priority and production. The leadership team we've selected are all local to the City. They are supported by design discipline staff in our Irvine and Pasadena offices. We have the flexibility and deep bench or subject matter resources to create additional functional teams through our design centers. Please see the Appendices for resumes and percentage of time our staff will be devoted to your project. Technical Review ✓✓ Jim Borchardt, PE ✓ Ken Martins, PE Project Engineer: Planning Study ✓✓ Tyler Hadacek, PE* Survey ✓✓ Greg Sebourn, PLS, MASCE Site Civil ✓ Nahid Heidarbaghi, PE, LEEDAP Mechanical ✓✓ Sean Neprud, PE, LEEDAP Meet Your Project Manager Jim Cathcart I Project Manager/Principal Agent ✓ Jim Cathcart, PE, F. ASCE Geotechnical ✓✓ Leighton Consulting Structural ✓✓ Simon Lin, Ph.D., PE, SE Electrical ✓✓ Bruce Wong, PE, PMP, ENV SP Instrumentation and Controls ✓✓ Nadarajan "Sanki" Sankaran, PE Project Engineer: Design -Bid apd Construction ✓✓ Cole Warrick, PE* Cost Estimating ✓ Jim Loucks, PMP, CCP Treatment/Process Mechanical ✓✓ Tyler Hadacek, PE ✓ Ryan Capelle, PE System Integration ✓✓Enterprise Automation Engineering Services During Construction ✓✓ Cole Warrick, PE ✓✓ Dan Heston Hydraulics ✓✓ Tori Klug, PE ✓ Local ✓ Recent PFAS Experience *In charge (if project manager/principal agent is unavailable) 4 Decades of water Well head Groundwater /;SCE system planning 6 equipping 11 Treatment Fellow and facility design designs Projects Our local, multidiscipline team will be lead by Senior Principal Jim Cathcart, PE, F.ASCE. Jim has decades of experience managing multimillion -dollar projects with diverse project teams for both traditional and design -build projects. He Stantec Design Centers demonstrates the portfolio and program management skills necessary for your projects. Jim also champions new ideas and initiatives that create environments to support implementation of innovation. He brings vast expertise in leading our design Center team of subject matter Our design centers bring together a diverse group of civil, electrical, HVAC and plumbing, instrumentation and control (I&C), process mechanical and structural engineers, as well as registered architects and CAD designers and technicians to meet critical schedules. experts and subconsultant firms. City Council 19 — 120 4/4/2023 City of Santa Ana:. On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 Recent Local and Relevant PFAS Experience., Our team offers a spectrum of seasoned and innovative PFAS expertise from the science of assessment to technologies for water treatment and remediation. We have provided PFAS solutions to municipalities, private - sector industrial clients, and national governments. From current experience with OCWD, we are familiar with the City's design standards and will bring valued lessons learned to your PFAS project. From our work on the OCWD's PFAS Treatment Systems Design: our team understands the exact details to implement your PFAS project Member M in Jim Ca hcar , PE, EASCE Project Manager/ 45 ✓ ✓ Principal Agent Tyler Hadacek, PE Project Engineer: Planning Study and 9 ✓ V/ V/ V/ V/ V/ V/✓ V/ V/ V/ V/Treatment Process t Mechanical Cole P/arrid<, PE Project Engineer: De- nBid-Construction 5 V/ V/ V/V/ ✓ ✓ V/ V/ V/ ✓ V/ and and Engineering Services During Construction Jim Borchardt, PE 44 ✓ ✓ ✓ V/ V/ V/ V/ Technical Review Ken D lartins, PE 40 v/ ✓ V/ V V/ V/ QI` Technical Review Ryan Capella, PE Treatment/Process 25 ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ Mechanical City Council 19 — 121 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 D. Understanding of Scope 11 0. UNDERSTANDING SCOPE OF SERVICES., With the rapidly growing number of regulatory levels and public health goals for per- and poly- PFAS compounds, and the additional planned regulations from both California and the USEPA; the City is planning ahead to address PFAS at your existing groundwater wells (regardless of current concentrations). Under the OCWD PFAS basin -wide program, five groundwater wells are currently in various stages of design and construction to treat the wells with IX treatment processes. With 21 existing groundwater wells providing a significant portion of the City's water supply, the swift and streamlined planning, design, and construction of additional groundwater treatment facilities is critical to minimize potential financial impacts from the costs of supplementing supply with imported water. In selecting design consultants to provide on - call planning study, design, bid phase support, and construction phase support services for the remaining impacted groundwater wells, we understand consultant services under this contract may be for any one or group of City owned groundwater wells. Well 26 has been identified as one facility requiring wellhead treatment. Approach This section outlines Stantec's proposed approach toward on -call planning in addressing City-wide treatment options, as well as design, bid, and construction phase services. Our approach is tailored for the specific considerations of Well 26 and is generally applicable to any of the City's other groundwater well sites. Project Management Our overall project administration and design supervision will be an on -going task from initial planning through construction and start-up of the treatment facilities. This task will include regular communication with City staff, other affected stakeholders, and internal project design staff. Monthly invoicing and project status reporting is also included. An initial kick-off meeting, regular progress meetings, and workshops will be conducted based on the needs of each on -call project assignment. Project management effort will be included separately in the planning tasks, and design services tasks. Schedule and Staffing We have identified staff who are available and committed for your on -call project. In turn, we also understand project schedules can change and staffing conflicts may arise during project delivery (see Preliminary Schedule). To proactively address keeping projects on schedule and budget, Stantec affords a broad network of resources accessible across multiple offices. As a large and integrated company, we use this staffing network to help mitigate staffing issues that may arise. As a recent example, for LADWP's San Fernando Groundwater Treatment design -build project, we mobilized close to 200 staff across 22 business centers/offices to deliver final design for 25- and 40-MGD treatment facilities within 12 months (over 2,000 drawings) — during the initial Covid-19 outbreak. Planning Study To provide a holistic and well-defined plan for PFAS treatment for impacted wells, the Stantec team proposes a systematic process with input from the City along with milestone workshop meetings. The process will begin by obtaining and reviewing water quality data, operations information, how each well is integrated with City reservoirs and the distribution system, along with performing site visits to all identified well sites. We believe planning is only as good as the information available. Fortunately, the Stantec team is already familiar with much of the City's wells and water operations. We will apply this knowledge to Well 26 and any other wells considered under this study. Additionally, we believe planning needs to be collaborative, and for the study as a whole and for each new site considered we value City input, preferences, and priorities. Our team has done infrastructure and treatment system planning for decades, including our recent work with the West Valley Water District and Sacramento County Water Authority among others, and you can ask them about our approach to executing those projects (see Relevant Experience). Our proposed work sequence consists of: + Kick-off Meeting with the City —Review and discuss scope of work, schedule, and work plan for the study. We will confirm the scope of and the intended results of the study, and the City's available information. City Council 19 — 123 4/4/2023 �ii 9�61a�A�riOyi�I�mQeraaiae�fBe€lips;€reete�krS St�TadB€R�@It➢.SJdtEi3s RFP NO. 22-133 + Data Collection and Analysis —Review available information from the City for water quality, site record drawings, planned facility improvements, well flow -rate capacities, reservoir information, and distribution system operation. + Field review —Of the affected well sites with City staff to understand the unique aspects of each site and its operation. + Workshop No. 1—Review the list of every impacted well the City operates and discuss the operation, system hydraulics, flow rates/annual production, and water quality at each. Review potential treatment scenarios (blending, individual well site treatment, centralized treatment) and prepare conceptual site layouts. + Alternatives Development, Site Planning —Prepare an analysis of each well site's existing infrastructure, hydraulics, any additional pretreatment needs, and the most appropriate treatment system (centralized treatment, individual well site treatment). + Workshop No. 2—Present alternative treatment approaches for each well and preliminary site layout alternatives. Planning level costs will be presented for alternatives as necessary for evaluation/comparison. Here 3D renderings could be prepared for public or City presentations as a value-added service. Draft Report —For the City's review, we will prepare findings, preliminary costs, identify any impacted stakeholders, and make recommendations regarding groundwater well treatment alternatives and approaches. Our analysis will include preliminary hydraulics and additional infrastructure requirements, if any. Planning level cost opinions will be prepared and compared with any available funding sources the City has along with an implementation plan and schedule (including phasing of priority treatment sites), and a list of required permits to design and construct the necessary facilities for each site. Prepare Final Report —which will incorporate the City's review comments. As part of our approach, we will leverage the strengths of our local experience and industry experts to provide a thorough planning study for the City to serve as a roadmap for wellhead treatment. The following outlines how our team will add value to the City: Incorporate unique institutional knowledge From the OCWD on -call program, Stantec's gained knowledge allows us to evaluate and plan more efficiently and accurately. For example: likely support of 3D renderings. We know this does not apply for Well 26; however, we can budget this into our design and account for it in the schedule should this apply to any other City wells. + We understand the electrical systems are dated at some wells and may require upgrades. We have EA, as the City's trusted integrator, on our team to advise of I&C upgrades that are planned and/or necessary for compatible system operations. Our electrical designers know the upgrades that were necessary at Well 40 and 38, and will identify and plan for similar requirements at other well sites. + Stantec is familiar with the PFAS Treatment Systems Planning Study Producer Report previously prepared through OCWD and the water quality from the wells sampled for that study, all of which were above the NLs for PFOA, PFOS, and the new limit for PFHxS. Stantec's culture embraces using first principle science in our industry -leading water treatment models and does not rely on potentially biased vendor predictions. Identify options to accelerate schedule We expect that schedule is important to reduce reliance on high-priced imported water. We will discuss schedule acceleration ideas with the City to identify where the advantages benefit the City, such as: + Pre -purchasing vessels can avoid long fabrication lead times due to high demand for the types of pressure vessels used for these media -based treatment systems. Similarly standby generators and electrical control equipment are becoming increasingly hard to obtain. We have helped many clients pre -procure equipment and have standard specifications that can help us produce pre -purchase bid packages quickly. + Our existing designs of other City sites can be leveraged to accelerate the design schedule for any site. We will be starting work from reviewed and proven layouts and specifications that already incorporate the City's preferences and standards for many design aspects. Water quality expertise The Stantec team brings a variety of experience on PFAS treatment outside of Orange County to support this project as needed. In addition: + Our team knows that recreational park locations will + Our team has piloted ion exchange for PFAS treatment require ity Council 19 — 124 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 8 and understands the particular challenges with pretreatment related to iron and manganese in groundwater and will evaluate this at each well to determine whether pretreatment is needed. + Stantec has partnered with Johns Hopkins University laboratory and is experienced in analytical water quality protocols and analytical techniques. We can assist with additional PFAS sampling plans for City wells, if needed. + Our team brings leading -edge industry knowledge in PFAS regulations and treatment and will leverage this industry knowledge for the City's benefit. For example, we recommend designing the IX vessels to support use with alternative medias or GAC, if future use of alternative media becomes more favorable. We are currently using this design concept for our project in Tempe, Arizona. + We are aware of and track emerging PFAS regulations — our team closely follows recent public health goals from the EPA and the anticipated MCLs from EPA for PFOA and PFOS, and the newly announced NLs and RLs for PFHxS; along with five other PFAS compounds currently on California's list of future regulations. This knowledge can help determine appropriate treatment schemes and better prepare the City for the future. Optimization tools We have considerable experience developing, designing, and implementing water treatment technologies and removal effectiveness of PFAS compounds to non -detect levels. In addition, we have developed a specific tool to evaluate the use of GAC or IX as the base treatment system. As part of our due diligence associated with each project, we will develop a preliminary design analysis for the new treatment processes using our IX Design Tool and can evaluate GAC using a similar tool if desired. The information developed from the treatment modeling efforts will be incorporated into the site development analysis regarding site footprints and equipment arrangements. As a cost -saving approach, performed for other systems, we will also consider use of vessel side taps to monitor the contamination "wave front" as it accumulates in the bed. This advantage is that in some instances, it may be plausible to use only single pass vessels in parallel, reducing the number of vessels by half. This concept has already been approved by the Division of Drinking Water (DDW) for volatile organic compounds treatment systems. We are adept at comparing alternatives for cost- effectiveness, for example evaluating individual well site treatment versus centralized treatment. In some cases, At LADWP's existing, dense North Hollywood Central location —innovation and collaborative design were keys to success for this 25-MGD groundwater treatment plant worth evaluating, we have spreadsheet models that will calculate the capital costs for treatment, conveyance, pumping for decentralized versus centralized scenarios. We also have a team within Stantec who can identify and analyze candidate parcels using GIS and then perform market analyses based on real estate information to help estimate land acquisition costs. The output is life -cycle cost comparisons that reveals the more cost-effective alternative. We most recently performed this evaluation for MWD's regional water reuse program and can apply this tool during the planning phase of your project if needed. Preliminary Schedule Upon notice to proceed (NTP) we will work with City staff to finalize our proposed schedule: Duration Task Start . ' NTP/Project Kick-off 1/11/23 1/13/23 3 Meeting Data Collection and Analysis 1/16/23 2/24/23 28 Workshop No. 1— 1/27/23 1/27/23 0 Planning Study Kick off Alternatives Development, Site 1/30/23 3/9/23 28 Planning Workshop No. 2— Present and Review 2/27/23 2/27/23 0 Alternatives Cost Estimate+ 2/28/23 3/28/23 21 Permitting + Schedule Draft Report 2/28/23 4/28/23 44 Final Report 5/1/23 6/8/23 28 the more City Counci 19 — 125 4/4/2023 City of Santa Ana:: On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 Design Phase After the planning study has concluded, Stantec will proceed with the various stages of preliminary and detailed design, initially for Well 26. As one of the largest water treatment design consultants in the world, we plan to use local in-house staff to execute our designs, with the exception of geotechnical and control/automation services. We maintain all other necessary design disciplines, including full survey services, along with architectural and landscape services, if needed. This affords the ability to quickly assemble design teams familiar with each other and streamlines communication throughout the design process. Preliminary Design Phase An important element in design is regular communication: It is critical that our design team and City staff engage in early and frequent communication. Stantec will prioritize the thorough review of all record drawings, a complete investigation and documentation of existing site features, and interviewing City engineering and operations staff to understand the state of existing facilities as completely as possible. This information will form the basis of our team's design concepts and will be revisited at each design stage to minimize the potential for unexpected design and construction costs- As we have learned during the design and construction of the Well 40 and 38 sites under the OCWD on -call contract, particular areas of interest that require identification during the early stages of design include: + Site access and 0&M constraints and considerations + Location of existing City owned and private utilities within the project site + Age/condition of existing mechanical and electrical equipment + System hydraulics analysis + Any planned site improvements or expansions To demonstrate and document our understanding of the design constraints, criteria, and objectives, we will prepare a design report that evaluates the proposed alternatives from the planning study against these standards. The report preparation consists of the following: + Survey and Base Map Preparation: Monuments will be observed to retrace the extents of any easements and the centerlines and nearby streets right of ways within the project limits. Of particular importance to the Well 26 site is the verification of any easements associated surveys, and assessor parcel maps will be used to prepare the base map. + Information Collection: First and foremost, we will request, collect, and document all City, private utility, and public utility records and documentation as described in the previous paragraphs. The planning study will be reviewed to identify the proposed alternatives and design criteria. After review of the collected records, we will engage the City as needed for additional input on the project design criteria and goals. + Preliminary Design Report Preparation: The report will consist of an existing conditions description and evaluation, the project's design criteria and other objectives, proposed design alternatives, geotechnical findings, required controls modifications, and Stantec's recommendations. + Preliminary Design Review: Stantec will submit the Preliminary Design Report to the City for review. A review workshop will be held with City staff and the Stantec team. The goal of this preliminary design review is to verify Stantec's understanding of the existing facilities and City's specific design objectives, as well as to confirm the City's agreement with the presented recommendations. + Final Design Report: Based on the feedback obtained from the preliminary design review, we will prepare a Final Design Report that will form the foundation and guidelines for detailed project design. At this time, the preferred design alternatives will be selected, and all design recommendations will be finalized to establish a clear direction for thef the project's design. The submission and acceptance of the Final Design Report will complete the preliminary design phase. All identified major design questions, criteria, and risks will have been answered, addressed, and mitigated at this point to help ensure the smooth completion of the detailed design, bidding, and construction phases. Detailed Design Phase Following the framework established by the Final Design Report and 30 Percent Design documents, Stantec will prepare a detailed and coordinated set of construction documents (CDs). To verify production of the highest - quality CDs, Stantec will employ a robust quality assurance and control (QA/QC) program at each level of document submittal. The QA/QC program will review all design calculations, check for compliance with state and local regulations, verify the design is coordinated with the railway behind the property. The results will be with existing site constraints, and cross check between incorporated into a base -map illustrating existing the discipline drawings and specifications to coordinate right of- i ounce 1 — 4 4 is INY City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 1C QC program paired with City review of the progress submittal packages will minimize construction conflicts and reduce redesign efforts. More specific considerations that will be prioritized during the detailed design include standardization, nuisance noise reduction, and construction schedule optimization. Stantec's recent and on -going experience with the design and construction of four IX groundwater treatment facility sites under the OCWD on -call contract has provided us with valuable lessons learned and insight needed to focus on these specific design considerations and the City's preferences, as follows: + Standardization: Since the City already has multiple IX wellhead treatment projects underway with the OCWD on -call contract, standardization of the equipment to minimize spare parts inventory and simplify the City's 0&M will be a high priority for the design of future IX treatment systems. However, Stantec recognizes that sole -sourcing major equipment for the sake of standardization can result in less competitive pricing from vendors. To keep equipment costs as competitive as possible and still achieve a reasonable level of standardization, we will explore equivalent products with compatible consumable and/or wearable components. One example would be researching alternative manufacturers for the cartridge filter housing that use the same size and style filter elements. Additionally, limiting the types and pre - approved manufacturers of mechanical equipment, such as valves, pumps, and special fittings will also be explored- By narrowing the field of pre -approved manufacturers and prioritizing the compatibility of components, we can optimize the relationship of equipment standardization and market competition to balance competitive capital costs with minimal 0&M inventory and expenses. Similarly, it is important that the design conforms with the City's standard design guidelines and construction details to simplify 0&M and help ensure compatibility with existing City systems. + Nuisance Noise Reduction: Many of the City's well sites are located in public areas and/or near residential properties. The addition of equipment —such as pumps, motors, and generators —may produce nuisance noise. We will design noise barriers (screening walls), sound attenuating enclosures, and other acoustical dampening systems that will meet the City's municipal code requirements at the property line. Addressing noise reduction will help prevent complaints from adjacent residents and will reduce the amount of attention drawn toward the facility's operation. + Construction Schedule Optimization: To prevent the need to augment the City's water supply with expensive imported water The current, and rapidly growing, list of notification and response levels necessitates prompts speedy action by the City. Selected design consultant(s), and contractor(s) will Proven Loca Experip-Nce City's Well 31 design concept rendering Santa Ana Well 27 & 28, 31, and 38 PFAS Treatment —in design • Creative layout alternatives to optimize the space -limited sites • Rapid mobilization of local staff to the site as needed to tailor design to existing infrastructure • Integration of new onsite hypochlorite systems Santa Ana Well 40 PFAS Treatment —under construction • Navigated various stakeholder input and requirements—OCWD, residential HOA, and City Parks Department • Quick response to changes during design and construction (e.g. emergency generator, electrical infrastructure) LADWP San Fernando Groundwater Remediation • Managed complex progressive design - build project on -time and on -budget • Procured GAC pressure vessels and media • Integrated design and construction into urban, space -limited site while maintaining continuous operations South Pasadena Graves Reservoir Treatment • Successful implementation into a space - limited site in residential neighborhood • Prepared engineering report to obtain DDW permit amendment to operate City Council 19 — 127 4/4/2023 City of Santa Ana:: On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 need to address and mitigate PFAS compounds at —all affected, and even unaffected —well sites. Pairing this urgent need with the lingering effects of a disrupted supply chain, and the City's ability to produce its own water may be impacted for a significant time. During the detailed design phase, Stantec will work with equipment vendors and material suppliers to help determine the availability and lead times of critical design features. With this information and an anticipated construction sequence, we will incorporate the most available materials to minimize potential delay in the overall construction schedule. Stantec will also develop detailed construction sequencing and duration requirements within the technical specifications to provide the City with as much control as possible over the schedule. This will help reduce the amount of time the City may need to import water while a well (or group of wells) are not operational during construction. At the completion of the detailed design phases, Stantec will provide the City with a complete set of bidding and CDs for advertising to contractors. Bidding Phase To promote a timely and successful bidding process, it is imperative that the City, with the design team's assistance, respond to all inquiries promptly and thoroughly. This provides the bidders the most possible time to review bidding documents and addenda to prepare an accurate bid with as little ambiguity as possible. To accomplish this, Stantec would record and document all questions posed during the pre -bid meeting, as well, as all questions submitted via other channels. An addendum (if needed) would be created and issued, with the City's input, within one week of the pre -bid meeting. The need for additional addenda would be determined after this point and would be expedited to as much as practically possible. Designing for Operabilty, Life -cycle costs Cartridge Filters Prior to treatment, IX filters require removal of suspended solids from the raw water to avoid blinding the media bed, which extends the life of the media. Industry standard is a prefiltration process with five micron rated filters. This filtration step will be accomplished using horizontal, high - flow cartridge filters, which provide the following benefits: Horizontal orientation allows for ease of access and change out of filters at chest height, protecting operator safety and reducing the time required per change out Access at ground level eliminates the need for raised platforms, reducing cost, and maintenance Significantly reduces number of units, as higher Flow housings, reduce construction costs, and improve efficiency of filter change out All filters use the same cartridge filter element, allowing for ease of purchase, storage, and replacement for all sites Piping will be routed underground, improving access The number and size of cartridge filters are designed to evenly distribute flow between filters, while providing the capability for N+1 redundancy at each site. Cartridge filters are preferred in lieu of bag filters as they offer a higher surface area, reducing the rate of increase in differential pressure, which effectively increases their dirt holding capacity between exchanges. Our example of life -cycle cost analysis is shown below. The labor is significantly reduced based on number of filters and ease of replacement (horizontal vs. vertical) resulting in a better value to the City for a life -cycle efficient design. Mass to be removed, Its; CartridgeTitle 300 d. 300 300 300 Dirt holding capacity each filter, Ibs 20 25 0.5 1 Cost per filter $200 $200 $3 $3 Filters per housing 15 15 25 25 Number of changes 1.0 0.8 24.0 12.0 Change out time (hours) 3 3 6 6 Rate/hour $75 $75 $75 $75 With labor: Cost per lb $10.75 $8.60 $42 $21 Without labor: Cost per lb $10 $8 $6 $3 Note: Inforrnation from Fit -trek Corporation (a supplier who provides both bag and Cartridge filter equipment) was used in this analysis. City Council 19 — 128 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 12 Construction Phase Engineering services during construction (ESDC) for this project will serve a multi -purposed role including verification of conformance to the design intent, facilitation of discussion and conflict resolution, protection of the City's interests, and record keeping. Construction activities can move very quickly, complicating these roles. To avoid this and meet the requirements of the above -mentioned role, we will take the following steps: + Organization: With a flurry of communications occurring during the construction process, it is easy to lose track of outstanding or pending items. A highly organized system of documenting and tracking construction submittals, requests for information (RFI), change orders, transmittals, and the like is one of the most important ways of ensuring a that "everything stays within our radar." We propose using construction management software, such as Procore, to provide all parties access to real time information in one convenient location. This would provide ease of mind and transparency for the City as well as help keep the project on schedule. + Proactive Communication: Frequent communication among all parties helps builds the trust and confidence to keep a project on schedule. As we have demonstrated during the construction of Well 40, Stantec will engage the City, contractor, and any construction management personnel via emails, phone calls, and/or conference calls as necessary to verify all parties are on the same page to lead the project toward successful completion. For example, during Well 40 construction, Stantec submittal and RFI response time was usually significantly less than allowed by the specifications. + Prioritization: Construction projects move quickly. We respond thoroughly to communications, submittals, RFI, and change orders, as we understand these have the potential to cost the contractor and/or the City either time, money, or both. For Well 40 construction and all of our projects under construction, our team prioritizes construction related work. Furthermore, we will communicate with the contractor to prioritize select equipment submittals, RFI, and change orders over other items for this project to facilitate time - sensitive items. After the contractor has determined they have substantially completed project construction, we will inspect the work to confirm its conformance to the design intent. We will use our experience from the ongoing OCWD on -call contract to guide the successful commissioning of the facility. Fast -track PFAS Project _ter Our team has experience with activated carbon and ion exchange PFAS removal, as well as accelerated project schedules for these processes. Eielson Air Force Base PFAS Treatment Alaska • PFOS and PFOA Treatment GAC Treatment Uninterrupted Service to the Base Fast -tracked design -build contract Capable of treating 1,500 GPM of water and reducing PFAS to below detection levels PFAS in Groundwater Cottage Grove, Minnesota • Analyzed PFAS contamination trends Expedited design and installation of a granular activated carbon groundwater treatment system for the potable water system City Council 19 — 129 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 13 TASKS NECESSARY FOR SUCCESSFUL COMPLETION Scope of Services The following defines our scope of services included within this proposal and our fee estimate. 1. PLANNING STUDY AND CONSULTING SERVICES The Stantec team will perform a Planning Study for the City in which the number of wells impacted by PFAS, their location, and areas available for a treatment system(s) and site access will be examined. The Planning Study will assess how the treatment system(s) would be integrated into the City's existing operations, help determine whether a centralized treatment plant is feasible for combining wells, provide alternative design options, assess the potential for blending, provide initial support for permitting and develop capital costs associated with potential land acquisition, permitting, pipeline connections and system integration. The scope of work consists of the following for the Planning Study: A. MANAGEMENT ACTIVITIES Stantec will conduct project management activities to facilitate adherence to budget and schedule. Our team will coordinate and attend meetings with City staff during the planning study, consisting of the following: one project kick off, two planning workshops, one review meeting for the draft report. These meetings will be held virtually via Microsoft Teams except the kick-off meeting, assuming this is the City's preference. Stantec will provide minutes for each meeting as well as biweekly progress updates to the City. B. WELL ASSESSMENT AND INITIAL TREATMENT DESIGN Stantec will review information provided by the City on the City's groundwater conveyance systems, impacted wells, reservoirs, imported water connections. Our team will conduct site visits per the City's request to help determine available area of land for the PFAS treatment system(s), which are assumed to be able to be completed in two full days. Stantec will assess how the treatment system(s) will be integrated into the City's existing operations. We will also review existing and available information on the City's historical PFAS bench- and pilot -scale testing, as well as historical Planning Studies performed and existing PFAS treatment facility layouts, and adhere to the standards set therein. In the preliminary Planning Study, the Stantec team will provide a conceptual layout for each requested location by the City based on existing ion exchange (IX) treatment systems (Aqueous Vets System rated for 150 PSI). For all IX wellhead treatment designs, we will include cartridge filter pre-treatment, a sand separator, IX lead -lag system capable of addressing the well(s)'s gallon per minute capacity, an emergency generator, and an additional sound attenuated booster pump to combat the head loss experienced through the new treatment system. C. PERMIT ASSESSMENT Stantec will perform an initial permitting assessment to understand any requirements, as well as develop a list of required permits (including permit description, issuing regulatory agency, summary of permit requirements, and permit acquisition timelines). D. FEASIBILITY STUDY The Planning Study will include a feasibility study in which we will investigate hydraulic conditions of existing wells and help determine what modifications to existing well pumps and booster pumps will be necessary, if any, for the installation of the proposed PFAS wellhead treatment facilities. E. COST ESTIMATES Stantec will provide an opinion of probable construction costs (OPCC) for the treatment facility equipment, any necessary land acquisition to accommodate a treatment system(s), permitting, plumbing connections, transmission alignments and system integration. Stantec will also provide capital, maintenance and operation cost estimates for IX treatment system(s). F. PRELIMINARY SCHEDULE Stantec will develop a preliminary phasing schedule for construction in the Planning Study. The plan is intended to provide the City a schedule and projected annual outlays for financial planning. In the preliminary schedule, we will include the anticipated duration of construction, as well as utility extensions required. G. FINAL REPORT The final report will consist of a summary of the planning study items listed herein and will be submitted to the City for review and comments. We will provide a PDF digital copy of the preliminary report and shall incorporate comments made by the City prior final report submission. Our final report will also include a summary of major City Council 19 — 130 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 14 findings, any significant challenges or common themes relevant to the City's system. We will recommend future actions by the City as next steps toward PFAS treatment implementation. The report will contain descriptions of operation and maintenance for the treatment systems such as IX resin frequency of change out, sample/ analysis frequency, and whether additional staff and training is required. We have assumed the planning study will evaluate all 21 City groundwater wells. We know that four Wells (18, 24, 36, and 39) at the Garthe Station are impacted by PFAS, and the RFP identifies Well 26 as also impacted. For budgeting purposes, in addition to these two sites, we assume we will investigate up to three additional sites for treatment. 2. DESIGN PHASE Once the Planning Study has been completed, Stantec will provide design services, including preparation of design drawings, specifications, OPCC, and permitting requirements. All submittals described herein will be provided in the form of a PDF digital copy (full-size). The design phases will include the following items: A. Draft Design Report (10 Percent Design Submittal) Key technical staff from the Stantec design team will attend a site visit to observe the existing conditions - Above -ground utilities, structures, adjacent property types, site access, and available space will be observed and documented for reference during the design development. Stantec will perform a desktop review of all available record drawings from the City and other local utilities. Our team will develop a Preliminary Design Report that identifies alternative layouts and potential risks based on the site visit, criteria and constraints identified by the planning study, and the results of the desktop review of record drawings. The Preliminary Design Report will be submitted to the City for review to identify the preferred design alternative(s). + Survey and Base Map Preparation: Monuments will be observed to retrace the extents of any easements and the centerlines and right of ways of nearby streets within the project limits. Of particular importance to the Well 26 site is the verification of any easements associated with the railway located behind the property. The results will be incorporated into a base -map illustrating existing right-of-way conditions. Available agency research, prior surveys, and assessor parcel maps will be used to prepare the base map. Current aerial topography and existing planimetrics data will be obtained for the sites- The photography will be flown for use at a scale of 1" = 20', with contours at 1-foot intervals. Spot elevations and existing site features identifiable from photography will also be compiled. Geotechnical Services: Our subconsultant, Leighton, will conduct a detailed review of geotechnical reports and publications relevant to the project site(s) that are available in their in-house library and the public domain, using as much available subsurface information as possible to reduce time and effort in the geotechnical field exploration. Areas where subsurface data are lacking, additional field exploration and laboratory testing will be conducted. Once additional work is approved, encroachment permits, where necessary, and utility clearance will be obtained. The field exploration may include borings, cone penetration testing soundings, test pits, and geophysical survey, depending on the subsurface soil and groundwater conditions, proposed project, and site access and conditions. Representative soil samples will be collected at selected depths from the borings and/or test pits and transported to the laboratory for testing. Geotechnical analyses will be performed in accordance with the most recent codes and procedures required by local, state, and federal agencies - Analyses will include evaluation and mitigation of seismic hazards (e.g. strong seismic shaking from an earthquake, earthquake -induced landslides, and liquefaction), geologic hazards (e.g., soft soils, shallow groundwater, and slope instability), and corrosion potential of concrete and metal in contact with soils. Recommendations for seismic design parameters, foundation design, lateral earth pressures and frictional resistance for retaining wall design, pavement structural sections, and earthwork will be developed as needed. The findings and recommendations will be presented in a formal report that will be signed and stamped by a California -licensed geotechnical engineer. Leighton can also provide geotechnical observation and testing during construction for quality control/assurance purposes. + Utility Research: Stantec will search existing utilities in the area and along proposed street alignments if conveyance is required. We will prepare a utility contact spreadsheet listing potential utilities and log information requests and when data has been received. A utility plan will denote existing above and below ground utilities to help determine on -site utility City Council 19 - 131 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 is B. Final Design Report (30 Percent Design Submittal) The Stantec team will review and respond to the City's comments and feedback on the Preliminary Design Report and incorporate feedback into the Final Design Report. The report will include further development of preferred alternative(s), preliminary hydraulic analysis, preliminary electrical system analysis, preliminary control system analysis, and identification of necessary permitting requirements . At this time, Stantec will prepare 30 percent design documents consisting of 30 percent drawings, a list of anticipated technical specification sections, a Class 3 OPCC, and an updated design schedule. A discussion of any prepurchase items will also be documented. The Final Design Report will be submitted to the City for review and comment. C. 60 Percent Design Submittal After the Final Design Report approval, Stantec will incorporate any City comments into the 60 percent design documents. These drawings will generally include final site plans, yard piping plan and profiles, general structural details, structural sections, equipment lists, mechanical plans and sections, general electrical details, electrical single lines and equipment elevations, cable and conduit schedules, control schematics, general instrumentation details, and P&IDs- The 60 percent specification package will include draft versions of the technical specification sections. A Class 2 OPCC will be prepared for the 60 percent design package. The project schedule will be updated with current design deliverable dates, anticipated biding phase dates, the estimated construction duration, and the estimated system start-up date. Prepurchase items will have necessary plans and specifications prepared for bidding and early procurement. D. 90 Percent Design Submittal Upon 60 percent design approval, Stantec will incorporate any City comments into the 90 percent design documents A complete set of detailed design drawings and finalized technical specification sections will be provided. The technical specification will include a Startup and Commissioning section which identifies the goals, systems, and commissioning process. The City's standard bidding/contract provisions, general provisions, and or special provisions (City's front-end documents) will be prepared in draft form updated versions of the Class 2 OPCC and the project schedule will be prepared. E. Final Design (100 Percent Design Submittal) After 90 percent design approval, Stantec will incorporate any City comments into the final design documents for bidding. Final design drawings will include general sheets, demolition plans and details, and detailed civil, structural, mechanical, electrical, and instrumentation sheets. Landscaping designs can also be provided if necessary. Drawings will be developed showing plan, profile, section, and detail views for each discipline. Drawings will be prepared in AutoCAD 2017 version. Originals will be prepared in 24" x 36" format. Electronic plans will be in .dwg format. A typical drawing list is included below. General 1 G-1 Title Sheet 2 G-2 Location & Vicinity Maps & Drawing Index 3 G-3 Symbols 4 G-4 Abbreviations 5 G-5 Hydraulic Profile and Process Flow Diagram Demo 6 D-1 Demolition Plan Civil 7 C-1 Civil General Notes 8 C-2 Existing Site Plan 9 C-3 Paving And Grading Plan 10 C-4 Yard Piping Plan 11 C-5 Raw Water Plan and Profile 12 C-6 Filtered Water Plan and Profile 13 C-7 Treated Water Plan and Profile 14 C-8 Drain and Flush Water Plan and Profile 15 C-9 Civil Details Structural 16 S-1 General Structural Notes 17 S-2 Special Inspection Notes 1 18 S-3 Special Inspection Notes 2 19 S-4 Standard Details 1 20 S-5 Standard Details 2 21 S-6 Foundation Plans 22 S-7 Foundation Sections 23 S-8 Structural Details 1 24 S-9 Structural Details 2 Mechanical 25 M-1 Mechanical General Notes & Abbreviations 26 M-2 Mechanical Schedulesl 27 M-3 Mechanical Schedules 2 28 M-4 Mechanical Site Plan 29 M-5 Enlarged Plans and Sections 1 30 M-6 Enlarged Plans and Sections 2 31 M-7 Mechanical Details 1 32 M-8 Mechanical Details 2 Electrical 33 E-1 General Electrical Notes & Abbreviations 34 E-2 General Electrical Symbols 35 E-3 Standard Details 36 E-4 Site Plan 37 E-5 Power, Lighting & Grounding Plan 38 E-6 Single Line Diagram 39 E-7 Conduit Schedule City Council 19 — 132 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 16 40 E-8 Booster Pump Control Schematic 41 E-9 Fixture and Panel Schedule Instrumentation 42 1-1 General Notes & Abbreviations 43 1-2 Instrumentation Legend 44 1-3 Installation Details 1 45 1-4 Installation Details 2 46 1-5 Installation Details 3 47 1-6 Installation Details 4 48 1-7 Network Block Diagram 49 1-8 PLC Panel Layout 50 1-9 Well P&ID 51 1-10 Ion Exchange System P&ID 1 52 1-11 Ion Exchange System P&ID 2 53 1-12 Chemical System P&ID 54 1-13 Emeraencv Generator P&ID The final specification package will include complete City front-end documents, technical specification sections, and appendices. Final specifications will be provided in a compiled PDF document with relevant sections bookmarked. Final updated versions of the Class 2 OPCC and project schedule will be provided. Bid Phase Stantec will provide technical support during the bid phase. We will attend a pre -bid job walk and pre -bid meeting with prospective contractors. During the bid period we will address bidder's questions and RFI and prepare up to two project addenda. We assume 20 hours will be needed to address contractor questions during the bid period. If requested, Stantec can assist with contractor prequalification, and with providing documents on the PlanetBids Portal. Construction Phases During construction we will respond to RFI or clarifications, review shop drawing submittals, review requests for construction change orders, and assist with final inspection of the work. A final set of as -built drawings derived from the contractor's red line drawings will also be prepared. The following quantities are assumed for the Engineering Services During Construction based on recent similar projects: + Up to 15 contractor RFIs will be reviewed and responses prepared + Up to 100 shop drawing submittals and resubmittals will be reviewed + Up to 5 construction change orders will be reviewed + Up to 10 meetings will be attended as needed in the field to address design questions and conduct structural inspections + Two final irec�e+a s + One punch list will be generated from the final inspection D. CODE COMPLIANCE All materials and workmanship shall be in strict conformity with federal, state and local codes, requirements, standards of the latest editions, and guidelines, including revisions of the following: + California Building Code (CBC) + American National Standards Institute (ANSI) + American Society of Testing and Materials (ASTM) + Department of Transportation (DOT) + California State Water Resources Control Board + Department of Drinking Water (DDW) + South Coast Air Quality Management District (SCAQMD) + Environmental Protection Agency (EPA) + Occupational Safety and Health Administration (OSHA) E. PROJECT MANAGEMENT AND COORDINATION When a request for service is issued to the City, we will issue a fee estimate to the City's designated Project Manager. Stantec will not proceed with any work without the approval of the City's designated Project Manager in the form of a NTP. We will invoice the City on a monthly basis for all work performed during the period or provide a one-time invoice at the completion of work issued. Each invoice shall be accompanied by a summary of tasks performed, contract agreement number, results and progress on long-term tasks if any. 3D renderings from Stantec's ongoing projects with OCWD on City of Santa Ana infrastructure helps stakeholders visualize the final treatment facility. Our team has worked closely with you to define technical treatment elements, as well as architectural and City Council 19 — 133 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 17 SUGGESTIONS OR SPECIAL CONCERNS THE CITY SHOULD BE AWARE OF F. VALUE ADDED RELATED SERVICES In addition to the above scope items, Stantec proposes the City consider the following additional related services. These value added services are not included in our fee schedule, upon request we will provide an additional fee schedule for any items the City decides to include. 1. 3D Renderings Stantec can prepare three-dimensional renderings of up to ten views of the PFAS treatment system design for a given site for use in City presentations or public stakeholder meetings to illustrate the visual look and feel of the new facilities. 2. DDW Permit Assistance Amended Permit Assistance: In close coordination and with information and input from the City for specific topics, we can prepare an engineering report for DDW permit amendment for the planned system modifications to be submitted by the City. This review will evaluate the system background and recent analytical history, purpose, and reason for system changes, proposed treatment equipment additions, chemical additions, conveyance changes, and anticipated operational changes. Stantec will respond to and incorporate one round of DDW comments and attend two meetings with DDW. Operations Maintenance and Monitoring Plan (OMMP): Stantec can prepare an updated OMMP in coordination with the City for the new treatment system, which is required by DDW to obtain the amended permit. Stantec will prepare a draft version of the OMMP for submission by the City to DDW, and Stantec will respond to and incorporate one round of DDW comments and attend two meetings with DDW. 3. Electrical Equipment Replacement As encountered during the OCWD on -call contract, many of the City's existing well sites are powered by aged electrical equipment that may be either undersized for the new electrical demands, or past its useful service life. As seen in the Well 26 record drawings provided with the RFP, the existing Motor Control Center (MCC) is more than 50 years old. While this MCC appears to have adequate capacity for the addition of a booster pump, it would likely prohibit the addition of at least one of the 125 horsepower future pumps. It is our experience that the City generally prefers to upgrade this older equipment. As such, Stantec can replace the Well 26 MCC with new electrical equipment as part of the design. 4.Chemical System Upgrades It is unclear from the Well 26 record drawings what type of chemical disinfection systems are present and what their current state is. If the equipment is in need of replacement, then we can incorporate a similar system as provided at the City's Well 38. 5. Construction Inspection Services As is currently being provided for the construction of Well 40, Stantec can provide part-time construction inspection services and special inspection services (compaction results, concrete compressive strength testing, welding inspection, and structural observations). These services would relieve the time requirements for City staff during construction. 6. Prepurchase Procurement Package for IX System and Emergency Generator Stantec can prepare technical specifications to support the prepurchase of IX vessels and/or an emergency generator for a given site. This will be a single procurement package. The City will provide their standard purchase agreement, front ends, and request for proposal and Stantec will assist with compiling a complete and coordinated procurement packages for bidding. Stantec will answer technical questions during bidding and provide a technical evaluation of submitted bid proposals. City Council 19 — 134 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 E. Relevant Experience m E. RELEVANT EXPERIENCE., Project Name Description Client/Contact Reference/Status On -Call Consulting Services For PFAS Treatment Systems Design Santa Ana, California San Fernando Groundwater Treatment Los Angeles, California Graves Reservoir Replacement Project and Wellhead IX and GAC Treatment City of South Pasadena, California TCP Impact and Solutions • Ion exchange PFAS treatment process addition on exisitng wells • Provide site layout alternatives, evaluate site access and 0&M requirements, prepare 3D renderings for public outreach, and evaluate system hydraulics • Services provided include preliminary design, final design, bid phase support, engineering services during construction, and part time inspection services • Status: Currently under construction — Well 40; finishing final design —Well 38; predesign—Well 31; preliminary design — Wells 27 and 28 • Fast -track progressive design -build requiring coordination with permitting agencies and key resources • Two miles of 48" diameter supply pipe with capacity of 17,100GPM • Second WTP capacity of 34,300 GPM with separate process trains • Combination of sand separation, pre - filtration, chemical treatment advanced oxidation, and GAC filtration • Prepared a preliminary design report that identified existing conditions, deficiencies with the current facility, two alternatives for the pump station, design criteria, water quality analysis, process selection for nitrate and perchlorate removal, sizing of sodium hypochlorite generation equipment, site layout, and cost opinion • Prepared final GAC and IX treatment designs Orange County Water District Ben Smith, Director of Recharge and Wetland Operations 18700 Ward Street Fountain Valley, CA 92708 (714)378-3211 bsmith@ocwd.com Year Completed. Ongoing Los Angeles Department of Water and Power Regina Peng Project Manager 111 North Hope Street Los Angeles, CA 90012 (213) 367-4976 regina.peng@ladwp.com Year Completed. Ongoing City of South Pasadena Anteneh Tesf aye Water Operations Manager 1414 Mission Street South Pasadena, CA 91030 (626) 441-4024 atesfaye@southpasadenaca.gov Year Completed. 2020 West Valley Water District Van Jew Assistant General Manager 855 W Baseline Rd Rialto, CA 92376 (909) 875-1940 vjew@wvwd.org Study year Completed. 2021 opinion Rialto, California • Determined the most appropriate and cost- effective approach for treating 1,2,3 TCP from two District wells • Evaluated production logs, water quality data, site infrastructure, and onsite wellhead treatment vs. centralized treatment • Prepared conceptual level design for GAC treatment, integration into existing IX facility, hydraulics analysis, and cost City Council 19 — 136 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 19 Project Name Description Client/Contact Reference/Status • Pilot program to demonstrate ion exchange City of Cottage Grove (IX) as long-term treatment alternative Ryan Burfeind, City Engineer • Determine efficacy of PFAS removal using 12800 Ravine Pkwy south a combined treatment regime, specifically Cottage Grove, MN 55016 GAC followed by IX (651) 458-2899 • Provide economic comparisons rburfeind@cottagegrovemn.gov Provide high level performance costs PFAS Pilot Cottage Grove, Minnesota Analyzed PFAS contamination trends and develop strategy to treat Expedited design and installation of granular activated carbon groundwater treatment system PFAS in Groundwater Cottage Grove, Minnesota Year Completed. Ongoing MPCA Superfund Program Gary Krueger Supervisor East Metro PFAS Unit 520 Lafayette Road St. Paul, MN 55155 (651)757-2509 gary.krueger@state.mn.us Year Completed. 2017 • Feasibility Study to address PFOA/ US Air Force Civil Engineer PFAS substances with GAC treatment Center (AFCEC) recommended Tracy Kissler • On -time delivery even though EPA reduced Project Manager long-term health advisory in the middle of 1047120th Street Eielson Air Force Base Fairbanks, Alaska Feasibility Study for Treatment of Well Sites 43 & 47 for PFAS Removal Elk Grove, California design JBER, AK 99506 Provided construction management and (907) 552-9762 startup services tracy.kissler@us.af.mil Design and operation modified with no change to deadline year Completed. 2018 • PFAS treatment alternatives analysis with IX selected due to small footprint • Conceptual design for two wells, including IX vessels and site modifications • Cost estimating for construction, 0&M, and life -cycle costs Sacramento County Water Agency Dave Zuccaro Associate Civil Engineer 827 7th Street Room 301 Sacramento, CA 95814 (916) 875-6917 ZuccaroD@saccounty.gov Year Completed. 2022 City Council 19 — 137 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 F. Reference Forms T F. REFERENCE FORS CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS APPENDIX ATTACHMENT 3: PROPOSER'S 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: Orange County Water District Address: 18700 Ward Street Ben Smith, Director of Recharge Contact Individual: and Wetland Operations Phone Number: (714) 378-3211 Fountain Valley, CA 92708 Email: bsmith@ocwd.com Contract Amount: $277 million Year: Ongoing Description of supplies, equipment, or services provided: Preliminary design, final design, bid phase support, engineering services during construction, and part time Reference Los Angeles Department of Customer Name: Water and Power Address: 111 North Hope Street Los Angeles, CA 90012 Contract Amount: $260-$300 million nspection services Contact Individual: Regina Peng, Project Manager Phone Number: (213) 367-4976 Email: regina.peng@ladwp.com Year: Ongoing Description of supplies, equipment, or services provided: Fast -track progressive design -build requiring coordination with permitting agencies and key resources; two miles of '48" diameter supply pipe with capacity of 17,100 GPM; second WTP capacity of 34,300 GPM with separate process "trains; combination of sand separation, pre -filtration, chemical treatment advanced oxidation, and GAC filtration Reference Customer Name: City of South Pasadena Address: 1414 Mission Street 1 South Pasadena, CA 91030 Anteneh Tesf aye Contact Individual: Water Operations Manager Phone Number: (626) 441-4024 Email: atesfaye@southpasadenaca.gov Contract Amount: $12.2 million Year: 2020 Description of supplies, equipment, or services provided: Prepared: a preliminary design report that identified existing conditions, deficiencies with the current facility, two alternatives, design criteria, water quality analysis, process selection for nitrate and perchlorate removal, sizing of sodium by y a o e e_ e e ey City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 Reference Customer Name: West Valley Water District Address: 855 W Baseline Rd. Rialto, CA 92376 Contract Amount: $42,000 Van Jew, PE Contact Individual: Assistant General Manager Phone Number: (909) 875-1940 Email: vjew@wvwd.org Year: 2021 Description of supplies, equipment, or services provided: Determined approach for treating 1,2,3 TCP from two District wells; evaluated production logs, water quality data, site infrastructure, and onsite vs. centralized treatment; prepared conceptual level design for GAC treatment, integration into existing IX facility, hydraulics analysis, and cost opinion Reference Customer Name: City of Cottage Grove Address: 12800 Ravine Pkwy South Cottage Grove, MN 55016 Contract Amount: $650,000 Contact Individual: Ryan Burfeind, City Engineer Phone Number: (651) 458-2899 Email: rburfeind@cottagegrovemn.gov Year: Ongoing Description of supplies, equipment, or services provided: Pilot program to demonstrate ion exchange (IX) as long-term treatment alternative; dDetermine efficacy of PFAS removal using a combined treatment regime, specifically GAC followed by IX; provide economic comparisons; and provide high level performance costs Reference Customer Name: MPCA Superfund Program Address: 520 Lafayette Road St. Paul, MN 55155 Contract Amount: $2.2 million Contact Individual: Gary Krueger, Supervisor East Metro Unit, Remediation Division Phone Number: (651) 757-2509 Email: Year: Ongoing Description of supplies, equipment, or services provided: Analyze PFAS contamination trends and develop strategy to treat; and expedited design and installation of granular activated carbon groundwater treatment system City Council 19 — 140 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 Reference Customer Name: Eielson Air Force Base Address: 1047120th Street JBER, AK 99506 Contact Individual: Tracy Kissler, Project Manager Phone Number: (907) 552-9762 Email: tracy.kissler@us.af.mi Contract Amount: $415,089 Year: 2018 Description of supplies, equipment, or services provided: Text Feasibility study, construction management and startup services Reference Customer Name: Sacramento County Water Agency Address: 827 7th Street Room 301 Sacramento, CA 95814 Contact Individual: Dave Zuccaro, Associate Civil Engineer Phone Number: (916) 875-6917 Email: ZuccaroD@saccounty.gov Contract Amount: $65,000 Year: 2022 Description of supplies, equipment, or services provided: Text Conceptual design for two wells, cost estimating for construction, 0&M, and life -cycle costs City Council 19 — 141 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS 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 Signec State of County Subscribed and sworn to (or affirmed) before this day of , 20_, by proved to on the basis of satisfactory evidence to be the person(s) who appeared befo e is Signature Notary Public Seal City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems City Council 19 — 142 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 CALIFORNIA JURAT CERTIFICATE 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 Z S day of 0 C6>s 20 22 , by 'Iix Meh A C A Pk C&r� proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me. WITNESS MY HAND AND OFFICIAL SEAL. Signature THOMAS MOTS RLE� Y a a COMM. # 2363441 X to a S NOTARY PUBLIC-CALIFORNIA N ORANGE COUNTY N MY COMM. EXP, JUNE 30�20` OPTIONAL INFORMATION (Notary Seal) The jurat contained within this document is in accordance with California law. Any affidavit subscribed andsworn to before a notary shall use tire preceding wording or substantially similar wording pursuant to Civil Code sections 1189 and 8202. A jural certl/icale cannot be affixed to a document sent by mail or otherwise delivered to a notary public, including electronic means, whereby the signer did not personally appear before the notary public, even if the signer is known by the notary public. The seal and signature cannot be affixed to a document without the correct notarial wording. As an additional option an affiant canproduce an affdaviron the same document as the notarial certificate wording to eliminate the use ofadditional documentation. DESCRIPTION OF ATTACHED DOCUMENT CO :t,0-�dtMt;� (Title of document) Number of Pages _(Including j urat) Document Date (Additional Information) MMX V. BAN2 510.409.1334 www CAPACITY CLAIMED BY THE SIGNER Individual Corporate Officer -4 Partner Attorney -In -Pact Trustee Other: City Council 19 — 143 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 Appendices Certifications City Council 19 — 145 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS 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: 4, r Title: Project M ager/Principal Agent Firm: Stantec Consulting Services Inc. Date: November 15, 2022 City of Santa Ana RFP 22-133 City CouncilW7119,bubqyllSulvquu64/4/2023 city of Santa Ana I On -Call Engineering Design Services for HAS Treatment Systems RFP NO. 22 133 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS NON-DISCRIMINATION CERTIFICATION The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows: 1. The Consultant shall not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Consultant shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Consultant agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Consultant shall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Consultant's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 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. City of Santa Ana RFP 22-133 City Council 9 — 147 4/4/2023 City of Santa Ana All Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS 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 or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any consultant of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: Title: Project M ager/Principal Agent Firm: Stantec Consulting Services Inc. Date: November 15, 2022 City of Santa Ana RFP 22-133 City Council 0"-ed EllyilluuIqlly bubqyll Sul vquu6 W711T 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22 133 Resumes City Council 19 — 149 4/4/2023 AlJames Cathcart PE, F.ASCF Project Manager/Principal Agent 45 ea�erience Irvine, California Jim has 45 years of experience in water supply and development in California. He has been responsible for 14 well equipping and/or wellhead treatment design projects, as well as numerous pipeline and pump station designs. Jim has also conducted several groundwater treatment studies for wellhead water quality compliance. He specializes in the planning, design, and construction management of water, wastewater, and reclamation infrastructure; master planning; ground- and surface -water treatment; pumping and storage; and pipeline design. Jim has provided expert witness services for water system design and groundwater contamination issues. I =1 r1rL93 i [e7: MS, Civil Engineering, California State University at Long Beach, Long Beach, California BS, Civil Engineering, State University of New York at Buffalo, Buffalo, New York CERTIFICATIONS & TRAINING Fellow, American Society of Civil Engineers, Irvine, California REGISTRATIONS Professional Engineer#C31518, California Professional Engineer #CE014350, Nevada PROJECT EXPERIENCE On -Call Consulting Services for PFAS Treatment Systems Design I Orange County Water District Santa Ana, California I Project Manager Jim is leading a similar staff and subconsultant team for four wellhead treatment sites for the City of Santa Ana. Work includes preliminary design, final design, bid phase support, engineering services during construction, and part time inspection services. Sites include Well 40 currently in construction, Well 38 finishing final design, Well 31 in predesign, and Wells 27 and 28 in preliminary design. San Fernando Basin Groundwater Remediation I Los Angeles Department of Water & Power (LADWP) Los Angeles, California I QA/QC Jim conducted the independent QA/QC review for this progressive design -build project of two new groundwater treatment facilities of 38 MGD and 25 MGD. The project is part of a comprehensive, long- term plan being pursued by the LADWP to replenish and store contaminated groundwater at sites across the 175-square-mile San Fernando Basin. Suburban Water Systems I Bartolo Water Treatment Plant* I Whittier, California I Project Engineer/ Project Manager Jim conducted a water supply investigation and plan for Suburban Water Systems that was followed by the design of a 14-MGD groundwater treatment system for the USEPA as part of the San Gabriel Basin Superfund Cleanup program. Process trains included air stripping, vapor -phase Granular Activated Carbon (GAG) treatment and steam regeneration of the GAG for several groundwater contaminants including TCE, PCE, and CTC. The design also included a 14-MGD pump station. Perchlorate Treatment Plant Design -Build* I City of Pomona I Pomona, California I Design QC Manager Jim was the design QC manager for a high -capacity single -pass ion exchange (IX) plant at the City's AEP facility, along with new bypass and pumping facilities upstream and downstream of AEP treatment. The project included permitting; providing a bypass of the existing AEP systems for approximately 3.7 MGD consisting of booster pumps, bag filters and associated piping, connections, instrumentation and controls; and combining effluents from the new bypass and AEP systems and directing a total of 16.6 MGD to the new Perchlorate treatment plant, including booster pumps, associated piping, connections, instrumentation, monitoring and controls. Air Stripper/Nitrate Blending for Wells 7 and 8B* I City of Pomona I Pomona, California I Principal -in -Charge Jim assisted in the preliminary design report and conducted all design reviews for facilities, including a chloramination disinfection system housed in a chemical storage and feed pump building, wet well modifications, two existing low -lift booster pumps and space for a third pump, motor controls, instrumentation, SCADA system integration, and miscellaneous site piping. He also coordinated with the California DHS to bring the project on-line successfully. Baldwin Park Treatment System* I San Gabriel Basin Water Quality Authority I San Gabriel, California Project Manager Jim managed preparation of a remedial action plan, risk assessment, health and safety plan, Negative Declaration, and institutional/financial analysis for the City Council enotespmyecs4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 O San Gabriel Basin Water Quality Authority Project No 2. The project involved local wellhead treatment for VOC contamination in the San Gabriel Basin Superfund Site. Groundwater Treatment Plant Review* I City of South Gate I South Gate, California I Project Manager Jim managed a design peer review for two VOC groundwater treatment plants using spray aeration. One plant was a new 5-MG buried concrete reservoir, pump station, and chlorination facility. The second was a spray aeration system retrofit of an existing steel tank. Groundwater Treatment Plant* I Nuevo Water Company I Nuevo, California I Principal -in -Charge Jim was responsible for designing a groundwater production well treatment system for H2S contamination. The treatment system consisted of an air stripping tower and chemical feed systems for raising and lowering pH. Park Water Company I Treatment Alternatives Analysis*I Downey, California I Project Engineer As project engineer, Jim supervised a treatment alternatives analysis and preliminary capital and operations and maintenance cost analysis for removing radon from Park Water Company groundwater wells as part of a response to USEPA's proposed Radon Rule. Well 22B Treatment System* I City of South Gate South Gate, California I Project Manager Jim assisted the City in reviewing vendor plans for start-up and operation of Well 22B treatment system using ozone and UV light to remove volatile organic compounds from the well. His assistance included reviewing disinfection options, reviewing start-up and testing plans, and assisting with DHS permitting of the new treatment facility. City of Ontario I As -Needed Services* I Ontario, California I Project Manager Jim provided as -needed consulting services to the City, including water quality data review, DHS correspondence, surface water treatment plant upgrade evaluation, and reviewing nitrate blending plans for City wells. City of Monrovia I Groundwater Quality Study* Monrovia, California I Project Manager Jim managed a groundwater quality study and VOC treatment alternatives analysis for the City. The preliminary report reviewed air stripping, rote stripping, and GAC treatment processes. Cities of Manhattan Beach, Camarillo, and Fullerton Well Equipping Designs* I California I Project Engineer/Manager Jim designed potable water well pump systems for the Cities of Manhattan Beach, Camarillo, and Fullerton. US Navy I Well and Treatment System Design* I Port Hueneme, California I Project Engineer Jim designed an 1,100-foot-deep water well, which included drilling specifications for a 1,500-GPM- capacity well. Equipment design included a 100-HP motor, discharge piping, and chlorination system and expansion of an existing iron/manganese water filter plant. Wellfield Rehabilitation Study and Design* I City of Whittier I Whittier, California I Project Manager Jim led a study that involved a review of existing well casing, pump and motor condition for well depth, size of casing and screen, capacity, and type of driver. He evaluated pump tests and well inspection video surveys. The final report recommended a $1.3 million well field rehabilitation program. As a follow-on project, Jim managed design and construction assistance of drilling and equipping a 6.5-MGD well, building, and transmission piping for the City. Water Facilities Design* I City of Arcadia I Arcadia, California I Project Manager Jim managed the design and Negative Declaration preparation of the City's Live Oak Water Facilities. Work included drilling and equipping a well capable of pumping up to 4,000 GPM, moveable well house, chlorination facility, 0.3-MG reservoir, 9.5-MGD pump station, 24-inch transmission piping, and site improvements. He also provided construction supervision and assistance. Joint Defense Group I South Tahoe Public Utility District vs. Atlantic Richfield Company, et al* San Francisco, California I Expert Witness San Francisco County Superior Court Case No. 999128; Joint Defense Group Retained on behalf of Shell Oil Co.,Shell Oil Products Co, Exxon Corp., Texaco Inc., and Equilon Enterprises LLC. Attorney: McCutchen, Doyle, Brown and Enersen, LLP; Robert Elbe and Craig van Rooyen. Jim provided expert witness services and deposition testimony for a multi- million -dollar landmark litigation assessing the impacts of MTBE-contaminated groundwater to the municipal water system. He evaluated several methods to provide required water supply, in conjunction with reviewing a water supply master plan developed by the opposing expert. His scope of work included developing alternate supply sources, including treatment system evaluation, well supply adequacy assessment, distribution system efficiency assessment, and hydraulic modeling of the water system to substantiate findings and refute the opposing expert's findings. City COUDCI� enotespnrotectscompee of of r�s 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 I I 'J Tyler Hadacek PE Project Engineer: Planning Study—Treatment/Process Mechanical Nine�xperience Pasadena, California Tyler is a process engineer with nine years of experience in water, wastewater, and water reuse treatment; covering projects from master planning through conceptual design, final design, permitting, and construction support. He also has experience performing water quality studies and analysis, and stormwater monitoring. Currently Tyler serves as a project engineer on drinking water, stormwater, wastewater, water recycling, and water reuse studies, planning, and treatment design. His experience includes environmental remediation treatment of metals, hydrocarbons, and other trace contaminants —both conventional and advanced treatment plant design for water and wastewater, treatment plant rehabilitation and expansion, unit process retrofits, and wellhead treatment systems. He has been extensively involved in many recent integrated water resources and water reuse projects for planning and design of water treatment facilities to leverage available water resources for beneficial use of water utilities, stakeholders, and the environment. His work includes the Santa Monica Sustainable Water Infrastructure project that will utilize treatment of stormwater, wastewater, and groundwater to supplement imported water supplies for use in the environment as well as future potable water. Tyler has worked on treatment facilities that range from small well -head applications to full-scale 500 MGD plants. EDUCATION MS, Environmental Engineering, University of California at Los Angeles, Los Angeles, California BS, Civil and Environmental Engineering, University of California at Los Angeles, California REGISTRATIONS Registered Civil Engineer #84298, California PROJECT EXPERIENCE On -Call Consulting Services for PFAS Treatment Systems Design I OCWD I Santa Ana, California Process Mechanical Engineer Tyler is responsible for the process, hydraulics, and process -mechanical coordination for all wellhead treatment designs for PFAS with ion exchange. He has been involved in preliminary design, final design, bid phase support, and engineering services during construction. This ongoing assignment includes four distinct sites each with separate design and construction packages. The scope also includes hydraulic analysis of the wells and the City's reservoir and distribution system, design of booster pumps, and upgrades of their onsite hypochlorite generation and feed systems where applicable. One wellsite is in construction, and treatment for the other three sites are in design. San Fernando Basin Groundwater Remediation LADWP I Los Angeles, California I Project Engineer Tyler served as process engineer and design coordinator for the progressive design -build project of two new groundwater treatment facilities of 38 MGD and 25 MGD. He assisted with coordinating the process design for pretreatment solids removal, UV - AOP treatment with hydrogen peroxide, granular activated carbon (GAC) adsorption, and modifications to the choramination and flounce chemical feed systems. Tyler also oversaw the value engineering design proposals and evaluations on the project. Graves Reservoir and Wellhead Water Treatment Design I City of South Pasadena South Pasadena, California I Process Engineer Tyler was the process engineer for an 800-GPM wellhead treatment design to remove nitrate, perchlorate, carbon tetrachloride, and tetrachloroethylene from the groundwater to be used as a drinking water source. The design utilized GAC, nitrate -selective ion exchange, and on -site chlorine generation for treatment. The ion exchange treatment uses a bypass and blend arrangement to minimize the flow through the ion exchange reactors and reduce costs. It also incorporates on -site resin regeneration and brine minimization technologies to reduce costs of resin and brine disposal. Process screening and life -cycle cost evaluation were performed as part of preliminary design for the nitrate treatment process selection, resulting in brine -minimizing, ion exchange technologies. TCP Impact and Solutions Study I West Valley Water District (District) I Rialto, California I Project Engineer Tyler is responsible for this study which includes alternatives analysis, preliminary process design, hydraulics, water quality review, and construction cost estimation. The study evaluated two District wells with 1,2,3 TCP contamination, impacts to the District's water supply, and alternative solutions to bring the wells back online, including blending and treatment. City Council 19 — 152 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 Arsenic Wellhead Treatment Alternatives Analysis and Preliminary Design I Coachella Valley Water District I Palm Desert, California I Project Engineer Tyler led a two-step process of an alternatives analysis and subsequent preliminary design of a wellhead treatment system for a 1000-GPM well. This involved evaluating an existing ion exchange arsenic removal system and potential options to abandon, rehabilitate, or replace the treatment system. Tyler performed a thorough evaluation of water supply alternatives and process alternatives, including ion exchange and adsorption treatment. Arsenic Ion Exchange and Manganese Treatment System Evaluation Study I US Navy Bridgeport, California I Project Engineer Tyler evaluated an arsenic and a manganese drinking water treatment system in decentralized, remote locations treating contaminated groundwater. The project consisted of site investigations, data collection and analysis, treatment process evaluation, economic analysis, and recommendation of treatment system alternatives. As project engineer for the arsenic treatment evaluation, he developed preliminary design criteria for ion exchange and adsorption treatment systems. Tyler exercised sensitivity to existing conditions and client values, and applied a comprehensive technical knowledge of removal processes, as well as interdisciplinary design requirements to propose optimal solutions for the client. Remediation Alternatives Study and Work Plan Confidential Client I California I Process Engineer A large Superfund site in Southern California has multiple contaminated areas with several parties involved. Tyler analyzed the site water quality database and built queries and data analysis templates to estimate contaminant concentrations at different locations. He also worked on conceptual - level treatment system design calculations and cost estimates for extracted groundwater containing various toxic organics and heavy metals. The treatment system consisted of air stripping, ion exchange, UV/advanced oxidation process, and liquid and vapor phase carbon adsorption. This work helped define and evaluate alternatives for the client to address the groundwater contamination. Sustainable Water Infrastructure Project (SWIP) I City of Santa Monica I Santa Monica, California I Lead Process Engineer The City's SWIP is an integrated water resources initiative to improve water sustainability and drought resilience. It involved the addition of reverse osmosis to the existing Santa Monica Urban Runoff Recycling Facility to treat urban runoff and brackish/saline groundwater including PFAS contamination, construction of a new below -grade advanced water treatment facility for treating wastewater and stormwater through MBR—RO—UV/AOP, and a new below -grade stormwater harvesting tank. Tyler was the lead engineer for the conceptual design of all facilities. He worked closely with the state and regional regulatory agencies for permitting of future facilities. Tyler and the team are supporting the City of Santa Monica through a progressive design build delivery process, providing technical design review and advise as the City's Owner's Engineer. Pure Water San Diego Program I Public Utilities Department I San Diego, California I Lead Process - Mechanical Engineer/Lead Project Engineer Tyler was a process engineer for the 10 and 30 percent designs for the North City Pure Water Facility that is part of the San Diego Pure Water program. The project will supply water for potable reuse to an existing surface water reservoir. He is working with the team on all treatment processes and facility layouts and is the lead process -mechanical engineer for the microfiltration/ultrafiltration (MF/UF), BAC, and ozone systems for the pre -design of a 40-MGD facility. He is intimately familiar with process performance considerations and the detailed design issues surrounding these systems. He is performing the process and design calculations, designing the layout of the facilities and piping, developing control strategies, and coordinating work of other disciplines. He is the lead project engineer for development of the pre -selection documents for the MF/UF system. 1,2,3-TCP Planning Study I Chino Desalter Authority Ontario, California I Process QA/QC Reviewer Tyler was a quality control technical reviewer for this study that evaluated options for treating for 1,2,3-TCP from various contaminated wells. The team developed process models for adsorption and air stripping, along with system -level flow and mass balance calculations and cost estimates. Tyler reviewed the process calculations and complete report. Advanced Water Treatment Plant —Full Scale Boron IX Feasibility Study I Metropolitan Water District I Southern California I Lead Process Engineer Tyler was involved in supplemental studies for boron removal using ion exchange. He is the lead process engineer developing the treatment system design and cost estimate to remove Boron from the advanced treated water. City Council 19 — 153 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 Cole Warrick PE Project Engineer: Design -Bid -Construction and Engineering Services During Construction Fiveyears of ex erience Irvine, California Cole is a Professional Engineer with five years of progressive experience in preparing project specific specifications, drawings, cost estimates, and permitting for civil, mechanical, electrical, and instrumentation disciplines in municipal water and wastewater improvement projects. He is well -versed in project management and prepares design services proposals, fee adjustment requests, and monthly billing progress reports. EDUCATION BS, Civil Engineering, California State Polytechnic University, Pomona, California REGISTRATIONS Professional Engineer#C93488, California PROJECT EXPERIENCE On -call PFAS Treatment System Designs OCWD I Santa Ana, California I Project Civil Engineer The On -Call PFAS Treatment System Designs consists of the preliminary design, final design, and construction phase support services for wellhead ion exchange treatment facilities at four City of Santa Ana well locations. As the project civil engineer, Cale has been responsible for the preliminary and final design of welded steel yard piping, ductile iron potable water laterals, site grading and paving, and equipment layouts. His duties include distributing and delegating tasks; tracking overall project status; development of preliminary design reports; calculating various design parameters; the preparation of final design drawings; preparation of project technical specifications; preparation of the opinion of probable construction cost; providing bid support services; and reviewing and responding to construction submittals and RFIs. High Desert Water Bank (HDWB) I Antelope Valley East Kern Water Agency I Antelope Valley, California Project Coordinator/Project Engineer The High Desert Water Bank project consists of the preliminary, final design, and construction of approximately 900 acres of flood protected and unprotected water recharge basins; five miles of conveyance piping ranging from 96-inches to 12- inches in diameter; a 250 cubic feet per second capacity turnout/turn-in facility on the East Branch of the California Aqueduct; and a well field consisting of 27 groundwater recovery wells. As the project coordinator, Cole is responsible for facilitating communications between various disciplines and departments within Stantec, Stantec's subconsultant's, and the Antelope Valley -East Kern Water Agency. His duties include tracking project and task schedules; documenting project decisions and action items; documenting project meetings; packaging deliverables; distributing and delegating tasks; and tracking overall project status. As a project engineer, Cole is responsible for the development of multiple preliminary design reports; calculating various design parameters; preparation of final design drawings; preparation of project technical specifications; preparation of the opinion of probable construction cost; providing bid support services; and reviewing and responding to construction submittals and RFIs. Lake Forest Zone B to C Recycled Water Pump Station I Irvine Ranch Water District I Irvine, California Project Engineer Cole prepared the construction drawings and assisted in the preparation of technical specifications for the destruction of Well No. 5 to make room for the Lake Forest Zone B to C Recycled Water Pump Station. Cole also gathered record drawings and utility information, calculated the system curve, selected pumps for alternative pumping scenarios, designed the preliminary building mechanical layout, designed the preliminary site layout, and wrote the Draft Preliminary Design Report. The pump station converts Zone C from an open system floating on the Upper Oso Reservoir to a close loop system. The flow range of the pump station is 0 to 1,700 GPM. Estimated construction cost is $4.5 million. Water Reclamation Plant 7 PLC Replacements' Coachella Valley Water District I Indio, California I Associate Engineer Cole designed nine field PLCs, the Master PLC, 2 LCPs, and the redundant Fiber Optic network. He also performed field investigations, updated piping and instrumentation diagrams with as -built information, reviewed submittals and RFIs, and managed client correspondence. He performed HVAC unit sizing for all outdoor individual programmable logic controllers (PLCs) enclosures, UPS unit sizing for all PLCs, and control circuit raceway sizing. Treatment processes at the District's Plant 7 are controlled by individual PLCs. The existing PLCs were outdated and were inadequately documented. The project replaced this equipment and performed an extensive field investigation to document the existing conditions prior to construction. The scope of work included assessing the control system, identifying the existing as -built conditions, enotespmecscompee }v of e� s City Council 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 I A-11 identifying exactly what input/output was terminated in each PLC and where all the wiring within each PLC cabinet originated from and terminated at, as well as assessing the existing fiber optic network to determine the necessary steps to connect all the new PLCs to the fiber optic network through ethernet. The estimated construction cost for the project is $2.6 million. Regional Treatment Plant Miscellaneous Improvements 2017 Final Design* I South Orange County Wastewater Authority I Laguna Niguel, California I Associate Engineer Cole produced specifications and drawings for the replacement of Dissolved Air Flotation pressurization piping and equipment, polymer mixing and metering equipment, progressive cavity scums pumps, primary scum collection troughs and skimmers, Primary Gallery ventilation equipment and ducting, instrumentation upgrades, and electrical upgrades. He performed preliminary pump sizing and selection for centrifugal DAF pressurization pumps, preliminary pump sizing and selection of primary scum pumps, static pressure calculations for supply and exhaust ventilation, as well as evaluated the classification of the Primary Pump Gallery per the NFPA 820. Built in 1982, the Plant had identified this equipment as needing replacement and/or improvements. The estimated construction cost for the Plant's miscellaneous improvements was $3 million. 42-Inch Phase 4 & 5 Magic Mountain Pipeline Extension* I Santa Clarita Valley Water Agency Santa Clarita, California I Project Engineer Cole designed 5,500 linear feet of 42" potable water main, the isolation valve vaults mechanical layout, client correspondence, DDW crossings exception permit applications, specification preparation, drawing preparation, and construction cost estimates for this project. He performed calculations to determine the minimum steel cylinder thickness requirements, blow - off requirements, and air -vac requirements. The scope of this project included design services for the 42-inch potable water main, isolation valve vaults, vault electrical and instrumentation, a 24" and 30" lateral for future emergency connections, and cathodic test stations. The pipeline extension consisted of approximately 5,500 linear feet of 42" welded steel pipe CML&C, 200 linear feet of 24" welded steel pipe CML&C, 200 linear feet of 30" welded steel pipe CML&C, two 18 feet deep cast -in - place 20 feet by 11 feet concrete isolation valve vaults, one 18 feet deep 20 foot by 20 foot isolation valve vault, one precast isolation valve vault, and 60 utility crossings along Magic Mountain Parkway. The total construction cost for the pipeline extension was $6 million. Peck Reservoir Roof Seismic Evaluation and Replacement* I City of Huntington Beach Huntington Beach, California I Associate Engineer Cole generated construction cost estimates for three roofing alternatives, performing a net present value analysis of each alternative over an 80-year life cycle, organizing the calculations and analyses of the structural team, and writing the technical memorandum. Wastewater Pumping Plant Emergency Generator Replacement Project I Wastewater Collection Engineering Division, Bureau of Engineering, City of Los Angeles I Los Angeles, California I Associate Engineer Cole prepared submittals and RFIs for the replacement of 10 emergency generators and automatic transfer switches (ATS) at eight pumping plants (PP624, 632, 638, 648, 654, 616, and North & West Yards). The generator size varies from 100 to 800 kW. The Ballona Creek Pumping Plant (PP654) is equipped with two 800 kW generators. Total estimated construction cost is $5 million. PP654 has two skid -mounted generators inside the building which will be replaced with associated cabling interface, ATSs, load banks, batteries, and fuel systems. The PP654 cooling system is on the building roof that must be removed after disassembly and the new generators components placed. Treatment Plant Switchgear Replacement Project Delta Diablo I Antioch, California I Associate Engineer Cole sized the new rooftop HVAC unit and produced related design documents. He performed cooling load calculations for the main switchgear room and coordinated with our structural department to make structural accommodations for the additional roof loads. City Council enotespnrotectscompee of e� �s 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 James Borchardt PE Technical Review 44 yearserience - Pasadena, California James (Jim) has 44 years of experience in project management and engineering for large water treatment, conveyance, and storage facilities. He is an award -winning water treatment specialist, as well as a contributing author of the industry textbook, Water Treatment Principles and Design, 3rd Edition; used to teach water treatment in universities across the country. He has managed over 250 treatment projects with a total construction value of over $3 billion. He has also completed water quality studies, bench and pilot scale testing, facility planning and design, process evaluation, hydraulic analysis, treatment plant design, construction management, startup and operation for over 125 water treatment facilities ranging in size from 0.5 to 750 MGD. Jim has been directly responsible for the completion of more than two dozen water treatment plant projects in Southern California in the last 10 years, including both new plants and plant modifications. EDUCATION MS, Environmental Engineering, University of North Carolina, Chapel Hill, North Carolina BS, Civil Engineering, Colorado State University, Fort Collins, Colorado REGISTRATIONS Registered Civil Engineer #35819, California PROJECT EXPERIENCE On -Call Consulting Services for PFAS Treatment Systems Design I OCWD I Santa Ana, California I Technical Review Jim is working in the technical review capacity with a similar staff and subconsultant team on this project for OCWD. His work includes third -party review of preliminary design, final design, bid phase support, engineering services during construction, and part time inspection services. This ongoing assignment is currently in construction. TCP and Nitrate Removal Feasibility Study I Monte Vista Water District I Claremont, California I Project Manager Jim served as project manager for this District -wide investigation of TCP and Nitrate removal. Due to the complex distribution of groundwater contaminants, the study required the evaluation of how best to group and locate treatment, while minimizing new piping and fitting facilities into available space on restricted sites. Both ion exchange and biological treatment were evaluated for nitrate removal, while TCP removal was accomplished using granular activated carbon (GAC) adsorption. The study included preparation of a multi -phase approach to address current and future treatment needs. Round Mountain Treatment Plant I Camrosa Water District I Camarillo, California I Project Manager Jim led the design and construction of this 900-GPM brackish water reverse osmosis (RO) plant. The new treatment plant utilizes local groundwater sources to reduce dependency on imported potable water. The design included pretreatment for removal of high levels of iron in the source water. Concentrate from the membrane system is discharged into the nearby regional salinity management pipeline. Jim managed the membrane system preliminary design, final design, and engineering services during construction. Sustainable Water Infrastructure Project (SWIP) I City of Santa Monica (City) I Santa Monica, California Project Manager Jim managed the planning and conceptual design of the SWIP project and is now leading Stantec's team as Owner's Engineer on this progressive design -build project. SWIP was created to help the City achieve its long-term goal of water sustainability and drought resilience by using all its local water resources, including stormwater runoff, recycled municipal wastewater, and brackish groundwater. The SWIP combines each of these sources to produce approximately 1,680 AFY of advanced treated water for City use in lieu of imported water supply. The SWIP will produce water of advanced treated quality that when properly permitted, will be acceptable for potable reuse via replenishment of the City's natural groundwater aquifers. Until final permits are obtained, the SWIP water will be used to meet existing recycled water demands, such as irrigation, street cleaning, and toilet flushing. City Council 19 — 156 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 Graves Reservoir I City of South Pasadena I Chino Desalter Authority I TCP Removal Study South Pasadena, California I Project Manager Ontario, California I Technical Advisor Jim led the design of ion exchange and GAC filters to address nitrate, PCE, TCE, and Carbon Tetrachloride contamination in the groundwater from the on -site well. The scope of work also included demolition of the existing concrete reservoir and replacement with a new 1-MG reinforced concrete reservoir with current seismic design standards. Archibald South Plume TCE Removal Study I Chino Basin Desalter Authority I Ontario, California I Project Manager Jim managed the investigation of TCE removal at the Chino II Desalter Facility. The proposed project utilizes new wells to intercept TCE in the Archibald Plume, modify the transmission piping to isolate the TCE from the remaining well water, and provide treatment using the Chino II reverse osmosis membranes and decarbonation facilities to achieve TCE removal. The work identified costs and other potential issues associated with the proposal and compared the proposed solution to other wellhead treatment alternatives for TCE. Sunrise Douglas/Sun Ridge Water Supply Facilities (Phase 1 and 2) 1 Sacramento County Water Agency Sacramento, California I Technical Advisor Jim provided technical direction for a 4-MGD iron, manganese, and arsenic groundwater treatment facility with expansion capacity to 10 MGD, three off -site groundwater wells, and approximately seven miles of 30-inch-diameter raw water transmission line. A fast -track approach was used for initial facilities, followed by build -out at the treatment facility, which included additional pressure filters, treated water and reclaim backwash water pumps, chemical feed system modifications, two groundwater wells, and associated piping, electrical, and controls. Advanced Water Treatment Demonstration Facility Metropolitan Water District of Southern California I Los Angeles, California I Project Manager Jim served as project manager for the 0.5 MGD Advanced Water Treatment Demonstration Facility, proposed as a partnership between the Metropolitan Water District of Southern California and the Los Angeles County Sanitation Districts. The Facility will provide biological NdN treatment with MBR, followed by traditional RO-UV/AOP treatment on secondary effluent from the 400-MG Joint Water Pollution Control Plant, to investigate treatment needs for indirect potable reuse. The goal of the project is to obtain DDW approval for log removal credits for MBR. In related studies, full-scale facilities of up to 340 MGD have been modeled and cost estimates prepared to support the Regional Recycled Water Supply project. Jim led the investigation of TCP removal at the Chino I Desalter Facility. The proposed project included evaluation of water quality and operation of the wellfield and included proposed new wells to intercept the TCP plume. Treatment included GAC adsorption in conjunction with existing decarbonation systems. The work demonstrated technical feasibility of the proposed solution and identified costs and other implementation issues. Ocean Water Desalination Demonstration West Basin Municipal Water District Redondo Beach, California I Design Manager Jim managed the preliminary and detailed design of this 0.5-MGD ocean water desalination plant, built to demonstrate and evaluate technologies, processes, materials, sustainable operation, water quality monitoring, and impacts on the environment. This facility allowed the district to expand the information provided through the previous pilot study program and helped establish potential full-scale design parameters to be used as the basis for parametric economic studies to allow reliable prediction of cost of seawater desalination with membrane pre-treatment and reverse osmosis. Water Treatment Plant Expansion and Disinfection - By -Product Control I Antelope Valley East Kern Water Agency I Antelope Valley, California Project Manager Jim led the planning and pilot studies, through detailed design services, construction support, and start-up for the expansion and upgrade of four WTPs. The plants ranged in size from 4 to 90 MGD. The four treatment plants (Quartz Hill, Eastside, Acton, and Rosamond) were upgraded to include intermediate ozonation, deep -bed GAC filtration, and chloramines. The work required coordination of three main contractors and more than a dozen equipment suppliers. The emphasis on schedule control was critical to allow coordinated conversion of the distribution system residual. Standby disinfection was also supplied with the addition of chlorine contact basins. In addition, the largest treatment plant was expanded to 90 MGD with the addition of plate settler modules and new sludge removal mechanisms. Jim also offered final start-up and commissioning services. City Council 19 — 157 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 Ken Martins PE, AAEES Certified Technical Review 40 yearserience Reno, Nevada With more than 40 years of specializing in water treatment, Ken's experience includes activated carbon and media filters, air stripper systems, demineralizers and other selective ion exchange systems, reverse osmosis and ultrafiltration systems, advanced oxidation processes, evaporator and crystallizer systems, biological treatment systems, and systems treating radionuclides bearing waters. His extensive process design experience in industrial raw water and groundwater remediation treatment systems includes treatment of difficult contaminants such as perchlorate, MtBE, 1,4-Dioxane, PFAS and chromate. Ken has worked on dozens of large-scale projects utilizing granular activated carbon (GAC) and selective ion exchange, the primary technologies utilized for PFAS treatment. EDUCATION BS, Chemical Engineering, California Polytechnic, Pomona, California REGISTRATIONS Professional Engineer#CH 4876, California PROJECT EXPERIENCE Well No. 38 PFAS Groundwater Treatment System Orange County Water District/City of Santa Ana Santa Ana, California I Technical Reviewer Ken is providing ongoing senior process leadership and quality control and review for the ion exchange process for the City's Well No. 38 groundwater treatment system for PFAS (PFOA, PFOS, PFHxS, PFHxA, PFBS). This project will treat more than 2 mgd using cartridge prefiltration and four 12-ft diameter ion change columns and is currently in its initial stages of execution. On -Call Consulting Services for PFAS Treatment Systems Design I Orange County Water District (OCWD) I Santa Ana, California I Technical Review Ken is working in the technical review capacity with a similar staff and subconsultant team on this project for OCWD. His work includes third -party review of preliminary design, final design, bid phase support, engineering services during construction, and part time inspection services. This ongoing assignment is currently in construction. Public Water Treatment* I EPA Superfund Site Glendale, California I EPA Site Manager As site manager, Ken supported EPA at the facility for approximately 10 years. The Glendale site is designed to treat about 5,000 GPM of VOC- contaminated groundwater and includes air stripping followed by liquid phase granular activated carbon (LGAC) to remove VOCs. Ken provided detailed inspection of the system and recommended numerous equipment modifications. The Glendale groundwater also contains hexavalent chromium, which is not effectively treated by the air stripper or the LGAC system. Ken continued to support EPA in reviewing and developing technologies to remove hexavalent chromium including precipitation technologies, chemical reduction technologies, and IX technologies. During Ken's tenure, he has provided EPA technical oversight for the selection, design and construction of two demonstration -scale facilities. One facility uses reduction, coagulation, and filtration (RCF) for Cr(VI) removal for an extraction well from the North OU. The other facility will use a weak based anion (WBA) ion exchange resin for Cr(VI) removal for an extraction well from the South OU. These facilities are designed for flow rates of 100 GPM and 425 GPM, respectively. Fire Training Facility I Los Angeles International Airport (LAX) I Los Angeles, California I Project Manager Ken managed the process design of a wastewater handling and treatment facility for the LAX fire training facility. The wastewater produced from the fire training facility included percent levels of Jet A fuel and up to 6,000 RPM of a surfactant material called Aqueous Film Forming Foam (AFFF), a common type of PolyFlouroAlkyl Substances (PFAS). For treatment, wastewater was decanted from the rock pit surrounding the 2/3rds scale Boeing 727 to a treatment system. The treatment system included a facility fuel/water coalescing separator to remove bulk Jet A followed by filtration and adsorption by GAC to remove trace levels of Jet A and AFFF. Ken developed the treatment process, specified the treatment equipment, monitored the construction, prepared the O&M manuals, and supported start-up and training of the fire fighters in the specialized waste handling operations. City COUDCI� *denotes pmjectscompee }v of e� s 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 AFCEE Wurtsmith P&T Risk Mitigation Study The Wurtsmith Air Base I losco, Michigan Technical Review The Wurtsmith Air Base in losco County, Michigan had two overlapping plumes, one of hydrocarbons and one of PFAS materials. Ken evaluated approaches to improve GAC bed life for the groundwater pump and treat system, treating a plume of combined VOC and PFAs. He also supported the study of PFAS from the groundwater. The plume was complicated by anaerobic conditions resulting from the hydrocarbon plume, causing liberation of soluble iron (ferrous iron) that was fouling the GAC bed leading to premature breakthrough. 200 West Pump and Treat* I Hanford Nuclear Site Hanford, Washington I Technical Review Ken was involved in the treatment of redionuclides, VOCs, including carbon tetrachloride, hexavalent chromium, and nitrate. He designed the "Centralized Treatment System" for the 200-ZP-1 area, which is the largest treatment system in Hanford. The treatment system will treat up to 3,750-GPM of contaminated groundwater for the removal of uranium, tecnitium-99, iodine-129, carbon tetrachloride, TCE, chloroform and other minor VOCs, and nitrate. The treatment system also utilized a combination of varied technologies including ion exchange, biological treatment with fluidized bed and membrane biological reactors, and air stripping with off gas carbon adsorption. The design team and the Department of Energy won distinguished awards for the advanced features and multimedia approach to treatment needs. Brackish Water Recovery Cation and Anion Ion Exchange I Green Meadows Water Treatment Plant (WTP) I Brine Regeneration` I Technical Expert To expand and improve the existing facilities at the Green Meadows Water Treatment Plant (WTP), Lee County Utilities' evaluation confirmed the need to design the source water facilities using Upper Floridan Aquifier (UFA) well water and selected a new reverse osmosis (RO) process for the expanded facility. Ion exchange (IX) was selected to treat the surficial aquifer water in lieu of the existing lime softening treatment because local high salinity groundwater is used to IX regeneration. The proposed facility has a firm finished water capacity of 14 MGD with maximum treatment capacity of 16 MGD. Ken provided the ion exchange expertise for the detailed design of both IX systems, guiding junior and mid -level engineers through the drawings and narrative specifications preparation. Brine regenerated cation IX columns were provided for hardness and iron removal and anion IX columns were provided for sulfate and organics removal. Confidential Mine* I California I Technical Expert Ken provided water treatment and reuse expertise for a study of remediation alternatives for 300 to 600 GPM of high salinity groundwater with an average TDS about 13,OOOmg/L. Ken developed a process scheme to desalinate the pit lake water to below 1,500 thermal processes and without generating liquid concentrate (reverse osmosis concentrate) and resulting in a significant reduction of CAPEX and OPEX cost relative to client's prior concept design that included thermal crystallization. The desalinated water met targets to allow reuse for local agricultural needs. Incirlik AB-2007 AFCEE 4P (Ion Exchange Softening)* I Lead Process Engineer Ken was involved in the design of a IX water softening system to treat the entire base potable water supply (2,000 GPM). The system used ion exchange and provided for the regeneration of the ion exchange resins onsite. The ion exchange vessels, brine tank and waste brine tank were housed in a single new building. The system was design to be fully automated for backwashing, resin regeneration using brine, and rinsing. Confidential Refinery I Ion Exchange Optimization and Flow Increase Study* I Senior Technical Consultant I Minnesota I Lead Process Engineer Multiple capital projects were implemented which will consume additional well water for either steam generation or cooling water utilities. The Refinery wanted to augment or optimize the existing demineralized water treatment system to treat the additional well water to meet boiler feed water specifications. The existing boiler feedwater system is comprised of chlorination with multi -media filtration for iron removal, RO for initial demineralization, and cation ion exchange (IX), degasification, and anion IX for final demineralization (IX System). The primary finished water targets cannot exceed a specific conductivity, specified by the Boiler House Operations, and silica below 0.25 mg/L. City Council enotespnrotectscompee of e� �qs 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 I y Greg Sebourn PLS, MASCF Survey 22 yearserience - Irvine, California Greg has more than 22 years of professional experience in numerous aspects of land surveying and mapping. His expertise includes business development; project management; client management; and surveying, mapping, and map checking services. He works with public and private clients throughout Southern California and some of his municipal projects have included the Anaheim Stadium properties subdivision, monument preservation efforts, design topographic, and construction surveys for pavement, sewer, and right-of-way improvement projects. In addition, Greg has broad experience in land surveying and mapping education, and is an adjunct faculty member at Rio Hondo College, a guest lecturer at Santa Ana College, and serves on the Cal Poly Pomona Civil Engineering Advisory Council. Greg has served as the California Land Surveyors Association's (CLSA) Director and CLSA's Orange County Chapter President. Greg serves as a Subject Matter Expert for the California Board for Professional Engineers, Land Surveyor, and Geologists. EDUCATION AS, Survey —Mapping, Santiago Canyon College, Orange, California REGISTRATIONS Professional Land Surveyor #8395, California PROJECT EXPERIENCE On -Call Consulting Services for PFAS Treatment Systems Design I OCWD I Santa Ana, California Survey and Mapping Task Lead Greg supported the conducing boundary and topographic surveys over portions for related properties as pertaining to preliminary design, final design, engineering services and construction staking. This ongoing assignment is currently in construction. Robert W. Goldsworthy Desalter* I WRD Torrance, California I Project Surveyor The desalter expansion required implementing a control survey, centerline and right-of-way alignment survey, terrestrial topographic survey, and a photogrammetric survey. The project required a high -precision geodetic control survey to tie current conditions and control to the historic control used at the time the facility was first constructed. Additionally, the survey required setting seven aerial targets for correlation of imagery to ground conditions. Once the data was collected from photogrammetric processes, a ground survey of key topographic features was conducted. One innovation expanded the aerial coverage beyond the initial work limits in anticipation that the project scope could be revised to accommodate certain conditions. The additional photogrammetric coverage had no additional cost and remains available should WRD choose to revise the route or limits of design. The survey data was delivered on schedule and on budget. On -Call Surveying and Mapping I Metropolitan Water District (MWD) of Southern California` I County of Riverside, California I Survey and Mapping Task Leader Greg led the effort to conduct boundary and topographic surveys over portions of MWD pipeline easements and related properties. The project included several miles of pipeline, as well as dozens of properties and easements. The boundary covered several Public Land Survey System Sections, as well as rancho boundaries. His deliverables included CADD files, point files, GIS .SHP files, and a Record of Survey map filed with the Riverside County Surveyor. Topographic and Right -of -Way Mapping —Cerritos Reclaimed Water Line Network Extension* Cerritos, California I Project Surveyor Greg was the project surveyor for the Cerritos Reclaimed Water Line Network extension, which provided the surveying team with unique challenges that were overcome throughout the project. The two-mile extension crossed through three cities (Cerritos, Lakewood, and Cypress), two counties (Los Angeles and Orange Counties), and multiple special districts. The survey required re-establishing key Section Corners, street intersections, and county boundaries as well as city boundaries. The topographic component required setting 13 aerial targets to collect data suitable for 40-scale mapping with one -foot contour interval. The project required filing multiple Corner Records for centerline monuments reset in the field, one of which also served as the boundary monument for the cities of Lakewood and Cerritos. The survey data was delivered on time and on budget. City COUDCI� enotesprryectscompee f of e� s 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 Public Municipalities I Multiple On -Call Map Checking* I Southern California I Quality Assurance/Quality Control Supervisor Greg has provided map checking services to numerous municipalities and other agencies for more than 10 years. He has been involved in reviewing and verifying final maps, parcel maps, Records of Survey, Corner Records, certificates of compliance, lot line adjustments, legal descriptions, and plats for compliance and conformity with local and state regulations. Greg has completed map and survey document checks for the Cities of Irvine, Fullerton, Montebello, Covina, Baldwin Park, Bell, Bell Gardens, and Cudahy, and the County of Orange and others. Zone A to B and Zone A to C BPS I Irvine Regional Water District I Irvine, California I Project Surveyor Greg offered land surveying services to design and build Zone A to B and Zone A to C BPS at PA 5B Eastwood Village. His land surveying and mapping services included aerial control, right-of-way base mapping, topographic design surveying, and 10-scale mapping. IDIQ Contract for Surveying and Mapping Boundary and ROW Acquisition, PF225 Border Fence, Los Angeles District I US Army Corps of Engineers* I San Diego County and Imperial County, California I Survey Manager The project consisted of boundary and cadastral surveying for right of way acquisitions along the US/Mexico International Border. Specifically, the acquisitions involved existing roads currently used by Customs and Border Protection (CBP), along with roads and staging areas utilized in the construction of the new border fence. Many of these roads have been utilized by CBP for years; however, no legal right existed to allow such use. Consequently, numerous properties had to be surveyed, along with said roads and staging areas, to compile legal descriptions to facilitate acquisitions and/or condemnations. The project involved a total of 29 separate owners and 31 individual parcels from west of Tecate in San Diego County to west of Calexico in Imperial County. The projects cover approximately 13 fractional townships along the border, requiring extensive cadastral retracement throughout the area. City C.OUYICI� enotespnrotectscompee of of r�s 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 I I Nahid Heidarbaghi PF,LFFDAP Site Civil 21,�ears of erience-Irvine,California Nahid is a detail -oriented engineer with 21 years of professional experience in water and wastewater, transportation, and land development projects. She has extensive experience in water and sewer systems, utility research and coordination, roadway improvements, and land development infrastructure design projects. Her eye for detail and quality control has been instrumental in review of water and sewer plans for Irvine Ranch Water District and other public agencies. EDUCATION BS, Civil Engineering, University of Tabriz, Iran REGISTRATIONS Professional Engineer#C67658, California LEED Accredited Professional, US Green Building Council PROJECT EXPERIENCE East Irvine Zone 1 to 3 Flow Meter Replacement* Irvine Ranch Water District (IRWD) I Irvine, California Project Engineer Nahid was project engineer for the replacement of the flow meter that records flows pumped from East Irvine Zone 1 to 3 at the Zone 1 reservoir site. The existing 36-inch meter installation was below grade and creating maintenance problems, so a new above ground electromagnetic meter was designed with associated retaining wall and ancillary systems. Irvine Community Development Company I PA56 36- inch Recycled Water Pipeline* I IRWD I Irvine, California I Project Engineer Nahid supplied engineering design and construction management services for a new 36-inch CML&C recycled water main. The pipeline is a critical interconnect in the IRWD system and replaced a 27- inch ACP main that was abandoned. She coordinated the pipe design and construction phasing issues with IRWD engineering and construction staff. Water and Wastewater Systems Plan Checking IRWD I Irvine, California Project Engineer Nahid provided on -call plan checking services for submittals received from consultants in various phases of design. The projects included water, recycled water, sewer, and storm runoff facility improvements. Sunset Beach Alley Water Main Replacement* I City of Huntington Beach I Huntington Beach, California Project Engineer Nahid prepared construction plans and specifications for the replacement of 4,400 LF of substandard waterlines in constrained alleys that included water meters and temporary water mains. She also provided design for pavement improvements in the alleys which required pavement grind and overlay, or profile reconstruction to provide positive drainage. The project also included assisting the City in coordination with Caltrans for work encroaching near the Pacific Coast Highway. Domestic Water Pipeline Capital Replacement (CRPs 09-18, 09-04, 09-01)* 1 Hi -Desert Water District Yucca Valley, California I Project Engineer Nahid was involved with three domestic water pipeline replacement projects for the District's CIP, totaling approximately 11,230 linear feet. The improvement plans included new 8-inch PVC water main, replacement of hydrants, laterals and meters, and other appurtenances. City of South Gate I Well No. 27 Treatment System* South Gate, California I Project Engineer Nahid provided engineering design services for the Well No. 27 Treatment System Project in accordance with California Department of Public Health requirements. The Well is a critical supply source in the City's water system. The project provided adequate removal of Iron (Fe), Manganese (Mn), and Dioxane constituents occurring in the groundwater aquifer. The well produces 1,500 GPM and it is anticipated that all of the flow will need to be treated. The firm evaluated the treatment process and DPH requirements for discharge of the Well's water into the distribution system and identified opportunities for blending with untreated water to reduce the size of the required facilities. The concept plan for the treatment facilities, and the final process design, included Fe/Mn removal; distribution pump; yard piping; and electrical instrumentation and SCADA. City Council enotespmecscompee }v of e� s 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 City of South Gate I Westside Water and Sewer Forest Lawn Memorial Parks Regional Recycled Main Replacement* I South Gate, California I Water Pipeline* I City of Cerritos I Cerritos, California Project Engineer I Project Engineer Nahid performed as project engineer for preliminary Nahid offered engineering design and construction and final engineering design and construction support services for a regional 16-inch recycled water management services that involved the abandonment main to serve the cities of Cerritos, Lakewood, of several City water mains and replacing them with Cypress, and the Cypress Forest Lawn cemetery. new mains (approximately 17,705 LF). The project The pipeline conveys recycled water produced at the also entailed replacing existing sewer mains with LACSD Los Coyotes water reclamation plant to the higher capacity mains (approximately 1,215 LF), as new potential use areas and is funded by the State specified in the City's Sewer Management Plan. DWR Drought relief Program. She assisted with the Well 1A Equipping Helendale Community Services pipe design and construction phase issues with all cities and stakeholders. District` I Helendale, California I Design Engineer Nahid was design engineer for Well No. 1A, a new 1,300-GPM groundwater supply well with a total depth of 630 feet. The well was equipped with a 150- HP submersible pump including pedestal, piping, and appurtenance design. City Council enotesprgectscompee of e� qs 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 I 3 Sean Neprud PF,LEEDAP Mechanical 1919 eaerience-Pasadena,California wiliYARMIUMIM Sean is a mechanical engineer with 19 years of experience in water and wastewater treatment, mechanical electrical and plumbing (MEP), and decorative water features. He brings 13 years of experience servicing the water and utilities sector in the Western US, and several years of experience engineering and managing decorative water feature projects internationally. He also is knowledgeable on a variety of infrastructure elements, including pumping and piping systems, emergency power generators, compressed air, fire protection electrical power distribution systems, chemical storage and delivery, control systems, and instrumentation. As a project manager, Sean is experienced in all stages of traditional and creative engineering projects, including engineering, construction management and coordination, production, startup and commissioning, and project closeout. EDUCATION BS, Engineering, University of California, Berkeley, California BA, Studio Art, University of California, Santa Cruz, California REGISTRATIONS Professional Engineer#M33458, California LEED Accredited Professional, Green Building Certification Institute PROJECT EXPERIENCE City of Santa Ana PFAS Water Treatment Plant Well 40 1 OCWD I Santa Ana, California I Process Mechanical Engineer Sean was the process mechanical engineer for a PFAS treatment system that used ion exchange pressure vessels to remove contaminants. This project also included the design of a pre-treatment cartridge filtration, booster pump, and mechanical modifications to an existing groundwater well pump station. City of Santa Ana PFAS Water Treatment Plant Well 38 1 OCWD I Santa Ana, CA I Process Mechanical Engineer Sean was the process mechanical engineer for a PFAS treatment system that used ion exchange pressure vessels to remove contaminants. This project also included the design of a pre-treatment cartridge filtration, booster pump, mechanical modifications to an existing groundwater well pump station, and a hypochlorite generation and feed chemical system. San Fernando Basin Groundwater Remediation Project, Design -Build I Los Angeles Department of Water & Power I Los Angeles, California I Process Mechanical Engineer Sean was the mechanical lead for remediation and modifications of 17 groundwater pumping stations. He served as the mechanical process engineer for two treatment sites that use Granular Activated Carbon (GAC) filtration and UV/Advanced Oxidation Process treatment for groundwater. The project includes large GAC filtration pressure vessels, pre-treatment mechanical filters, and ultraviolet reactors. Sean was heavily involved in designing several pump stations at the two sites, including a waste pump system and a recirculation system for processing water. Sean also worked directly on chemical storage and delivery systems for peroxide, ammonia, and fluoride. Long Beach Municipal Urban Stormwater Treatment City of Long Beach I Long Beach, California I Process Mechanical Engineer Sean was the lead process mechanical engineer for this treatment facility for urban runoff stormwater. This project includes the mechanical engineering for the installation of Continuous Ultra Filtration (CUF) and photo -catalytic treatment equipment. In addition to those treatment systems, the project includes media filters, pumps for both clean and wastewater, and chemical storage and dosing equipment. Chlorine Storage and Scrubbing Facility Retrofit' Calleguas Municipal Water District I Thousand Oaks, California I Project Engineer/Mechanical Engineer Sean was responsible for the retrofit of a chlorine storage and emergency scrubbing system at a water City Council enotespmecscompee }v of e� s 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 treatment facility. As project engineer, Sean provided project coordination, on -time delivery of project deliverables, and coordination of services through project completion. As mechanical engineer, he designed a dry -media chlorine scrubbing system to replace an existing wet chlorine scrubber that included forced air systems, ventilation, and emergency containment systems for a chlorine storage facility. Jamieson Canyon Water Treatment Plant Improvements* I City of Napa I Napa, California I Mechanical Engineer/Construction Coordinator This $38 million project expanded an existing water treatment plant. Sean engineered plant water and emergency fire pump stations, building mechanical and plumbing systems, laboratory facilities, and process facilities for ozone treatment. He was the lead coordinator of the engineering services provided during construction, including cross -discipline coordination, shop drawing, RFI review, and record drawing production. Avenue Water Treatment Plant Membrane Upgrade* City of Ventura I Ventura, California Construction Coordinator Sean performed mechanical engineering design and coordinated the engineering services during the construction of a 22-million-membrane treatment upgrade with 10 MGD capacity. He engineered chemical storage and delivery systems, pumping, and process mechanical piping systems. As construction coordinator, he managed shop drawing and RFI review and performed day-to-day coordination with the Contractor and the City's Construction Manager. Chambers Creek Regional Wastewater Treatment Plant Expansion* I Pierce County I Tacoma, Washington I Lead Mechanical Engineer With a forecasted population growth increase, the Chamber's Creek Regional Wastewater Treatment Plant (45-MGD) expansion added 50% more capacity. As lead mechanical engineer, Sean performed mechanical engineering for process and non -process areas, including ventilation and other utility services for process mechanical wastewater equipment. Orange Cove Wastewater Treatment Plant* I City of Orange Cove I Orange Cove, California I Mechanical Engineer Sean performed process and building mechanical engineering, including aeration systems, solids handling, chemical dosing, and building mechanical engineering for process and non -process facilities. This project was completed while Sean was mechanical Engineer at Kennedy/Jenks Consultants. City Council enotespnrotectscompee of e� �s 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 Simon Lin Ph.D_ PF, SF Structural 18 yearserience Pasadena, California With more than 18 years of national and international experience as a civil/structural engineer, Simon has a strong structural analysis background with hands-on structural design and project management experience. His professional expertise includes water delivery facilities, earthquake engineering, seismic retrofit and design, and applications of advanced technologies. EDUCATION Ph.D., Civil/Structural Engineering, University of California, Irvine, California MS, Mechanical Engineering, Fuzhou University, China BS, Northwestern Polytechnic University, Engineering Mechanics (Aerospace), Xi an, China REGISTRATIONS Licensed Structural Engineer #S591 1, California Registered Civil Engineer #C73920, California Disaster Service Worker (DSW) Volunteer #SAP 64451. California PROJECT EXPERIENCE On -Call Consulting Services for PFAS Treatment Systems Design I OCWD I Santa Ana, California QA/QC Structural Simon is conducting QA/QC for all structural design elements for four wellhead treatment sites for the City of Santa Ana. Work includes preliminary design, final design, bid phase support, engineering services during construction, and part time inspection services. Sites include Well 40 currently in construction, Well 38 finishing final design, Well 31 in predesign, and Wells 27 and 28 in preliminary design. Santa Monica Sustainable Water Infrastructure Project (SWIP) I City of Santa Monica I Santa Monica, California I Lead Structural Peer Reviewer As a lead structural peer reviewer, Simon is involved in the large progressive design build project of SWIP for the City of Santa Monica. The project includes four key components as follows: Santa Monica Urban Runoff Recycling Facility upgrades for reverse osmosis and ultra -violet treatment system; Memorial Park stormwater harvesting system; Civic Center stormwater harvesting system; and the advanced water treatment facility. Simon's role is to review the structural design and constructability for all structural related components, and also provide expert recommendations to the design team and the City considering a reasonable construction cost. San Fernando Groundwater Remediation Tujunga Central Treatment Facility and North Hollywood Central Treatment Facility I LADWP I North Hollywood and Tujunga, California I Structural Engineer Lead/Structural Engineer of Record As a lead of structural engineering discipline (also structural engineer of record), Simon is involved in the progressive design build project for two treatment facilities within the San Fernando Basin, including Tujunga site and North Hollywood site. Both sites are similar and consist of a UV AOP building, Granular Activated Carbon (GAC) vessels, peroxide facility, pretreatment and back wash waste tank. Simon is leading design and constructability for all structural - related components and providing expert recommendations to the project team and the Department's considering a reasonable construction cost. Los Angeles River and Arroyo Seco Low Flow Diversion Project (TOS-14) 1 Los Angeles Bureau of Engineering I Los Angeles, California I Structural Engineer Lead/Structural Engineer of Record As a structural lead, Simon is involved in the LABOE project of five low flow diversion system. The project will divert dry -weather flow from prioritized stormwater outfalls to sanitary sewers for treatment at Hyperion Water Reclamation Plant. Project construction consists of storm drain diversion structures with weirs and pipelines, trash collection maintenance holes, pump stations, discharge pipes, pressurized pipes, valve and meter vaults, and power supplies for pump stations. Simon oversees structural design and repair, as well as constructability for all structural components of system. VSD Design Build Contract for Energy Services Treatment Plant I Valley Sanitary District I Indio, California I Lead Structural Engineer/Structural Engineer of Record Simon is the lead structural engineer for this project. It is a progressive design -build project to design and build plant improvements to Valley Sanitary District's (VSD) Wastewater Treatment Plant. The project includes existing effluent channel extension and Grit chamber, Digester tank, DAFT tank, Electrical steel building, and equipment pads and canopies. City CQUDCIl *denotes pmjectscompleted }v I of s 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. I22-133 A-23 RP-1 Mech Restoration & Headworks Second Gate Inland Empire Utilities Agency I China, California Structural Lead Simon is involved the mechanical restoration at RP-1 with pipe support design, the secondary gate installation, channel isolation, and structure cover replacement. Basins 2 and 3 Collection System Improvements City of San Mateo I San Mateo, California I Structural Engineer Simon has been working this project as one of the key structural engineers. The improvements in the Basins 2 & 3 collection system include: install a new minimum 4.2 MG in -system flow equalization storage facility, including associated pumping and odor control; upgrade/expand three existing pump stations, including expansion of the firm pumping capacity to meet peak wet weather flows, rehabilitation of wet wells, and upgrading of piping and electrical systems; install approximately six miles of new parallel and upsized gravity sewers and force mains, ranging in size from 8 inches to 48 inches, and provide rehabilitation of some force mains. Seal Beach Pumping Upgrade and 3-62: Westminster Boulevard Force Main Replacement Design I Orange County Sanitation District I Seal Beach, California Lead Structural Engineer Simon worked on this project as lead structural engineer. This project included the rehabilitation of the Seal Beach pump station and Westminster Boulevard force main replacement. VSD Structural Assessment of Activated Sludge Selectors and Aeration Basins I Valley Sanitary District I Indio, California I Lead Structural Engineer Simon has been working on this project as a lead structural engineer. This project includes structural assessment of the existing Activated Sludge Selectors and Aeration Basins. A condition assessment using visual observations and non- destructive testing was performed for the existing concrete basins (selectors, aeration basins), safety railing, and concrete bridge above aeration tanks. The final technical memorandum summarizes the findings and recommendations, as well as an AACE concept level cost estimate for the recommended repair approach. Hyperion Treatment Plant Digester Gas Utilization Project I City of Los Angeles I Playa Del Rey, California I Structural Engineer Simon is serving as structural engineer for this digester gas utilization project. Seismic Retrofit City of Simi Valley Water Quality Control Plant* I City of Simi Valley I Simi Valley, California I Principal Structural Engineer Simon was responsible for this seismic retrofit design of six, 1970s-era buildings located at the Water Quality Control Plant. Each structure required seismic upgrades to provide adequate masonry wall anchorage to the flexible wood roof diaphragm and to provide a complete load path to distribute wall forces into the roof diaphragms. Coordination of demolition, architectural ceiling repairs, and other nonstructural components were provided to help the City prepare a general contractor RFP for the proposed upgrades. Structural Evaluation of Santa Barbara El Estero Wastewater Treatment Plant* I Santa Barbara, California I Principal Structural Engineer Simon worked as the project manager to address structural and corrosion engineering assessment and evaluation of the existing 1970s-era concrete process structures, support, and maintenance buildings as part of an overall asset management plan (19 concrete structures in total). The assessment included concrete condition, seismic evaluation, corrosion considerations, expected serviceability and performance, and recommendations for repairs and upgrades. A detailed report prioritized repairs and made recommendations for future improvements as part of an overall capital improvement plan. The report aids the City to allocate funds for future improvements and maintenance. South Bay International Wastewater Treatment Plant New Administration Building* I South Bay International I San Diego, California I Project Structural Engineer Simon provided civil, structural, mechanical, electrical, and fire protection engineering services for the design -build construction of a new administration building for the plant. The structural design included the Unified Facilities Criteria --Department of Defense Minimum Antiterrorism Standards for Buildings. The project was finished within budget and on schedule. Casitas Water System Condition Assessment of Water Facilities I Casitas Municipal Water District I Oak View, California I Structural Lead Simon was involved in the as -built condition assessment of 16 reservoir tanks and pump station sites. He oversaw the structural assessment of existing tanks and structural elements, as well as providing the retrofit schemes for any deficient elements to maintain operation for another 10 years Ojai Wastewater Treatment Plant Nutrient TMDL Project—Dentification Filters I Ojai Valley Sanitary District I Ventura, California I Structural Engineering Lead/Structural Engineer of Record Simon is leading structural engineering from the initial project stage through to the 100% design submittal. This project consists of adding one new denitrification filter structure and new chemical tank area, and the modifications of one existing flocculation basin, four existing denitrification filter structures, and two existing oxidation ditches. One new electrical room is being added to the chemical building to expand electrical equipment. City COUDCI� *denotes pnrotectscomplete of of Ps 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 Bruce Wong PE, PMP, ENV SP Electrical 19 yearserience - Pasadena, California Bruce brings 19 years of experience in design of power and control systems for numerous process configurations, including water/wastewater treatment plants. His design expertise includes chemical delivery/containments systems, low-, medium-, and high -voltage power generation/distribution, hydropower generation, high -voltage substation design, and indoor/outdoor lighting design. Recently, Bruce assisted in the detailed design of two processes for a 16-MGD water recycling plant in the pacific northwest. In Southern California, Bruce has most recently worked with the City of South Pasadena and the Metropolitan Water District of Southern California. EDUCATION MBA, Cal Poly Pomona, California MS, Engineering Management, Cal Poly Pomona, California MS, Electrical Engineering, Cal Poly Pomona, California BS, Electrical Engineering, University of Los Angeles, California REGISTRATIONS Professional Engineer #E1 8415, California Project Management Professional (PMP)® #PMP 1494856, Project Management Institute PROJECT EXPERIENCE City of Santa Ana Well 40 1 OCWD I Santa Ana, California I Electrical Engineer Bruce worked as the electrical engineer adding the Automatic Transfer Switch (ATS), emergency standby generator, and soft starter for the booster pump. The project consists of adding electrical equipment (automatic transfer switch, sizing the emergency standby generator, and soft starter) and instrumentation equipment. He was responsible for coordinating with a subconsultant to update as-builts of the electrical drawings. Bruce assisted in reviewing shop drawings and answering RFIs. The project is currently in the construction phase. City of Santa Ana Well 381 OCWD I Santa Ana, California I Electrical Engineer Bruce worked as the electrical engineer for re -design of the electrical distribution system. It included replacing the switchboard, motor control center, VFDs, and adding onsite hypochlorite generation system and soft starter for booster pump. The project consisted of developing the electrical site plan, one line diagram, grounding plan, conduit & cable schedule, duct bank design, and control diagram. The project is currently in the design phase. Treatment Plant No. 2, Headworks Modification Project I Orange County Sanitation District I Fountain Valley, California I Lead Electrical Engineer Bruce designed the power distribution system for the additional separation gate and sump pump system. He assisted in the development of single line diagrams, confirming cable/conductor sizes, creating a cable/conduit schedule, reviewing shop drawings, and answering RFIs. The project is currently in the construction phase. Plant No. 1 and 2 Consolidated Demo and Utility Improvements I Orange County Sanitation District Orange County, California I Electrical Engineer Bruce assisted with the design of the lighting plan and lighting schedule for this project. In addition, Bruce performed the final back check on the electrical and I&C drawings. Bruce reviewed the submittals and shop drawings and answered RFIs. 3-62: Westminster Boulevard Force Main Replacement Design I Orange County Sanitation District I Orange County, California I Lead Electrical Engineer Bruce served as the lead electrical engineer for the preliminary design of the rehabilitation of seal beach station. He designed the electrical room and generator room. Bruce sized the generator and fuel tank. He performed the design using AutoCAD and generated several electrical drawings including single line diagram, electrical room layout, and generator room layout. Long Beach Municipal Urban Stormwater Treatment City of Long Beach I Long Beach, California I Lead Electrical Engineer/Electrical Engineer of Record Bruce is the lead electrical engineer for the new Stormwater Treatment Plant. He helped develop single line diagrams, the electrical site, control diagram, confirmed cable/conductor sizes, reviewed shop drawings, and answered RFIs. The project is currently in the construction phase. City Council 19 — 168 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 Grand Avenue Well Equipping I Three Valleys Municipal Water District I Claremont, California Electrical Engineer Bruce worked as the electrical engineer adding the Manual Transfer Switch and POSILOCK connection box for the portable generator. The project consisted of adding electrical equipment (manual transfer switch, PSI LOCK connection box, and sizing the portable suitable generator) and instrumentation equipment. He was responsible for coordinating with a subconsultant to update as-builts of the electrical drawings. Bruce assisted in reviewing shop drawings and answering RFIs. The project is currently in the construction phase. Southern California Edison Transmission and Distribution Substations I Southern California Edison Pomona, California I Cost Estimator Bruce worked at SCE Pomona Campus interpreting transmission & distribution substation project plans and drawings and translating completed estimates into reports. He also prepared interest expense and depreciation calculations, and other internal output reports based on existing estimates to close out projects. Bogert Trail Sewer Lift Station I City of Palm Springs Palm Springs, California I Lead Electrical Engineer Bruce designed the distribution power system for the lift station. The project consisted of designing the main service pedestal with utility meter and main breakers and power panel, surge protective device, and step down transformer. A panelboard schedule, light fixture schedule, and conduit schedule were created. The design was completed in 2019. Water Treatment Plant Mods ISC Kodiak I US Coast Guard I Kodiak, Alaska I Lead Electrical Engineer As the lead electrical engineer on this project, Bruce performed electrical design on the Soda Ash System In addition, he re -designed the power distribution system for the 559 pumphouse and N23 treatment plant. 16 MGD Industrial Water Recycling Facility I Client Confidential I Portland, Oregon I Assistant Project Engineer Bruce assisted the on -site lead electrical engineer with the electrical design of the two processes for an industrial water recycling facility. The project was delivered through a design -build procurement method and Bruce helped develop single line diagrams, confirm cable/conductor sizes, review shop drawings, and answer RFIs. Eielson Air Force Base Water Treatment Plant I Air Force Civil Engineering Center I Eielson, Alaska Electrical Engineer As electrical engineer, Bruce designed the electrical system for expansion of water treatment plant. The electrical site plan, single line diagram, control schematic, panelboard schedule, and equipment elevation were created using Micro station. City Council 19 — 169 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 Nadarajan Sankaran PF Instrumentation & Controls Designer 11 yearserience-Irvire,California Nadarajan (Sanki) brings 11 years of experience for both design and construction of electrical, instrumentation and control (E, I&C) and supervisory control and data acquisition (SCADA) systems. He has provided effective engineering solutions for water and wastewater treatment plants, oil & gas, and mining sectors using both PLC and DCS platforms in the US and internationally. He has developed smart P&ID's, network architecture diagrams, loop diagrams and technical specifications including control philosophies, instrumentation data sheets and instrument schedules in addition to single line diagrams, control schematics, electrical plans and electrical specifications. Additionally, he has both Allen Bradley PLC and HMI programming, redundant SCADA server and historian data configuration experience. EDUCATION MS, Electrical Engineering, University of Melbourne, Australia BA, Business, University of Melbourne, Australia REGISTRATIONS Professional Engineer#0053254, Colorado PROJECT EXPERIENCE City of Santa Ana PFAS Water Treatment Plant Well 40 1 OCWD I Santa Ana, California I I&C Controls Engineer Sanki was the I&C controls engineer for a PFAS treatment system that used ion exchange pressure vessels to remove contaminants. This project also included the design of a pre-treatment cartridge filtration, booster pump, and mechanical modifications to an existing groundwater well pump station. City of Santa Ana PFAS Water Treatment Plant Well 38 1 OCWD I Santa Ana, California I I&C Controls Engineer Sanki was the I&C controls engineer for a PFAS treatment system that used ion exchange pressure vessels to remove contaminants. This project also included the design of a pre-treatment cartridge filtration, booster pump, mechanical modifications to an existing groundwater well pump station, and a hypochlorite generation and feed chemical system. 32nd Booster Pump Station I Long Beach Water Department I Long Beach, California Lead I&C Engineer Sanki performed preliminary analysis of the existing legacy 9600 baud serial radio network with recommendations to upgrade to an Ethernet -based 900 MHz licensed radio system. Telemetry infrastructure included Microwave Data System (MDS) 900 MHz licensed radio network, Schneider Electric M340 processors, and an AVEVA (WonderWare) InTouch SCADA System. Sanki used peer -to -peer communications to network critical flow and pressure and pumping parameters to remotely monitor and control pump station operation. San Fernando Basin Groundwater Remediation Project I Los Angeles Department of Water & Power Los Angeles, California I Lead I&C Engineer Sanki is the lead I&C engineer on the Progressive Design Build (PDB) team for two treatment facilities within the San Fernando Basins (SFB). The facilities will treat contaminated groundwater from the Tujunga (TJ) and Rinaldi-Toluca (RT) Well Fields. The controlled processes include self-cleaning strainers, UV-AOP, Granular Activated Carbon (GAC), hydrogen peroxide, drain pumping station, liquid ammonium sulfate, and hydrofluorosilicic acid chemical systems. Long Beach Municipal Urban Stormwater Treatment I City of Long Beach I Long Beach, California I Lead I&C Engineer Sanki recovered and reviewed vendor (Purifics) PLC and HMI programs for application according to the contract requirements. He incorporated network re -design changes to reflect the pre -procured vendor package and provided technical recommendations to the City to pursue actions for vendor contract non-conformance. Friant-Kern Canal (FKC) Middle Rach Capacity Correction Project Phase 1—Pump Station Friant Water Authority I Lead I&C Engineer Sanki is leading the I&C effort on the new pump station design across five remote sites that draw water from the FKC via turnout structures. Each site consists of licensed Ethernet -based 900MHz radios and Schneider SCADApack PLCs that communicate back to a central base station. Sanki developed RFP language for the Authority -required contractors/suppliers (including the radio supplier, integrator, PLC supplier) and final contract plans and specifications. Controlled processes include cast -in - place concrete wet well with integrated traveling water screen, and a combination of constant and variable speed pumps. City Council 19 — 170 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 Greeley Water Pollution Control Facility Blower Replacement I City of Greeley I Greeley, Colorado Lead I&C Engineer Sanki led the I&C design and commissioning of the upgrade of an existing aeration system to include an optimized automated control approach. Design included the integration of three new high-speed turbo (HST) blowers through the development of a consolidated control strategy for blower operation, while upgrading the end -of -life Allen-Bradley PLC hardware. Sanki witnessed factory acceptance testing of both hardware and software control system components and was solely responsible for on -site startup and commissioning, performing installation verification walk -downs, loop checks, process start-up and PI tuning, and operator training. Controlled processes included three 300-HP HST blowers, three K-Turbo blowers, two multistage blower skids, and four aeration basins. Support Facilities Upgrade I City of Denver Denver, Colorado I Lead I&C Engineer Sanki was lead I&C engineer on the upgrade of the existing facility network infrastructure, including three facility buildings, and installing a new redundant data center. Design included upgrading the fiber network infrastructure to support a ring topology, coordinating the decommissioning of the existing data center and fiber network through detailed construction sequencing documents. Sanki developed the electrical cable tray layouts/isometrics, cable schedules, electrical plan drawings, and electrical specifications. He also designed a new CCTV intercom and access control system with integration into the plant -wide network. Mesa Water Treatment Plant Upgrades Program Phase I I Colorado Springs Utilities I Colorado Springs, Colorado I Lead I&C Engineer Sanki created P&IDs, specifications, instrument lists, network diagrams, datasheets, and technical memorandums, in addition managing and coordinating drawing production resources. Controlled processes included rapid mixing, flocculation, sedimentation, and chemical and polymer systems. The control system was exclusively based on the Rockwell product line, including Allen Bradley smart MCCs, Logix controllers, FactoryTalk HMI, and OSI PI historian with EtherneUlP profibus field network. Nuisance Struvite and Dewaterability Improvements PAR 1280 1 Metro Wastewater Reclamation District Denver, Colorado I Lead I&C Engineer Sanki is leading the design of an AirPrexTM pre- dewatering phosphorus recovery system to sequester and recover phosphorus as struvite. The process reduces the phosphorus load recycled to the head of the plant, facilitating controlled precipitation of struvite to reduce the potential for nuisance accumulation within pipelines, and improve biosolids dewatering. Phase I included the pre -procurement of vendor blower and classifier packages and associated instrumentation. Phase 11 integrates the pre -procured packages to the existing DCS. Controlled processes include recovery reactor, aeration system, anti -foam, and magnesium chloride storage and dosing systems. Sidestream Nutrient Removal Project PAR 1237 1 Metro Wastewater Reclamation District Denver, Colorado I Lead I&C Engineer Sanki was lead I&C engineer on the upgrade of an existing facility involving enhanced biological phosphorus removal (EBPR) and de-ammonification (DMX) treatment. He created P&IDs and coordinated vendor designs, specifications, instrument lists, network diagrams, datasheets, and technical memoranda. Controlled processes included ANITAMox DMX reactors, EBPR, and chemical systems. Facility controls used an ABB DCS control system. CCWRF 12kV Backup Generator Control Circuit Improvements I Inland Empire Utilities Agency (IEUA) Chino, California I Lead I&C Engineer Sanki is upgrading the existing, relay -based Automatic Transfer Control system to a new, redundant PLC -based control system according to IEUA's Engineering Design Guidelines, while addressing Agency stakeholder concerns. 19007 Aeration and Secondary Clarifiers (150-MGD Expansion) I Clark County Water Reclamation District Las Vegas, Nevada I Lead I&C Engineer Sanki is the lead I&C engineer for the upgrade and capacity expansion (to 150mgd) of the west secondary treatment facility, including three aeration basins, three secondary clarifiers, four dual core High -Speed Turbocompressor (HST) blowers, MLR, WAS and RAS pumping systems to support biological nutrient removal, including nitrification, partial denitrification, and biological phosphorus removal. The project is being executed under a Construction Manager At -Risk (CMAR) alternative delivery approach. The control system includes Rockwell ControlLogic PLC and Remote 1/0 with AVEVA (WonderWare) InTouch SCADA System. City Council 19 — 171 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 A-28 James Loucks PMP, CCP Cost Estimating 4444 gars of Walnut Creek, California James (Jim) has 44 years of experience in the construction services and engineering consulting industries, Jim focuses on pre -construction planning and construction phase support for a wide range of water infrastructure projects. His expertise includes constructability, cost estimating, scheduling, claims and risk management of hydraulic structures, sanitary sewer collection systems, water conveyance facilities, sanitary lift stations, and water pumping facilities. He has provided master planning inputs of linear infrastructure for projects focused on water systems, hydraulic modeling for pressure and gravity flow systems, transient surge mitigation measures for pumping facilities, and pump and lift station engineering services to several water districts, public utilities, and municipalities throughout Southern California. EDUCATION BS, Construction Engineering, Arizona State University, Tempe, Arizona Z1*16-1dZTAiIs] :69 Project Management Professional (PMP)® 4534386, Project Management Institute Certified Cost Professional #2361, Association for the Advancement of Cost Engineering International San Francisco Public Utilities Commission I CS-777B, As -Needed Engineering Design Services San Francisco, California I Lead Estimator Jim led estimating efforts and worked with a multi- disciplinary team that provided civil, structural, geotechnical, mechanical, electrical, and special engineering services for the upgrade, expansion, and seismic retrofit on a wide range of wastewater, water, and power facilities,. including dams, reservoirs, tunnels, treatment plants, pipelines, pump stations, and power transmission facilities. The scope of services. included preparing design and specifications documents, technical reviews, cost estimating, and value engineering on the Water System Improvement Program (WSIP) and non-WSIP projects. Jim provided 10 to 15 cost estimates under the contract, including one for the Harry Tracy Water Treatment Plant Short -Term Improvements, Phase 3 project. Friant-Kern Canal Middle Reach Capacity and Subsidence Correction Project I Friant Water Authority & U.S. Bureau of Reclamation I California Cost Estimator Jim serves as principal estimator for the 30% design stage cost estimate and seven project alternatives. The team is providing engineering, environmental, and construction management services to complete alternatives analyses and preliminary design to restore capacity to a 33-mile canal segment that includes 20 miles of new canal, 100 farmer turnouts, and 50 right-of-way acquisition parcels. 3-62: Westminster Boulevard Force Main Replacement I Orange County Sanitation District Seal Beach, California I Estimator The project involved the construction of new single and dual 36" HDPE force mains along Westminster Boulevard. San Luis Water District I Villages of San Luis Water Infrastructure Program* I San Luis Water District San Luis, California I Principal Estimator Jim provided cost estimating for a $230 million program involving a raw water diversion off the CAP with common site development of wastewater and water treatment facilities. Conveyance piping was also included to cover recycled water delivery and storage. US Bureau of Reclamation I Sacramento River Water Reliability Study* I Mid Pacific Region/Department of the Interior I California I Principal Estimator Jim oversaw cost estimating for the $775 million program involving river intake and water conveyance pipeline upgrades for four major water districts in northeast Sacramento, covering a multi -year build -out program. Sacramento County Regional Water District I Sacramento River Water Reliability Study I California I Principal Estimator Jim served as principal estimator for the $775 million program that involved river intake and water conveyance pipeline upgrades for four major water districts in northeast Sacramento, covering a multi -year build out program. Vineyard Surface Water Treatment Plant Sacramento County Water Agency Sacramento County, California I Cost Estimator Jim developed the 30, 60, and 90 percent design stage cost estimates for the $75 million Greenfields plant. City Council enotespmecscompee }v of e� s 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 Bon Tempe and San Geronimo Water Treatment Plants Master Plan and Filter Rehabilitation Marin Municipal Water District I Corte Madera, California I Cost Estimator The first of these two projects that were completed for MMWD was a Master Plan to help ensure reliable, cost-effective operation of the two drinking water treatment plants for the next 50+ years. The Master Plan, completed by the end of 2014, found that major seismic rehabilitation of filters and other structures is required to achieve code compliance and meet the District's reliability goal of producing water within 24 hours of a major earthquake. To address these issues, Stantec began the Filter Rehabilitation Project in 2015. Jim provided cost estimating services for the project, which includes performing seismic/structural analysis, evaluating upgrade options, preparing cost-effective designs, managing bid documents, and providing construction support for the necessary improvements at both plants. Waterman WTP I City of Fairfield I Fairfield, California Principal Estimator Jim was the principal estimator for plant expansion work and submitted cost opinions at the PDR and 30, 60, and 90 percent design stages. The project involved a doubling in capacity of an existing conventional filtration process, including flocculation and sedimentation facilities at a working WTP. Phasing constraints and inclusion of costs to keep the existing plant operational during the construction period were analyzed and included in the various estimate iterations. Sunol Valley Water Treatment Plant I San Francisco Public Utilities Commission (SFPUC) Sunol, California I Estimating Manager Jim was the estimating manager and a lead quality control resource for the plant upgrades. The purpose of this $100 million project was to increase the sustainable capacity of the plant from 120 to 160 MGD. This was accomplished by the addition of a new 40-MGD flocculation/sedimentation basin, upgrades to the plant's 12 existing filters with new filter media, new under drains and air/water backwash capability, a new washwater recovery basin, and modifications to the plant's existing flow distribution structure. CS-884, As -Needed Water Treatment Design Services I SFPUC I San Francisco, California I Lead Estimator Under Task Order #12, Jim led a team of estimators to independently develop cost opinions for the capital elements associated with the Crystal Springs pump station and San Andreas Transmission Main project. He developed the Association for the Advancement of Cost Engineering Class 4, 3, and 2 cost estimates to support the detailed design process. Roseville Water Treatment Plant (WTP) Expansion City of Roseville I Roseville, California I Lead Estimator Jim was the lead estimator for the City of Roseville WTP Expansion Project. This $32M treatment plant expansion increased the rated capacity to 100 mgd, and, in addition to other work, included two additional horizontal flocculation and sedimentation basins. Jim prepared interim cost estimates at the 30, 60, and 95 percent design stages, as well as the final engineer's opinion of probable construction cost. CS-825B, As -Needed Wastewater Design Services I SFPUCommission` I San Francisco, California I Lead Estimator Under Task Order #6, Jim led cost estimating on the third -party review of the Sewer System Master Plan (SSMP) feasibility level cost estimates. The SSMP program evaluates the existing wastewater treatment and collection system and determines present and future need to help ensure reliable service consistent with the City's goals. As part of the review effort, Jim commented on the appropriate escalation factor and proper inclusion of owner soft costs. He also provided input on the cost of construction in San Francisco relative to the rest of the country. Finally, Jim undertook a detailed review of consultant cost estimates for the New Bayside Digester Facility and the Cayuga Diversion scheme. Stringfellow Groundwater Treatment I Stringfellow Superfund Site I Riverside, California I Senior Cost Estimator The Stantec team designed upgrades and improvements for the Stringfellow Superfund Site groundwater treatment plant. Jim was responsible for task order cost estimating and constructability reviews for an updated PLC -based control system, a new VOC stripper, and upgrades for the lime -precipitation and GAC systems on site. *denotes progectscompee of y is City COUDCIl 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 I 3 Ryan Capelle PE Treatment/Process Mechanical 2525 eaerience Minneapolis, Minnesota 8. In his 25 years of providing engineering service, Ryan has developed the ability to effectively manage a multi -discipline team through design, planning, and implementation of municipal, water treatment, and water supply projects. He has provided service on more than 50 water treatment facilities and other water infrastructure projects. For several years, Ryan has focused his expertise in per- and polyfluorinated substances (PFAS). Ryan's work includes the design, management, and implementation of full-scale PFAS treatment facilities, pilot -scale test facilities and emergency response programs. Ryan collaborates with Stantec's Research Team and with private organizations to prepare and conduct pilot -scale analyses including procurement of experimental plans, data analysis, and economic evaluations of treatment processes/technologies that reduce PFAS and other contaminants in drinking water. Ryan's unique range of project management, design and construction experience has enhanced his ability to organize and deliver projects that result in safe, reliable, compliant water for communities. =1 dr19eAll 11 If] I I MS, Infrastructure Systems Engineering, University of Minnesota, Minneapolis, Minnesota BS, Civil Engineering, University of Minnesota, Minneapolis, Minnesota REGISTRATIONS Professional Engineer#43142, Minnesota Professional Engineer#41310-6, Wisconsin Professional Engineer #PE-10171, North Dakota PROJECT EXPERIENCE PFAS Pilot Study I Cottage Grove, Minnesota I Project Manager Stantec, in conjunction with Johns Hopkins University is currently conducting a pilot study for the Minnesota Pollution Control Agency to achieve three objectives, 1) Assess efficacy of anion exchange (AIX) resins for treatment of PFAS; 2) assist Minnesota Department of Heath with developing a policy for new technologies for treating PFAS; and 3) Provide economic comparisons between AIX and granular activated carbon (GAC). Stantec's local staff works directly with staff at Johns Hopkins University on a weekly basis to collect, analyze, and report concentrations of 32 PFAS analytes. In only four business days, the team provided water sample results. The Stantec/University Alliance differentiator leverages some of the brightest minds in the industry to provide technical leadership on the subject of PFAS. The alliance's sound foundation of teamwork afforded our team the ability to provide state of the art, long-term solutions for PFAS. Interim Water Treatment Facilities I City of Cottage Grove I Cottage Grove, Minnesota I Project Manager The Minnesota Department of Health notified the City that eight of its 11 wells were over the newly established health index values for PFAS. The response required the full attention of Stantec's multi- discipline team led by Ryan, working in unison with members from various departments of the City to deliver the project under emergency design/build conditions. The project successfully delivered safe, compliant drinking water for residents within 84 days and was awarded the American Public Works Association Project of the Year Award in 2017. Water Treatment Facility I City of Granite Falls I Granite Falls, Minnesota I Project Manager During the design for this 0.84 MGD lime softening water treatment facility project, Ryan collaborated with City staff to incorporate their desired process and hydraulic design elements. Ryan worked with the City staff to deliver the construction phase of this project. SW Water Treatment Plant I Sartell, Minnesota I Project Engineer Ryan was responsible for process design of a new 6 MGD conventional gravity filter plant for iron and manganese removal. The plant was designed to be easily expanded to 16 MGD. Water Treatment Plant Expansion I City of Inver Grove Heights I Inver Grove Heights, Minnesota Project Manager The City of Inver Grove Heights chose Stantec to design and provide construction assistance of their 6.02 MGD manganese removal water treatment facility. The expansion adds two backwash tanks, four filter cells and laboratory, as well as additional accommodations for staff needs. Ryan was project manager, provided process design, construction management, and contract administration. City Council 19 — 174 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 A-31 Water Treatment Facility, Albany I Minnesota Project Engineer Ryan was responsible for process design of the Albany Water Treatment facility that is designed to remove arsenic, iron, and manganese at a peak flow rate of 2.0 MGD. There is a 200,000-gallon clearwell for water storage built into this treatment plant. Currently, there are two 1,000 GPM pumps that serve the High Zone, and one 1,000 GPM pump to serve the Low Zone. This plant is expandable to a 4.0 MG capacity in the future when necessary. Water Treatment Plant, Harris I Minnesota Project Manager Ryan was responsible for process design and coordination of a 0.5 MGD radium, iron, and manganese treatment facility that includes a forced draft aerator, one steel gravity -type filter vessel with detention tank, a backwash retention tank, and high service pumping capacity of 300 GPM. Water Treatment Facility, Maple Plain I Minnesota Project Manager/Lead Process Design Engineer Ryan was responsible for the design of a 1.0 MGD facility to reduce radium, iron, and manganese from the groundwater supply. The project included modifications to the existing water supply well and distribution piping. Water Treatment Plant Improvements Benson, Minnesota I Project Manager/ Process Design Engineer Ryan led a multi -discipline design team in developing this improvements project, including removal and renovation of an existing gravity treatment plant and the addition of a backwash reclamation system. Ryan worked with the Owner and the Public Facilities Authority to secure funding for this project, which included Green Project Reserve Funding for the backwash reclamation aspect of the project. Ryan will continue to serve as project manager through construction completion and commissioning. Stacy Water Treatment Plant I City of Stacy I Stacy, Minnesota I Project Manger Ryan served the City as the project manager for a state of the art water treatment facility designed to reduce radium to drinking water standards. Ryan guided the City through the funding process and was able to secure the maximum grant to loan value through the USDA —Rural Development funding program for the City. The project included construction of a new well, demolition of an existing water tower, construction of the new Water Treatment Plant and modifications to the City Hall to attain ADA accessibility and compliance. The project was substantially completed and passed tests for Radium 226/228 with no detection. City Council 19 — 175 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 Tori Klug PE Hydraulics 6,j,ears of rience Pasadena, California Tori is a multifaceted environmental engineer with six years of experience in water resources planning, management, and governance; drinking water and potable reuse treatment design; and conveyance design. From engineering design to holistic support for water system sustainability, Tori focuses on helping communities harness their strengths and build partnerships with neighbors to work toward water resiliency and climate adaptation. EDUCATION MS, Environmental Sciences and Engineering, University of North Carolina at Chapel Hill, Chapel Hill, North Carolina BS, Environmental Engineering, Cornell University, Ithaca, New York CERTIFICATIONS & TRAINING Technology of Participation (ToP) Facilitation Methods, Institute of Cultural Affairs, Los Angeles, California REGISTRATIONS Professional Engineer#C90697, California PROJECT EXPERIENCE City of Santa Ana Wellhead PFAS Treatment Design Orange County Water District (OCWD) I Santa Ana, California I Process Engineer Tori is supporting the design of four ion exchange drinking water treatment systems for treating perfluorooctanoic acid (PFOA) and perfluorooctane sulfonic acid (PFOS) with cartridge filters as pretreatment, with flow rates ranging from 2,000 to 5,700 GPM. Many of these systems also have onsite hypochlorite generation for which the Stantec team are designing modifications as needed. Tori is leading hydraulic analysis and supporting process treatment design and design coordination. This design work is through an OCWD on -call services contract for pre-treatment (and PFA) design, and Stantec has worked closely with both OCWD and City staff on design and engineering services during construction. Progressive Design -Build Services for San Fernando Groundwater Basin Remediation I Los Angeles Department of Water and Power I Los Angeles, California I Process Engineer The Stantec-Kiewit team is designing and building two groundwater treatment systems to remove contaminants including VOCs and 1,4-dioxane from Basin groundwater. This project's use of the Basin as this natural resource benefits and supports the Department's goal of restoring flows to nearby pump stations. The groundwater treatment systems consist of granular activated carbon and ultraviolet advanced oxidation processes (UVAOP), the systems are organized in units to cater to the suite of contaminants found in sets of wells to optimize treatment and minimize capital and operations and maintenance (O&M) costs. Tori leads the hydraulic design for the treatment systems and coordinates between process, civil, mechanical, and structural disciplines to make key hydraulic design decisions. Hyperion 2035 Program Management Support Services I Los Angeles Sanitation & Environment Los Angeles, California I Process Engineer Tori is supporting Hyperion 2035 Program Management Support Services Task Directive 49, which consists of informing technical studies, enabling projects seeping, and preliminary concept planning to recycle 100% of the flow through the Hyperion Water Reclamation Plant by 2035. Hyperion 2035 aligns with the City's water sustainability goals as per the City's Green New Deal. The project will include conversion of secondary treatment to membrane bioreactors, addition of an advanced water treatment train of ozone, biological activated carbon filters, reverse osmosis (RO), and UVAOP. Tori is conducting analysis to inform design of the intermediate pump station replacement, fine screening, and primary flow equalization. Broadway Road Water Campus Pilot Study and Design I City of Buckeye I Buckeye, Arizona I Process Engineer Tori supported a pilot study to assess different RO configurations and operating conditions. The City's groundwater was brackish with widespread contamination of both nitrate and arsenic. Tori investigated the upper limits of recovery for a conventional RO and a closed-circuit RO system and analyzed pilot data to form inform design of the full-scale system to remove nitrate and arsenic from the groundwater. Given the challenge of brine disposal for inland RO systems, Tori analyzed brine minimization options and calculated costs of brine disposal alternatives available to help inform the City of the full-scale treatment system sustainable options. *denotes pmjectscompee }v s of e� City COUDCIl 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 I A-33 Groundwater Contamination Education Materials` Municipal Urban Stormwater Treatment Facility (LB MUST) I City of Long Beach I Long Beach, California I Process Engineer Water traveling through the City storm drain system contains a series of pollutants, including bacteria, hydrocarbons, metals, and trash that are currently discharged to the Los Angeles River without treatment. By intercepting, diverting, and treating the dry weather urban runoff and the first flush of rainwater runoff, the new LB MUST facility will reduce pollution that would otherwise discharge into the River. The recycled water from the LB MUST Facility will help create and sustain riparian wetland habitat and replace potable water for the irrigation of parks. Tori helped operate a pilot study that demonstrated the ability of the treatment train including ceramic ultrafiltration, iron removal filtration, and advanced oxidation to meet water quality goals and provided important insights about removal of metals and solids. Evaluation of the Distribution System Implications of Source Water Change I Coachella Valley Water District I Coachella, California Process Engineer The District is connecting two currently separate service areas of their distribution system. This will provide new sources of water to an existing service area and replace several aging wells. The District engaged Stantec to evaluate potential issues with corrosivity during the water supply transition. Tori supported a study to use Stantec-developed water quality tools and conceptual frameworks to evaluate a wide array of potential indicators of corrosion. Tori analyzed water quality data; calculated corrosion indices for the current and the proposed water sources, and identified potential adverse impacts to the system and strategies for mitigating them. Tori and the Stantec team considered practical constraints of chemical conditioning and source water blending as corrosion mitigation strategies and held workshops with the District to identify the best strategies to reduce corrosion risk while minimizing changes to their existing treatment and distribution systems. Industrial Groundwater Treatment Feasibility Analysis Confidential Client I Missouri I Process Engineer A confidential industrial client is expanding its system for treatment of contaminated groundwater from two underlying aquifer units. The shallow aquifer has elevated concentrations of volatile organic compounds (VOCs), metals, and 1,4-dioxane; the deep aquifer has elevated levels of VOCs. Currently, groundwater from both aquifer units is treated using air strippers with effluent discharged to the sanitary sewer (shallow aquifer) and reinjected (deep aquifer). Tori and the Stantec team are developing guidance for expansion of the existing treatment facilities to increase the flow capacity to bring additional wells online, and to add ion exchange, adsorption using granular activated carbon, and ultraviolet oxidation processes to treat for metals and 1,4-dioxane in the shallow aquifer. Mt. Crosby Filter Upgrade I Seqwater Brisbane, Australia I Design Engineer Seqwater is rehabilitating filters at their 60 MGD Mt. Crosby Water Treatment Plant that serves the greater Brisbane area, and Stantec is serving as Owner's Engineer. The filter rehabilitation involves the installation of a new filter underdrain designed to distribute flow across the length of the lateral, for which the client has requested extensive vendor testing. Tori has reviewed vendor test methods and data, performed hydraulic analyses to assess test results, and reviewed media specifications to support Seqwater. Public Water Systems, Confidential Client" I Arizona I Design Engineer Tori assisted in the design of two well water systems for a confidential client in Arizona. Both systems were rehabilitated and consist of the following components, submersible well pump, dry chlorination system, potable water day tank, and package booster pump station with hydropneumatic tank. Tori was responsible for developing the hydraulics to select appropriate submersible well pump and package booster pump models for each system. She drafted construction drawings for both projects and worked with the project engineer to develop site layout options and communicate with the client to refine the layout. Tori also assisted in the development of technical specifications and design report for each of the systems and supported coordination with regulatory agencies to acquire permits for the systems. Regional Coordination of the Safe Clean Water Program (SCWP) I LA County Flood Control District Los Angeles County, California Regional Coordinator The District contracted Stantec to serve as regional coordinator of the SCWP which distributes about $300 million across Los Angeles County to be managed by cities, the county, and nine watershed area steering committees in efforts to augment water supply, mitigate water quality degradation, and provide community benefits. Our approach to supporting the regional coordination of the SCWP focuses on developing systems and templates to ease the work of watershed area steering committee, watershed coordinators, and Los Angeles County staff responsible for program coordination. This includes establishing training modules for steering committee members and watershed coordinators, instituting routine watershed coordinators meetings with information sharing and peer -training agendas, and producing template outreach tools for the watershed coordinators to use. Tori is also supporting watershed area steering committees and Los Angeles County by staffing steering committee meetings. City Council *denotes pnrotectscompee of Ms 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 Dan Heston Engineering Services During Construction 32 yearsessional experience Irvine, California r•. Dan has more than 20 years of inspection experience. He began his career as a field technician and quickly advanced to the role of operations manager and construction inspector. Dan has worked on many types of projects as a senior construction inspector, quality assurance and quality control paving inspector, and roadway inspector among others. Dan has worked on freeways, airports, dams, schools, military bases, railroads, housing tracts, and various private and public works projects. He managed a testing lab and oversaw daily operations, including breaking concrete test cylinders, Proctor and Marshall testing, and sieve analysis. Dan has dispatched field inspectors and reviewed daily field and lab testing reports. EDUCATION Attended California State University, Long Beach, California CERTIFICATIONS & TRAINING Nuclear Gage License #23624, CPN, San Clemente, California, 1994 PROJECT EXPERIENCE City of Santa Ana Well 40 PFAS I On -Call Consulting Services for PFAS Treatment Systems Design Orange County Water District (OCWD) I Santa Ana, California I Sr. Construction Inspector/Office Engineer To build an addition to the existing water treatment system, this project encompassed piping for the Ion Exchange Vessels, Booster Pump and Cartridge Filter systems to filter and remove the PFAS from the ground water. Dan inspected the construction of the filter systems, mechanical and electrical systems, building of the CMU walls and fencing for the project yard enclosure, as well as the paving for the site. He managed the monthly pay application and held bi- weekly progress meetings. Dan helped make sure that the construction was performed as per plan and that the work was done in a safe manner. Metro Crenshaw/LAX Light Rail I Los Angeles, California I Sr. Structures/Civil Inspector This project is an 8.5-mile extension light rail from the Exposition Line to LAX. It has eight stations either at, above or below ground with six bridges. Dan's duties consisted of: 1) inspecting the construction of the Guideway and ballast retaining walls, as well as station structures to assist in ensuring that they are built as per plans and specifications; 2) documenting man power, equipment, materials and as built plans; 3) assisting in the monthly progress payments; 4) assisting in track placement inspections; and 5) helping to ensure work was being performed in a safe manner. Orangethorpe Grade Separation I Anaheim, California Sr. Structures/Civil Inspector This project consists of building a bridge over the railway tracks and three bridges over river channels with nine mechanically stabilized earth (MSE) walls to build the grade separation. Dan's responsibilities consisted of: 1) document pile driving, MSE wall construction and bridge structure construction, materials, equipment, man hours and activities being performed on a daily basis; 2) help make sure that the work is being performed to the specifications of the plans and change orders; 3) oversee that the work is being done in a safe manner; and 4) assist in monthly progress payments. 1-405 & SR- 134 Freeway Sound Walls* I Metro I Burbank and Mission Hills, California I Construction Inspector Dan reviewed submittals, RFIs, and pay progress reports. He also tracked labor, equipment, material, and work methods. Dan oversaw the special inspectors and documented their testing to verify the project met contract documents and specifications. The project work included building barriers and sound walls along the freeway. SIR-55/SIR-22Interchange Widening* I Santa Ana, California I Roadway Inspector Dan led inspections for the ramp and bridge widening. He verified the structural excavation and backfills, k-rail placement and constructions signs, and traffic control and striping met plan specifications. He inspected roadway sections, drainage systems, utilities, AC, and concrete placements. Dan also oversaw erosion control and landscapes. enotespmecscompee }v of e� s City Council 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 I A-35 ENTERPRISE AUTOMATION ATETRATECH COMPANY Professional Summary Dave Lewis, PE Primary Location: Irvine, CA Senior Engineer, 28 years experience • With 28 years of Industrial automation and controls utilizing Modicon/Schneider Electric, Allen- Bradley, Barber-Colman/Eurotherm, Siemens, CitectSCADA, Wonderware InTouch, motion control, and VFDs. Specialties include Schneider Electric PLC programming and panel design, installation, and commissioning. Formal Education • Bachelor of Science, Electrical Engineering University of Akron, 1993 Professional Certifications • EcoStruxure Plant Certified - Control Expert Schneider Electric, 2022 • EcoStruxure Plant Certified Modernization — Tools Schneider Electric, 2018 • Licensed Professional in Electrical Engineering State of California Formal Training Wonderware App Server 2014 R2 SP1 Schneider Electric, 2018 Significant Projects Sweetwater Authority Desalination Expansion Served as Engineer on a project to overhaul the SCADA system during the expansion of a reverse osmosis desalination facility. Responsibilities included field investigation of existing systems, the design of 11 new control cabinets for ground water wells and water treatment, the design of upgrade modifications for existing control cabinets, development of work orders to complete the upgrade. Worked in coordination with multiple contractors to perform onsite implementation and startup processes. Sweetwater Authority Water Treatment Facility Control System Upgrade Served as Project Engineer, panel designer and programmer on multiple contracts to upgrade a controls system for a 30M gallon water treatment facility. The projects involved modifications, additions, and upgrades to a redundant CitectSCADA server system, single and multi -monitor clients, historian, and AMPLA system. The scope of work included implementing a new Unity Pro based Modicon plant master PLC with Ethernet based field 1/0. Responsibilities included field investigation of existing systems, field 1/0 panel design, Modicon Unity Pro programming and configuration, CitectSCADA programming, software standards development, software implementation, electrical design, onsite implementation and startup. Rancho California Water District Wastewater Treatment Facility Controls System Documentation Served as Project Engineer to document existing electrical, PLC, and SCADA controls at a 5M gallon waste water treatment facility. This documentation was then used in conjunction with the district to budget and schedule for a multiyear controls system upgrade for the facility. Responsibilities included collecting existing customer as -built drawings and verifying that they matched existing field control panel wiring, developing documentation on all existing control systems, and identification of possible future PLC and remote 1/0 panel locations. ENTERPRIS Ity oTd'n Cl • • 19 _ 17 • 4 ATOR.COM City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 A-36 ENTERPRISE AUTOMATION ATETRATECH COMPANY Dave Lewis, PE • Rancho California Water District Water Pump Station Engine Controls Upgrade Served as Project Engineer to upgrade natural gas engine control panels. The project involved modifications to the existing Unity Pro PLC program to convert from serial Modbus communications to Ethernet based Modbus TCP/IP to gather emissions data for air quality compliance. Responsibilities included PLC programming, network design. Worked in coordination with engine controls contractor to perform onsite implementation and startup processes. • J.R. Simplot Nitric Acid Plant Controls Rehabilitation Project Engineer on contracts valued at $1.5 million to upgrade the controls system at J.R. Simplot's nitric acid plant in California. The upgrades required significant reverse engineering and rehabilitation of the 1/0 and PLC systems comprising of approximately 350 1/0 points and 14 legacy distributed RTUs. Performed design and commissioning efforts to provide 1 new master PLC panel and 4 remote 1/0 panels based on Allen Bradley Controllogix 5000, Flex 1/0 and ControlNet. Developed ControlLogix 5000 PLC code and associated CitectSCADA revisions as legacy PLCs were decommissioned. Responsibilities include SCADA and PLC programming, network design, control panel design, management of client's electricians, quality control procedures, startup and training. Employment History • Enterprise Automation, Irvine, CA, Senior Engineer Sep. 2008 — Present • Bekum America Corp., Williamston, MI, Controls Engineer Oct. 1993 — Aug. 2008 ENTERPRIS Ie oT d'n • • 19 _ 18 • 4 ATOR.COM City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 A-37 ENTERPRISE AUTOMATION A TETRA TECH COMPANY Matt Avila, PMP Primary Location: Phoenix, AZ Project Manager, 10+ years experience Professional Summary Project manager in multiple industries including defense, systems integration, and control systems integration. Graduate from the United States Air Force Academy and served six years as an aircraft maintenance officer in the United States Air Force leading diverse, cross -functional teams. Over two years as a project manager for systems integrators, culminating as a program manager overseeing a large portfolio of projects. Currently a project manager and engineering supervisor for Enterprise Automation. Specific experience with SCADA conversion projects, Master planning, design consulting, and complex scheduling, project budgeting, scope management, and risk analysis. Formal Education • Master of Science in Project Management • Bachelor of Science, Military Strategic Studies Professional Certifications • Project Management Professional (PMP) • ISO 9001 Certified Squadron Officer School Significant Projects Embry Riddle Aeronautical University, 2017 United States Air Force Academy, 2011 Project Management Institute, 2021 2018 2016 • Encina Wastewater Authority Multiple Projects Project Manager running up to 16 concurrent projects- Projects varied in scope and size from a complete upgrade of the Primaries Area, coordinating with multiple contractors (construction, sub- contractors, vendors) across a multi -million dollar/multi-year endeavor to annual support budgets to conduct routine maintenance within dedicated SCADA systems within the Authority purview. • City of San Mateo Annual Support Contract Project Manager of a 5-year Professional Services Agreement to the City of Newport Beach. Established City pain -points and developed multi -year SCADA improvement plan, reducing City outages, operating costs and improving SCADA system reliability. • Siegfried Wonderware Platform Upgrade Project Manager for a SCADA remediation and upgrade project, combined with PLC optimization. Due to the nature of the medical facility, this project required extensive planning around construction and operational impacts, SCADA programming, PLC programming, electrical design, and sub -contractor coordination. • Schneider Energy Sustainability Services SCADA consulting services Project Manager of a multi -million dollar/multi-year/multi-location series of projects targeting waste water treatment facilities within the Los Angeles County Sanitation District. Activities included coordination with multiple contractors (construction, sub -contractors, vendors), master planning, SCADA programming, PLC programming and electrical design consulting for facilities in Valencia and Simi Valley, CA. • Wellhead Corporation Cogen Upgrade Project Manager of a SCADA remediation project at a cogeneration facility located in Fresno, CA. Required extensive commissioning planning in order to minimize operational impacts, PLC programming and flexible on -site support. ENTERPRISE Ity oTd 'n c' if 11J L30DUARD 0 IRVINE,19_ 184 ATOR.COM City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 A-38 ENTERPRISE AUTOMATION A TETRA TECH COMPANY City of Newport Beach Project Manager of a 5-year Established City pain -points outages, operating costs and Matt Avila, PMP Annual Support Contract Professional Services Agreement to the City of Newport Beach. and developed multi -year SCADA improvement plan, reducing City improving SCADA system reliability. Amazon Multiple Projects With a previous employer, Program Manager of $25M+ annual budget across 6 key initiatives, improving end -to -end warehouse logistics within the customer enterprise. Developed projects from Alpha concept, through Beta testing to mass production of machines within defined OEE and cost - analysis parameters. Designed, built and tested multiple independent machines from a mechanical, electrical and controls perspective. • Corning Connector Assembly System With a previous employer, Project Manager of a $2M budget to develop, design, build and test a fully automated connector assembly machine validating 16 key characteristics per part. Capable of producing 150 parts/min with a <3% scrap rate, replacing a previously manual process. Work Experience • Enterprise Automation, Remote, Project Manager Jan 2020 — Present • JR Automation, Holland, MI, Project/Program Manager Nov 2017 — December 2019 • United States Air Force, multiple locations, Officer May 2011 —Nov 2017 • United States Air Force, multiple locations, Enlisted Sep 2005 — Jun 2007 ENTERPRISE Ity oTd 'n c' if IU L30DUARD 0 IRVINE,19_ 184 ATOR.COM City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 A-39 49'A_UT8 ENNTERPRISE MAT10N A TETRA TECH COMPANY Professional Summary Zack Gentry Primary Location: Irvine, CA Controls Engineer II, 7 years experience Zack has 7 years of experience in industrial automation and controls concentrated on water and wastewater. He has acted as a Project Technical Lead for dozens of projects including control system upgrades for water treatment facilities, water distribution site design and implementations, SCADA platform upgrades. His technical knowledge and experience includes designing PLC/SCADA standards, writing site functional descriptions, programming, installation, and commissioning of a variety of systems including CitectSCADA, Modicon/Schneider Electric and Allen Bradley PLCs. Formal Education • Bachelor of Science, Chemical Engineering Cal Poly Pomona, 2015 - Minor in Materials Science and Engineering Professional Certifications • AVEVA CitectSCADA Certified Expert (CSCE) v2018 AVEVA, 2020 • Control Expert Certified Professional Schneider Electric, 2021 • EcoStruxure Plant Certified — PLC Modernization Schneider Electric, 2021 • EcoStruxure Plant Certified — Control System Schneider Electric, 2020 • EcoStruxure Plant Certified — Hybrid DCS Schneider Electric, 2019 • Vijeo Citect Certified Professional (VCCP) Schneider Electric, 2015 • Water Treatment Operator, Grade T2 California State Water Resources Control Board, 2019 • Water Distribution Operator, Grade D2 California State Water Resources Control Board, 2019 Formal Training Courses • AVEVA Predictive Analytics (PRiSM) Training AVEVA, 2020 • Dream Report 5.0 Foundations Training Ocean Data Systems, 2020 Significant Projects City of Newport Beach SCADA System Services Served as Project Technical Lead to support an on -going effort to maintain and improve the City's SCADA infrastructure. The project team worked alongside City staff to develop a long-term strategy to upgrade hardware, security, software, and system performance. An audit of the system was performed to highlight risk areas. A series of projects were conducted to upgrade site communications, replace SCADA servers, and deploy a new alarm dialer. City of Fresno Water Treatment Facility CO2 System Upgrade Served as Project Technical Lead on a project to replace the CO2 system at the NE Surface Water Treatment Facility. This project integrated new equipment into the existing Schneider Electric Quantum and CitectSCADA system for monitoring and control. Responsibilities included all facets of control system implementation including networking, PLC programming, HMI programming, testing, on -site commissioning, and training. City of Santa Ana Groundwater Automation Consulting and Design Services Served as Project Technical Lead on many projects to upgrade the control system of multiple groundwater sites across the city. The project team has developed control system standards and design documentation for groundwater wells, reservoirs, pump stations, lift stations, pressure reducing stations, and system connections to other entities. ENTERPRIS Ity oTd 'n c' it 11J L30DUARD 0 IRVINE,19_ 184 ATOR.COM City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 A-40 ENTERPRISE AUTOMATION A TETRA TECH COMPANY Zack Gentry City of Fresno T3 Surface Water Treatment Plant SCADA Upgrade Served as Project Technical Lead on a project to replace the SCADA hardware and software for the facility's control system. The project updated the software of the plant's six PLCs and consolidated the plant's SCADA system into a single redundant system with standardized graphics. The SCADA platform upgrades included a network re -design with industry best practices, a new Wonderware Historian, automated reports, and automatic alarm dialing. Led the commissioning of the system and supported plant operations staff during startup. Sweetwater Authority Desalination Facility Expansion Served as Engineer on a project to overhaul the SCADA and control systems during the expansion of a 10-million gallon per day reverse osmosis desalination facility. Responsibilities included developing the functional specification (detailed control narrative) for the facility and programming of the Schneider Electric Quantum and M340 Unity -based PLC programs, onsite commissioning, testing, and training. City of Santa Ana Pump Station Control System Replacement Served as Engineer on a project to revamp the control system of 20 MGD pump station within the City's potable water distribution system. Responsibilities included reviewing and revising the functional descriptions for the pump station and other ancillary sites, specification and design of the facility's Schneider Electric Magelis HMIs, programming of the Schneider Electric M340 Unity - based PLC programs, and onsite commissioning and testing. Water Replenishment District Ground Water Improvement Project (GRIP) Served as consulting Engineer for the control system during the design -construction phase of the GRIP facility, an Advanced Water Treatment Facility (AWTF) designed to treated approximately 10,000 acre feet of tertiary water annually. Provided consulting services to review the following: control panel & control networking implementation, PLC code, SCADA screens, alarm dialing, and reporting. Maintained WRD's SCADA control system standard library and managed standard change requests related to SCADA/PLC. • Encina Wastewater Authority Wastewater Facility SCADA Replacement Design Served as Engineer on a project to replace the SCADA and controls system of a wastewater facility serving over 400,000 residents. Responsibilities included investigation of the existing control system to identify areas for networking and control systems improvements and designing, documenting, programming and testing of SCADA and PLC standards. • City of Fresno NE Surface Water Treatment Plant SCADA Upgrade Served as Engineer on a project to upgrade obsolete hardware and software for facility's control system. Responsibilities included conversion of the existing Hot Standby Quantum PLC program from Concept v2.6 to Unity Pro v11.0, reverse engineering of the communications between the plant's main Quantum PLC and various obsolete field devices, re -programming the field device communications using Ethernet and serial, and programming the plant's main Quantum PLC to control 18 additional valves, providing on -site support during commissioning and testing. Sweetwater Authority Storage Tank Fill Control Reprogramming Served as Engineer on a project to revise the control strategy used to automate the filling cycles of a 4-million-gallon water storage tank. Responsibilities included modification of the functional specification, modification of Modicon Momentum and Quantum PLC programs, revisions to the Modbus serial radio communications configuration, modification of Modicon Magelis OIT programs, modification of a CitectSCADA HMI, and onsite commissioning and testing. ENTERPRIS Ity oTd 'n c' if 11J L30DUARD 0 IRVINE,19_ 1g4 HUNE (V'+Y) / OY-=F774757 ATOR.COM City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 A-41 33 Years of Industry Exp. Djan Chandra, PE GE Senior Principal Engineer Djan's area of expertise includes foundation design, soil reinforcement, slope stability analysis, and pavement design/rehabilitation. With 33 years of experience, he has successfully completed wastewater and waterworks projects throughout Southern California for many sanitation and water agencies. His extensive experience in design and application of geosynthetics reinforcements in geotechnical engineering, including over steepened slopes, pavement subgrade stabilization, and segmental retaining walls, has been proven an asset on a variety of projects. M.S., Civil Engineering, Texas Serrano Water District Wells 3 and 5 PFAS Treatment Plant, Villa Park, CA. A&M university, CollegeStation, Texas Geotechnical Engineer for a PFAS treatment plant that includes six 12-foot B.S., Civil Engineering, Chung diameter GAC vessels supported on a concrete pad and the associated piping and Yuan Christian university, site paving. Conducted field exploration consisting of two hollow -stem auger Taiwan borings to refusal depths of 11 to 15 feet into the gravel and cobble layers. Prepared a geotechnical exploration report with recommendations for site grading, seismic and foundation design parameters, and pavement. CA Registered Geotechnical Well 1A PFAS Treatment Facility, City of Fullerton, CA. Geotechnical Engineer for a Engineer#2376 PFAS treatment facility that includes four 12-foot diameter, ion -exchange (IX) CA Registered Civil Engineer vessels supported on a concrete pad and a pre -filtration system- Drilled and #S0068 sampled two exploratory borings to a depth of 261/2 feet. Provided geotechnical 40-Hour cal -OSHA Health recommendations for the project and prepared a report presenting the findings, and Safety Training conclusions, and recommendations. Provided oversight for geotechnical and special inspection and testing services during construction. Main Plant PFAS Treatment Facility, City of Fullerton, CA. Geotechnical Engineer for a PFAS treatment facility for Wells 3A and 5 through 8 at the City's Main Plant. The new facility includes 16 to 20 new ion -exchange (IX) and/or GAC vessels with new supply and waste tanks supported on concrete pads. The geotechnical exploration also evaluated an alternative location within the plant, which is also being considered as a permanent location for additional 20 new vessels. Advanced six borings to depths of 111/2 to 261/2 feet and collected soil samples for laboratory testing. Provided oversight and coordination with the City, subcontractors, and project civil engineers for the field exploration and development of the geotechnical recommendations for the project. Yorba Linda Water District Headquarters PFAS Treatment Facility, Placentia, CA. Geotechnical Engineer for a PFAS treatment facility for Wells 1, 5, 7, 10, 12, 18, and 19 at the District's headquarters that consists of 6 pre- treatment vessels and 22 new ion exchange (IX) vessels. Each vessel is 12-foot in diameter and 16.5-foot tall, supported on a 2.5-foot-thick mat foundation. Other improvements include a booster pump station, new piping, equipment, and site paving. The field exploration included exploratory borings to a depth of 50 feet since the site is located in a liquefaction zone. Developed geotechnical recommendations for the project, including mitigation measures for liquefaction potential, prepared a geotechnical exploration report, and provided inspection and testing services during construction. The project is one of the largest PFAS Systems of its kind to be installed in the country and can produce 19 million of treated groundwater per day. City Council 19 — 185 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 A-42 Yorba Linda Water District Well No. 20 and Well No. 21 PFAS Treatment Plants, Anaheim, CA. Geotechnical engineer for PFAS treatment plants at the two well sites located diagonally across a groundwater spreading basin. Well No. 20 will have four ion -exchange (IX) vessels or six GAC vessels with a GAC backwash supply tank, and a GAC backwash waste tank. Well No. 21 will have four IX vessels. Three borings were drilled to a maximum depth of 50 feet. Geotechnical challenges included loose soils, shallow groundwater, and liquefaction potential. Prepared a geotechnical exploration report presenting findings, conclusions, and recommendations for the project. GAC Vessels, San Juan Capistrano Valley Water District, San Juan Capistrano, CA. Project Geotechnical Engineer for 8 steel vessels added to an existing water treatment facility. The vessels, each approximately 10 feet in diameter and weighing 150,000 pounds, were placed in a single row and supported on a mat foundation system. Performed field exploration consisting of two Cone Penetrometer Test (CPT) soundings to a depth of 50 feet, developed mitigation measure for liquefaction potential and recommendations for foundation design, and prepared a geotechnical exploration report. During construction, provided compaction testing and concrete sampling and testing services. Well 38 PFAS Treatment Facility, City of Santa Ana, CA. Geotechnical Engineer for a PFAS treatment facility that includes four 12-foot diameter, ion -exchange (IX) vessels supported on a concrete pad and a pre -filtration system. Drilled and sampled two exploratory borings to a maximum depth of 50 feet. Evaluated liquefaction potential at the site and developed geotechnical recommendations for design and construction of the project. Serrano Water District PFAS Water Treatment Plant, Villa Park, CA. Associate Engineer. Leighton conducted a geotechnical engineering exploration for the Serrano Water District Wells 3 and 5 PFAS Treatment Plant. Our team explored the subsurface conditions at the well site in order to provide geotechnical recommendations to aid in design and construction of the project. The project included six 12-foot diameter GAC vessels supported on a concrete pad. Other improvements include the associated piping and site paving. Additional PFAS Project Experience • Kimberly Well 2 PFAS Water Treatment Plant, Orange County Water District, Fullerton, CA • Sunclipse 10 PFAS Water Treatment Plant, Orange County Water District, Fullerton, CA • Santa Ana Well 40 PFAS, Santa Ana, CA • Santa Ana Crooke Station Wells 27, 28, and 31, Santa Ana, CA • IRWD Well ET-1 PFAS Water Treatment Plant, Irvine Ranch Water District, Irvine, CA • Downey Wells 4, 11, and 2, PFAS, Downey, CA • IRWD Shallow Groundwater Unit (SGU) PFAS Treatment Plant, Irvine Ranch Water District, Irvine, CA City Council 19 — 186 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 Christian Delgadillo, PE, GE Christian has experience in geotechnical engineering, construction observation, testing, data analyses, and report preparation for various types of public works, transportation, governmental and utility projects. His responsibilities include managing, coordinating and conducting subsurface investigations and develop 12 cross sections by logging and sampling hollow -stem auger borings and rotary wash borings, and supervising cone penetration testing (CPT), preparation of laboratory Years of Industry Exp. assignments, analyze computer models to predict slope stability for natural and lar manmade slopes, perform earthquake induced liquefaction and settlement analysis and identify the potential hazards, pavement rehabilitation and/or reconstruction MS, Civil Engineering, design, develop recommendations for design, grading, and construction of various California State Polytechnic University, Pomona types of projects. His construction observation experience includes tie -back testing, sS, Civil Engineering, overseeing full displacement cast in situ pile installation and testing, soil nail California state Polytechnic installation and testing, temporary soldier pile driving, and micropile installation University, Pomona and testing. He has an in depth understanding of advanced soil mechanics, subsurface interpretation, seismic hazard analyses, site specific ground motion, • expansion potential, liquefaction evaluation, slope stability, shallow and deep CA Civil Engineer#83331 foundations, in situ testing and geotechnical instrumentation, pavement design CA Geotechnical Engineer and geotechnical engineering, in situ permeability determination, and laboratory #3144 analysis of soils. Yorba Linda Water District Headquarters PFAS Treatment Facility, Placentia, CA. Project Engineer for a PFAS treatment facility for Wells 1, 5, 7, 10, 12, 18, and 19 at the District's headquarters that consists of 6 pre- treatment vessels and 22 new ion exchange (IX) vessels. Each vessel is 12-foot in diameter and 16.5-foot tall, supported on a 2.5-foot-thick mat foundation. Other improvements include a booster pump station, new piping, equipment, and site paving. The field exploration included exploratory borings to a depth of 50 feet since the site is located in a liquefaction zone. Developed geotechnical recommendations for the project, including mitigation measures for liquefaction potential, prepared a geotechnical exploration report, and provided inspection and testing services during construction. The project is one of the largest PFAS Systems of its kind to be installed in the country and can produce 19 million of treated groundwater per day. Serrano Water District PFAS Water Treatment Plant, Villa Park, CA. Project Engineer. Leighton conducted a geotechnical engineering exploration for the Serrano Water District Wells 3 and 5 PFAS Treatment Plant. Explored the subsurface conditions at the well site in order to provide geotechnical recommendations to aid in design and construction of the project. The project included six 12-foot diameter GAC vessels supported on a concrete pad. Other improvements include the associated piping and site paving. Well 1A PFAS Treatment Facility, City of Fullerton, CA. Project Engineer for a PFAS treatment facility that includes four 12-foot diameter, ion -exchange (IX) vessels supported on a concrete pad and a pre -filtration system. Drilled and sampled two exploratory borings to a depth of 261/2 feet. Provided geotechnical recommendations for the project and prepared a report presenting the findings, conclusions, and recommendations. Provided geotechnical and special inspection and testing services during construction. City Council 19 — 187 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 A-44 Yorba Linda Water District Well No. 20 and Well No. 21 PFAS Treatment Plants, Anaheim, CA. Project engineer for PFAS treatment plants at the two well sites located diagonally across a groundwater spreading basin. Well No. 20 will have four ion -exchange (IX) vessels or six GAC vessels with a GAC backwash supply tank, and a GAC backwash waste tank. Well No. 21 will have four IX vessels. Three borings were drilled to a maximum depth of 50 feet. Geotechnical challenges included loose soils, shallow groundwater, and liquefaction potential. Prepared a geotechnical exploration report presenting findings, conclusions, and recommendations for the project. Well 38 PFAS Treatment Facility, City of Santa Ana, CA. Geotechnical Engineer for a PFAS treatment facility that includes four 12-foot diameter, ion -exchange (IX) vessels supported on a concrete pad and a pre -filtration system. Drilled and sampled two exploratory borings to a maximum depth of 50 feet. Evaluated liquefaction potential at the site and developed geotechnical recommendations for design and construction of the project. Main Plant PFAS Treatment Facility, City of Fullerton, CA. Project Engineer for a PFAS treatment facility for Wells 3A and 5 through 8 at the City's Main Plant. The new facility includes 16 to 20 new ion -exchange (IX) and/or GAC vessels with new supply and waste tanks supported on concrete pads. The geotechnical exploration also evaluated an alternative location within the plant, which is also being considered as a permanent location for additional 20 new vessels. Advanced six borings to depths of 111/2 to 261/2 feet and collected soil samples for laboratory testing. Additional PFAS Project Experience • Santa Ana Well 40 PFAS, Santa Ana, CA • Santa Ana Crooke Station Wells 27, 28, and 31, Santa Ana, CA • IRWD Well ET-1 PFAS Water Treatment Plant, Irvine Ranch Water District, Irvine, CA • Downey Wells 4, 11, and 2, PFAS, Downey, CA • IRWD Shallow Groundwater Unit (SGU) PFAS Treatment Plant, Irvine Ranch Water District, Irvine, CA City Council 19 — 188 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 Design with community in mind City Council 19 — 189 4/4/2023 EXHIBIT C City Council 19 — 190 4/4/2023 Fee Proposal for On -Call Engineering Design Services for HAS Treatment Systems FEE PROPOSAL CITY OF SANTA ANA I RFP NO. 22-133 NOVEMBER 17, 2022 m ima �I G. Fee CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS APPENDIX ATTACHMENT 2: FEE PROPOSAL Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposal. I have examined the ATTACHMENT 1: 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 shall submit hourly rates schedule, which shall include but not limited to, direct and indirect costs for labor, for staff per job classification, material, equipment rates, overhead, incidental supplies, travel, mileage, and fuel. Any special materials will be purchased by the contractor only after discussed and authorized by the City projects manager or designee in writing. Prior to commencement of services, Contractor shall provide separate quotes, upon request by the City, which shall be approved by the City's Public Works Water Resources Division. FEE SCHEDULE The undersigned declares that he/she has carefully examined the request for proposal, that he/she has examined the Proposed Scope of Services, and hereby proposes to furnish all material and do all the work required to complete the said work in accordance with said Proposed Scope of Services, for the unit price(s) set forth in the following schedule: Note: This contract is subject to prevailing wages. TO: CITY COUNCIL OF THE CITY OF SANTA ANA FROM: Stantec Item # Bid Item Unit Quantity Amount Well 26 (Located at 1730 S. Santa Fe, Santa Ana, CA 92705) Please refer to the APPENDICES A, B, and C for further details on Well 26 and East Station Reservoir Site 1. Planning Study EA 1 $ 134,860 2. Draft Design Report (10% Design) EA 1 $ 71,843 3. Final Design Report (30% Design) EA 1 $ 98,309 4. 60% Design Submittal EA 1 $ 125,065 City of Santa Ana RFP 22-133 City Council[eelD�s 4 — 1 3 4/4/2023 Page 2 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS 5. 90% Design Submittal EA 1 $ 981981 6. Final Design Submittal EA 1 $ 37,636 7. Bid Phase Services EA 1 $ 25,272 8. Engineering Services During Construction EA 1 $ 107,296 Total rates along with fee schedule. Contractor's labor and equipment rate sheet all labor designations, equipment and materials. BIDDER INFORMATION: Legal Company Name: Stantec Consulting Services Inc. Complete address: 38 Technology Drive I Irvine CA 92618-5312 Phone Number: (949) 328-2405 Email Address Authorized Signature: jim.cathcart@stantec.com Name: James A Cathcart, PC, F. ASCE Title: Project Manager/Principal Agent/Senior Principal 699,262 I list rates for City Council 19 — 194 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO.22-133 FEE-2 aaa larol eay�a,�o=n^s e,Ba1q walaRs �oBewol^v aeya,aws n,ry nsuuay^s laannpaloap Bu!Ynsuo7 uo1yB!a� slso> Ya,!p,aylp aaa aaluels map u wad ,^S rtgyaoys ^^eer .aBeyaw Ran,^s Sltl'wnoyeS 6e,p ,aue!e plea^Ya13,o!ua5 31e�!Ya13 3d''6uoM aan,g slowo7 Yelwtl,awS 9,e W 11,eu6!ce0 am 'M RVuaM 3d alIIIguOpawaw^115e1 3d'e,eyue5 uele,epell alogyo MITI 3tl I.s.IlVd-II4d , ,piaO >n!uaS ro 1116y31e1n1+ M9 ai6u31e,nYrv,S 35 �!l uow!S au6!sepl!n!J lnra a11S 17'eyaaw 51. ssaao,a 3tlm 'glaep ueRy Jaaul6u3 ssaao,d aa!I!4d "IV ayne,pRH 3tl'6^IN!,ol awBV3 Yalo,d 3tl ya!reM qop s,onlnpy lealuyael B^3 Yalwd sa naoeoeH.aRi 'U.-laa!au!,a1e6I nab,a 3a >,aana� e�!r C Cl) N O N V V CD T CD T 5 Stantec SCHEDULE OF BILLING RATES —2023 (USD) Billing Hourly Description Level Rate Junior Level position 3 $122 ❑ Independently carries out assignments of limited scope using standard procedures, methods and 4 $129 techniques ❑ Assists senior staff in carrying out more advanced procedures .5 $145 ❑ Completed work is reviewed for feasibility and soundness of judgment ❑ Graduate from an appropriate post -secondary program or equivalent ❑ Generally, one to three years' experience Fully Qualified Professional Position 6 $150 ❑ Carries out assignments requiring general familiarity within a broad field of the respective profession ❑ Makes decisions by using a combination of standard methods and techniques 7 $164 ❑ Actively participates in planning to ensure the achievement of objectives 8 $170 ❑ Works independently to interpret information and resolve difficulties ❑ Graduate from an appropriate post -secondary program, with credentials or equivalent ❑ Generally, three to six years' experience First Level Supervisor or first complete Level of Specialization 9 $178 ❑ Provides applied professional knowledge and initiative in planning and coordinating work programs 10 $187 ❑ Adapts established guidelines as necessary to address unusual issues ❑ Decisions accepted as technically accurate, however may on occasion be reviewed for soundness of 11 $200 judgment ❑ Graduate from an appropriate post -secondary program, with credentials or equivalent ❑ Generally, five to nine year' experience Highly Specialized Technical Professional or Supervisor of groups of professionals ❑ Provides multi -discipline knowledge to deliver innovative solutions in related field of expertise 12 $211 ❑ Participates In short and long range planning to ensure the achievement of objectives 13 $220 ❑ Makes responsible decisions on all matters, including policy recommendations, work methods, and financial controls associated with large expenditures 14 $238 ❑ Reviews and evaluates technical work ❑ Graduate from an appropriate post -secondary program, with credentials or equivalent ❑ Generally, ten to fifteen ears' experience with extensive, broad experience Senior Level Consultant or Management ❑ Recognized as an authority in a specific field with qualifications of significant value 15 $250 ❑ Provides multi -discipline knowledge to deliver innovative solutions in related field of expertise ❑ Independently conceives programs and problems for investigation 16 $267 ❑ Participates in discussions to ensure the achievement of program and/or project objectives 17 $275 ❑ Makes responsible decisions on expenditures, including large sums or implementation of major programs and/or projects ❑ Graduate from an appropriate post -secondary program, with credentials or equivalent ❑ Generally, more than twelve years' experience with extensive experience Senior Level Management under review by Vice President or higher 18 $276 ❑ Recognized as an authority in a specific field with qualifications of significant value ❑ Responsible for long range planning within a specific area of practice or region 19 $286 ❑ Makes decisions which are for reaching and limited only by objectives and policies of the organization 20 $296 ❑ Plans/approves projects requiring significant human resources or capital investment ❑ Graduate from an appropriate post -secondary program, with credentials or equivalent 21 $314 ❑ Generally, fifteen years' experience with extensive professional and management experience Expert Witness Services carry a 50% premium on labor. Overtime will be charged at 1.5 times the standard billing rate. All labor rates will be subject to annual increase T-3 223 City Council 19 — 197 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PEAS Treatment Systems REP NO. 22-133 Intentionally blank page City Council 19 — 198 4/4/2023 City of Santa Ana I On -Call Engineering Design Services for PFAS Treatment Systems RFP NO. 22-133 Design with community in mind City Council 19 — 199 4/4/2023 EXHIBIT 3 AGREEMENT WITH EEC ENVIRONMENTAL TO PROVIDE ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS FOR THE CITY OF SANTA ANA THIS AGREEMENT is made and entered into on this 4th day of April, 2023 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. On September 29, 2022, the City issued Request for Proposal ("RFP") No. 22-133, by which it sought qualified consultants to provide on -call engineering design services for PFAS treatment systems for the City's Public Works Agency. B. Consultant submitted a responsive proposal that was among those selected by the City. Consultant represents that it is able and willing to provide the services described in the scope of work that was included in RFP 22-133. 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 On an on -call basis, and at the City's sole discretion, Consultant shall perform the services described in the scope of work that was included in REP No. 22-133, which is attached hereto as Exhibit A and incorporated in full, and further delineated in Consultant's proposal, attached hereto as Exhibit B and incorporated in full. 2. COMPENSATION a. City neither warrants nor guarantees any minimum or maximum compensation to Consultant under this Agreement. Consultant shall be paid only for actual services performed under this Agreement at the rates and charges identified in Exhibit C. Consultant is one of three (3) consultants selected to provide engineering design services for PEAS treatment systems on an on -call basis under REP 22-133. The total compensation for these services provided by all such consultants selected under REP 22-133 shall not exceed the shared aggregate amount of Three Million, Dollars and Zero Cents ($3,000,000) during the term of the Agreement, including any extension periods. 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 City Council 19 — 200 4/4/2023 be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. 3. TERM This Agreement shall commence on the date first written above and terminate on April 3, 2026, unless terminated earlier in accordance with Section 16, below. The term of this Agreement may be extended for up to two (2), one-year periods upon a writing executed by the City Manager and City Attorney. 4. PREVAILING WAGES Consultant 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, Consultant agrees to fully comply with such Prevailing Wage Laws. Consultant 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. 5. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. 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 City Council 19 — 201 4/4/2023 within the purposes intended by this Agreement shall be at City's sole risk. 7. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Minimum Scope and Limit of Insurance (1) Commercial General Liability (CGL): Insurance Services Office Form CG 00 Ol covering CGL on an "occurrence" basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregatelimit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit. (2) Automobile Liability: ISO Form Number CA 00 01 covering any auto (Code 1), or if Consultant has no owned autos, hired, (Code 8) and non -owned autos (Code 9), with a limit no less than $1,000,000 per accident for bodily injury and property damage. (3) Workers' Compensation: as required by the State of California, with Statutory Limits, and Employer's Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease. (4) Professional Liability (Errors and Omissions): 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 $2,000,000 per claim and a $2,000,000 aggregate. (5) Broader Coverage: if the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by the Consultant. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. b. Other Insurance Provisions (1) Additional Insured Status: The City, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Consultant including materials, parts, or equipment furnished in connectionwith such work or operations. General liability coverage can be provided in the form of an endorsement to the Consultant's insurance (at least as broad as ISO Form CG 20 10 1185 or if notavailable, through the addition of both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 if a later edition is used). City Council 19 — 202 4/4/2023 (2) Primary Coverage: For any claims related to this contract, the Consultant's insurance coverage shall be primary coverage at least as broad as ISO CG 20 0104 13 as respects the City, its officers, officials, employees, and volunteers. Any insurance or self- insurance maintained by the City, its officers, officials, employees, or volunteers shall be excess of the Consultant's insurance and shall not contribute with it. (3) Notice of Cancellation: Each insurance policy required above shall provide that coverage shall not be canceled, except with notice to the City. (4) Waiver of Subrogation: Consultant hereby grants to City a waiver of any right to subrogation that any insurer of said Consultant may acquire against the City by virtue of the payment of any loss under such insurance. Consultant agrees to obtain any endorsement that may be necessary to affect this waiverof subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer. (5) Self -Insured Retentions: Self -insured retentions must be declared to and approved by the City. The City may require the Consultant to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self -insured retention may be satisfied by either the named insured or City. (6) Claims Made Policies: If any of the required policies provide coverage on a claims -made basis, the following applies: i. The retroactive date must be shown, and must be before the date of the contract or the beginning of contract work. ii. Insurance must be maintained and evidence of insurance roust be provided for at least five (5) years after completion of the contract of work. iii. if coverage is canceled or non -renewed, and not replaced with another claims - made policy form with a Retroactive Date prior to the contract effective date, the Consultant must purchase "extended reporting" coverage for a minimum of five (5) years after completion of work. (7) Acceptability of Insurers: Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best's rating of no less than A:VII, unless otherwise acceptable to the City. (8) Verification of Coverage: Consultant shall furnish the City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage requiredby this clause) and a copy of the City Council 19 — 203 4/4/2023 Declarations and Endorsement Page of the CGL policy listing allpolicy endorsements to City before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive the Consultant's obligation to provide them. The City reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time. (9) Subcontractors: Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Consultant shall ensure that City is an additional insured on insurance required from subcontractors. For CGL coverage, subcontractors shall provide coverage with a form at least as broad as CG 20 3804 13. (10) Special Risks or Circumstances: City reserves the right to modify these requirements, including limits, based on the nature oftherisk, prior experience, insurer, coverage, or other special circumstances. 8. 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. 9. 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. City Council 19 — 204 4/4/2023 10. 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 daring 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 tinder this Agreement. 11. 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. 12. 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. 13. NON-DISCRIMINATION 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. City Council 19 — 205 4/4/2023 14. 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 ternls of this Agreement and any attachments hereto, the ternls 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 ternls 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. 15. 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 mull 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. To 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. 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, City Council 19 — 206 4/4/2023 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 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. 20. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be property given if delivered in person or mailed by first class or certified mail, postage prepaid, or sentby fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax: 714- 647-6956 With courtesy copies to: Executive Director, 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 Consultant: EEC Environmental Attn: Will Shaffer, Project Manager 1 City Boulevard West, Suite 1800 Orange, CA 92868 wshaffer ,eecenvironmental.com City Council 19 — 207 4/4/2023 A party may chanjZe its address by giving nptiim in writing to the rather party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, canamunicedup shall be offcctivc or deemed to have been given there (3) dzvs after it has been deposited in the United States mai 1. duly registered or cc4i 1110d, wit]) postage pftpaid, and addressed a$ set forth above. I f sent by fax, communication shall be ef%ctive or &wL nod la have Leon given twenty-four(24) hours after the time set Furth on tive transmission report issued by the Iranswittin.g facsimile machine, addressed as set Earth above. FoT purposes of calculating these 11 me frames, weekends,. federal, state, County or City holidays shad be excluded. 21. M194CELLANEOVS PROVISIONS a_ F.sch undersigned represents and warrants that its signature here its below has the: power, authority and right to bik their respective patties to each r f the to rms of this Agrccmcni, 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 6 withdrawn. b. All Fxb ibits rcfffmccd herein and attached hereto shal I be incorporated as if fully set Ennh In the body of this Agreement. IN W Cli+1ESS WHEREOF. the partics hereto have executed this Agreemernt the date and year first above written. ATTEST; CITY OF 5AJNTA ANA Jennifer Hall Clerk orthe Council APPROVFII AS TO FORT{: SONIA R. CARVALHO City Attorney By: BrandnW-Salyatierra Deputy City Attorney RFCOh7hfFC DF.11FOR APPROV,AL-, NaNI Saba Executive Dimeclor Public Works Agency Kristine Midge City Manager CONSULTANT Jim Kolk Principal City Council 19 — 208 4/4/2023 EXHIBIT A City Council 19 — 209 4/4/2023 CITY OF SANTA ANA RFP FILL: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT $YSTkM SCOPE OF WORK A. INTRODUCTION AND BACKGROUND The City of Santa Ana Public Works Agency— Water Resources Division oversees and maintains the daily operations of the Water System .and Sanitary Sewer System, The City's water system has an average day dernand cif aboiut 30 million gallons (MC) with 45,000 services- It is Go mprised of approximately 478 miles of water main, 45 MG of storage at five (5) sites, seven (7) MWD connections. 21 groundwater wells, seven (7) pump stations. four (4) pressure regulating stations and utilizes two (2) pressure zones. The purpose of this Request for Proposals (ftFP) is to solicit on -call consulting and engineering design services for per- and polyfluoroalkyl substances (PFAS) treatment facilities from qualified engineering firms, The City is currently using Ian Exchange (DC) ,pressure vessel treatment and will employ this method of advanced water treatment for PEAS at future sites impacted by the cvnstilluent of concern. 13 CDNSVI,TANTRESPONSIBILITIES The Consultant shall provide all labor, materials, services, and equipment necessary for the services described herein- The Consultant shall possess all Federal, State and Local permits, licenses, and approvals necessary to provide good/.services required M the Scope of Work, The Consultant chosen to provide the engineering design services for the PFAS IX treatment facilities must demonstrate familiarity, knowledge, and experience in PFAS matters, In addition, the Consultant shall take into atx t" current and potential future regulation of emerging contaminants identified through the Environmental Protection Agency's Unregulated Contaminant Monitoring Rure (UCIVIR), the Department of Drinking Water Monitoring Orders, and any additional regulations by the California Stale Waster Resources Control Board and The EPA. G- SCOPE OF SERVICES The City is seeking qualified Consultants to provide engineering and mnsu Iting services rr>r PFAS Treatment System besigns at va nous potable ground water silos. The Consultant shall be capable of pr+aviding all tasks listed in the scope of services. 1. PLANNING STUDYANO CONSULTING SERVICES The Consultant shall perform a Planning 5hAy for the City in which the number of wells impacted by PFAS, ftiir location, and areas available for a treatment system(s) and truck access would be examined. The Planning Study world determine how the treatment systems) would be integrated Into the Gigs existing operations, detemmine If a centralized treatment plant is feasible for combining wells, provide allemative design options, assess the potential for Mending, provide initial support for penmittirg and develop capital costs associated With potential land acquisition. permitting, pipeline connections and system integratlon. In general, City of Sarvta Area RFP 22-133 Or) -Call Ez ai,reerir,,Q Qeman Serwices I& PFAS Trearmeric Svslams City Council 14 19 — 210 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 CIN LCALL ENGINEERING dOESIGN SERVICES FOR PFAS TREATMENT SYSTEMS the scope of work shall include the fplloyAng for the Planning Study: A. MANAGEMENT ACTIVITIES The Consultant shall conduct project management activities to ensure adherence to budget and schedule. The Consultant shall coordinate and attend meetings with City staff pertaining to the project kickoff, reviewing draft reports, and as needed to prepare and address project inquiries and issues_ In addition, the Consultant shrill provide meeting minutes for each meeting as well as biweekly updates of progress to the City. 0. WELL ASSESSMENT AND OTIAL TREATMENT DESIGN The Consultant shall gather information on the City's groundwater conveyance systems, impacted wells, reservoirs, imported water connections, and conduct site visits per the City's request to determine available area of land for the PFAS treatment systerrr sj as well as determine haw the treatment systems} will be integrated into the Citys existing operations, The Consultant shall also review any existing and available information on the Cilys historical PFAS bench- and pilot -scale testing as well as historical Planning Studies perfomtied and existing PFAS treatment facility layguts, and adhere to the standards set therein. In the preliminary Planning Study, the Consultanl shall prol.Ade a conceptual layout tpr each requested l+ocafion by the City based on existing ion exchange (I%) treatment systems (Aqueo(JS Vets System rated for 150 PSI)_ For all IX wellhead treatment designs, the Consultant shall incducle cartridge filter pre-trealment, a sand separator, IX lead -lag system capable of addressing the wetd(s)'s gallon per minute capacity, an emergency generator, and an additional sound attenuated booster pump to combat the head loss experienced through the new treatment system C. PERMIT ASSESSMENT The Consultant shall perform an initial permitting assessment to understand any requrreamments. as well as develop a list of required permits (include permit description, issuing regulatory agency, summary of permit requirements, and permit acquisition hm,elines). D. FEASIBILITY STUDY The Planning Study shall possess a Feasibility Study in which the Consultant shall investigate hydraulic conditions of existing wells and determine what modifications to existing well pumps and transmission systems (booster pumps) will be necessary, if any, for the installation of the proposed PFAS wellhead treatment facilities. E, COST ESTIMATES City of Santa Ana iF 22-133 gn�Call City Council 115 19-211 4/4/2023 CITY OF SANTA ANA RFP NO,: 22-133 ON -CALL ENGINEERING DESIGN SERVICE$FOR PFAS TREATMENT SYSTEMS The Consultant shall provide cost estimates for The treatment facility equipMenl, any necessary rand acquisition to accommodate a treatment systems), permitting, plumbing connections, transmission alignments and system integration The Consultant shall also include capital. maintenance and operation coal estimates ter IX treatment system(s). F. PRELIMINARY SCHEDULE The Consultant shall develop a preliminary phasing schedule for construction in the Planning Study. The plan is intended to provide the City a schedule and projected annual outlays for FnanraaI planning- In the preliminary schedule, the Consultant shall include the anticipatedduration of caonstruotion as well as any necessary utility extensions required. G. FINAL REPORT The fnar report shall Include i;tiscussion of all items listed herein and shall be submitted to the City for review and Gbmments. The Consultant shall provide a P❑l• digital copy of the preliminary report and shall incorporate all comments made by the City prior to submiKing of the final report. In addition to the aforementioned items, the final report shall also include one or more sections summarizing major findings, any significant challenges or common themes relevant to the iCity's system, and reco miend any future actions by the City as next staps towards PFAS treatment implementation. The report shall contain descriptions of vpefaWn and maintenance such as IX resin frequency of change out, equipment details, sampWana,lysis frequency, and what staff augmentatioNoertlflcation is required, 2. DESIGN PHASES Once the planning Study has been completed, the Consultant shall provide design services irbdudin9 preparation of design sheets, specftations and permitting. Al submittalls described herein shall be provided in the form of a P❑F digital copy (fulksiaze). The design phases shall include, but are not limited to the following; Items, A, t)RAFT DESIGN REPORT (10% DEMN SUBMITTAL) The Contractur is required to create a Preliminary Design Report (PDRj based on the Planning Study for each trealrneiM site requested by the City. The POR shall be raansidefed a 10% design level package forthe piiojeot in which the IX wellhead treatment project goals and design criteria are addressed with alternatives, analysis and potential risks. B. FINAL DESIGN REPORT (30% DESIGN SUBMITTAL) After the City defines the major design elements of the project and refines the projot's scoM schedule and budget expressed in the preliminary design report. the Consultant shall develop the Rnar Design Report- The Final Design Deport shall be considered a 30% design - -- Qity cf 13anta Ana RFP22-133 on -Cali E ngineer rig [Design services rm PFAS Trealrnent Systemt City Council page I i 19 — 212 4/4/2023 CITY OF SANTA ANA RFP NO- 22.133 GM -GALL ENGINEERING DESIGN SEMACES FOR FFAS TREATMrEN SYSTEMS levgl package for the project in which the IConsuMM provides a refined project budget. cosl estimate and project schedule that the City Can commit to- Land acquisitions, fatal flaws, and the finalized design criteria shall be incorporated into the Final Design Report, C. 60% DESIGN SUBMITTAL After receiving and incorporating comments provided by the City on the 30% Design Submittal, Ifte Conlraclor shall provide an updated 60% Design Submittal in which expectations and objections are finalized of the project as; well as confirmation of constructoW ty+ and permit requir ments. The Consultant shall also provide plans and specifications as will as an engineering cost estimate. The Consultant sha It also implement acoeptabre value engineering requirements (it applicable) and idenlify preferred equipment and matertars. D. 00%RESIGN SUBMITTAL The Contractor shall provide 90% Design Plans with the complete pm)ect design, including plans and ,specifications, subject to review comments by the City and any other potential stakeholders. The 90% Design Package shall confirm the bid availability of the project, possess an engineer's cast estimate for the bid, and finalize the building permit package (when app6rable). The Consultant shall also provide a Commissioning Plan in the 90% Design Submittal in which the goals, systems, and commissioning processes are iden4fied- E. FINAL DESIGN i100% DESIGN SUBMITTAL) In the final design submittal. Ihe Contractor shall incorporate all comments and requests made by the City in previous design submittals and shall include, but is not limited to the following; L Cost Estimate, Specifications and Prajact Schedule: a. Final construction schedule and estimate of construction duration b. Construction phasing plan c. Final construction staging plan with access to construction staging area obtained or final staging area to be obtained d, Final commissioning plan e. Engineer's cost estimate for bid and backup documentation f, All land permits received g. Complete set of stamped permit application drawings arrd documents h. Complete set of project permit applications excluding Contractor obtained hermits I. Complete set of technical specifications j- Gamplete list of special conditions related to oonstructlon ll. ArchitacturW system (It Applicable} a, Complete set of architectural drawings ty 01 Sonia Pura RFP 22-1-33 On -Call City Council 17 19-213 4/4/2023 CITY DF SANTA ANAr RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS. b. Final architectural detaft— coordinated with structural system details c. Special construction details completed 0- Complete ceiling plan e- Interiorequiprnent I. Room finished schedule including,. i. Golor selection ii. Ftaar selection ili, 'Wall fnlsh IV. Ceiling finish Door schedule —including hardware. master key plan working with the City's aCoess Control speciatigt Window sCl'redule including hardware Architecturar accessories schedule Exterior finish and Color schedule III. Structural System a- CcimpWe set of structural drawings b_ Final structural details coordinated with architectural system details (if aipplicable� c. Permit set of stamped structural calculations d. Final foundation and footing details e. Final structural details including oonstruclinn details f. Find structural calculations g. Performance requirements for shoring system identified IV. Civil Site Plan System a. Final estimate of fill and excavation quantities b. Location of new utilities finaiiaed c. Utility connections finalized d, Final design of water treatment facilities e- Final chaiinelization planks f_ Final signing plans g. Final landscaping plans (if applicable including plant schedule) h. Final irrigation syslern plans i. Final erosion and sediment control plans j. Final design of traffic mitigation k. Permit set of stamped storm water ma nagernent calculations 1. Surface Water Pollution Prevention Plans (S PPS) when applicable V, Mechartical System a. Complete equipment schedule In. Final piping plans c_ Final heating, ventilation and air conditioning (HVAG) plans d. Final plumbing plans a. Final fire protection plans and performance specifications City of Santa Ana RFP 22-133 on-Caii City Council Is 19-214 4/4/2023 CITY OF SANTA ANA RFP NO.: 22.133 ON -CALL ENGINEERtNG RESIGN SERVICES FOR PFAS TREATMENT SYSTEMS f, Final section views g. Final plans of mechanical rooms h. Final control diagrams Incruding control point list and final sequence of operation i. Final bulIdIng components-U- value calculations f Final mechanical details k. Final energy code calculations VI. Electrical System a. f.ightiflg and receptacleseircuited b. Special electrical equipment Circuiled c. Fi na I panel schedures — showing balanced .loads d. Final arc flash analysis e. Firl<al electrical fixture schedule f. Complete one -lute diagrams which are direciy applicable to the panel schedule g. Final electrical details h, Final electrical load calculations including emergency generatof system bill. Instrumentation and Control System a. Finai control schematics b. Final security and access control plans e. Final location of alarm devicas determir,ed d. Final PLC/DC 3 wiring diagram e. ACIDC power distribution wiring diagrams I BID PHASE Upon complelion and approval of the 100% design phase, the City shall request the Goonsuttant to assist with the bidding phase_ A, PROJECT MANAGEMENT TFre Consultant shall ordinate and expedite the preparation, assembly and delivery of bid documents for the City to administer via PlanetBids Portal- The Consultant snail take the necessary procedures to administer any prequalifiration of potential Constriction Contractors as directed by the City tc ensure that air Contracts are compe6tively brcf. B. TEGHNi+CALSUPPORT The Consultant shall pmvida technical' support to the City on questions regarding the meaning and intent of the drawings and specifications. and shall assist in achieving the resolution in clarifying any commenN potential Constwction Contractors may have during the bidding phase. City of Santa Ana RFR 22-1 33 On —Call Enginewing Design Sarvica& for PEAS Traatroant SySiems City Council page fg 19 — 215 4/4/2023 ciTY OF SANTA ANA RFP NO.: 22-133 ON -GALL ENGINEIERING DESrGN SERVI+CES FOR PEAS TREATMENT SYSTEMS C. PROJECT ADDENDA5 The Gonsuttant is responsible for assisting with any addenda required durng the Wiling process- The City shall work in conjunction with the Consultant in bidding out the project, providing clarification and evaluating the potentiat Construction Contractors. 4, CONSTRUCTION PHASE Upon request, the Consultant shall provide general services to support the construction efforts and serve as an extension of City staff to assist in the overall delivery of the project, including pre -construction tasks, reviewing construction submittals and ensuring that the warts is completed in accordance with the contract documents, project closeout and commissioning phase. A. SUBMITTALfSIHOP D AWING REVIEW The Consultant sha IF be responsible for review of comPreteriess and quantity of all required shop drawings, product data:, Samples and other submitt;GIs. The Consultant shall trarwrR the Submittals to City staffing for review and approval, and shall estabiish and implement procedures for expediting the processing and approval or Submittals. B. REQUEST FOR INFr]RMATION (RFI) RESPONSE The Consultant shall assist with requests for information (RFIs) and shall update the City on all RFIs issued in the duration of the project, The Consultant shall maintain, at the job site, racards of contract documents including drawings, addenda, change orders, and other modifications of plans and specifications rriarked to show all changes made during constrractian_ The Consultant shall also maintain as -twit# records of underground utilities, including locatians and depths of trenches. At the completion of the project, the Consultant shall deliver to the City all contract documents including as -built records. C. CHANGE ORDERS The Consultant shall conduct comprehensive evaluation of change order requests. Provide independent estimates, render recommendations and assist in claim resolution. The Consultant shall regularly monitor and report on the status of the Project Construction Budget on a monthly basis, indicating actual casts for Completed activities and work in progress, and indicating estimates for Urtconepleted worts. Report should identity Variances between actual and budgeted or estimated costs, and shall advise the City whenever it appears that the Actual Construction Cost has exceeded, or will exceed. the Project Construction B udget for the entire Project or any Project Component. D. PROJECT CLOSEOUT The Consultant shall evaluate the completion of the wont of the Construction Contractor and CAY or 6anla Ana RFP 27-133 on•calr City Council 20 19 — 216 4/4/2023 CITY OF SANTA ANA RFP NO.: 22.133 ON -CALL ENGINEERING DESIGN SERVICES FOR PEAS TREATMENT SYSTEMS make reeomirmndlatlolts to the City when work is ready for final Inspection. Upon request. the Co nsuJtant shall assist the City in conducting final inspections, D. CODE COMPLIANCE Ali materials and mrkmanship shall be in strict conformity with federal, state and tQcat nodes, requirements, standards of the latest editions. and guidelines including revislons of the following: ■ Califomia Building Code (CSC} e American National Standards Institute (ANSlj • American Society of Testing and Materials CASTM) s Department of TransportaUon (OOT) + California State Water Resources Control Board ■ Cepartment of Drinking Water • South Coast Pair Quality Management District (SCAOMD) ■ Environmental Protection Agency (EPA Occupational Safety and Health Administration (OSHA) E. PROJECT MANAGEMENT AND COORDINATIO When a request for service is issued to the City, the Consultant shall issue an estimate to the City's designated Project Manager- The Consultant shall not prQwed with any work without the approval of the City's deslgnaled Project Manager in the form of a Notice to Proceed, Consultants shall invoice the City on a manlhly basis for all work performed durting the period or provide a one-time invoice at the completion of worts issued. Each invo" shall be ar.Companied by a summary of tasks performed, contract agreement number, resufts and progress on long- term tasks it any. F. VALUE AODED RELATED SERVICES The Consultant may propose additional related services that the City has not specificaily identified in this RFP to accomplish the stated goals of this RFP. Value added related services will be considered by the City and may or may not be incorporated in the agreement. All parts and materials must be supplied new and factory approved. G. MARKUP The fallowing markup percentages shall be added to the Consultant's s costs and shall const+iute the markup for all overhead and profits (to the sum of the costs and markups, one (1) percent shal I be added as compensation for bonding). 1) Labor ................................. .........I.............,...... 20 2iMaterials,,.,..,,..,..,.... ...... .................... I ...... ,............,.. 15 3) Equipment Rental...,,..,.,,........................._........................................15 City of Santa Ana RFP 22.1 n OrFCsll FniMeriRg Design SorMAs for PFAS Treatment Systems City Council Pala 21 19 — 217 4/4/2023 CITY or SANTA ANA RFP NO- 22.133 0N•CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS d) Other Items and Expenditures............... --- ........_..................... 15 H. MINIMUM QI IALiFICATrONS The Consultant shall meet the fallowing minimum clualrficatbons 1- At] work Is to be performed in compliance with all applicable codes, ordinances, laws. standards, due care, and Occupational Safety and Health Administrabon (OSHA) safety requirements, 2. The Contractor shall have a minimum of five (5) years of experience in providing the services described in ATTACHMENT 1; SCOPE OF SERVICES_ 3. The Contractor shall possess state and local permits, licenses and certificates required by law to commence. carry, and completes the work. 4. ProlAde all necessary equipment to competently perform and complete work as specified. I, SAFETY Proposar shall be solely and completely responsible for the condition of the project site, including safety of all persons and properties during the performance of the work. In addition, proper safely equipment must be wom at all times_ These requirements shall apply continuously unfil the contract is terminated and shall not be limited to normal working hours_ The Cormullant shall asaurs that each employee or subcontractor under the contractors supervision is trained in the work practices necessa ry to safety perform his or her job. The Consultant's drivers/delivery crews shall be HA?MAT trained and certified in safety measures to prevent accidents endangering personnel and property_ Hazardous Materials shall be clearly marked with the proper shipping name and identification number as required by the Department of Transportation. The Consultant shall provide current, applicable and required Material Safety Data Sheets (MS IDS) at eny time during the contract as requested by the 04 of Santa Ana, J. INSURANCE REQUIREMENTS The successful bidders shall furnish the City with original copies of valid insurance policies herein required upon execution of the contract and shall maintain said policies In full force and effect at all times during the term of this contract_ Said insurance policies shall comply with all requirements set forlh in these specifications. Consultani(s) shall keep a current certificate of insurance at the City of Santa Ana at all times and shall immediately report any changes to the city. K. FEE SCHEDULE The Consultant shall submit a fee schedule and labor rates as descntred in Section III.B.3 of City 0 Santa Ana RFP 22-13 3 On -Gall EngineeringDe%ign -Services for PFAS Trealmanl SysW City Council Page 22 19 — 218 4/4/2023 CITY OF SANTAk ANA RFP NO.- 22-133 ON -CALL ENGINEER]NG 1)ESIGN SERVICES FOR PFAS TREATMENT SYSTEMS RFP regarding design services for a PFAS Ix water treatmeant faeillly at ft Clty's potable water Well 25 {Ivcated at 1730 S Santa Fe. Santa Ana CA 92705). The Consultant shall refer to APPENDECE$ A, S, and C for additional Information regarding the potable water well site. No separately sialed freight or deliveries Ail I be considered- Bidders shal I include all costs in the unit price bid. The Consultant's delivered product pricing shall be inclusive of all freight/unloadlraglhandling and delivery charged. Furthermore, the Consultant shall submitaddi tional labor, material and rental equipment rates along with fee schedule. Consultant's labor and equipment rate sheet shall tilt rates for all labor designations, equipment, rentals, and materials. The bid items specified in the fee schedule are for reference purposes only. Labor increases shall be subject to mutually agreeable terms between the City and the Consultant. The City may request related services thel will be paid at the vendors standard labor and equipment. rate submitted. Fee proposal shall be outlined as follows; ---Encl of SCOPE OF WORK Section--- CeLy of Santa Ana RFP 22�133 On -Ca I Er,3iseering Design Services for PFAS TrQalLment Systems City Council Page 23 19 — 219 4/4/2023 EXHIBIT B City Council 19 — 220 4/4/2023 WII %.011 L.116111c Design Services for Treatment Sys RFP No.: 22 INN k {s :wM�� lr. 3 Prepare City of San Public Works i November Cut the diagonal lines fir: City Council 19 - 221 4/4/2023 ACover Letter City of Santa Ana Public Works Agency Water Resources Division 220 S. Daisy Avenue, M-85 Santa Ana. CA 92703 Dear Mr. Fernandez, Consistency, responsiveness, and experience have been the foundation of EEC Environmental's (EEC) approach to engineering and consulting services in Southern California for more than a quarter century. These qualities have resulted in EEC being a trusted partner for the City of Santa Ana (City) and many other cities throughout the area. EEC has been providing the City PFAS support services for years, and if asked to continue, creates unmatched consistency with an understanding on how to move any City project quickly and cost-effectively over the finish line. Our "PFAS Owner's Representative" support for the City is a perfect example of our relationship. To mid-2020 when the City was presented with the Carollo Producer's Report outlining the considerable impacts that PFAS will have on the City water supply system, Cesar Barrera and Rudy Rosas called EEC to lend our expertise and guide the City through the many challenges that were to come. EEC dedicated our team of civil and water resource engineers, chemists, and compliance experts to supplement the City's staff in solving complex challenges such as offlining production wells, PEAS sampling compliance, PFAS treatment system design peer review and comment, UCMRS planning, PEAS waste disposal planning, OC Flood Control District permit compliance for well flushing, certified training sessions for City personnel, Well 40 site inspections, and whatever else was needed. Our monthly PFAS calls were critical to address the ever -changing landscape of PFAS compliance and were adjusted to weekly meetings when necessary to facilitate quicker responses to the City's most demanding needs. The EEC professionals discussed throughout this Statement of Qualifications (SOQ) have a wide variety of specialization and qualifications that are applicable to the services requested in the RFP, "On -Call Engineering Design Services for PFAS Treatment Systems; REP No.: 22-133". EEC wanted to offer the City the best possible PEAS treatment team; therefore, we partnered with Kennedy Jenks (KJ) on this response. KJ is a leading water engineering firm that delivers innovative design, construction, and technology solutions for water projects across the US. More importantly, KJ's team has successfully delivered PEAS treatment system designs for multiple groundwater wells within OC WD's service area. Their knowledge and experience designing EEC Environmental 1 November 17, 2022 City Council 19 — 222 4/4/2023 and permitting PEAS treatment systems is indispensable. Our combined expertise brings a dedicated team of professionals that the City can count on to see this project through to successful completion. Our proposed Project Manager is Will Shaffer. Will has been working directly with the City on PEAS projects for years and works out of our headquarters in Orange, California, just a short drive to the Public Works office. This project will be solely managed out of this location and EEC will be the single point of contact and will work seamlessly with City staff. Mr. Will Shaffer, PE, QISP, QSD Project Manager EEC Environmental 1 City Boulevard West, Suite 1800 Orange, California 92868 (714) 667-2300 wshaffer@eecenvironmental.com EEC greatly appreciates the opportunity to submit this Statement of Qualification and looks forward to your response. EEC is a California C-Corporation. This Proposal will remain valid for a period of 120 calendar days from the date of submittal. Sincerely, EEC Environmental tt Jim Kolk Principal -In -Charge BAgreement Statement EEC has read and agrees to all provisions contained in the standard agreement attached as Attachment 4: Standard Agreement in the Appendix of REP No. 22-133. Regarding the indemnity provisions, when selected, we will enter into a mutually acceptable agreement similar to the example provided with the appropriate design professional indemnity. EEC Environmental 2 November 17, 2022 City Council 19 — 223 4/4/2023 CFirm and Team Experience C.1 PROFILE OF FIRM'S AND TEAM'S EXPERIENCE EEC Environmental (EEC) has successfully completed numerous projects alongside the City of Santa Ana (City) over the last 17 years. We are excited to build off our history of success and continue to grow our relationship further. Throughout the last two years, we have worked side -by -side with the City to tackle emergent and complicated PEAS issues while maintaining the City's sterling reputation of providing award -winning water to its customers. EEC is excited to team with Kennedy/Jenks (KJ) to bolster the breadth of services that EEC provides to the City without sacrificing the highest level of customer service that the City has come to expect from EEC. This EEC and KJ team (EEC Team) is poised and ready to deliver on the full scope of services requested by the City while working in concert to operate as a single, dedicated team to fulfill the City's needs. EEC Environmental is agencies a local, Small Business Enterprise with employees and decades of experience assisting local municipalities and agencies by managing and implementing a long list of water related environmental projects including PFAS treatment ff.jECand consulting. Under our existing on -call contract with the City, EEC has conducted a E N V I R 0 N M E N T A L wide variety of technical services for the Public Works Agency ranging from sewer collection system engineering to as -needed PEAS consulting services. This diverse array ofprojects has allowed us to work closely with different City team members and truly understand the most effective way to support Santa Ana. As demonstrated in the qualifications section of the proposal, EEC has a breadth of experience in all the tasks required by this RFQ including planning studies, feasibility studies, cost estimating, well assessments, wellhead HAS ion exchange treatment design, bidding management, construction management, and PFAS regulatory expertise. Unique PEAS Experience within Santa Ana — EEC has an extensive resume of PFAS projects within the City. EEC has successfully completed or is currently assisting with multiple PFAS related projects, including: 1) Well 40 grading and drainage revisions; 2) HAS treatment system commissioning planning; 3) PFAS waste disposal planning; 4) Wells 27, 28, 31. 38, and 40 PFAS treatment system design peer review; 5) PFAS treatment system operator training; 6) Pump to waste planning; and 7) water quality sampling and UCMR5 compliance planning. Kennedy/Jenks Consultants, Inc. (KJ) is a full -service multi -disciplinary engineering consulting fine founded in 1919. With more than 400 professionals throughout the United States, they deliver projects 10 of varying sizes and complexity while also providing personalized service. The KJ team has expertise n the broad spectrum of groundwater treatment including an in-depth understanding of the specific Kmnedy k k3 nuances associated with HAS removal, having designed dozens of facilities throughout California. K.l's successful groundwater treatment design projects have included reverse osmosis (RO), granular media and membrane filtration, ion exchange (IX), various desalinization, brine minimization technologies, advanced oxidation processes, and granular activated carbon (GAC) for treatment of a wide range of parameters, such as PFAS, TDS, iron, manganese, boron, nitrate, Perchlorate, 1,2,3-TCP, hexavalent chromium, and arsenic. The ability to evaluate pilot study data, provide guidance and technical support, ability to provide recommendations and system integration based on existing conditions, and the ability to propose cost-effective improvements that can be reasonably designed, QA/QC, cost control, and constructed within a short time frame are addressed in the below sections. Unique PEAS Experience within Southern California — KJ has three dedicated HAS design teams in Irvine, San Diego, and Pasadena. The KJ team offers experience with both GAC and IX groundwater PFAS treatment systems that are in current operation or construction. KJ's recent success designing and constructing treatment systems similar in size and technology to those considered by the City means they can immediately begin design work upon Notice -to -Proceed. Such systems include PEAS treatment systems for the City of Orange (IX, 8,000 gpm), Santa Clarita Valley Water Agency (IX, 6,000 gpm), and Elsinore Valley Municipal Water District (GAC/IX, 6,200 AFY). Q T� Water Quality Treatment Specialists (WQTS) is a specialty environmental engineering and science consulting company. WQTS provides a range of services to public and private EEC Environmentat 3 November 17, 2022 City Council 19 — 224 4/4/2023 water agencies across the lJnitcd States. WQTS' Los Angeles facility includes a fully equipped experimental laboratory for conducting bench -scale studies on water treatment technologies including adsorption on activated carbon, ion exchange, ozonation, coagulation, flocculation, sedimentation, formation of disinfection by-products, evaluation of adsorptive media, and destruction of chemical contaminants. WQTS has partnered previously with KJ to provide bench -scale testing of GAC and 1X resin to the Santa Clarita Valley Water Agency for their PFAS treatment systems. The EEC Team's Orange County -based staff includes civil engineers, chemical engineers, chemists, regulatory specialists, construction managers, hydrogeologists, and other professionals with the availability to support this contract. The staff dedicated to this project are uniquely familiar with Santa Ana's PFAS issues and the ion exchange treatment design issues that will be encountered. The EEC Team will have the ability to provide the appropriate dedicated staff with the proper skill sets for assignments under this contract regardless of the schedule commitment. The brief summary below of the PFAS related support currently being provided by EEC's team demonstrates our unique knowledge and expertise of the proposed scope of work: Will Shaffer, PE — Project Manager Project Manager for all of EEC's as -needed PFAS services to Santa Ana. • California Registered Professional Civil Engineer • Reviewer of Well 40, 38, 27, 28, and 31 design reports and construction drawings • Uniquely knowledgeable of Santa Ana's wells, distribution system, PFAS sampling progress, OCFCD permits, and Santa Ana specific PFAS impact planning • Leads monthly PFAS update meetings with Santa Ana staff • Organized tours of Yorba Linda Water District central treatment plant and Fullerton Kimberly Well IA wellhead treatment system • Authored lessons learned document for key considerations during planning, design, construction, commissioning, and startup • Preparing for commissioning support of Well 40 treatment system Will Shaffer was chosen to be the Project Manager and Single Point of Contact for this project due to his current role as the Project Manager for EEC's Owner's Representative services for Santa Ana for all things related to PFAS. His strong design skills, unique understanding of Santa Ana's needs and his strong working relationship with the same City staff that will be involved in this project are critical for the overall efficiency, and success of the project. Jim Kolk — Principal -in -Charge Principal -in -Charge for all of EEC's consulting services to Santa Ana in the last 10 years including: • PFAS treatment implementation strategy development and support services • Water system disinfection testing and analytical services • Water conservation program assessment and response support John Shaffer — Principal Chemist Principal Chemist and regulatory specialist for all of EEC's as -needed PFAS services to Santa Ana. • Expert on California and Federal PFAS current and future regulations • PFAS waste disposal expertise • Uniquely knowledgeable on PFAS treatment challenges related to PFAS chemistry Dennis Kasper, PhD, PE — Technical Advisor • 40+ years of water treatment design experience • California Registered Professional Civil Engineer • Design expert on wellhead treatment, ion exchange and granular activated carbon technologies • Lead instructor for Santa Ana engineer and operator PFAS treatment training • Reviewer of Well 40, 38, 27, 28, and 31 design reports and construction drawings EEC Environmental 4 November 17, 2022 City Council 19 — 225 4/4/2023 To achieve all aspects of the City's needs under this contract, EEC tcamcd with K.l to present the City with uniquely qualified technical experts and the most experienced environmental engineering team in Southern California. A resume for each key team member is provided in Appendix A, and each team member's availability is summarized in Table C.2.1 EEC is Here For You below. Resumes for all team members can be propvided upon request. Table C.2.1. EEC is Here for You Name - Role Available Name - Role Available Jim Kolk- Princi al -in -Char =e 30% Jose Cuevas - Civil 30% John Shaffer- Principal Chemist 30% Ed Pascua - Process Mechanical 30% WillShaffer- ProjectMana=er 50% MarkPreston- Architectural 30% Brandon W illnccker - Alternate PM 40% Brittany Becher - Architectural 30% Dr. Dennis Kasper - Technical Advisor 20% V ladamir Randclovic - Building Mechanical 30% Ed Yang - Design Principal -in -Charge 20% Peter Symonds - Structural 20% Dr. David Ferguson - Design Tech. Advisor 30% Jeff Mohr- Electrical 30% Steve Diamond - Design Project Manager 30% Paul Post- I&C 30% Kajori Purkayastha - Project Engineer 30% Janet Hoffinan - Cost Estimating 20% Dr. Charlie Liu - Water Quality 30% Michael Skinner - 3D/BIM 30% Joe Wojslaw - QA/QC 20% EEC Environmental 5 November 17, 2022 City Council 19 — 226 4/4/2023 •� • a III I�•. WIII Shaffer, DE Brandon Willnecker, PE Ed Yang, PE, DRIA (KJ) Duvld EMRufOn, PhD, PE, DCEE Steve Diamond, PC oCEE ( (w) IKp Ka]oh Purtuyasths, PE ChaAle Uu, PhD Joe wo)slaw, PE I KJ) (KJ) (KJ) CIVIL (KI) BUILDING MECN (KI) STRUCTURAL (KI) Jose Cuevas, PE Vlad,mu Randetnr.c. PE Pete, Symonds, PE PROCESS MECN (KI) ARCNRECTl1RAL (KI) ELECTRICAL (Kl) Ed Pascua, PE Mark Preston, Jeff Mohr, PE lSn ttany Boe4er, LfEO GA I&C (KI) COST ESTIMATING (KJ) 3D/YIM (KI) Paul Post. PE Janet Hoffman, PE Michael Skinner . . y Dennis Kaspef, PhD, PE IEEC) Issam maim, PAD, PE, OCEE (WCITS) R4120 $abaci, PE, GE L (SA) — EEC Environmentat 6 November 17, 2022 City Council 19 — 227 4/4/2023 DUnderstanding Scope of Services D.1 ANTICIPATED APPROACH Outline of Tasks For a detailed outline of expected tasks and deliverables to complete the proposed scope of work, please refer to Section G Scope of Work below. On -Call Engineering Approach EEC is experienced in providing as -receded, on -call engineering support for multiple cities and agencies throughout Southern California. Our rapid response and commitment to client engagement allow us to provide the highest level of service to Santa Ana by gaining a clear understanding of the City's needs as quickly as possible. This is critical for on -call contracts which often require rapid mobilization or quick -turn design services to solve emergent and urgent needs. Namely, the loss in groundwater production capacity due to impacted wells within the City presents an urgent need to deliver cost- effective treatment solutions as soon as possible. EEC is already providing effective on -call engineering and planning services for all of Santa Ana's PEAS needs and will continue to do so for this project. Project Management Approach We pride ourselves on our Principal involvement in projects, particularly when they involve challenging technical and regulatory issues such as PFAS treatment. Depending on the project, EEC Principals Jim Kolk and John Shaffer have been working side by side with Project Manager Will Shaffer and Santa Ana staff to ensure that each project was managed efficiently. This continued Principal involvement ensures that projects are well managed from start to finish. A brief discussion of EEC's approach to various project aspects is presented below. Planning EEC approaches each project with a partnership mentality. We do not simply operate in a vacuum delivering the minimum needs of a Client within the prescribed timcframe. We will work with Santa Ana to understand your unique needs and requirements for each project and develop a plan in tandem with the City that meets, and usually exceeds, those needs. Timely workshops throughout the project lifecycle will facilitate open discussions with the City and input from all parties involved. Takeaways from these workshops will be documented in the overall project plan and tracked against for the life of the project. Additionally, EEC's unique knowledge of Santa Ana's current PFAS planning will provide a jump start towards planning for this project. Communication Any good partnership requires clear and effective communication. EEC understands that clear and effective communication leads to a successful project. Therefore, Will Shaffer will operate as EEC's Project Manager and Single Point of Contact as he has been for the PFAS consulting services currently being supplied to the City. Santa Ana will always have a direct line of communication to the entire EEC Team through Will Shaffer. Likewise, Will Shaffer will maintain open lines of communication with the City, providing regular project updates that keep the City up to speed on every project at any time. This approach will eliminate the potential for miscommunication or redundant communications, thus saving the City time and costs due to project errors. EEC's Orange office is only a few miles from the City's offices which makes it very easy to attend or host project meetings in person. Also, as EEC has done successfully with our current PFAS services to Santa Ana, EEC will continue to host regular Zoom meetings to facilitate effective and efficient communication within project teams. Lessons learned during the COVID-19 pandemic have streamlined internal communications and reduced time spent in redundant or unnecessary meetings. Project data is shared instantly, and project update meetings can take place anywhere, and atanytime, This allows for faster response times and streamlined processes that result in reduced project timelines and cost savings. EEC Environmental 7 November 17, 2022 City Council 19 — 228 4/4/2023 Schedule For emerging and urgent problems like PEAS, schedule is ever more critical. EEC understands the City's need to bring PFAS treatment systems online expeditiously to reduce increased operating costs from Metropolitan Water District (MWD) water purchases. Therefore, our Project Manager's top priority will be to maintain an aggressive project timeline and ensure that the City's needs are met in a timely manner. EEC utilizes Microsoft Project and the latest project management software to hack and forecast project schedules. EEC will update the City on project schedules regularly. We will identify opportunities to reduce project timelines, when possible, and track long -lead, critical path items that may have adverse effects on project timelines. Wherever possible, we will identify project alternatives that reduce long -lead timelines. Cost Management At its core, the installation of PEAS treatment systems at City wells is a cost saving measure. Santa Ana has the option to continually provide safe, clean drinking water to its citizens by supplementing its potable water supply with MWD import. However, that imported water comes at a much higher price. Therefore, building PFAS treatment systems for the City's groundwater production wells allows the City to provide clean drinking water at a lower cost. With that in mind, it is critical to manage this project's budget to avoid cost overruns to provide Santa Ana's citizens with the best value water possible. EEC utilizes engineering cost management software to track project budgets and manage costs. EEC provides monthly budget updates, at a minimum, to the City and identifies any and all opportunities to reduce project costs without compromising project goals. Resource Allocation Along with a strong EEC staffof highly qualified engineers and scientists that provides multiple layers of resource support, EEC has supplemented our capabilities by teaming with KJ. KJ brings a deep and diverse team of professionals that, when paired with EEC's in-house capabilities, has more than sufficient availability to meet peak project workloads. Incorporating personnel availability with project schedule projections, EEC is able to ensure that there are enough available designers, engineers, and professionals to continually meet project demands and deliver on time. Quality Assurance/Quality Control A quality assurance (QA) program will be implemented with quality control (QC) processes at every step of the project. This process includes periodic reviews at predetermined stages during the planning and execution phases. Will Shaffer, Project Manager, will ensure that all the required elements are effectively incorporated into the project and that routine verification is performed. All reports and presentations will be reviewed internally for content and format. Additionally, EEC has developed a formal QA program to ensure timely and efficient delivery of the tasks involved in a project. As part of the QA program, EEC will develop and implement a quality control plan (QCP). The QCP establishes the requirements of the project and includes technicall areas of responsibility for each staff member. In addition, the procedures that will be employed to assess compliance with appropriate laws, regulations, policies, and technical review protocols will be identified. All work will be accomplished with adequate internal controls and review procedures to eliminate conflicts, errors, and omissions to ensure the technical accuracy of the work for the project. The QCP will include activities appropriate for managing the quality of the project based on the anticipated planning and complexity of the project features. Additionally, EEC will utilize the decades of experience of Dr. Dennis Kasper, and John Shaffer's unique understanding of PFAS, to ensure that every project deliverable meets or exceeds stringent quality standards. Santa Ana has witnessed firsthand EEC's attention to quality assurance on numerous projects over the years, including our PEAS services. PFAS Treatment System Design Approach EEC's unique understanding of Santa Ana's production and conveyance systems, combined with KJ's experience in designing full scale, municipal PEAS treatment systems, allows the EEC team to bring a holistic approach to designing Santa Ana's PEAS treatment systems. Lessons learned in EEC's and Santa Ana's discussions with other Orange County Producers, coupled with KJ's learned experience designing the first municipal PFAS treatment system in Southern California, will inform the planning and design of the PFAS systems at every stage. EEC Environmental R November 17, 2022 City Council 19 — 229 4/4/2023 EEC will implement feedback received during our monthly PFAS meetings over the last two years from Santa Ana engineers and operators. We will also incorporate lessons learned from the site visits to YLWD and Fullerton into the design of Santa Ana treatment systems. Lastly, EEC will involve Santa Ana engineers and operators at every stage of the system design. This holistic and collaborative approach ensures the final system will be operator -friendly and meet Santa Ana's needs. A detailed discussion of our team's approach to system design is spelled out in Section G Scope of Work below. However, several key considerations learned during our previous work with Santa Ana are highlighted below: c Minimize treatment system footprint when possible at park locations to mitigate the taking of public park spaces Consider truck access for maintenance and media change outs o For example, the treatment system layouts in the Basis of Design Technical Memorandum (BODTM) for Well 38 did not facilitate easy access and would require traffic control and temporary street closures to execute media change outs. Evaluate site drainage for stotmwater, but more importantly for the full flushing flow rates of all vessels during commissioning o Flushing drainage was not properly directed to the house -keeping pad inlets at Well 40 which will likely result in nuisance splashing during flushing. o The on -site drainage at Well 40 was not sized properly to convey the full flushing flow during q��il4lt1 I J commissioning, likely resulting in on -site or off -site (park) flooding. o Assess 24/7 flushing flows and vohunes against OCFCD permits and points of discharge Involve DDW early and often in the design, permitting, commissioning, and treatment media selection processes. Perform a private utility locate survey during design to locate undocumented utilities on site. As-builts are unreliable for many sites. Collaborative effort (involve SA engineers, operators, maintenance) to develop schematic level design drawings identifying major project needs Bid Support and Construction Administration Approach EEC is an experienced design -builder (EEC maintains a Class A HAZ General. Engineering Contractor's license), and we are proud that our projects arc designed with a focus on constructability. However, questions are always raised during the bidding phase. The EEC Team will assist the City in answering these questions, attend prc-bid conferences and job walks, prepare addendums, and analyze bids to facilitate a fair and effective bidding process. The EEC Team has multiple staff who have expertise in the bidding process and will work closely with the City to ensure the right contractor is chosen. Recently, EEC assisted the City of Santa Ana with the selection of a consultant to implement their Automated Metering infrastructure (AMi). EEC reviewed proposals submitted by the consultants, attended selection committee meetings, and interviewed potential winners. EEC also assisted the City with overseeing the implementation of the AMI. The EEC Team is available to assist the City with construction management and administration services during the construction phase of City projects. The EEC Team wil I attend pre -construction conferences, will monitor the construction schedule, and will visit construction sites for progress and quality evaluations. The EEC Team will also assist the contactor, construction manager/contract administrator, and inspector with interpretation of plans and specifications, analysis of changed conditions, development of corrective action, review of shop drawings and other submittals, and the review and negotiation of change orders. The EEC Team has available technicians with decades of Auto -CAD experience to support preparation of as -built drawings when required. EEC Environmental 9 November 17, 2022 City Council 19 — 230 4/4/2023 Our 41 goal is to facilitate a safe working environment while delivering a high -quality system on time and within budget. All team members are committed to doing what it takes to ensure this goal. System Commissioning and Start Up Approach The project does not end until the system is fully operational, permitted, and supplying the residents of Santa Ana with PFAS-free water. EEC will develop a commissioning plan with buy in from City engineers and operators, the contractor, and OCWD (if necessary). Continuous support and as appropriate on -site presence will be provided during the entirety of commissioning to ensure a smooth start-up. There will be clear delineation of responsibilities for all parties. Lessons learned from EEC's and Santa Ana's tours of Fullerton and Yorba Linda Water District (YLWD) HAS treatment systems will be included in the commissioning plan including, but not limited to: continuous flushing during Bac-T sampling, well pump tax exemption request during flushing, holistic SCADA testing, stocking additional bag filters, and other items of concern. This valuable learned experience will translate to faster system startup and fewer complications along the way. Value Added Services EEC has built a sterling reputation in no small part because we are constantly looking out for our Clients' best interests. We are not simply trying to execute the terms of the contract. We are looking for ways to bring additional value to our Clients. That may be by providing value engineering services, pursuing outside -the -box solutions, or providing additional services that lower long-term operational labor and costs. To this point, the EEC Team has developed a short list of proposed scopes of work not already identified in the RFP that will provide additional short- and long-term value to Santa Ana as you build out your domestic water treatment systems. Bench Scale Pilot Testing OCWD undertook the largest PFAS pilot program in the nation's history, gathering an unprecedented amount of data related to the treatabiIity of PFAS in drinking water supplies, and the evaluation of best available treatment technologies (namely, GAC, IX, and novel adsorbents). OCWD has continued this work in a second phase of their pilot study. However, the market for effective treatment media is exploding due to the exponentially growing demand for PFAS treatment systems nationwide. Therefore, manufacturers are continually developing new GACs, IX resins, and novel adsorbents. Not all of these technologies are being evaluated by OCWD in their pilot program. Additionally, OCWD is not performing bench scale testing for all. media (namely, IX resin) on source water from all groundwater wells within the Basin. This data gap, coupled with the relatively cost-effective nature of bench top testing, presents an opportunity for the City to perform its own bench scale testing of commercially available treatment media on City -selected source waters. This testing can inform media selection decisions and estimate media change out frequencies to allocate the appropriate City budgets. EEC proposes to utilize the unparalleled experience and capabilities of WQTS to conduct bench -scale testing of PFAS removal with a minimurn of two 1X resins, and one adsorptive media for aminimum of one well's source water. All proposed adsorbents would be commercially available with NSF61 certification for drinking water treatment application. A preliminary scope of work is provided in Section G below. Upon request, EEC can provide a more detailed scope of work and cost proposal to conduct the proposed study. PFAS Waste Disposal Study The disposal of PFAS-laden waste is a unique challenge for Producers and should be accounted for in the planning and design stages for each project. Waste transportation and disposal of PFAS-laden waste is complicated by the unknown regulatory environment surrounding PEAS. While not currently regulated as a Resource Conservation and Recovery Act (RCRA) hazardous waste, non -hazardous landfills do not currently accept PFOS or PFOA-laden waste as a protective measure in anticipation of future regulation. Therefore, this waste must be disposed of at Class 3 hazardous waste landfills which adds significant transportation and disposal costs. Furthermore, the potential for PFOS and PFOA to be designated as hazardous substances under the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA), has many generators taking proactive, conservative waste disposal measures to mitigate future potential liabilities under CERCLA. EEC Environmental 10 November 17, 2022 City Council 19 — 231 4/4/2023 The handling and cost implications of such future regulations should be studied, and risk management strategics should be developed, as part of a comprehensive planning approach to PFAS impacts. Santa Ana is aware of EEC's unique PEAS waste disposal expertise and we propose to integrate waste disposal into the Planning Study scope of work. Additional cost savings measures can be studied and identified including spent media dewatering strategies and contracting opportunities with other Producers to allow for bulk service cost savings. Grant Funding The installation, operation, and ongoing maintenance of PEAS treatment systems presents a significant new cost to Santa Ana. EEC proposes to research potential grant funding opportunities, or low interest loan opportunities, to offset or mitigate project costs. Among other potential opportunities, EEC proposes to research Drinking Water State Revolving Fund (DWSRF) program eligibility for project planning, dcsign, and construction costs. Source Investigation and Cost Recovery The City of Santa Ana is a named plaintiff in the OCWD-led lawsuit of PFAS manufacturers over their alleged responsibility in contaminating the Orange County Groundwater Basin (Basin) and may receive cost recovery funds from that lawsuit to offset PFAS treatment system costs. However, the named defendants in the lawsuit may not be the only responsible parties for local contamination within the Basin. If Santa Ana is interested, EEC can analyze existing groundwater PEAS concentrations, hydrogeologic patterns, and available industry and land use data, to facilitate source investigation efforts- to identify potential, local sources of PEAS contamination. At their discretion, the City could then pursue cost recovery from potentially responsible parties to offset or reimburse project costs associated with PFAS treatment. ERelevant Experience EEC I City of Santa Ana I Owner's PFAS Representative 12020 - Ongoing Team_ Will Shaffer, Dennis Kasper, Jim Kolk, John Shaffer, Brandon Willncckcr Project Contact: EEC is providing ongoing expert consulting services to Santa Ana as it works with Cesar Barrera, PE the Orange County Water District (OCWD) and their consultants to design and Deputy Public Works Director install wellhead PEAS treatment for the City's impacted wells. EEC is providing (714) 647-3387 comprehensive technical and regulatory assistance to the City addressing a variety of topics including: • The impact of the State's PFAS Notification Levels (NLs) and Response Levels (RLs) on the City's groundwater supply. • Comparison of Granular Activated Carbon (GAC) vs. ion Exchange (IX) as viable treatment alternatives at each potentially impacted well site. • Evaluating capital costs vs. on -going O&M costs. • Evaluating rapid small scale column testing (RSSCT) and pilot testing results and the need for further pilot tests. • Water distribution system planning to balance groundwater production and water imports, while minimizing costs, to maintain a secure water supply. • Treatment system training for City engineers, operators, and maintenance staff. • Treatment system design peer review (Wells 27, 28, 31, 38, and 40). • Treatment system construction oversight services. EEC Environmental I November 17, 2022 City Council 19 — 232 4/4/2023 • Treatment system commissioning and startup planning and support. • PFAS waste disposal planning. • Pump to waste planning and OCFCD permit compliance planning. • Water quality sampling and UCMR5 compliance planning. KJ I Orange County Water District I PFAS Well Treatment System Preliminary and Final Design I Completed October 2022 Team: Steve Diamond, Kajori Purkayastha, Ray Lyons, Paul Post, Peter Symonds, Ed Pascua, David Ferguson KJ completed final design for the $22AM project providing wellhead IX PFAS treatment at four well sites (total flow is 8,000 gpm). Delivery included pre -procurement of vessels and a fast -track design completion within seven months. Project included hydraulic evahiat ons to assess the use of existing well pumps and/or need for booster pumping. IX media was prc-purchased based on pilot testing results. KJ addressed entrained air at two of the wells with degassing; this issue was not originally anticipated by the Owner. Through active communication with staff and implementing pre -procurement strategies, KJ managed a 7-month, fast -track design schedule. • Developed preliminary and final design for providing wellhead ion exchange PFAS treatment at four (4) well sites (total flow = 8,000 gpm). • Pre -procured IX vessels. • Fast track design schedule in 7 months. Project Contact: Chris Olsen, PE Director of Engineering (714)378-3232 KJ I Santa Clarita Valley Water Agency I N-Wells and Q2 Well PFAS Treatment Completed 2020 Team: Steve Diamond, Kajori Purkayastha, David Ferguson, Paul Post, Peter Symonds, Ed Pascua In response to the new PEAS regulatory levels in February 2020, approximately 45 percent of the Santa Clarita Valley Water Agency's (SCV Water) groundwater wells were removed from service. SCV Water, along with KJ and WQTS, completed bench testing, fast -hack design, and construction on treatment of four SCV Water wells impacted by PFAS. Three of these wells, known as the N-Welts, produce up to 6,000 gpm. The fourth well, Well Q2, has a treatment capacity of 1,200 gpm. Raw water from Q2 well also contains perchlorate sampled above the California MCL. Single -use Ion Exchange (IX) was selected as the preferred technology for PFAS removal at both treatment locations. For the N Wells centralized treatment site, the design consists of three lead -lag trains of 12-foot diameter ion exchange vessels, or a total of 6 vessels. Pre-treatment via high -flow cartridge filtration is also included prior to treatment. For the Q2 well, one lead -lag train utilizing two Ion Exchange vessels was installed. KJ completed the design of the treatment facilities and chemical feed systems in four months and provided engineering services during a construction period of eight months to help bring the system online by October 2020. • Prepared procurement documents for pre -purchasing 6,000 gpm IX system and resin for PFAS Treatment at N-Wells and the Q2 Well. Project Contact: Shadi Bader, PE Senior Engineer (661)310-6410 ;ate EEC Environmental 12 November 17, 2022 City Council 19 — 233 4/4/2023 Developed preliminary and final design for 6,000 glint IX system for PFAS treatment at the N-Wells and 1,200 gpm IX system for Perchlorate Treatment at the QZ Well. Provided engineering services during construction for 1X equipment pre -purchase and for site construction. KJ I Elsinore Valley Municipal Water District I Canyon Lake WTP Phase 1 Improvements I Ongoing Team: David Ferguson, Steve Diamond, Kajori Purkayastha Project Contact: This project consists of designing improvements to an existing surface water treatment Parag Kalaria, PE plant, Canyon Lake Water Treatment Plant (CLWTP), described as the Phase I Water Resources Manager improvements in alignment with the CLWTP Facilities Master Plan (2017). PFOA and (951) 674-3146 PFOS levels in Carryon Lake exceeded the California Notification Levels and PFOA levels exceeded the state Response Level. KJ was retained to perform a feasibility study to evaluate planning level alternatives for the proposed Facilities Master Plan improvements to the treatment plant. The design effort includes new PFAS treatment as recommended in the CLWTP Site Feasibility Study (2020). The project also includes pilot testing for PFAS, bench testing for cyanotoxins, Preliminary Design, Final Design environmental services (CEQA support), public outreach, and bid phase services. The 9-month pilot study looked at GAC, TX, and the dual barrier combination of GAC followed by IX. The dual barrier PFAS treatment system with GAC followed by TX is now proceeding from 60% to 90% design. EEC I City of Anaheim I On -call Engineering Services 12007 - Ongoing Team: Will Shaffer, Jim Kolk, John Shaffer, Brandon Willnecker Project Contact: EEC provides as -needed environmental engineering services across multiple scopes of Keith Linker, PE work. EEC's staff have provided design and consulting services in the following areas: Principal Civil Engineer • Sewer capacity analysis and sewer design manual development (714) 765-4141 • Lenain pump station retrofit— Civil Engineering, grading, NPDES compliance • Alley sewer capsizing combined with water quality improvements • City trash amendment compliance — BioChar treatment and catch basin screening • Modjeska Park regional stormwater capture — Post construction grant compliance, digital monitoring program, O&M optimization • Citywide stormwater fee generation planning • Regional Stormwater Capture project feasibility planning • Richfield and La Palma stormwater capture and infiltration flood relief project • State College storm drain project— repurpose abandoned sewer line for groundwater recharge and reduce inflow to county drainage facilities • District 27 drainage analysis • Prop 1 and Metropolitan Water District grant funding application support • Comprehensive citywide stormwater pump station evaluation FReferences References have been provided for each relevant project in Section E Relevant Evperienee above. EEC is happy to provide additional references upon request. EEC Environmental 13 November 17, 2022 City Council 19 — 234 4/4/2023 GScope of Work Background and Assumptions: • Well 26 production capacity is <2,000 gpm. • Well 26 currently pumps to the 38-foot maximum water level in the existing 6.0 MG East Reservoir (a ground level steel tank). • A sand separator will be installed on the existing well discharge. • A 12-inch connection to the existing 12-inch by-pass around the north end of the 6 MG East Reservoir will be used to direct the well production to the treatment system. • Two horizontal cartridge filters will provide pre -filtration for the IN treatment vessels. • One train of 12-foot diameter lead -lag IN vessels and appurtenances. • IX flush water supply (FWS) needed for change -outs to be de -chlorinated. • 1X flush water waste (FWW) disposal to existing storm drain or sewer. Survey of flow fine elevations to verify sufficient fall to drain, by others. • A new in -line booster pump station with two 75 to 100 HP outdoor pumps (1 duty and 1 stand-by) equipped with VFDs will boost the well production through the pre -filters and IX pressure vessels. • No new buildings are required since the existing 15'4" x 18'8" Control Building is large enough for the old MCC, Electrical Panels, and SCADA equipment to be replaced and air conditioning added for the new VFDs. • The treated effluent from the lag IX vessel will return in a new 12-inch pipeline to the existing 12-inch reservoir inlet. • To satisfy the CA Division of Drinking Water (DDW) requirements, a spool section of the existing 12-inch well discharge to reservoir inlet will be removed forcing well production through PFAS treatment before entering the reservoir. • It is assumed that the building adjacent to Well 26 is a chlorine storage and feed building and the small building to its east is an ammonia building, both added since the 1968 reservoir construction. Thus, chlorine and ammonia will be added to the PFAS treatment effluent through a new static mixer with chemical injection lines. • Associated facilities will include an emergency generator with automatic transfer switch to serve Well 26 and the PFAS treatment system. • Survey and geotechnical investigations are excluded from EEC's Scope of Work. • Bid assistance and services during constriction are excluded from this Scope of Work. • The Planning Study does not include wells previously included in the Santa Ana Producer Report. Wells previously included in the Producer Report can be included with expanded studies at an additional cost, if requested. Task 1- Planning Study OCWD's consultant completed a PFAS Treatment Systems Planning Study, also known as the "Producer Report" for City of Santa Ana wells potentially impacted by PFAS. In summary, this report provided preliminary details and recommendations for which wells may require PFAS treatment, an alternatives analysis for viable treatment options, a preliminary sizing and layout of treatment system equipment, and high-level cost estimates for project completion. The Producer Report included analysis of time (9) Santa Ana welts. However, the Producer Report did not include Wells 26, 34, 35, and 37. The RFP scope of work is specific to Well 26. However, Wells 34, 35. and 37 were recently included in DDW's Executive Order DW 2022-001-DDW and must be tested for PFAS by March 31, 2023. There is no evidence currently that Wells 34, 35, and 37 contain PFAS at any level, however EEC proposes to include these soon -to -be -tested wells in the Planning Study. The EEC Team will prepare a Draft Planning Study Report which is anticipated to contain the following information: EEC Environmental 14 November 17, 2022 City Council 19 — 235 4/4/2023 Project and regulatory objectives, description, and assumptions Alternatives analysis comparing various compliance and implementation options including: o Granular activated carbon (GAC) o Ion exchange (IX) o Reverse osmosis (RO) and nanotiltration • Reject stream management o Source water blending Unlikely assuming ND treatment goals o Well relocation and treatment system centralization Design criteria evaluation o Hydraulic evaluation • Fixed speed vs VFD well pumps • Need for booster pumps • Additional pressure losses Treatment evaluation • Sand separator for "sanding" wells Cartridge filtration (appropriate micron size), 1X vessels • Site layouts for each well site o Treatment equipment layout and piping o Flush water management and drainage o Truck access o Emergency generator • Expected O&M activities o Ongoing maintenance o Media change out o Waste management • System inteb7ation • Cost estimates o Capital cost o O&M costs including price escalation comparison between GAC and IX o Waste management costs o Land acquisition • Permitting o DDW, OCFCD, CEQA • Project timeline, phasing schedule, and construction duration Deliverables 1. Draft Planning Study (Electronic, pdf format). 2. Final Planning Study (Electronic, pdf format). Task 2 - 10% Design The EEC Team will prepare a Draft Preliminary Design Report (PDR) based on the Planning Study, The Draft PDR will serve as a 10°/, design submittal package. Drawings will be prepared using AutoCAD format. Drawings will be set up with 22" x 34" format for submittal and can be reduced to half scale I I" x 17" size for bidding purposes. The 10% design is anticipated to contain the following information: • Project objectives and description • Summary of the Planning Study • Design criteria • Facility layout with alternatives, if applicable EEC Environmental 15 November 17, 2022 City Council 19 — 236 4/4/2023 • Calculations • Design codes and reference standards • Project schedule, including design and construction milestones • Assumptions and potential risks • Preliminary list of needed specifications and standard/typical details • Preliminary bid packaging and construction sequencing strategies • 10 Percent Design Drawings (see anticipated drawing list below). Deliverables 1. Draft PDR with 10%Design Drawings (Electronic, pdf format). 2. Tabulated comment responses for Draft PDR review form (Electronic, pdf format). Task 3 - 30% Design Based on the design concepts and criteria established in the Draft PDR, the EEC Team will prepare a Final PDR to serve as the 30% design submittal package. Drawings will be prepared using AutoCAD format. Drawings will be set up with 22" x 34" format for submittal and can be reduced to half scale I I" x 17" size for bidding purposes. The 30% design is anticipated to contain the following information: General and civil site layouts o Land acquisitions, if applicable o Preliminary horizontal and vertical alignment o Pipeline Design Criteria Size, wall thickness, lining, coating, and cover requirements • Preliminary pipe pressure, thickness, joint and fitting design • Preliminary trench cross sections o Well 26 Sand Separator Criteria o In -line Booster Prmip Station Criteria o PFAS IX Treatment Design Criteria Cartridge pre -filters Number of trains and vessels 1X wash water supply (W WS) and wash water waste (W W W) System appurtenances • Mechanical piping and equipment layouts • Structural • Electrical site layout, single -line diagram with power source • Process & Instrumentation Diagrams (P&IDs) • Identification of any fatal flaws • Finalized design criteria • Estimated project schedule • 30 Percent Design Drawings (see anticipated drawing list below) Deliverables 1. Final PDR with 30% Design Drawings (Electronic, pdf format). 2. 30% Design List of Specifications (Electronic, pdf format). 3. 30% Cost Estimate (Electronic, pdf format). EEC Environmental 16 November 17, 2022 City Council 19 — 237 4/4/2023 Task 4 - 60% Design Based on the design concepts and criteria established in the PDR, the EEC Team will prepare a 60% design submittal package. Drawings will be prepared using AmoCAD format. Drawings will be set up with 22" x 34" format for submittal and reduction to half scale 11" x 17" size for bidding purposes. The technical specifications will be prepared using standard Construction Specifications Institute (CSl) 2004 format, modified for the project. The EEC Team will implement value engineering requirements, if applicable, and identify preferred equipment and materials. Draft technical specifications for major equipment, materials, and features will be prepared. At this stage, expectations and objectives are finalized as well as confirmation of constructabihty and permit requirements. The EEC Team will prepare a 60% Design opinion of probable construction cost (OPCC) following the principles and guidelines of the Association for the Advancement of Cost Engineering (AACE) and standard cost estimating procedures. The OPCC will meet the requirements of an AACE Class 2 estimate. The OPCC will be projected to the midpoint of the construction period. Deliverables I . 60% Design Drawings (Electronic, pdf format). 2. 60% Design Specifications (Electronic, pdf format). 3. 60% OPCC (Electronic, pdf format). Task 5 - 90% Design The EEC Team will incorporate comments from the City and other potential stakeholders on the 60% Design and prepare drawings and specifications developed to a 90% level of completion. The documents prepared will be grouped into a 90% Design submittal package and submitted to the City for review. The EEC Team will also provide a Commissioning Plan in which the goals, systems, and commissioning processes are identified. The Commissioning Plan will incorporate lessons learned from Fullerton, YLWD, and Santa Ana's Well 40 commissioning. The EEC Team will prepare a 90% Design OPCC following the principles and guidelines of the Association for the Advancement of Cost Engineering (AACE) and standard cost estimating procedures. The OPCC will meet the requirements of an AACE Class 2 estimate. The OPCC will be projected to the midpoint of the construction period. Deliverables l . 90% Design Drawings (Electronic, pdf format). 2. 90% Design Specifications (Electronic, pdf format). 3. 90% OPCC (Electronic, pdf format). Task 6 - Final (100%) Design The EEC Team will incorporate the responses to the final comments from the 90% design review and prepare the following: L Cost Estimate, Specifications and Project Schedule • Final construction schedule and estimate of construction duration • Construction phasing plan including construction staging area • Final commissioning plan • Final OPCC • A complete set of project permit applications (excluding Contractor obtained permits) • Complete set of signed and sealed drawings and specifications • Complete list of special conditions related to construction EEC Environmental 17 November 17, 2022 City Council 19 — 238 4/4/2023 it. Architectural System, if Applicable • Complete set of architectural drawings • All appropriate schedules III. Structural System • Complete set of structural drawings • Final structural details and calculations IV. Civil Site Plan System R° d�EA 8008�^•^ • Complete set of civil plans including quantities, utility connections, and site drainage • Landscaping and irrigation system plans, if applicable • Traffic control plans and SWPPP will be defined as the Contractor's responsibility V. Mechanical System • Complete set of process mechanical and building mechanical plans • Final control diagrams, control point list, and sequence of operations • Final building components U-value calculations and final energy code calculations VI. Electrical System • Final electrical details including lighting, receptacles, and equipment circuited • Final balanced load panel schedules and fixture schedules • Complete one -line diagrams directly linked to the panel schedule • Final electrical load calculations and final arc flash analysis Vii. Instrumentation and Control System • Final control, security, and alarm plans • Final P&IDs and associated Inputs/Outputs • AC/DC power distribution wiring diagrams Deliverables 1. Bid Set Design Drawings (Electronic, pdf format). 2. Bid Set Design Specifications (Electronic, pdf format). Task 7 - Bid Phase and Construction Support Detailed scopes of work for bid phase and construction phase support services will be proposed during the design phase of the project. Scopes of work will generally conform to the corresponding scopes of work identified in the RFP. EEC Environmental 18 November 17, 2022 City Council 19 — 239 4/4/2023 Final Design List of Drawings: No. Description 10 % 30 % 60 % 90 % 100% GENERAL 1 G-1 Title Sheet, Vicinitv & Location Map, List ofDrawings X X X X X 2 G-2 General Notes and Symbols X X X 3 G-3 Piping Symbols, Pi in c Schedules, Legend X X X 4 G-4Hydraulic Profile X X X 5 G-5 Process Flow Diagram X X X X X CIVIL 6 C-1 Abbreviations and Notes X X X X X 7 C-2 Legend X X X 8 C-3 Overall Site Plan X X X X X 9 C-4 Horizontal Control and Paving Plus X X X 10 C-5 Grading and Draina c Plan X X X 11 C-6 Yard Piping Plan X X X X X 12 C-7 Yard Piping Profile X X X 13 C-8 Civil Details X X X STRUCTURAL 14 S-1 Structural General Notes and Abbreviations X X X X X 15 S-2 Special Inspection, Testing Notes, and Schedules X X X X X 16 S-3 Structural - Notes and Standard Details X X X 17 S-4 Electrical Equipment Pad Plan and Sections X X X 18 S-5 Sand Separator and Pump Station Plan and Sections Y X X 19 S-6 Pro -Filters and Vessel Foundation Plan and Sections X X X MECHANICAL 20 M-1 Legend and Abbreviations Y X Y X Y 21 M-2 Equipment, Valve Schedules X X X X X 22 M-3 Mechanical Standard Derails X X X X X 23 M-4 Sand Separator and Pump Station Plan and Sections X X X 24 M-5 Pre -Filters and Treatment Equipment Plan Y X Y X Y 25 M-6 TX Vcsscl Slab Sections X X X 26 M-7 IX Vessel Slab Sections X X X 27 M-8 Mechanical Details Y X Y 28 TT-1 ITVAC/Plumbin * Legend, AbbrcN aeons, & Schedules X X X X 29 TT-2 Control Building TTVACand Plumbing Plan X X X 30 H-3 Control Building HVAC and Plumbing Details X X ELECTRICAL. 31 E-1 Electrical Abbreviations and Notes X X X X X 32 E-2 Electrical S nnbols - I X X X X X 33 T,-3 Electrical Svmbols - TT X X X X X 34 E-4 Electrical Details X X X 35 E-5 Overall Electrical Site Plan X X X X 36 E-6 Single Line Diagram and Equipment Elevations X X X X X 37 E-7 Electrical Control Schematic X X X 38 E-8 Panelboard and Luminaire Schedule X X X 39 E-9 Conduit Block Diagram - I X X X 40 10 Conduit Bloc], Diagram - 11 X X X 41 E-II Conduit and Cable Schedule - I X X X 42 Pr12 Conduit and Cable Schedule - 11 X X X 43 E-13 Control Building, Demolition Plan X X X 44 E- 14 Control Building Equipment Location Plan X X X 45 E-15 Control Building Lighting, Receptacle & Grounding Plan X X X 46 E-16 Pump Station Equipment Location Plan X X X 47 P 17 Pump Station T.i -htia g, Receptacle & Grounding Plan X X X 48 E- 18 Well Area and IX Electrical Plan X X X INSTRUMENTATION & CONTROLS 49 1-I Legend and Abbrcviations X X X X X 50 1-2 Standard Details X X X 51 1-3 Network Block Diagram X X X 52 I-4 Control Panel Layout and Details Y X X 53 1-5 Control Panel Wiring Diagram X X X 54 1-6 MID —Sand Separator and Pump Station X X X X 55 I-7 P&ID—Pre-Filters and Treatment Vessels X Y X X EEC Environnner 1 y ounce 19 19— vembcr 17, 2n22 Optional Task - Bench Scale Pilot Testing The following proposed scope of work is considered for a single well site. Multiple well sites with varying water qualities can be tested to provide additional information. Bench -scale testing of the three adsorbent materials will be conducted using the Rapid Small -Scale Column Test (RSSCT) procedure. The test procedure was developed at Michigan Technological University and has since become a standard test procedure in the water industry. Specifically, the RSSCT method is described in ASTM Standard Method D-6586-03 titled: "Standard Practice for the Prediction of Contaminant Adsorption on GAC in Aqueous Systems Using Rapid Small -Scale Column Tests". In this test, each adsorbent will be crushed to a smaller size (140x 170 mesh) and put into a small column, which becomes a small-scale replica of the large-scale vessel. The operating time for the small-scale column is a fraction of that for the large-scale vessel, allowing for a faster prediction of the time to breakthrough and the replacement frequency of the adsorbent in the full-scale application. The design of the RSSCT column relies on information regarding the anticipated full-scaleplantdesign and operation such as projected vessel size and flowrate per vessel. Three (3) RSSCT columns will be operated in parallel to test three adsorbents on the same test water. The selection of the three adsorbents material to be tested will be made in consultation with Santa Ana. Task 1— Test Plan. Prior to initiation of testing, the EEC Team will prepare an experimental testing plan and submit it to Santa Ana for review. After receiving Santa Ana's comments and approved modifications, the EEC Team will finalize the test plan. Task 2 — Water Collection. Several 55-gallon drams of water will be required to conduct this study. The EEC Team will bring the required number of drums with new HDPE liners to the well site on a truck. With assistance from City staff, the EEC Team will fill the barrels with water from a pre -selected connection point and bring them back to WQTS' laboratory in Los Angeles. Task 3 — Testing. After receipt of the water, the EEC Team will begin testing the three selected adsorbents. The EEC Team will conduct the tests, collect all samples, and submit them to the Lab for analysis. The source water will also be tested for general water quality parameters including pH, alkalinity, calcium, conductivity, bromide, and Total Organic Carbon (TOC) concentrations. Task 4 —Reporting. After the testing is completed and the results are received from the laboratory, the EEC Team will prepare and submit to Santa Ana a Technical Memorandum summarizing the testing procedures and the testing results. Deliverables 1. Draft Test Plan (Electronic, pdf format). 2. Final Test Plan (Electronic, pdf format). 3. Technical Memorandum of Results (Electronic, pdf format). EEC Environmental 20 November 17, 2022 City Council 19 — 241 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR F°FAS TREATMENT SYSTEMS APPENDIX ATTACHMENT 3t PROPOSER'S REFERENCES List and describe fully the contracts performed by your firm which demonstrate your ability to provide the supplies, equipment or serviws included in the scope of the proposal specifications. Attach additional panes if repuired. The City n,iieruies the right to contact each of the references listed for additional information regarding yourfirm's clualirrcatiens, Reference Customer game: City of Santa Ana Address: 20 Civic Center Plaza Santa Ana, CA 92701 Canrraet Amount: $360,000 annual Contact Individual: Cesar Barrera, PE ptvre Number: (714) 647-3387 Email cbarrera@santa-ana.org year: 2020-present Desexiplion of supplies, equipment, pr 5;ervi0as pmylded: As -needed engineering and consulting services including WDR/SSMP compliance, FOG compliance, and environmental compliance, and PFAS olannina. Reference Customer Name: Orange County Water District Address: 18700 Ward Street Fountain Valley, CA 92708 ConlreurAmounr: $1 550500 description of suppiies.. equijpmen[, ar services Refaroncc Contact lndcnduad: Chris Olsen, PE phone Number: (714) 378-3232 Email: colsen@ocwd.com Year- 2020-2022 for four (4) City of Orange wells. Customer game. Santa Clarita Valley Water AgencyConw Indry dual: Shadi Bader, PE Address: 27234 Bouquet Canyon Road Santa Clarita, CA 91350 ContractAmount: $501,000 Ptorie Number (661) 310-6410 Emall: sbader�a,uscvwa.org Year: 2019-2022 Description of supplies, equiprmmnt_ at services pnx*eid PFAS treatment system design services (ion exchange) for N-wells and Q2 well. CdV of Santa Ana RFP 22-13.3 City Council 26 19 — 242 4/4/2023 CITY OF SANTA ANA RFP 140,; 22-133 ON -CALL EMGINEE RING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS Customer Rama. Elsinore Valley MWD Address: 31315 Chaney St Lake Elsinore, CA 92530 Contr+atR Amount: $3,578,526 GoalatL Individual: Parag Kalaria, PE Phone Humttar. (951) 674-3146 Emaa: kalaria(aevmwd.net Year: 2021-present 4eswip0cm of supplies, equlpowmit, or m�rvkw% providad; Canyon Lake Water Treatment Plant CLWTP) Phase 1 PFAS treatment system design (GAC/1X) including THIS FORM MUST BE COMFLETEO ANO INOLUOrt 0 WITH THE PROPOSAL. PROPOSALS THAT GO NOT CONTAIN THIS FORM WILL BE CONSI6EREd NONRESPONSIVE. City of Santa Ana RFP 22-133 on -Call City Council 27 19 — 243 4/4/2023 CITY OF SANTA ANA RFP 140,; 22-133 ON -CALL EMGINEE RING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS Customer Mama- City of Anaheim Address: 200 South Anaheim Boulevard Anaheim, CA 92805 Conir$tx Amount: $364,970 annual 4eswiPOon of supplles, equlpmeK or sere yes prmsded; On -call sunnort services for NPDES and AMR corn ,may l IMMYMuaflL- Keith Linker, PE Phone Numbw- (714) 765-4141 Etna' klinker@anaheim.net Year: 2019-present including engineering and development THIS FORM MUST BE CO+hMFLETEO ANO INCLUOrt 0 WITH THE PROPOSAL. PROPOSALS THAT AO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. City of Santa Ana RFP 22-133 on•Ca11 City Council 27 19 — 244 4/4/2023 APPENDIX A RESUMES City Council 19 — 245 4/4/2023 ENVIRONMENTAL Water/Emerging Contaminants Wastewater/Stormwater Litigation Support Regulatory Compliance Technology/GIS Jim is an engineer with 25 years of project management experience. He has extensive expertise in wastewater/sewer system program support, including sewer system capacity analysis, sanitary sewer overflow (SSO) reduction program development and data management, industrial wastewater pretreatment program development, stormwater compliance, collection system condition assessment and characterization, fats, oils, and grease (FOG) program development, and geographic information system (GIS) / database integration. Jim routinely manages projects with complex regulatory compliance issues related to state enforcement, consent decrees, and compliance audits. He has managed multiple projects involving development and management of hundreds of permits, including thousands of facility inspections and enforcement. Jim holds a Bachelor of Science from San Jose State University. He maintains professional certification in Sanitary Sewer Overflow Reporting from the California Water Environment Association and in Pipeline Assessment and Certification from the National Association of Sewer Service Companies. Project Manager / Principal -In -Charge, Various Water / Wastewater Projects I City of Santa Ana I Santa Ana, CA • PFAS treatment implementation strategy development and support services. • Water system disinfection testing and analytical services. • Water system de minimis discharge program development and implementation support. • Water conservation program assessment and response support. • WDR and FOG program development implementation services. • Commercial facility plan review and compliance assessment services. • Collection system 0&M program development and implementation. Project Manager / Principal -In -Charge, Sewer Capacity Study I Costa Mesa Sanitation District I Costa Mesa, CA • Performed data analysis to identify sewer capacity limited and vulnerable pipelines across entire sewer district. • Oversight of dry/wet weather flow studies including site selection, meter installation, and data processing. • Oversight of flow model development and integration with asset management GIS with spatial analysis. Project Manager, Pretreatment Program Development and Implementation for Various Municipalities I Nationwide • Manage pretreatment program assessment, development, and implementation of key program elements, including legal authority review/development, industrial waste survey screening and local limits development/implementation. • Prepare program manuals and procedures/guidelines for industrial user inspection, sampling, and enforcement activities. Project Manager / Technical Lead, Sewer Collection System Consulting for Various Municipalities I Nationwide • Routinely hired by municipalities for sewer collection system condition assessment and SSO reduction program development and implementation. • Oversight and perform sewer mainline CCTV inspections for condition assessment and characterization, identification of SSO causes and performance evaluation of mitigation efforts. • Provide expert FOG control consulting services ranging from ordinance and permit development, grease interceptor sizing and installation requirements, inspector and enforcement procedures, and database and GIS management. • Clients include Washington Suburban Sanitary Commission, Boston Water and Sewer, Seattle Public Utilities Commission, Orange County Sanitation District, Irvine Ranch Water District, and the City of Santa Ana. Technical Lead, Industrial Wastewater Pretreatment Audits I Multiple Clients I Nationwide • Conducted multiple industrial wastewater pretreatment audits for industries involving categorical industrial user permit compliance, slug discharge control plans, discharge monitoring, enforcement response, and program reporting. Project Manager / Principal -In -Charge Various Commercial and Industrial Wastewater Treatment Projects I California • Routinely hired by commercial and industrial clients to assess, design, and develop effective, economical solutions for wastewater treatment systems. Projects include enhancements to aeration system to increase efficiency, digester systems to reduce sludge disposal costs, and lift stations and interceptors to address odors/corrosion. Project Manager, Hydrogen Sulfide Characterization for Various Municipalities I California • Managed development and implementation of comprehensive hydrogen sulfide source investigations, requiring vapor phase monitoring and aqueous phase analysis in public sewer collection systems. • Aqueous phase sample collection, field preparation, field analysis, and split sampling for laboratory analysis. • Performance evaluation of hydrogen sulfide mitigation measures, including chemical/biological additives. Principal -In -Charge / Project Manager, Hydrogen Sulfide Mitigation I Confidential Retail Property Developer MCA • Development and implementation of comprehensive sulfide management plan for retail property with 50+ food facilities and 30+gravity grease interceptors to mitigate sewer odor and infrastructure corrosion issues. • Vapor phase monitoring and aqueous phase analysis in private sewer collection system. • Performance evaluation of mitigation measures, including aeration approaches and additives/dosing methodologies. • Served as liaison for all communication with regulatory authority and Client. Principal -In -Charge / Project Manager, Retail Food Service Establishment Inspection Management Services I Various Municipal Clients I Southern CA • Managed FOG control food service establishment inspection programs for five cities and sewer districts. • Under his direction, 16,000+ inspections have been performed to date and 5,000+ notices of noncompliance or notices of violation have been issued. • Managed issuance of all compliance enforcement measures and tracking of implemented corrective actions. Project Manager / Subject Matter Expert, SSO Consent Decree Support I Confidential Client I California • Managed all technical support activities related to an SSO consent decree response for a California sewer agency. • Work involved detailed assessment of SSO-related programs, recommendation of program enhancements, development and negotiation with the environmentalist group on behalf of the client for reasonable performance measures, and development and implementation of critical program upgrades. Project Manager, Sanitary Sewer Overflow Study I OCSD and County of Orange I California • Conducted research study for OCSD and County of Orange on the causes of and solutions to sanitary sewer overflows. • The study was commissioned in response to increasing beach closures in Orange County due to sewer blockages. • Evaluated the causes of grease blockages linked to wastewater discharge from restaurants and residences. Project Engineer, Sewer System Characterization I Orange County, CA • Conducted sewer system characterization projects for local cities and wastewater agencies. • Performed CCTV inspections, sewer mapping using geographic information systems, and identification of structural and sewer blockage issues. Project Manager, Water Supply Assessment, Development, and Implementation I Confidential Client I California • Served as project manager for a water supply feasibility study for a community that was not currently served by a municipal supply. • The project resulted in development and implementation of a viable solution to serve the short-term water supply needs of the rural community. Project Manager, Stormwater Management Services I Airgas Products I El Segundo, CA • Managed the development and implementation of a stormwater pollution prevention plan and monitoring and reporting program for the Airgas facility in Torrance, California. ENVIRONMENTAL Water/Emerging Contaminants Wastewater/Stormwater Litigation Support Regulatory Compliance Technology/GIS John Shaffer is the founder and CEO of EEC. John has more than 35 years' experience managing water and wastewater assessment and treatment projects with an emphasis on emerging contaminants such as per- and polyfluoroalkyl substances (PFAS). He has managed many large projects, including a 2.5 MGD design/build wastewater treatment plant project in China. John helped develop the Water Environment Federation (WEF) / U.S. EPA fats, oils, and grease control program workshop and served as a speaker at workshops throughout the United States. He also designed and conducted 15 wastewater treatment operator training courses for metal finishers and circuit board manufacturers in Southern California on behalf of the Orange County Sanitation District. John is considered a PFAS chemistry expert and has been asked to speak on emerging PFAS issues to the National Groundwater Association, the National Association of Clean Water Agencies, the Textile Rental Services Association, and the Orange County City Attorneys. John holds a General Engineering Contractors License (A-743267), with a Hazardous Substances Removal Certification. He is a long-standing, active member of the Water Environmental Federation, California Water Environment Association, and the California Association of Sewering Agencies. John studied biochemistry at the University of California, Los Angeles. EXPERIENCE WATER/WASTEWATER Principal Chemist, CA/QC, Owner's Representative for PFAS I City of Santa Ana I California • Providing ongoing chemistry expertise related to groundwater wellhead PFAS treatment options. • Regulatory guidance planning involving California notification levels, response levels, and pending national regulations. • Advising on PFAS waste disposal options. Principal Chemist, QA/QC, Industrial Wastewater PFAS Characterization Sampling I Confidential Industrial Client Nationwide • Industrial wastewater sampling at multiple facilities in different states throughout the nation to characterize PFAS and other water quality issues to inform the design of treatment systems. • Targeted samples at various locations within each waste stream to identify opportunities for source reduction and blending to reduce PFAS treatment costs. Principal Chemist, PFAS Local Limit Review and Negotiations I Confidential Industrial Client I Michigan • Providing third party technical review of the first proposed PFAS local limit in the nation. • Engaging with the POTW to ensure the proposed limit is technically based. Principal Chemist, QA/QC, Local Limits Evaluation I OCSD I Fountain Valley, CA • Provided oversight and senior QA/QC review of all project tasks, including technical memoranda, final reports, and presentations to the OCSD. • The evaluation consisted of employing EPA Local Limits Development Guidance (2004) to develop maximum allowable headworks loadings and allowable industrial loadings. Principal in Charge, QA/QC, Santa Ana Watershed Project Authority Pretreatment Program Audit • Interviewer, principal in charge, and QA/QC lead for a thorough audit of the Santa Ana Watershed Project Authority's Industrial Pretreatment Program on behalf of OCSD. Principal in Charge, QA/QC, Pretreatment Program Upgrade and Local Limits Development I Salt Lake City Corporation I Salt Lake City, UT • Principal in charge and QA/QC lead for an upgrade of the Salt Lake City's Industrial Pretreatment Program for which work included writing new permits, revising pretreatment ordinance, training inspectors, developing standard operating procedures, and corresponding with State of Utah regulatory agents. • Principal in charge and QA/QC for local limits development project. Principal In Charge, Various Locations -Decontamination Stations I Gulf of Mexico • Feasibility study for wastewater treatment of decontamination water from equipment and cleanup vessels associated with BP Oil Spill. • Site evaluation, discharge volume evaluation, surfactant uses evaluation, POTW discharge options, and evaluation of water reclamation capabilities. • Wastewater sampling, analyses, and characterization. • Pretreatment process evaluation and chemical treatment process development. • Negotiated issues including wastewater discharge rates, sewer use ordinances, and environmental impacts. • First Phase treatment system development, design, mobilization, and startup. • Permitting Support Sewer Use Ordinance and Pretreatment Program Evaluation and Revision I Salt Lake City I Salt Lake City, UT • Teaming with PSI, John was the project manager for the development and rewriting of the Salt Lake City Wastewater Control Ordinance. • John worked with Salt Lake City to develop all procedural documentation required for the ordinance revision, including updating the Industrial Waste Survey, permitting procedures, inspection and monitoring procedures, and enforcement procedures. Principal In Charge, Sewer Use Ordinance and Enforcement Response Plan Evaluation and Revision I City of Ventura • Principal in charge providing CA/QC for the evaluation and revision of the City's sewer use (pretreatment) ordinance and enforcement response plan. Program Manager, Sanitary Sewer Overflow Study I OCSD and County of Orange I Nationwide • Oversaw research study for OCSD and County of Orange on the causes of, and solutions to, sanitary sewer overflows. The study was commissioned in response to increasing beach closures in Orange County due to sewer blockages. • Evaluated the causes of grease blockages linked to wastewater discharge from restaurants and residences. Project Manager, Sewer System Characterization I Orange County, CA • Managed more than $1M worth of sewer system characterization projects for local cities and wastewater agencies. • Oversaw CCTV inspections, sewer mapping using GIS, and identification of structural and sewer blockage issues. Project Manager/Chemist, 150Industrial Wastewater Treatment Projects I Nationwide • System designer and chemical specialist for wastewater treatment and/or water reuse systems in 150+ industrial plants. • Work has included performing feasibility studies; designing complete treatment and water reuse systems; devising chemical treatment processes for removal of oil, grease, heavy metals, toxic organics, chemical oxygen demand, biological oxygen demand, and suspended solids; designing biological treatment; and providing technical service, operator training, and ensuring compliance with local agency discharge regulations. Developer/Instructor, Wastewater Treatment Operations Training Course I OCSD I Fountain Valley, CA • Created and instructed 10 training courses for wastewater treatment system operators working in the metal finishing and circuit board manufacturing industries to achieve and maintain compliance with OCSD's discharge regulations. • Course topics: system design, equipment operation, chemical treatment, pollution prevention, and troubleshooting. Pretreatment Program Training I City of San Jose I San Jose, CA • Program manager and co -trainer for a one-year comprehensive pretreatment training program for 20 City of San Jose pretreatment inspectors and engineers. • Topics included 40 CFR 403, legal authority, permitting, sampling, enforcement, reporting, industrial usertracking, and local limits development. Training was required in response to an EPA Administrative Order. Program Manager, Compliance and Water Rate Negotiations with Various Municipalities and Government Agencies Nationwide • Retained by various industries to negotiate with state regulators, cities, water agencies, sanitation districts, and publicly owned treatment works (POTWs) throughout the county. • Negotiated with such agencies as the RWQCB, LACDPW, LACSD, IEUA, OCSD, LASAN, San Francisco Public Utilities Commission, San Diego Metropolitan Wastewater Department, Massachusetts Water Resources Authority, City of Phoenix Water Services Department, and Quebec City Provincial Wastewater Department. Project Manager, Wastewater Compliance Consulting I Genentech I South San Francisco and Oceanside, CA • Consulted on various wastewater -related projects involving permitting and treatment design and compliance negotiations with the Cities of Vacaville, South San Francisco, and Oceanside, CA, in which Genentech facilities are located. Project Manager, Oil Refinery Wastewater Treatment System Design and Construction I Mainland, China • Oversaw the design and construction management of a 2.5 MGD wastewater treatment plant at an oil refinery in China to assist the refinery with meeting ocean discharge standards. • Designed a new system for treatment of stormwater and process water using API oil/water separation, PPI oil/water separation, dissolved air floatation, chemical coagulation and flocculation, multimedia filtration, biological treatment, and activated carbon polishing. • Designed sludge treatment system consisting of sludge thickening, sludge dewatering, and sludge drying. STORMWATER/COLLECTION SYSTEMS Project Manager, NPDES Compliance Projects I Nationwide • Managed NPDES and WDR permit development and compliance for POTWs, industries, and commercial businesses throughout the US. • On behalf of POTWs, negotiated NPDES and State agency penalties from enforcement of stormwater, SSO, and wastewater treatment plant discharge regulations. • Represented POTWs in defense of Clean Water Act lawsuits involving SSOs and wastewater treatment plant discharge. Project Manager, 30 Industrial Stormwater Compliance Programs I Statewide in CA • Managed 30 separate industrial stormwater compliance programs throughout California and oversaw the following: stormwater sampling, containment system design and installation, stormwater pollution prevention plans, stormwater monitoring and reporting program preparation, and permitting with the California Regional Water Quality Control Board. Project Manager, Sewer Sampling and Characterization I American Linen / City of Banning I Banning, CA • Managed sampling and characterization of the sewer lines in the City of Banning to determine the source of dissolved solids that were impacting the POTW. Project Manager, Storm Drain Sampling & Characterization I City of Aliso Viejo I Aliso Viejo, CA • Managed the sampling and characterization of storm drains in the City of Aliso Viejo. • Oversaw sampling for total coliform, fecal coliform, fecal streptococcus, and E. coli bacteria. • Determined sources of coliform and coliform total maximum daily loading for Aliso Creek. Project Manager, Various Municipal Ordinance Negotiations with Stakeholders I Nationwide • Retained by numerous municipalities as a negotiator with multiple stakeholder groups to propose and finalize municipal ordinances that directly affect businesses, environmental groups, and homeowners. • Negotiated issues including wastewater discharge rates, sewer use ordinances, and environmental impacts. ENVIRONMENTAL Water/Emerging Contaminants Wastewater/Stormwater Litigation Support Regulatory Compliance Technology/GIS Will Shaffer brings a common-sense approach to complicated engineering problems. He has extensive civil design and project management experience across a vast array of disciplines including water and wastewater treatment, underground utilities, site grading and drainage, stormwater compliance and structural BMP design, industrial wastewater pretreatment, vapor intrusion mitigation systems, and ADA design. By supplementing his engineering expertise with his comprehensive knowledge of surveying and construction management, he is able to manage projects from conception, through design and permitting, to completion of construction. His utility design experience includes design for grease waste, sanitary sewer, storm drain, water, gas, electric, fiber-optic, and communications utilities. Will holds a Bachelor of Science in Civil Engineering from Loyola Marymount University. He is a registered professional engineer in CA, MD, and 16 other states. He is a California Qualified SWPPP Developer (QSD) and a Qualified Industrial Stormwater Practitioner (QISP). Will is a member of the American Society of Civil Engineers (ASCE), National Society of Professional Engineers (NSPE), an executive member of the Loyola Marymount University Council for Industry Partnerships, and maintains an OSHA 40-Hour HAZWOPER certification. Owner's PFAS Representative I City of Santa Ana I Orange County, CA • Providing ongoing expert consulting services related to groundwater PFAS contamination in the Orange County groundwater aquifer. • Peer review of PFAS treatment system (wellhead and centralized) Preliminary Design Reports (PDRs), design scopes of work, construction documents, and specifications. • Training seminars for City engineers, operators, and maintenance staff. • Distribution system planning before, during, and after treatment system buildout. • Well 40 treatment system inspection and drainage revisions. Industrial Wastewater PFAS Characterization Sampling I Confidential Industrial Client I Nationwide • Industrial wastewater sampling at three facilities in different states throughout the nation to characterize PFAS and other water quality issues to inform the design of treatment systems. • Targeted samples at various locations within the waste stream to identify opportunities for source reduction and blending to reduce PFAS treatment costs. PFAS Local Limit Review and Negotiations I Confidential Industrial Client I Michigan • Providing third party technical review of the first proposed PFAS local limit in the nation. • Engaging with the POTW to ensure the proposed limit is technically based and does not over -burden local industries. Water System Optimization Review I Agua Caliente Band of Cahuilla Indians I Palm Springs, CA • Performed a comprehensive audit of an aging water delivery and irrigation system for the Agua Caliente Band of Cahuilla Indians. • Bathymetric survey of a 1-acre surface reservoir utilizing a USV survey vessel to enhance evaporative and infiltrative loss calculations. • Develop water balance of extensive water delivery and irrigation system to identify major water losses. • Recommend CIP with planning level cost estimates to upgrade infrastructure to mitigate water losses and enhance water conservation measures. As -Needed Engineering I City of Anaheim Public Works Department I Anaheim, CA • Providing as -needed engineering support for multiple Public Works programs and projects. • Services include drainage design review, NPDES and WDR permit compliance, sewer master planning review, FOG program development, and drainage design review. Two Harbors Wastewater Treatment Plant Assessment I Santa Catalina Island Company I Catalina Island, CA • Assessed the condition and operations of the existing WWTP serving the Two Harbors community. Developed an action plan to address a variety of technical and operational deficiencies identified as contributors to on -going compliance issues. Corrective measures were identified and implemented covering mechanical repairs, equipment rehabilitation, SOPS and operations personnel training. Wastewater Pretreatment Design -Build I Aerospace Company I Long Beach, CA • Managed a 7,000-gallon batch treatment design -build project to upgrade the wastewater pretreatment system for an industrial facility. • Treatment processes include waste stream segregation, influent equalization, chromium reduction and chemical precipitation, sludge dewatering, pH adjustment, and effluent equalization and clarification. • Scope of work included secondary containment upgrades and CUPA tank inspections. • Completed design and permitting forall system components including site development, utilities, piping, pumping, controls, electrical, and structural. • Managed construction of new system including tanl</equipment procurement, demolition, and equipment installation. • Performed and refined system operations for 18+months. Water, Wastewater, Recycled Water, and Stormwater Master Planning for a 400+Acre Property Owner ( Southern CA • Delivering master planning and conservation support for water, wastewater, recycled water, and stormwater systems. • Developed a comprehensive wastewater treatment alternatives analysis for a 400+ acre property owner generating 1SOk+ gpd of wastewater and utilizing Title 22 treated effluent for recycled water irrigation. • Included planning -level cost estimates overa 20-year project lifespan forwastewater alternatives comparison and selection. • Provided consulting services for negotiations with multiple local agencies. • Projected future wastewater demands based on planned developments and ongoing projects. Owner's Representative, 62,000 ftz Laundry Development I UniFirst Corporation I Hammond, IN • Peer review of civil construction documents for accuracy and constructability. • Construction administration including: contractor RFI response, traffic control design, utility conflict resolution, environmental planning and non -hazardous waste disposal, expedited permitting services for permit revisions, value engineering for stormwater detention system. • Wastewater pretreatment system engineering and Industrial Waste Discharge (IWD) permitting. Design -Build UST Removal and AST Install (tube & Waste Oil) Systems I City of Torrance I Torrance, CA • Managed design -build contract for the City of Torrance Fleet and Transit Facilities while maintaining site operations. • Removal of 16 USTs (550 gal — 20,000 gal) with site closure. • Installation of 13 ASTs (250 gal —3,000 gal), delivery systems, leak detection, and hose reels (50+). Methane Mitigation System Inspection and Commissioning I LAUSD I Los Angeles, CA • Performing methane deputy inspection services for a multi -phased Comprehensive Modernization project at the Roosevelt High School. • Serving as the Gas Mitigation Commissioning Project Manager and overseeing the Methane Inspector and Engineer. • Authoring required plans including CQA, T&I, Baseline Testing and Startup, and O&M plan for DTSC approval. TRSA — PFAS: The Impact on the Industry, July 2022. ENVIRONMENTAL Water/Emerging Contaminants Wastewater/Stormwater Litigation Support Regulatory Compliance Technology/GIS Brandon Willnecker has over two and a half decades of experience leading teams and projects while applying sustainable common-sense approaches to technical challenges. His experiences across the public sector, and private client land development spectrum, include planning, design, management, construction, and post -construction lifecycle optimization. In addition to projects, Mr. Willnecker is well versed in current and pending Water Quality Regulations and has professional experience in Southern California, as well as nationally. Mr. Willnecker has managed multi -million -dollar design bid build, and design -build projects and has provided construction management support for both redevelopment and ground -up projects. Mr. Willnecker holds a Bachelor of Civil Engineering from the University of Dayton. He is a registered professional engineer in California, Ohio, and Alaska, and is a self -certified California Qualified SWPPP Developer (QSD) and a Qualified Industrial Stormwater Practitioner (QISP). Mr. Willnecker is a member of the American Society of Civil Engineers (ASCE), and the California Stormwater Quality Association (CASQA) and maintains an active role in volunteering and community service. Owner's PFAS Representative I City of Santa Ana I Orange County, CA • Well 40 treatment system inspection and drainage revisions. As -Needed Engineering / NPDES Services I City of Anaheim Public Works Department (2019 — Present) I Anaheim, CA • Providing as -needed engineering support for multiple Public Works programs and projects. • Services include drainage design review, NPDES and WDR permit compliance, sewer master planning review, FOG program development, and drainage design review. • Grant funding research and management • Project review management for RFP scope generation Skylinks at Wardlow, Stormwater Capture Project* I City of Long Beach (2021-2022) 1 Long Beach, CA • Project Manager overseeing 30%conceptual design through 60%, 90%, and 100%final design phases. • Responsible for all financial aspects of project and coordinate with multi -disciplined team and sub -consultants • Dry and Wet Weather diversion project involving pump stations, man made wetland conveyance and treatment, underground storage and infiltration and storage. Total storage capacity equal to 14.0 acre-feet. • Relocation of 12" diameter Long Beach Water District reclaimed water line • CEQA/NEPA permitting, coordination with LACDPW and Flood control districts • Public Outreach and coordination State College Boulevard Regional BMP Feasibility Study* I City of Anaheim (2019-2021) 1 Anaheim, CA • Project Manager for the completion of the feasibility study and preliminary design phases for a regional infrastructure repurposing project. • The City of Anaheim, in coordination with the Orange County Sanitation District, took ownership of two miles of abandoned 39"-42" diameter sewer pipe, with the intention of repurposing it for Stormwater water diversion, treatment, storage, and infiltration. • The system is intended to reduce stormwater deficiencies in a nearby Orange County Flood Control box culvert. • Project infiltrates dry and wet weather volumes of runoff into the ground for groundwater recharge • Provide long term geographically specific rainfall/runoff data for single family residential land uses in the City of Anaheim. Regional BMP Credit Study* I City of Anaheim (2019-2021) 1 Anaheim, CA • Assisted in conceptualizing and developing the framework for implementing a Regional Best Management Practices (BMP) Credit Study • The purpose of the study was to arrive at a methodology for both, tracking watershed water quality management plans, and providing a financial model to track "credit generator' projects as they would come online. • Project elements included reviewing total watershed quality requirements and the impacts of existing WQMP's on the system, and how they impacted both available credits, future credits, and pricing as credits are purchased and future credit generator systems came online. • The deliverables included a template calculation spreadsheet and a detailed presentation for City staff. • Project challenges included understanding and working with the City Finance department to determine financial management throughout various City departments, as well as developing the methods and frequency for credit pricing adjustments. • Opportunities in the future for the program include the encouragement by the City to deliver additional regional stormwater capture systems that will provide watershed level compliance for public projects, with a pathway to offering credits to private developments. Stormwater Feasibility Studies* I City of Dana Point (2020-2021 1 Dana Point, CA • Development of four individual stormwater feasibility studies at multiple locations throughout the City of Dana Point. • Locations studied experienced frequent/historical flooding, temporarily blocked roadways, or impacted private properties. • Provided alternatives analysis by generating 1D and 2D models to illustrating causes of flooding. • Developed multiple solutions and cost models for each location. Three alternative designs and costing models were prepared for each of the four locations and discussed with City staff. One of the most challenging aspects was working with a private property owner and church to prepare onsite topographic surveys and models to demonstrate the existing flooding patterns and agree on a design remedy. Determined that multiple upstream street catch basins had the ability to be retrofitted to capture runoff upstream and carry it around the project site, thus minimizing surface runoff across the property. Bikepath O,P,Q* I Orange County Public Works (2020-2021) 1 Orange County, CA • Managed the preparation of a multi -mile HEC-RAS study for existing and proposed conditions along the proposed Bikepath O,P,Q project. • The project entailed the construction of a paved bikepath along the top banks of Coyote Creek. Two bridge undercrossings were proposed and Artesia Boulevard and Valley View Street that altered the existing concrete channel cross section. • Evaluated the undercrossings 1,000 feet upstream and downstream of the bridges for impacts to channel water surface elevations and velocities. • Coordinated with Orange County, the Los Angeles County Flood Control Districts, and the Army Corps of Engineers. • Challenges included gaining concurrence across the various agencies on the acceptable flow rates to use for the analysis, as well as developing HEC-RAS methodology for the handrailed cantilever solution proposed at one of the undercrossings. Wagon Wheel Creek Rehabilitation I Orange County Parks (2019-2021) 1 Wagon Wheel, CA • Project Manager. Assisted in field walk and condition assessment for a failed stepped wall system. • Collected streambed material samples and assisted geomorphological experts in determining sediment transport. • Completed short and long term repair plans for failed creek wall system. Completed scour and sediment transport analysis. Coordinated with USACOE and completed required permits. City of Twenty -Nine Palms Specific Plan I City of Twenty -Nine Palms (2020-2021) 1 Twenty -Nine Palms, CA • Water Quality Manger engaged in specific planning for future stormwater and sewer services within the City. • Predicting future central city development corridor as well as optional future Marine Corps base sewer treatment plant. • Analyzed future treatment system capacities. • Completed long term stormwater planning for quantity and quality. Avenue 64 Roadway Project* I City of Pasadena (2021) 1 Pasadena, CA • Managed the stormwater and water quality design for a round about intersection improvement project in the City of Pasadena. • Conceptualization of a round -a -bout at the intersection of three roadways within a residential area of the City. • There was no existing storm drain infrastructure at the intersection and the proposed design required capturing and treating runoff prior to surface flowing across the proposed round -a -bout and creating hazardous roadway conditions. • Proposed solution required designing catch basins to accept multiple upstream watersheds along steeply slopes streets and conveying underground and down -road to gutter based bubblers. UCI Medical Center Imaging Building (2019-2021) 1 UCI Medical Center I Orange, CA • Served as Project Manager for a campus redevelopment project that included the demolition of existing structures, utilities parking lots, and irrigation systems, and replaced them with new structures, surface features, and wet/dry utilities. • Task included working the preparation of detailed precise grading plans and coordinating with multiple disciplines and adjacent projects during plan production and construction management. Doheny Desalination Plant (2020-2021) 1 South Coast Water District I Dana Point, CA • Managed the development of the Preliminary Grading Plan and Water Quality Management Design for design development permitting approval for a design build project. • Led the preparation of a watershed level hydraulic study to incorporate future sea level rise, off site run on drainage, and on site drainage; ensuring that the future desalination plant will remain above anticipated future water surface elevations. Lower Peters Canyon Regional Park (2020-2021) 1 Orange County Parks I North Tustin Area, CA • Project Manager for an improvement project within a Regional Park for the installation of a 6-stall restroom facility, updated trailhead, sewer lift station, and utility installations under an existing OC Flood Control District improved Spillway. • Project required coordination with the Division of Dams, Irvine Ranch Water District, Southern California Edison, and OC Parks and Flood. The project is highlighted by the utilization of horizontal directional drilling methods to install a private sewer force main, domestic water service, and electrical ductwork, under an existing improved flood control spillway. Lost Canyons Country Club Redevelopment (2017-2019) 1 Newport Pacific Land I Simi Valley, CA • Project Manager for the Redevelopment of two 18-hole golf courses into a single 18-hole golf course, and 300+ single family residential community. • Executing the stormwater strategy so that the developed project met the local jurisdictional requirements for NPDES compliance, as well as mitigated impacts in flow, volume, and TMDL's for Tapo Canyon Creek. • Water quality objectives were achieved through the implementation of multiple interconnected above ground water quality basins, combined with proprietary treatment devices, to reduce flow rates, promote infiltration for volume controls, and active treatment for removal of TMDL's. • The project required roadway widening, incorporation of bus stops, and bike lanes to integrate into existing improvements and be adaptable to future widening projects. Industrial General Permit Stormwater Services I Waste Management) Simi Valley, Santa Ana, Moreno Valley, CA • Reviewed and prepared updates and modifications to IGP SWPPP's for four facilities in Southern California. • At the Simi Valley Landfill engineered a revised access road and weigh station and incorporated updated storm drain design for an outlet to a large scale settling basin to capture sediment and maintain baseline status for the landfill facility. • At the Moreno Valley Transfer station, updated the IGP SWPPP to redefine the sampling locations and designed a treatment train system to remove TSS form runoff to bring the site back into baseline status. • At the El Cajon Facility in San Diego, conceptualized a design to incorporate a Jellyfish Membrane Filter at the site outfall into Bradley Creek to pilot bacteria removal for pending dry weather TMDL regulations. • Design two at grade treatment systems to mitigate TSS in overland flows that discharged off site. Involved the design of an infiltration gallery at one discharge point and an elevated at grade proprietary filter at the other outfall. Additional Planning Experience • Landerhaven Business Park and Regional Stormwater Master Plan — Mayfield Heights, OH —1997 • Schmidt Creek Regional Creek and Basin Plan — Madera, CA— 2005 • Murrieta Creek Development Plan — Murrieta, CA — 2007 • El Toro Retarding Basin Hydrology Study — Orange County, CA-2017 • Bradley Creek TMDL Analysis — El Cajun, CA-2018 • Harbor Marina Drainage and BMP Study — San Diego, CA-2019 • Regional Industrial General Permit Compliance — Moreno Valley, CA - 2019 • Kohl's Ranch Watershed/ Thermal Airport — Thermal, CA-2019 Additional Land Development Experience • Best Buy Warehouse— Oakwood Village, OH — 1998 • Progressive Insurance Corporate Headquarters— Mayfield Heights, OH —1999 • Lake Elsinore Square— Lake Elsinore, CA— 2002 • Coca Cola Distribution Facility —Oceanside, CA-2004 • Sant Clarita Transit Maintenance Facility — Santa Clarita, CA-2006 • Indio Towne Center —Indio, CA-2008 • Palmdale Gateway — Palmdale, CA-2010 • Circle KRegional Expansion— Phoenix, AZ-2012 • All American Self Storage — Escondido, CA — 2018 • Tower Market / Fuel Station— Palm Desert, CA - 2018 Awards • Honorary Award, 2020—American Council of Engineering Companies (ACEC)— Modjeska Park Underground Stormwater Detention and Infiltration System Professional Development • Strategic Account Leadership, OhTen Group, 2021 • PMSJ Project Management Bootcamp, PMSJ, 2018 *Denotes Service provided while at previous engagements M, ENVIRONMENTAL Water/Emerging Contaminants Wastewater/Stormwater Litigation Support Regulatory Compliance Technology/GIS requirements. Ur. Kasper is also an Adjunct Protessor at Loyola Marymount university teaching graduate courses in Desalination and Membrane Systems, Aquatic Chemistry, Physical and Chemical Treatment Processes, and Wastewater Treatment and Reclamation. Dr. Kasper holds a Ph.D. in Environmental Engineering and an M.S. in Civil Engineering from Caltech, Pasadena, CA and a B.S. in Civil Engineering from Loyola Marymount University, Los Angeles, CA. His areas of expertise include: Water Treatment Processes, Desalination, Membranes, Wastewater Reclamation, Island Water Supplies, Water Treatment Chemistry, and Distribution System Water Quality. PROFESSIONAL EXPERIENCE Selected Water Quality and Water Treatment Systems • Santa Ana. Owner's PFAS Representative providing expert consulting services related to PFAS contaminated groundwater and PFAS treatment systems at City wells. Trained City operators on treatment systems. • Dubai. UAE Responsible for water quality considerations in the Dubai Water Supply Master Plan and evaluation of corrosion control to mitigate problems resulting from blending multiple water sources in their distribution systems. • Muscat, Oman. Evaluated reverse osmosis desalination system and evaporation processes as expansion alternatives in Muscat, Oman. Key consideration is blending with the existing groundwater supply which is experiencing seawater intrusion. Evaluated compatibility of distribution systems with alternate sources of water. • Water Quality Specialist, Southern Nevada Water Authority, Las Vegas, NV. Served as Water Quality Specialist on multiple projects including ground water and surface water treatment. A 60 mgd Virgin -Muddy River System which would use pretreatment, first stage RO, interstage lime softening, second stage RO, brine recovery and brine evaporation. Responsible for developing process evaluation plan, process selection, and preliminary design. • San Gabriel Valley, CA. San Gabriel Basin Water Quality Authority — Technical Director for the preliminary design of a groundwater treatment system and preparation of the Environmental Impact Statement for the Baldwin Park Operating Unit, a 20-million gallon per day groundwater treatment system. Worked with the Water Quality A treatment system consisting of air stripping with off -gas carbon adsorption followed by liquid phase carbon adsorption was designed and costed. Project components consist of source water wells, piping and manifolds to deliver the water to the treatment plant, product water disinfection, and product water delivery to local potable water systems. • El Segundo, CA. Edward C. Little Water Recycling Facility, Phase V Design Build, West Basin Municipal Water District, El Segundo, CA. Serves as technical director for process engineering for the design and construction of the Phase V facilities consisting of ozone pretreatment of a secondary effluent, microfiltration, reverse osmosis, and AOP (UV and peroxide). The expansion increases Title 22 production used for irrigation and industrial cooling, two stage RO used as a high purity boiler feedwater and MF-RO-AOP used for direct injection into a seawater barrier without blending with a potable water supply. • City of Pacific Grove, CA. Prepared preliminary design and developed Design -Build procurement package for a 250,000 MBR wastewater reclamation system producing recycled water for golf course irrigation. Providing design review - approval and construction oversight for the City. • Carson Regional Water Recycling Facility Master Plan, Carson CA. Dr. Kasper served as a technical director for this WBMWD's regional recycling facility. Product water qualities evaluated include barrier injection water, single stage RO boiler feed, two stage RO boiler feed and industrial cooling water. WBMWD design criteria were applied to the equipment selection and process layout. The expansion processes were integrated with the existing process units and configured to minimize footprint requirements given the limited site area. • City of Corona, CA. Project manager for the design of a 15 mgd brackish groundwater reverse osmosis (RO) system consisting of wells, 10 mgd RO plant, blending system, source water and product delivery pipelines, and control system. Coronado, CA. Process Specialist for the preliminary design of a 0.75 MGD wastewater recycling system incorporating MBR biological treatment followed by partial reverse osmosis to manage TDS. • Marin Municipal Water District, CA. Responsible for evaluation of seawater reverse osmosis desalination costs and project economic feasibility for a 15 mgd facility located on San Francisco Bay. Provided cost information reflecting latest reverse osmosis membrane and pumping system technologies and alternative procurement methods. • Monterey Peninsula Water Management District, Monterey, CA. Project Manager for evaluation of desalination alternatives and development of project economics for seawater desalination plants with capacities ranging between 5 and 14 million gallons per day. Evaluated sites at Sand City and the Moss Landing Power Plant. • Tampa Bay, FL. Developed preliminary process design and cost estimates for 25 mgd seawater desalination plant co - located with a thermal power plant. Design included pretreatment, membrane selection, post -treatment and product water delivery. • Hong Kong. Served as Technical Director and Project Manager of feasibility study evaluating brackish water and seawater reverse osmosis for Hong Kong. RO pilot plant installed at the Lok On Pai multistage flash distillation plant to evaluate variations in seawater salinity and pretreatment requirements. • Chile Desalination Technologies Reverse Trade Mission, USA. Under contract to the U.S. Trade Development Agency served as reverse osmosis specialist accompanying a delegation from Chile evaluating technologies for seawater desalination. Prepared technical presentations and coordinated interviews with various U.S. membrane and equipment manufacturers and consulting engineers. • Cannery Row LP, Monterey, CA. Project Manager for a study identifying and evaluating alternative seawater reverse osmosis systems for a multi -use development located on Cannery Row in close proximity to the Monterey Aquarium. • Port Hueneme, CA, US Navy. Directed a one year pilot evaluation of the standard military reverse osmosis water production unit for the U.S. Navy. The seawater RO pilot study evaluated various pretreatment systems including several MF and OF filters and two energy recovery systems. • Pebble Beach Company, Carmel Wastewater Wastewater Recycling System. Responsible for evaluation of reverse osmosis treatment of reclaimed water at Carmel, California. Developed water quality model to optimize tertiary and desalination system design and minimize overall costs to achieve the water quality required for the salt sensitive golf course turf. • Shayba, Saudi Arabia. Technical director and process specialist for a 250,000 gpd reverse osmosis water treatment system. Also served as Project Manager for preparation of environmental impact report on the development of a half - million gallon per day oil field gas separation plant, power generation system, airport serving, jet aircraft, 400 miles of pipeline and 200 miles of new roads. • IBM Electronics Manufacturing, Tucson. Evaluated existing problematic RO system. Piloted, designed and specified a zero -discharge industrial wastewater treatment system incorporating a vapor compression brine concentrator (500 M3/d). The brine concentrator reduced the RO reject flow discharged into over loaded solar evaporation ponds. • Bureau of Reclamation. Served as project consultant for the Bureau of Reclamation's Yuma Desalting Test Facility providing testing, design, and operational evaluations and recommendations. In this role, he evaluated many of the salinity and water quality problems of the Colorado River Basin including management of brines, disposal of softening sludge, and disposal of desalination waste solutions including membrane preservatives and spent cleaning solutions. • Alinda Capital: Technical Consultant for Alinda's Santa Paula CA Water Reclamation Facility. Alinda provided a 4.3 MGD wastewater recycling and groundwater recharge facility using a Design, Build, Own, Operate and Finance Contract (DBOF) vehicle. The facility included a RO system to prevent scaling of the MBR membranes. Dr. Kasper's role included review of: process designs, major equipment specifications and warranties, overall system integration, compliance with DBOF contract terms and conditions, construction contractor progress, and regulatory compliance. • San Francisco Public Utilities Commission, San Francisco CA. Project Manager for Recycled Water Membrane Pilot Studies. Responsible for the procurement and operation of two membrane pilot plants at the Oceanside Water Pollution Control Plant. The pilot plants (GE Zenon and Pall) were used to optimize operating parameters and to develop capital and O&M cost estimates for producing Title 22 water from 30-30 secondary effluent currently discharged via ocean outfall. • Glenwood Springs Salt Control, CO. Process Specialist for a study evaluating environmental impacts of treatment of saline discharges from Glenwood Springs into the Upper Colorado River. The overall system consists of interception wells, transmission mains, desalination treatment and brine crystallization and drying. • West Basin Municipal Water District, Carson Reclamation Plant, CA. Technical Director for the design and construction of a membrane reclamation plant with ultimate capacity of 20 mgd. The first phase facility consists of 6.5 mgd microfiltration pretreatment, 5 mgd RO, permeate stabilization. Plant feedwater is filtered secondary wastewater effluent and product water has TDS less than 100 mg/L. The microfiltration backwash is nitrified and used for industrial cooling water. • British Petroleum -West Basin Municipal Water District, CA. Determined feasibility and costs for a Reclaimed industrial water supply for the expansion of BP's southern California refinery and for supplying cooling water to a proposed hydrogen fueled power plant. Responsible for evaluating various alternatives for supplying 25 mgd recycled water to the BP Hydrogen Power Plant and Refinery from West Basin's recycled water system. Key considerations included boiler feed water and cooling tower water quality requirements, ammonia levels, and overall TDS and calcium hardness. • West Basin Municipal Water District, Carson CA. Responsible for treatment process selection for the expansion of the Carson Regional Water Recycling Facility from 5.8 MGD to 16 MGD. Processes are designed to provide both industrial cooling waters and boiler feed water. The boiler feed water system consists of two pass RO systems followed by a membrane deoxygenation to reduce oxygen to less than 7 ppb. • Los Banos Desalination Test Facility. Managed design project for California Department of Water Resources to evaluate pretreatment and membrane systems for proposed 400-mgd agricultural wastewater desalting plants. EDUCATION Caltech, Pasadena, CA Ph.D., Environmental Engineering M.S., Civil Engineering Loyola Marymount University B.S., Civil Engineering ri I Kennedy Jenks Edward C. Yang, P.E., Assoc DBIA Principal -In -Charge PROFESSIONAL SUMMARY Edward C. Yang, P.E., Assoc DBIA (Ed) has more than 33 years of experience in civil and environmental engineering with a primary focus in the preliminary and final design of water and wastewater facilities. He has experience in detailed design and process engineering working as both a project engineer and project manager for water and wastewater facilities. He also has experience in information technology, SCADA, and computer aided engineering/design. Most notably, since 2005, Ed has served as the Client Service Manager and On -Call Engineering Agreement Administrator for one of Southern California's largest water utilities, Metropolitan Water District. TOTAL YEARS OF PROJECT EXPERIENCE EXPERIENCE 33 As -Needed Treatment Plant Planning Support- Agreement Tos-Sn-35, City of Los Angeles, Bureau of Sanitation (LASAN), Various Locations, Los Angeles, CA i Principal -in -Charge, EDUCATION Client Manager, Project Manager BA, Engineering Management, Under a $2.6M agreement over 2 years, Kennedy Jenks provided a full spectrum of engineering Claremont McKenna and design services for LASAN. Separate tasks orders (34 total) were successfully executed. College, 1992 Work included Program Management support on a $100M design -build at the Hyperion Treatment Plant, Sewer System design and evaluation, odor control system design and BS, Civil and installation, in-house technical staff augmentation, irrigation systems design, structural design Environmental and evaluation and other technical support functions. The City of Los Angeles maintains a Engineering, formal outreach program which was also successfully managed. LASAN has been completely University of satisfied with Kennedy Jenks' services and has extended the contract for an additional $1.4M. California, Davis, 1992 On -Call Water and Wastewater Engineering Service, Eastern Municipal Water District, Perris, CA i Principal-In-Charge/Project Manager MS, Civil Engineering, Loyola Marymount Managed KJ's recurring contract with Eastern Municipal Water District to provide as -needed University, 1996 water and wastewater design engineering services. The as -needed agreement covers both Eastern's potable transmission and distribution system and the waste collection and treatment REGISTRATIONS system. Projects have included treatment plant centrate equalization, the Golden Triangle Professional Engineer- Sewer, technical review of collection system siphon design and operations, feasibility study of Civil - California the conversion of 10 submersible well pumps to vertical turbine pumps, the 30" diameter Scott (54752) Road main enhancement, and the Soboba Sewer Rehabilitation. CERTIFICATIONS As -needed Treatment Plant Planning Support- Agreement TOS-SN-35, Los Angeles, City of Design Build Professional, (BoS), Los Angeles, CA i Principal -in -Charge, Client Manager, Project Manager MEMBERSHIPS 1 Under a $4.OM agreement over the past 4 years, KJ provided a full spectrum of engineering and AFFILIATIONS design services for LASAN. Separate tasks orders (51 total) were successfully executed. Work American Society of Civil included Program Management support on a $100M design -build at the Hyperion Treatment Engineers Plant, Sewer System design and evaluation, odor control system design and installation, in- house technical staff augmentation, irrigation systems design, structural design and evaluation and other technical support functions. The City of Los Angeles maintains a formal outreach program which was also successfully managed. Served as Principal -in -Charge or Project Manager for several key projects at Hyperion and other LASAN Treatment Plants. These incliidpd the HTP Flora \/n(' stud�t HTP Air Tnxinc InvPmoQt Fnvironmental Review for LA City Council 19 — 260 4/4/2023 Edward C. Yang, P.E., Assoc DBIA Glendale, Refurbishment of the HTP ATF-BTF Odor Control System, DCT AWPF Brine Line Analysis, HTP Odor Neutralization and Testing, Installation and Testing of HTP Linde Air Separation Units, and managing a key sub -consultant for APWWF Optimization and Training at TITP. Served as Resource Manager for LASAN's OneWater Program providing as -needed staffing augmentation. On Call Services, City of Pasadena Water & Power, Pasadena, CA I Principal in Charge Kennedy Jenks is completing a three-year $3 million on -call engineering contract with the City of Pasadena. We were the only consultant to be selected for a contract by the City. The scope of services for the contract encompasses all types of engineering services from planning through construction support for all of the City's water facilities, including 500 miles of pipelines ranging from 2-inch to 42-inch in diameter, 23 pressure zones, 23 storage reservoirs, 19 pump stations, and 18 groundwater wells. The largest project developed from the Agreement is the replacement of the 11 MG Sunset Reservoir. Regional WRF Master Plan, Elsinore Valley Municipal Water District, Lake Elsinore, CA QA/QC Reviewer Assisted in the preparation of a Wastewater Facility Master Plan to determine the future direction of the Elsinore Valley Municipal Water District (EVMWD) Regional Wastewater Reclamation Facility (RWRF). The RWRF was originally constructed as an extended aeration oxidation plant, and has continued to expand with the same technology to its current 8 mgd capacity. The master plan addressed the critical decision of whether to continue with the extended aeration (High SRT oxidation ditch) secondary plant, or switch to one of the more conventional activated sludge processes. On -Call Recycled Water Engineering, Inland Empire Utilities Agency, Fontana, CA I Contract Administrator, Principal -in -Charge, Project Manager Contract Manager for the 3-year $15,000,000 as needed engineering contract. Responsibility includes supporting the agency in developing scope and fee proposals for various water, wastewater, and recycled water projects. In addition to wastewater and water process design, general discipline engineering is also provided. Oversaw the development of a preliminary and final design report for recharge, extraction, pumping, storage, and conveyance facilities. Design of a two-mile, 16-inch PVC, groundwater transmission line and related well extraction facilities to deliver up to 8,000 Ac-ft of groundwater from a local well site to the CRA intake at the Hinds Pumping Plant. The project also included the design and construction of a 24-inch diameter, 1,000 ft deep groundwater well at MWD's Hayfield groundwater basin. As -Needed Design Production Support, Metropolitan Water District, CA I Contract Administrator, Principal -in -Charge, Project Manager Since 2005, has overseen the planning, scheduling, resourcing, and delivery of over 200 Capital Improvement Projects for MWD. These projects encompass all aspects and disciplines of planning and design services for MWD, including the resourcing and management of design staff augmentation teams, the management of specialty environmental subconsultants to support EIR, CEQA and NEPA projects and the management of home office teams executing standalone projects. Projects included evaluation and study of floating reservoir covers, water treatmentlprocess design for very large treatment facilities, in -plant structural, mechanical and electrical upgrades, fire protection analysis of Metropolitan's hydroelectric plants, water quality study of Lake Perris and the design and construction of large diameter transmission mains. City Council 19 — 261 4/4/2023 ri I Kennedy Jenks Joseph A. Wojslaw, PE QA/QC PROFESSIONAL SUMMARY Joe Wojslaw's background in environmental engineering includes specialization in the planning, design, and construction management of wastewater, water, industrial waste, and hazardous waste treatment facilities. Joe also specializes in alternative delivery strategies and the delivery of capital facilities through those means. In addition, Joe has been involved in the preparation of environmental impact reports, project reports, pilot studies, and other studies involving various aspects of wastewater treatment. TOTAL YEARS OF PROJECT EXPERIENCE EXPERIENCE 43 Pure Water Monterey, Treatment Facilities and Injection Wells Facility, Monterey One Water Agency, Monterey, CA I QA/QC Manager EDUCATION BS, Civil Engineering, For the past six years, KJ has been supporting Monterey One Water (M1W) with the design and University of Illinois, construction of the Pure Water Monterey, Treatment Facilities, and Groundwater Injection 1978 Facilities. Pure Water Monterey is an innovative $150M groundwater replenishment project that collects a variety of available source waters for advanced treatment and uses them to recharge MS, Environmental the Seaside Groundwater Basin through a series of injection wells. Treatment Facilities include Engineering, Civil cartridge filtration, microfiltration, reverse osmosis, ultraviolet disinfection, decarbonation, Engineering, storage, and pumping. University of Illinois, 1979 Edward C. Little Water Recycling Facility (Phase 2), West Basin Municipal Water District, El Segundo, CA I Principal -in -Charge CERTIFICATIONS Professional Engineer- Design -build services were provided for the $23 million expansion of the District's existing Water Civil - CA (33699) Reclamation Plant. Services included complete design, QA/QC inspection, and operational startup. In addition, coordination of design interfaces of three Owner -Procured packages: MEMBERSHIPS 1 Microfiltration System, Reverse Osmosis System, and the High -Rate Clarifier Densadeg AFFILIATIONS Process were also provided. The project included a 15-mgd expansion of the Title 22 American Society of Civil reclamation treatment through the construction of additional flocculation basins, mono -media Engineers (ASCE) filters, chlorine contact basins, and a backwash pump station. The project also included expansion of the Barrier Plant through the addition of Microfiltration facilities, (including feed California Water pumps and strainers), a 2.5-mgd Reverse Osmosis process (including RO feed pumps), 5-mgd Environment chlorine contact basin, expansion of chemical feed systems, and modification of the plant Association (CWEA) electrical and distributive control system. Other elements of the project include the construction California Water Environment Association (CWEA), Los Angeles Basin Section Water Environment Federation City Council 19 — 262 4/4/2023 KJ I Kennedy Jenks of a 4-mgd high -rate solids -contact clarifier for backwash waste treatment; a 20-mgd expansion of the influent pump station, and the construction of a 30-mgd diversion pump station. East County Advanced Water Purification Program, Management and Administration Support, Padre Dam Municipal Water District, Santee, CA I QA/QC Manager KJ has been providing Owner's Advisor and engineering services for this innovative three-phase $500M potable reuse program for Padre Dam Municipal Water District and its East County Partners since 2011. KJ performed a comprehensive feasibility study of alternatives for providing up to 15-mgd of potable reuse water for groundwater recharge and reservoir augmentation to provide a new local water supply source, funded in part by a State Water Resources Control Board Recycled Water Planning Grant. KJ led the design of an Advanced Water Treatment Demonstration facility capable of producing 100,000 gpd of MF/RO product water and Advanced Oxidation Process product meeting regulatory requirements for groundwater recharge and recovery, which has been in operation since 2015. Phase 1113 Reclaimed Reservoir and Water Pipeline, Upper San Gabriel Valley Municipal Water District, West Covina, CA I Project Engineer This $6.3 Million project involved the design of a 2-million-gallon reservoir and 22,000 LF of 12 to 24-inch reclaimed water pipeline recycling 3,700 ac-ft/yr of recycled water produced by the Los Angeles County Sanitation Districts, San Jose Creek reclamation Plant to local customers. The project was funded by ARRA as and administered through the SRF process. Regional WRF Master Plan, Elsinore Valley Municipal Water District, Lake Elsinore, CA Project Manager Led the preparation of a Wastewater Facility Master Plan to determine the future direction of the Elsinore Valley Municipal Water District (EVMWD) Regional Wastewater Reclamation Facility (RWRF). The RWRF was originally constructed as an extended aeration oxidation plant and has continued to expand with the same technology to its current 8-mgd capacity. The master plan addressed the critical decision of whether to continue with the extended aeration (High SRT oxidation ditch) secondary plant or switch to one of the more conventional activated sludge processes. The study also focused on the costs and benefits of the production of highly treated biosolids, the ability to recover energy from methane production, and the reduction of aeration costs. Water and Wastewater Infrastructure Design for the Tesoro Viejo Community Development, Tesoro Viejo, Inc., Madera, CA I QA/QC Manager The water reclamation facility includes progressive design -build delivery of a 0.8-mgd expandable to 2.0-mgd Title 22 tertiary treatment process units utilizing membrane bioreactors with water reuse to achieve zero liquid discharge through in -development recycled water uses and groundwater recharge and recovery. The project includes securing all regulatory permits and provisioning advanced water treatment for future indirect potable reuse. The water treatment plant entails progressive design -build delivery of a 1.6-mgd expandable to 4.0-mgd microfiltration plant with UV disinfection. City Council 19 — 263 4/4/2023 Kennedy Jenks Stephen M. Diamond, P.E., BCEE Project Manager PROFESSIONAL SUMMARY Steve has more than 28 years of experience with planning, pilot testing, operations assessment, detailed design, and full-scale implementation, including start-up and training, for various water treatment and water supply applications. He has been responsible delivering work as the Project Manager, Design Manager and Technical Expert, and he is experienced in all three roles. Steve has managed and coordinated multi -disciplinary design teams to deliver planning documents, and construct documents for hard bid construction projects, as well as design build projects. He is a registered Civil Engineer (PE) in California and Florida, a Board Certified Environmental Engineer with AAEES, a certified Functional Safety Engineer (FSEng) with TUV Rheinland, and a LEED Accredited Pricer (AP). Steve specializes in the planning, design and implementation of membrane technologies, including reverse osmosis, nanofiltration, ultrafiltration and microfltration treatment systems. Steve has successfully managed the planning and design of engineering projects requiring the coordination of the design disciplines, including civil, mechanical, process, architectural, structural, electrical, and instrumentation and control. Proper coordination of the design disciplines is critical to project success, as well as complete and thorough QA/QC. His project experience includes risk management, change management and the reporting of progress, planned value and earned value. In addition, Steve has been responsible for the development of detailed project schedules and the overall management of budget and work breakdown (WBS). TOTAL YEARS OF EXPERIENCE 28 EDUCATION BS, Civil Engineering, Lehigh University, 1993 REGISTRATIONS Professional Engineer - Florida (53839) Professional Engineer - Civil - California (76490) CERTIFICATIONS Board Certified Environmental Engineer, American Academy of Environmental Engineers Leadership in Energy and Environmental Design - Accredited PROJECT EXPERIENCE PFAS Well Treatment System Preliminary and Final Design, Orange County Water District, Orange, CA I Project Manager Managing preliminary, final design and ESDC services for providing wellhead Ion Exchange PFAS treatment at four (4) well sites, with a combined treatment capacity of 7,500 GPM. Project delivery includes pre -procurement of the IX vessels, PFAS selective resin (based on pilot testing results) and fast track design schedule for 7 months. Project includes hydraulic evaluations to assess the use of existing well pumps and/or need for booster pumping. PFAS Groundwater Treatment Plant Final Design N Wells, Santa Clarita Valley Water Agency, Santa Clarita, CA I Project Manager Managed the Final Design of a PFAS Treatment Facility for the SCVWNs N-Wells with a treatment capacity of 6,000-gpm. The N-Wells PFAS Treatment facility includes an ion exchange treatment system consisting of three lead -lag anon exchange trains with PFAS selective resin and designed to treat 2,000-gpm each, and three high -rate cartridge filters with 12, 6-inch diameter filter elements each. The final design also includes the Well 02 perchlorate removal facility which consisted of one leadlag anon exchange trains with Perchlorate selective resin. This is a fast -tracked design/construction required to be operational by June 1, 2020 to meet system demands. To meet the schedule requirements, project delivery is divided into multiple components including: pre -purchasing longlead items such as the IX Systems and Cartridge Filter Systems, pre -selecting OSHGS and chemical systems, Agency self -performing some work for the 02 site, and pre -purchasing the IX resin. City Council 19 — 264 4/4/2023 Stephen M. Diamond, P.E., BCEE AP), U.S. Greer Building Council MEMBERSHIPS 1 AFFILIATIONS Functional Safety (FS) Eng (TUV Rheinland): 48378/14, exp. April 2024 PFAS Groundwater Treatment Project (N-Wells) and Well Q2 Perchlorate Removal Facility, Santa Clarita Valley Water Agency, SANTA CLARITA, CA I Project Manager Managed the Final Design and Construction phases of a PFAS Treatment Facility for the SCVWA's N-Wells with a treatment capacity of 6,000-gpm. The N-Wells PFAS Treatment facility includes an ion exchange treatment system consisting of three lead -lag IX trains with PFAS selective resin designed to treat 2,000-gpm each, and three high -rate cartridge filters with 12, 6- inch diameter filter elements each. The final design also included the 1,200 gpm Well Q2 perchlorate removal facility which consisted of one lead -lag IX train with Perchlorate selective resin. Project delivery included pre -purchasing long -lead items such as the IX Systems and pre - filters, pre -selecting OSHGS and chemical systems, Agency self -performing some work for the Q2 site, and pre -purchasing the IX resin. Valley Center Well PFAS Removal Facility Planning and Preliminary Design, Santa Clarita Valley Water Agency, Santa Clarita, CA I Project Manager Managed the Planning and Preliminary Design of a PFAS Treatment Facility for the SCVWA's Valley Center Well with a treatment capacity of 1,200-gpm. Planning included an evaluation of treatment alternatives (including GAG, IX and a hybrid GAC/IX), development of conceptual design, and the development of a preliminary design based on IX treatment for PFAS removal. Valley Center Well PFAS Groundwater Treatment Improvements, Santa Clarita Valley Water Agency, Santa Clarita, CA I Project Manager Managed the Design of a PFAS Treatment Facility for the SCVWA's Valley Center Well with a treatment capacity of 1,200-GPM. Planning induced an evaluation of treatment alternatives (including GAC, IX and a hybrid GACIIX), development of conceptual design, and the development of a preliminary design based on IX treatment for PFAS removal. Final design included the IX treatment system, pre -purchasing long -lead items such as the IX Vessels and pre -filters, and the design of a new chloramination facility and site improvements. Well No. 41 Wellhead Treatment Project, Ontario Municipal Utilities Company, Ontario, CA Civil Engineer Engineering services during construction for the Well No. 41 Wellhead Treatment Project. The project includes a 2,350 gpm ion exchange perchlorate treatment facility, new chlorine building for on -site generation of sodium hypochlorite (relocation of existing OSG system from Well No. 41 building), associated site improvements, approximately 1,300 LF of 16-inch diameter CML&C groundwater supply pipeline, 200 LF of 16-inch diameter CML&C treated water pipeline, and 300 LF of 18-inch diameter RCP storm drain. Perris North Basin Groundwater Program, Eastern Municipal Water District, Perris, CA Project Manager Managed the preliminary design for three separate groundwater treatment sites in the Perris North Basin. Designed a centralized treatment facility to treat 1,240 gpm of groundwater from two (2) wells for the Moreno Valley Area that induced GAG for PCE removal, single -use IX for perchlorate removal and staggered bed IX for nitrate removal. Designed chemical feed systems to provide a chloramine residual disinfectant, and well equipping/wellheads, and a product water pump station/clearwell. Designed a 2,300 gpm centralized treatment facility for the Cactus Corridor, including GAG for PCE removal, and a 650 gpm GAG treatment facility for the South Area Well 204. City Council 19 — 265 4/4/2023 ri I Kennedy Jenks David W. Ferguson, Ph.D., P.E. Technical Advisor PROFESSIONAL SUMMARY David Ferguson, PhD, has extensive experience in the planning, design, construction, and operation of water supply, infrastructure, and treatment projects. Serves as manager for an $80 million water banking program for Antelope Valley -East Kern Water Agency (AVEK) and worked on several recharge and recovery water supply projects. He has been responsible for evaluation and/or design of upgrades, rehabilitation, retrofit, and/or replacement for over 40 water treatment plants, 30 reservoirs, 20 pumping stations, and 20 wells for 25 different water utilities. TOTAL YEARS OF EXPERIENCE 43 EDUCATION BS, Civil Engineering, University of Massachusetts, 1980 BS, Environmental Science, University of Massachusetts,1977 MBA, Business Management, California State University, San Bernardino, 1985 MS, Civil Engineering, University of Massachusetts,1980 PHD, Executive Management, Claremont Graduate University, 1993 REGISTRATIONS Professional Engineer - Civil - California (34626) CERTIFICATIONS Board Certified Environmental Engineer, American Academy of PROJECT EXPERIENCE N Wells PFAS Groundwater Treatment Improvements, Santa Clarita Valley Water Agency, Santa Clarita, CA i Project Manager Project manager for study and preliminary design. Study included bench -scale evaluation of GAC and ion exchange (IX) as well as the site layout for pre -purchased treatment vessels. For 6,000-gpm capacity of the three N Wells, presented 6 vessels (3 trains) using IX with 2-minute empty bed contact time (EBCT), and 24 vessels (12 trains) using granular activated carbon (GAC) with a 10-minute EBCT. Owner quickly selected IX due to site constraints. Preliminary design included site renderings that illustrated the completed site with new fencing, pre -filters, yard piping, the treatment pad, treatment vessels, and a new chemical storage building. PFAS Groundwater Treatment Facilities Design and Construction Support, Santa Clarita Valley Water Agency, Santa Clarita, CA i Technical Reviewer Project includes 3 horizontal cartridge pre -filters. Pre -purchased 12-foot-diameter treatment vessels were provided by Evoqua. IX resin was provided as PSR2+from Evoqua and PSA694E from Purolite. System currently operating with 1 train using PSR2+ and 2 trains using PSA694E. Chemical building houses chlorine using on -site sodium hypochlorite generation and ammonia using liquid ammonium sulfate (LAS) stored in a separate room. A 24-inch diameter above- ground pipe header is used to inject chlorine followed by ammonia using in -line static mixer. PFAS Well Treatment System Preliminary and Final Design, Orange County Water District, Fountain Valley, CA i Technical Advisor Initial design project included four wells (Wells 9, 19, 23, and 24) using IX treatment with cartridge pre -filters, one of two trains of treatment vessels, and associated site work and year piping. Wells 9, 19, and 23, have a capacity of 1,400 to 2,000-gpm and required a since train of lead -lag IX 12-foot-diameter vessels. Well 24 with a capacity of 2,500-gpm, required two trains of IX vessels. Each IX treatment system includes a rinse or "flush to waste" pipeline for use following resin change -outs. Project received approval from the California Division of Drinking Water (DDW) and currently out for bid. Second follow-on project includes three wells (Wells 20, City Council 19 — 266 4/4/2023 David W. Ferguson, Ph.D., P.E. Environmental 21, and 22) using similar design. Wells 20 and 21 are being designed with a single train and Engineers & Scientists Well 22 with two trains. (AAEES) Well 56 PFAS Treatment Evaluation, Eastern Municipal Water District, Perris, CA I Technical MEMBERSHIPS Reviewer AFFILIATIONS American Water Works Provided technical review for study to evaluate compliance option for Well 56 impacted with Association (AWWA) PFASs. PFOA and PFOS levels in this well located about one mile from Well 59 for which a GAC treatment is currently under design. Compliance options included wellhead treatment at Well 56 location, combined treatment of Well 59 and 56 waters at Well 59 site and blending of Well 56 water with treated water from Well 59. Project included development of planning level capital and 0&M costs. Canyon Lake Water Treatment Plant Condition Assessment and Master Plan, Elsinore Valley Municipal Water District, Lake Elsinore, CA I Project Manager Development of planning document to serve as roadmap for future facility needs and upgrades, and phasing of a capital improvement program. Project includes lake water quality improvement assessment, including hydrodynamic modeling of Canyon Lake, comprehensive condition assessment of the CLWTP, treatment performance evaluation of the plant under various water quality conditions, process alternatives evaluation, and solids handling evaluation. Perris North Basin Groundwater Program, Eastern Municipal Water District, Perris, CA QA/QC Reviewer Preliminary design for three separate groundwater treatment sites in Perris North Basin. Designed centralized treatment facility to treat 1,240 gpm of groundwater from two (2) wells for Moreno Valley Area that included GAC for PCE removal, single -use IX for perchlorate removal and staggered bed IX for nitrate removal. Designed chemical feed systems to provide chloramine residual disinfectant, and well equipping/wellheads, and a product water pump station/clearwell. Designed 2,300 gpm centralized treatment facility for Cactus Corridor, including GAC for PCE removal, and 650 gpm GAC treatment facility for South Area Well 204. Well 59 Wellhead Treatment Facility, Eastern Municipal Water District, Perris, CA I Project Manager Project Manager for (1) a treatment evaluation for EMWD's Well 59 impacted PFAS above EPA Health Advisory Level of 70 ng/L, (2) a Rapid Small -Scale Column Test (RSSCT) bench -scale study to evaluate performance of agglomerated bituminous carbon and surface enhanced coconut carbon for removal of PFASs from Well 59 water, (3) a preliminary design report, and (4) final design with submittals and workshops at 60, 90, and 100% design stages. Based on results of RSSCT, agglomerated bituminous carbon was negotiated with supplier for first fill. Project released for bid in July 2019. Garvey Well #3 Equipping and Groundwater Treatment Facility Expansion, Golden State Water Company, Rosemead, CA I Project Manager Design engineering and services during construction including review of cost estimates during construction —for the Garvey Well No. 3 Wellhead Treatment project. Work included well equipping for a 1,000 gallon -per -minute (gpm) 200 HP well pump and motor with a VFD; a roll - apart well building; chemical building for bulk hypochlorite storage and chemical pumps; two 10- foot diameter GAC treatment vessels for parallel operation; yard piping, site improvements, fencing, and landscaping; and supporting electrical and instrumentation and control. City Council 19 — 267 4/4/2023 ri I Kennedy Jenks Kajori Purkayastha, PE Project Engineer PROFESSIONAL SUMMARY Kajori is a project engineer in the Pasadena, CA office. She has experience in water quality compliance, planning, process selection, testing, and design of drinking water treatment facilities ranging from 700-11,000 gpm. TOTAL YEARS OF PROJECT EXPERIENCE EXPERIENCE 4 City of Orange Wells 20, 21, and 22 PFAS Treatment Systems, Orange County Water District, Orange, CA I Project Engineer EDUCATION BS, Environmental Project includes wellhead treatment of three groundwater wells ranging from 2,000 to 2,400 Science, University of gpm. Treatment systems include pre-treatment via cartridge filters and Ion Exchange treatment California, Los for PFAS removal, as well as pump and motor replacements for all well sites. Served as the Angeles, 2016 project engineer for the preliminary to final design phase of the project (30 to 100 percent design) and assisted with bid phase services. Led multi -discipline coordination efforts and MS, Environmental process/mechanical design. Engineering, University of PFAS Groundwater Treatment Plant Final Design N Wells, Santa Clarita Valley Water Agency, California, Berkeley, Santa Clarita, CA I Project Engineer 2018 Project Engineer for Fast -Track design of two PFAS treatment facilities from conceptual REGISTRATIONS design/bench testing phase to 100% design and construction phases. Project includes a 1,200 Professional Engineer- gpm IX treatment facility for Q2 Well treating PFAS and Perchlorate, as well as a 6,000 gpm IX Civil - California PFAS treatment facility for three N Wells. The 6,000 gpm facility includes three lead -lag trains of (93161) IX vessels, cartridge filtration, and construction of new chemical building and chemical feed systems for chloramination post -treatment. The 1,200 gpm system includes one train of lead -lag MEMBERSHIPS 1 IX vessels and new chemical metering feed pumps. Project contains four major project delivery AFFILIATIONS elements: (1) Pre -procurement package for IX Systems and Cartridge Filters, (2) General AWWA Contractor Site Work Package, (3) IX Resin Supplier Package, and (4) Other Owner Furnished Equipment, including chemical feed systems and well pumps. Project slated to begin operation in Summer 2020 and is currently in construction. Canyon Lake Water Treatment Plant (CLWTP) Phase 1 Improvements Preliminary Design, Pilot Testing, and Final Design Elsinore Valley Municipal Water District, Lake Elsinore, CA Project Engineer Project includes expansion and rehabilitation of CLWTP to restore plant to 7MGD. Phase 1 improvements includes replacement of the existing intake pump station, rapid mix/upflow clarifier with a new intake pump system, mixing system, and flocculation/sedimentation basin, a multi -barrier approach to PFAS and Taste and Odor treatment, booster and backwash pumping systems, and a new centralized chemical storage and handling facility housing seven treatment chemicals. Project engineer for preliminary design and pilot test engineer for testing phase. Project components include establishment of design criteria, pilot operation for a duration of 9 City Council 19 — 268 4/4/2023 Kajori Purkayastha, P.E. months, development, coordination, and execution of the preliminary design report, and 30% and 60% design drawings. Sunset Groundwater Treatment Facility Final Design, Pasadena Water and Power, Pasadena, CA I Project Engineer Process mechanical engineer for design of centralized GAC and IX facility treating 1,2,3-TCP and perchlorate for four wells (total flow 3,000 gpm). Supported disinfection facility design development. Wells 9,19,23, AND 24 PFAS Treatment Systems, Orange County Water District, Final Design and ESDC, Orange County Water District, City of Orange, CA I Project Engineer Responsible for development and execution of final design drawings and coordination of bid and construction phase services for wellhead treatment of PFAS for four wells, which includes Ion Exchange treatment of wells rated 1,400 to 2,500 gpm as well as cartridge filtration upstream of Ion Exchange treatment. In addition to multFdiscipline coordination during final design, bid, and construction phases, served as the process/mechanical lead for the project. Well Q2 Perchlorate Removal Facility Final Design, Santa Clarita Valley Water Agency, Santa Clarita, CA I Project Engineer The Well Q2 treatment facility has a capacity of 1,200 gpm. Raw water from Q2 well also contains perchlorate sampled above the California MCL. IX was considered due to the space savings compared to GAC, effectiveness of removing both long -and short chain PFAS chemicals, as well as the ability to address other contaminants, such as perchlorate in the raw water. PFAS Groundwater Treatment Project (N-Wells) and Well Q2 Perchlorate Removal Facility, Santa Clarita Valley Water Agency, Santa Clarita, CA I Project Engineer N-Wells PFAS Treatment facility includes ion exchange treatment system consisting of three lead -lag IX trains with PFAS selective resin designed to treat 2,000-gpm each, and three high - rate cartridge filters with 12, 6-inch diameter filter elements each. Final design also included 1,200 gpm Well Q2 perchlorate removal facility which consisted of one lead -lag IX train with Perchlorate selective resin. Project delivery included pre -purchasing long -lead items such as IX Systems and pre -filters, pre -selecting OSHGS and chemical systems, Agency self -performing some work for Q2 site, and pre -purchasing the IX resin. Preliminary Design Services for Well 205 Perchlorate Removal Facility, Santa Clarita Valley Water Agency, Santa Clarita, CA I Engineering Support Planning and preliminary design of a wellhead Groundwater Treatment Facility for SCV Water's Well 205 with a treatment capacity of 2,700-gpm. Assessed perchlorate and TCE treatment alternatives including IX, PTA, and GAC. Developed preliminary design for GAC and IX system, including pre -filters and chemical area for removal of perchlorate and TCE from the groundwater. Groundwater Supply Project and Regional Groundwater Storage and Recovery Project, San Francisco Public Utilities Commission, San Francisco, CA I Project Engineer Conducted evaluation of treatment alternatives for removal of nitrate, hexavalent chromium, and various VOCs from several groundwater wells in the city of San Francisco. Assisted with process selection, facility sizing, and conceptual cost estimates. City Council 19 — 269 4/4/2023 ri I Kennedy Jenks Charlie Liu, Ph.D. Water Quality PROFESSIONAL SUMMARY Dr. Charlie Liu is in the Applied Research Group at Kennedy Jenks Consultants with a focus on water quality. He is well versed in groundwater treatment and has specific expertise in the treatment and analysis of PFAS. He has built, operated, and performed several pilot -scale demonstrations for both the separation and degradation of PFAS using advanced water treatment technologies including adsorbents, high-pressure membranes, and UV/sulfite. He is also experienced in water quality challenges associated with water reuse and the revised lead and copper rule. CONTRIBUTIONS, INNOVATIONS, AND ACHIEVEMENTS Dr. Liu has authored and co-authored several publications, including: • Removal of Per- and Polyfluoroalkyl Substances (PFASs) from Contaminated Groundwater using Granular Activated Carbon: A Pilot -Scale Study with Breakthrough Modeling. 2019. Liu, C., Werner, D., Bellona, C. • Rejection of Per- and Polyfluoroalkyl Substances (PFASs) in Aqueous Film -Forming Foam by High -Pressure Membranes. 2020. Liu, C., Strathmann, T., Bellona, C. Pilot -Scale Demonstration of a Hybrid Nanofiltration and UV -Sulfite Treatment Train for Groundwater Contaminated by Per- and Polyfluoroalkyl Substances (PFASs). 2021. Liu, C., McKay, G., Jiang, D., Tenorio, R., Cath, J., Amador, C., Murray, C., Brown, J., Wright, H., Shaefer, C., Higgins, C., Bellona, C., Strathmann. • Removal of Per and Polyfluoroalkyl Substances (PFASs) by Granular Activated Carbon and Anion Exchange Resins from Contaminated Groundwater: A Comparative Pilot -Scale Assessment. 2022. Liu, C., Murray, C., Marshall, R., Strathmann, T., Bellona, C. • PFAS treatment with granular activated carbon and ion exchange resin: Comparing chain length, empty bed contact time, and cost. 2021. Murray, C., Marshall, R., Liu, C., Vatankah, H., Bellona, C. • Pilot study comparison of regenerable and emerging single -use anion exchange resins for treatment of groundwater contaminated by per- and polyfluoroalkyl substances (PFASs). 2022. Ellis, A, Liu, C., Fang, Y., Boyer, T., Schaefer, C., Higgins, C., Strathmann, T. • Use C-Factor Testing to Improve Water Distribution Systems. AWWA Opflow. 2016. Liu, C. TOTAL YEARS OF PROJECT EXPERIENCE EXPERIENCE 7 Groundwater Arsenic Treatment Feasibility Study, Antelope Valley East Kern Water Agency, Palmdale, CA I Engineering Support EDUCATION Bachelor of Science, Evaluated arsenic treatment technologies and blending schemes for remediation in a 2,400 gpm Chemical groundwater treatment system. Engineering, Westside Recycled Water Treatment Facility, San Francisco Public Utilities Commission, San University of California Francisco, CA I Engineering Support San Diego, 2015 Assist in the training and start-up of a MF-RO-UV recycled water treatment plant to produce Master of Science, Civil tertiary recycled water for reuse. Assessed technology capabilities to meet customer water and Environmental quality targets including salinity reduction and nutrient removal. Documented and created Engineering, Colorado standard operating procedures for treatment facility in coordination with treatment facility School of Mines, 2019 operators and staff. Supported recycled water permitting uses. City Council 19 — 270 4/4/2023 Doctorate of Philosophy, Civil and Environmental Engineering, Colorado School of Mines, 2021 CERTIFICATIONS Engineer -in -Training, NCEES MEMBERSHIPS / AFFILIATIONS American Water Works Association, Rocky Mountain/CA-NV Section Member. AWWA CA -NV Reuse and Desal Committee Member AWWA CA -NV Regulatory Committee Member Water Environment Federation, Member WateReuse, California Chapter Member ri I Kennedy Jenks Tertiary Recycled Water Fill Station Predesign Feasibility Study, Central Marin Sanitation Agency, San Rafael, CAI Engineering Support Advised Agency on sampling campaign and critical water quality constituents to analyze for based on recycled water quality goals. Evaluated treatment technologies capable of meeting water quality goals while leveraging existing infrastructure to save costs. Performed predesign evaluation for MF-RO-CIZ treatment system including design criteria, blending, treatment system sizing, site layout considerations, waste disposal, recycled water conveyance, and capital/O&M costs. Included several operating strategies for cost saving including recycled water blending, recycled water storage sizing, and site layout/system design to allow for future capacity expansions. Potable Reuse Exploratory Plan Concept Study, San Francisco Public Utilities Commission, San Francisco, CA I Engineering Support Evaluated nutrient removal technologies for ammonia and phosphorous based on regional water quality goals and regulatory guidelines. Further evaluated breakpoint chlorination as a technology to remove ammonia and coordinated with SFPUC on utilization of existing infrastructure for breakpoint chlorination. Evaluated the impact of recycled water discharge on existing permits. Lake Cachuma Microfiltration Treatment Plant, Santa Barbara, CA I Engineering Support Reviewed major equipment and design for a non -transient non -community water system consisting of a 400 gpm microfiltration system. Reviewed and revised drawings and specifications for 100% design submittal. Development of Standard Operating Procedures for City of Oxnard Drinking Water System, City of Oxnard, CA I Project Engineer Develop standard operating procedures for the City of Oxnard daily operations for the water treatment and distribution system. Updating and Development of Title 22 Engineering Recycled Water Reports, Marin Municipal Water District; City of Lemoore/Leprino Foods; Santa Clara Valley Water I Project Engineer Create and update Title 22 engineering reports for multiple clients to use recycled water for irrigation or indirect potable reuse. Pilot -Scale Assessments for the Removal of PFAS in Groundwater by GAC and IX, Colorado Springs, CO I Ph.D. Candidate Assessed remediation of PFAS in groundwater by four GAC and three AER products over two —1 year -long pilot -scale assessments. Field Demonstration of Hybrid Nanofiltration (NF) and UV/Sulfite Treatment Train for the Separation and Degradation of PFAS in Aqueous Film Forming Foam (AFFF) Impacted Groundwater, Us Air Force, CO I Ph.D. Candidate Deployed pilot -scale hybrid NF and UV/sulfite treatment train to a US Air Force base for the separation and degradation of PFASs in AFFF-impacted groundwater over 4-months. Determined the impact of pH, sulfite dose, and chemical sensitizer on degradation of PFASs and evaluated long-term membrane performance for rejection and concentration of PFASs City Council 19 — 271 4/4/2023 ISSAM NAJ Water Quality £t Treatment Solutions, Inc. An Env/ronmenta/Englneenng & Sc/erne Cons.R/ng Company EDUCATION: Ph.D., P.E., BCEE 21018 Osborne Street, Ste. 1 Canoga Park, CA 91304 Tel:818-366-8340 Fax: 818-484-3100 Email: issam.najm@WQTS.com URL: http://www.WQTS.com Ph.D., Environmental Engineering, Univ. of Illinois at Urbana -Champaign 1990 M.S., Environmental Engineering, Univ. of Illinois at Urbana -Champaign 1987 B.S., Civil Engineering, American Univ. of Beirut, Lebanon 1985 REGISTRATION: Professional Civil Engineer, California (1997). Registration Number C 57496 IINE[a71@Eel =rA»NI4�Eel =l 2007— Present Adjunct Associate Professor Civil & Environmental Engineering Department University of California at Los Angeles Physical & Chemical Processes in Water Treatment 1998 — 2005 Instructor Civil & Environmental Engineering Department University of California at Los Angeles Physical & Chemical Processes in Water Treatment Design of Water Treatment Plants PROFESSIONAL EXPERIENCE: Water Quality & Treatment Solutions, Inc. Los Angeles, California 2000— present: Founder and President Montgomery Watson (now part of Stantec) Pasadena, California 1997— 2000: Vice President and Manager Applied Research Department 1994— 1997: Principal Engineer; Applied Research Department 1992— 1994: Supervising Engineer; Applied Research Department 1990— 1992: Senior Engineer, Applied Research Department SUMMARY: Issam Najm is the founder and president of Water Quality & Treatment Solutions, Inc. (WQTS), a specialty environmental engineering and science consulting company whose mission is to provide water utilities with innovative and cost-effective solutions to water quality and water treatment challenges in both groundwater and surface water sources. Dr. Nairn is intimately involved in a number of WQTS projects including the evaluation of water treatment plant performance, pilot -scale and bench -scale testing of water treatment City Council 19 — 272 upa 173MM 2022 Issam Najm, Ph.D., P.E., BCEE Page 2 of 2 technologies, regulatory and permitting support for existing and new treatment plants, development of water quality monitoring plans, and providing training classes to treatment plant operations staff. Dr. Najm is a registered Professional Civil Engineer in the State of California and is a Board -Certified Environmental Engineer with the American Academy of Environmental Engineers and Scientists. Dr. Najm is an adjunct Associate Professor of environmental engineering at the University of California Los Angeles (UCLA). His primary teaching focus is on the principles and application of water treatment technologies with emphasis on physical and chemical processes. RECOGNITIONS & AWARDS: ❑ A.P. Black Research Award — American Water Works Association — 2021 ❑ George Warren Fuller Award —American Water Works Association — 2017 ❑ Best Paper Award — AWWA Water Quality Division — 2014 ❑ Dr. Pankaj Parekh Research Innovation Award — Water Research Foundation — 2014 ❑ Best Research Paper Award —AWWA Water Science & Research Division — 2007 ❑ Best Publication Award —AWWA— 2007 ❑ Board -Certified Environmental Engineer, American Academy of Environmental Engineers ❑ Young Civil Engineer Achievement Award, University of Illinois at Urbana -Champaign, Civil & Environmental Engineering Alumni Association, 1999 ❑ Academic Achievement Award for best doctoral dissertation, American Water Works Association, 1990 MEMBERSHIP IN PROFESSIONAL ORGANIZATIONS: ❑ American Water Works Association (AWWA) ❑ American Academy of Environmental Engineers & Scientists (AAEES) COMMITTEE MEMBERSHIP: ❑ Associate Editor, AWWA Water Science, AWS, American Water Works Association, 2018 — Present ❑ American Academy of Environmental Engineers & Scientists, AAEES; Member of the Board of Trustees; 2015 — 2017 ❑ AWWA CA -NV Section; SOURCE Editorial Advisory Committee, Chair; 2014 — 2017 ❑ Disinfection By -Products Technical Action Workgroup, AWWA: 2012— Present ❑ AWWA; Water Research & Science Division Trustee, 2007 — 2013 ❑ Journal AWWA Editorial Advisory Board, Chair; 2009 — 2013 ❑ Journal AWWA Editorial Advisory Board, Member— 2001 to 2009 ❑ Peer Review Editorial Board, Journal AWWA, Chair; 2006 to 2009 ❑ AWWA; Inorganic Contaminants Committee: Chair; 2002 — 2006 ❑ AWWA; Organic Contaminants Research Committee, Chair; 1998— 2001 I WJI:11 K1I I Is] 661 As of the end of 2021, Dr. Najm has published 24 peer -reviewed articles in national and international technical journals, 14 peer-reviewered research reports, and has given more than 60 presentations at local, regional, national, and international conferences. City Council 19 — 273 4/4/2023 REZA SABERI, RCE, GE — PRINCIPAL ENGINEER — SA GEOTECHNICAL, INC. Mr. Saberi has more than 15 years of geotechnical consulting experience within the Southern California region. He has performed and completed a wide range of assigned tasks for commercial, residential and public works projects. His geotechnical experience includes slope stability, analysis and remedial earthwork design for hillside developments, settlement analysis, design of shallow and deep foundations, preliminary investigations and plan review studies, slope stability analysis including geogrid reinforced and cement/lime treated slopes, pavement design and rehabilitation, forensic studies, seismic hazard analysis and evaluation, and design of reinforced earth retaining walls. Private sector work experience includes projects with southern California home builders and many major land developers including the Irvine Company, Cook Hill Properties, California Pacific Homes, Lennar Homes, Brookfield Homes and Shea Communities. Retail, commercial and public works clients include Target Corporation, Irvine Retail Properties, Pacific Life Insurance Company, Irvine Ranch Water District and Capistrano Unified School District. Representative projects on which Mr. Saberi has worked include: Pacific Life Office Tower, City of Aliso Viejo, California Geotechnical investigation and grading plan reviews for the tallest building in Aliso Viejo included assisting in pile foundation design, Mechanically Stabilized Earth (MSE) wall design, and vehicular and pedestrian bridge design. Geotechnical services during construction included inspection during indicator pile program and pile driving operations for the nine -story steel -framed structure. Montebello Hills Development, City of Montebello, California Geotechnical investigation, including extensive subsurface exploration, and preliminary grading plan review for the approximately 500-acre Montebello Oil Field established in 1918 in Los Angeles County. Project constraints include deep fill settlement, slope stabilization measures designed for adverse bedding conditions, seismic exposure, and native habitat protection/restoration. Mr. Saberi was the project engineer during the recent grading of the project which was completed in June 2021 and included more than 5 million cubic yards of earthwork. He was responsible for design of buttresses/shear keys, seismic and settlement evaluation, design of building foundations, pavement sections, etc. during the design and construction phases. Irvine Ranch Water District, Biosolids and Energy Recovery Facility, Michelson Plant, Irvine, California Geotechnical investigation and site characterization in an historic peat marsh with shallow groundwater to support design of Irvine Ranch Water District's state of the art waste processing facility. This projectwas over $180 million in design and construction costs. The design phase included site specific horizontal response spectra, groundwater modeling, determination of thickness and lateral extent of peat deposits, and pile design for the facility which includes 90-foot high, partially subterranean egg -shaped digestion structures, a six -story building, methane gas flare, large capacity holding and processing tanks and several thousand linear feet of supporting pipelines. Mr. Saberi was responsible for design of pile foundations and evaluation of seismic induced liquefaction hazards and settlement. Education San Jose State University, California B.S. Civil and Environmental Engineering Stanford University, California M.S. Geotechnical Engineering Employment NMG Geotechnical, Inc. June 2006-January 2022 SA Geotechnical, Inc. January 2022-Present Registrations Civil Engineer — California License # RCF, 74678 Geotechnical Engineer — California License # 3071 Design of Deep Pile Foundations, ASCE Seminar 2007 Foundation Testing and Analysis and Wave Equation Workshop, GRL Engineers Seminar 2007 Professional Affiliations American. Society of Civil Engineers ASCE Chi Epsilon National Honor Society City Council 19 — 274 4/4/2023 APPENDIX B CERTIFICATIONS City Council 19 — 275 4/4/2023 CITY OF SANTA ANAr RFP NO : 22-133 ON -CALL ENGINEERtNG DESIGN SERVICES FOR PFA,Fr TREATMENT SYSTEMS NON-CCI-LUSION AFFIDAVIT {Title 23 united States Code Section 112 and Public Contract Code. Section 7106) In conformance with Trtle 23 tlniled Stales Code Section 112 and Public Contract Code 7106 the BIDDER declares that toe bid is not made in the interest of, or on behalf of, arty unditlosed person, parinership, company, association, organization, or corporation; that the bid is genuine and nol collusive or sham that the BIDDER has notdirectly or indirectly induced or solicited any other 91DDER to put in a [also or sham bid, and has not directly or indirectly corluded, crsnspfred. Connived, oragreed 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 confereriCd with anyone to fix the bid price of the BIDDER or any other BIDDER, or to fix any overhead, profil, or cost element of the bid price. or of that of any other 8110DER or to secure any advantage against the public body awarding the contract of anyone interested Irk the proposed Contract; that ali statements contained in the bid are true; and, further, that the BIDDER has nol, directly of indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof. or divulged inforrnalion or data relative thereto, or paid, and will not pay, any fee to any corporation. partnership, company association, organtzabDn, bid depository, or to any member or agent thereof to effectuate a collusrv$ of sham bid. Able: The above Non-D[Musion Affidavtl is part of the Proposal. BIDDERS are cavliDned that making a false Certification may subject the cerlFfier to criminal proseewiOn. Signed 1' — — State of California County of -'Z— Subscribed and swam !o (or affmneda before me on This 15 day cr bee 20-U, 6y 0o c,V , proved to me on the basis of saNtfactory evidence to be the person(s) who appeared before me c.-t NnlaryVublic Signature Notary Pu4lic Seal rbeui ktHE , QHrWnY � � drayria.rrry _ IPP60I M1546 +fr io-*m �syra4 `U a:r, M1 City of Santa Ana RFP 22-133 On -fall E"ineering Design Serwice$ for PFA$ trealift+t Sysle^s Pane 36 City Council 19 — 276 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 CN-CALL ENGINEERING DESIGN SERVICES FOR PFAS TRF-ATME14T SYSTEMS NON-L0BBYING CERTIFICATION The prospeotive parlicipant cerlies, by signing and submllling Ihis bid or proposal, to the best of his or her Knowledge and belief, that: {1) No Federar appropriated funds have been paid or will be paid, by or on behalf of the undersigined, to any person for Influendrig ar allerripting to influence an officer ©remployeie of any Federal agency, a Member ofCongress, an officer or employee of Congress„ or an employee of a Member of Congress in connection with the awarding of any Federal contract, the masking of any Federal grant, the making of any Federal loan, the entering Into of any caaperatNe agrearn"t, and the extension, continualion, renewal, amendment, or modification of afly Federal contract, grant, hart, or Cooperative agreement, (2) If any funds other than Federal appropriated Funds have been paid or will be pairs to any person for i4ftuendng or anampifng 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 conneclio-n with this Federal contracl, grant, loan, or cooperative agreement, the undersigned shad complete and submit 5tandtrvd Forrn�LL, "disclosure of Lobbying Aawlies,' W Conformance with its instructions. This cerilfilcabion W a material re.presentabanof fact upon which reliance was placed whin this transaction was made orentefed into_ Skibmission 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 he subject to a civil penalty of not less than $10,ON and not more than $140,r]Qp for each such #allure. The prospective participant also agrees by submitting his or her hid 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 subrecipiants shall certify and disclose accordingly. r Title: Firm: Date: f '1— City of Santo Ana RFP Pi<.'-i:1 On -Calf Enginsefing Design ServiCe% for PEAS Ir almenl Systems Page 3u City Council 19 — 277 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS NON-DISCRIMINATION CERTIFICATION The undersigned consultant or corporate officer, during the performance of this contract, certifies as follows: 1. The Consultant shall not discriminate against any employee or applicant for employment because of race color, religion, sex, or national origin. The Consultant shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment without, regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Consultant agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The Consultant shall, in all solicitations or advertisements for employees placed by or on behalf of the Consultant, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin. 3. The Consultant shall send to each labor union or representative of workers with which he/she has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Consultant's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The Consultant shall comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. 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. S. 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. City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems Page 40 City Council 19 — 278 4/4/2023 CITY OF SANTA ANA RFP NO-: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS The Consuftanl &hall Include the portion of the sentence immediately preceding paragraph (1) and (he Provisions of paragraphs (1) Through (7) In every subcontract or purchase order unless exempted by rules, regiutatioas, 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 tie binding upon ea-bh subcontract cur purchase order as the adminislering agency may direct as means of enforcing such provisions, including sancbDns for noncomptlance: provided, however, that in the event the Consuftant becomes involved in. or is threatened with, litigation with a subconsullant or vendor as a resuft of such direction by the adminislering agency, the Consultant may request that the United Mates enter into etrch Iitlgatlon to protect the interests of the United States. 1, Pursuant to California Labor Code Section 1735, as added; by Chapter 643 Slats. 1939, ant! as amended, no discri minali4n shall be made in the employmentof persons upon public works because of race, religlorus Creed, color, national origin, arislry, physical handicaps, mental condlbon, rnaAal status, or sex of such persons, except as provided in Section 1420, and any consultarnt of public works violating (his Section is subject to all the penalties imposed far a violation of the Chaplet, Signed: 4421 Title: ` r Ci Firm: r - r- L.; t. �heji7v Date: / i 1 _ /5 ) , City of Santa Ana R5P 22-133 Can -Curt Engineering DmVn Servitettfor PFA5 Trealment Systems Page .1 City Council 19 — 279 4/4/2023 CITY OF SANTA AMA RFA NO.: 22-133 ON -CALL ENGINEERING, DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS NON-CDLLUSIGN AFFIOAV17 (Title 23 United States Cade Section 112 and Public Contracl Code Section 7106) In conformance with Title 23 UnitedStates Code Sectiofi 112 and Public Contract Code 7106 the BIDDER declares that the bid is not crude in Lfie interest of, or on behalf of, any uhdisclosedperson, partnership, Company, association, organization, or corporation: that the bid is g®nuine 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 had not directly or indirectly colluded, conspired, connived, of agreed witii any BIDDER or anyone Elise to put iv a sllarn bid, or that anyone Shall refrain from bidding; that the BIDOElR has not in any manner, directly or indirectly, sought by agreement. communication, or +conference with anyone to Fix the bid prier' 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 th® public body awarding the Contract of anyone interested in vie proposed contract; that all statements contained in th® bid are tfue; and, further, Mal the $11DDER has not, difeetly or indirectly, submitted his ar her bid price or any breakdown [hereof, or the conlents thereof, of divu6ped information or data relative therela, or paid, and will not pay, any fee to any corparation, partnership. Company association, organization, bid deposilory, or to any member or agent thereof to effectuate a Collrisibe or sham bid. Note: The above Non -collusion Affidavit is part of the proposal. UDDERS are cautioned that making a false certification may Subject the Certifier to crir»irtal prosecution.� Signed State of California County of SQa d5 %e'64'-rL-qj Subscri ed and sworn to qar affirmed) before me on this BY of,L 2fk!' by PeAffi UJ OzI proved to me on the basis of Saflsrectory evidence to be the persons) who appeared before me SEE NOTARY ✓ ATTACHED Notary Public Signature Notary 1341i.0 Seal City of Santa Ana RFP 22-133 mn-Call Fngtltmaring Os@ign 8ariir, r, Tor PFAS Tree;ment Syrtsm City Council - 19 — 280 4/4/2023 hOtu�ry public or ojt' c! car ftlC nr$ef P:osnPletincy Qjpis i ge verifies oeily She ideality of the ivndividow ho signed the docurylent to which this mrtif caf at£rzoh4ad, 9nd got fhro truglifulale,s accuracy, 0 lid! of that dixc¢a� _ma;10 ,. Stale of Cidliiornia C"unty of 5a¢► rra 6�e� Subscab d and svvom tO (Or affireun� 9) b9for , �e cnos t9�f� ®✓ dray of i��� �� , 20 2� � by (�� �rG -.--. p��att fro me ova 4h� haui of �atisf�xct�my evidaram So � the t"rsrcsn(s) Who appeared W fava me, _ D a� xa DOLAAK), COMM 4237o530 RR I/ Notary Aublic - CRIIfornla SAN BERNARDINO COUNTY W Comm. EXP_SOPL 25, 2025 9 (deal) sdgnraffa�re City Council 19 — 281 4/4/2023 CITY OF SANTA ARIA RFP NC.� 22-133 ON -CALL ENGINEERING DESIC3N SERVICES FOR PEAS TREATMENT SYSTEMS NON-1-038YING CE IRTIFICAT I ON The prospective participant certifps_ by signinu and submrtting this bid or proposal, to the besl ref his Dr her knowledge and belief, thal: )1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for In0ue4tcing of attempting to influence an affcer or employee of 2 ny Federal agency, a Membe r of Cang ress, an office ror employee of Congress, or an employee of a Member of Congress in connection with the awardrntg of any Federal contra4nt, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement. and the extension, conlinualion, renewal, amendment, or modification of any Federail contract, grant, 10an, 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 rffaeer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or ain employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the a ndersigned shall complete and submit Standard Form-LLL, 'Disclosure of Lobbying Aclrviliesa" in conformance with its instructions. This certification is a male vial representation of fact upon which reliance was, placed when this transaction was made or entered into. Sulam isslon of this certition is a prerequisite far makrng or enlering into W5 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 510,000 and not more than $100,OW for each such failure_ The prospective parlicipanl 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 air lower tier subcontracts_ which exceed $11W,000 and that all such subreclpients shall certify and disclose accordingly. � Signed: 1 — Title, 'Ur`rcC +rCSr��h! Firm: ❑are: fr �'� ?.� z wiry coi Santa Ana R FP 22-133 Can -Calf Engir Ornig betign Services for PFAS Tresiw-,ro. City Council -' 19 — 282 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS 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. City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems City Council 19 — 283 4/4/2023 CITY OF $ANITA ANAs R F P NO : 22-133 ON -CALL ENGINEERING DESIGN SERVICES FDR PFFA$ TREATMENT SYSTEUS 7, The Coasultool 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 t;xecutive Order 11246 of September 24. 1965, s❑ that such provisions will be binding upon each subcontract orpurchace order as the ada iinistering agency may direct as means of enforpng such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is thmalened with. litigation with a slrbcorrsuhant or vendor as a resuh of such dirsci= by the administering agency, the Cansultant may request that the United States enter into such litigation to prolect the interests of the United Stales, 8. Pursuant to California Labor Code Seclbn 1735, as added by Chapter 643 Stars_ 1939, and as amended, nay d iscrimination shalt Ise made in the employment of parsons upon p+uW]c works because of race. religious creed, color, nafional origin„ ancestry, physical handicaps, mental Condltion, marital status, or sex of such persons, exmept as provided in Section 1420. and any consultant of public works violating this Section is subject to all the i allies imposed for a violation of the Chapter. Signed: Title: rr e Firm: IIA�3V taAks Date-. It z 2- Ciry of SaM3 Ana RFP 22-133 On -Call Cngtnse N Desip Services for PFAS Treatment �"gsbs City Council 19 — 284 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS 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 accordincily. Signed: Title: President Firm: Water Quality & Treatment Solutions, Inc. Date: 11 /14/2022 City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems City Council rage 3a 19 — 285 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS 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. City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems City Council age 19 — 286 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS 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 or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any consultant of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Signed: // , � 9a Title: President Firm: Water Quality & Treatment Solutions, Inc. Date: 11/14/2022 City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems City Council rage 41 19 — 287 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS 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 crimjpal prosecution. Signed State of California County of Subscribed and sworn to (or affirmed) before me on this day of , 20_, by , proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me Notary Public Signature Notary Public Seal City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems City Council Page 38 19 — 288 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS 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 bidd'[ng; 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 prosecutipn. Signed State of California County ofUr�_e, Subscribed and sworn to (or affirmed) before me on this 14'ri`Nday ofiT,�L*ftl r202i by M[� )2YYll Gkd Pe �SabeYi, proved to me on the basis of satisfactory evidence to be the person(s) who appeared before me =FJael4 "AA o 385tafifarn3a niye , 4, 2p25 C5 Waryubli Si na re Notary Public Seal City of Santa Ana RFP 22-133 On -Cali Engineering Design Services for PFAS Treatment Systems Page 38 City Council 19 — 289 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINFFRING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS 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 Memberof 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 sha[I 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 a][ lower tier subcontracts, which exceed $100,000 and that all such subrecipients shall certify and disclose accordingly. Signed: d�%rrn a v�C Title: Principal Engineer Firm: SA Geotechnical, Inc. Date: 11/1412022 City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems Page 39 City Council 19 — 290 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS 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 shalt furnish all information and repofts required by Executive Order 11246 of September 24, 1965, and by ruies, 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. 5. 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 ok 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 therwise provided by law. City of Santa Ana RFP 22-133' On -Call Engineering Design Services for PFAS Treatment Systems Page 40 City Council 19 — 291 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS The Consultant shall include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) Ir every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to Section 204 of Executive Carder 11246 of September 24, 1965, so that such provisions wilt be binding upon each subcontract or purchase order as the administering agency may direct as means of enforcing such provisions, including sanctions for noncompliance; provided, however, that in the event the Consultant becomes involved in, or is threatened with, litigation with a subconsultant or vendor as a result of such direction by the administering agency, the Consultant may request that the United States enter into such litigation to protect the interests of the United States. 8. Pursuant to California Labor Code Section 1735, as added by Chapter 643 Stats. 1939, and as amended, no discrimination shall be made in the employment of persons upon public works because of race, religious creed, color, national origin, ancestry, physical handicaps, mental condition, marital status, or sex of such persons, except as provided in Section 1420, and any consultant of public works violating this Section is subject to all the penalties imposed for a violation of the Chapter. Si g red: Title: Principal Engineer Firm: SA Geotechnical, Inc. Date: 11/1412022 City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems Pape 41 City Council 19 — 292 4/4/2023 EXHIBIT C City Council 19 — 293 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEVIS APPENDIX ATTACHMENT 2: FEE PROPOSAL Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposal. I have examined the ATTACHMENT 1; 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 nMonsible for reporting any errors. ornisslons or discrepancies to the Cdy for clarification prior to the submission of my proposal. Proposer shall submit hourly rates schedule, which shall inctude but not limited to,direct and indirect costs for labor, for staff per job classificatlon, material, equipment rates, overhead, incidental supplies, travel, mileage, and fuel. Any special materials will be purchased by the contractor only after discussed and authorized by the City projects manager or designee in writing. Prior to commencement of services, Contractor shall provide separate quotes, upon request by the City, which shall be approved by the City's Public Works Water Resources Division, FEE SCHEDULE The undersigned declares Mt hefshe has carefully examirt-d the request for proposal, that helshe has examined the Proposed Scope of Services, and hereby proposes Irr rumish all material and do all the work required to complete the said work in accordance with said Proposed Scope of Services, for the unit pries} set forth in the Following schedule: Note: This contract is subject to prevailing wages. TO: CITY COUNCIL OF THE CITY OF SANCTA ANA FROR EEC ilnvironmewal ,. Item # Bid item Unit Quantily Amour Wei 126 (Located at 1730 S. Santa Fs, 'Sa nW Ana, CA 92705) Priam ref -or I91h6 APPENDICES A. B. and C for further details on Well 26 and East Station reservoir Site 1, Planning Study { EA i S 19 INdl7,[7U L Draft Design Report(10% Desigin) EA 1 1�3Ot]0_G11 3. Final Dmign Repod (3D% Design) EA d, 60% Design Submittal EA 1 S 15G,t)[w].00 City of Santa Arta: RFP 22,133 On -Gall City Council 24 19 — 294 4/4/2023 CITY OF SANTA ANA RFP NO.: 22-133 ON -CALL ENGINEERING DESIGN SERVICES FOR PFAS TREATMENT SYSTEMS 5. 90% Design Submittal EA 1 $ 132,000.00 i. Final Design Submittal EA 1 $ 63,000.00 *Planning study for Wells 26, 34, 35, and 37. Refer to SOQ Section G> Task 1 for rzzoce scope details. Total g 610,000.00 and equipment rate sheet shall list rates designations, equipment and materials. BIDDER INFORMATION: Legal Company Name: EEC Environmental Complete address: 1 City Blvd West, Suite 1800, Orange, CA 92868 Phone Number: Email Address: (714) 667-2300 Authorized Signature: Name: John Shaffer Title: CEO City of Santa Ana RFP 22-133 On -Call Engineering Design Services for PFAS Treatment Systems City Council rage « 19 — 295 4/4/2023 ENVIRONMENTAL EEC Environmental 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 Jr. Staff Engineer/GeologisUScientist $130 Staff Engineer/Geologist/Scientist $160 Sr Staff Engineer/Geologist/Scientist $175 Project Engineer/Geologist/Scientist - 1 $200 Project Engineer/Geologist/Scientist - 11 $210 Sr Project Engineer/GeologisUScientist - 1 $230 Sr Project Engineer/Geologist/Scientist - 11 $250 Principal Geologist $275 Principal $275 Project Assistant $120 Technician $125 Drafter $140 Sr Technician $145 Compliance Inspector $145 Technician GIS/Technology $120 Analyst GIS/Technology $135 Sr Analyst GIS/Technology $150 Specialist GIS/Technology $160 Sr Specialist GIS/Technology $170 Supervisor GIS/Technology $1 S5 Director/GIS Technology $200 Construction Technician $105 Construction Field Supervisor $125 Construction Manager $130 Sr Construction Manager $165 Technical Editor $125 Emergency response will be charged at a rate of 1.5 times the standard hourly rate. W hen EEC Staff appear as expert witnesses at court trials, mediation, arbitration hearings and depositions, their time will be charged at 2.0 times the standard rate. All time spent preparing for such trials, hearings, and depositions, will be charged at the standard hourly rate. Travel Vehicles used on project assignments will be charged at $75 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 $75 per day (except in high cost markets, which will adhere to GSA rates). Airfare, lodging, rental cars and associated expenses are billed at cost plus 15%. 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 Proiect 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. Shipping and Postage Shipping charges include couriers and the postage necessary will be charged at cost plus 15%. Interest Charges Interest on late payments will be charged at the rate of 1.5% per month. Payment Terms Net 30 days apply to all work performed and invoiced unless superseded by a specific executed contract. 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. City Council 19 — 296 4/4/2023 Client/Address: EEC Environmental One City Boulevard West Suite 100 Orange, CA 92868 Contract/Proposal Date: November 17, 2022 Custom Schedule of Charges PERSONNEL COMPENSATION Classification Engineer -Scientist -Specialist 1 Engineer -Scientist -Specialist 2............................................................. Engineer -Scientist -Specialist 3............................................................. Engineer -Scientist -Specialist 4............................................................. Engineer -Scientist -Specialist 5............................................................. Engineer -Scientist -Specialist 6............................................................. Engineer -Scientist -Specialist 7............................................................. Engineer -Scientist -Specialist 8............................................................. Engineer -Scientist -Specialist 9............................................................. CAD-Technician.................................................................................. Senior CAD -Technician CAD -Designer ............. Senior CAD -Designer.. Project Administrator........................................................................... Administrative Assistant....................................................................... Aide..................................................................................................... Kennedy Jenks Date: November 15, 2022 Hourly Rate ...... $130 ...... $165 ...... $185 ...... $200 ...... $220 ......$245 ...... $270 ......$290 ...... $305 ...... $120 ...... $140 ......$155 ...... $175 ...... $130 ...... $110 ........$85 In addition to the above Hourly Rates, an Associated Project Cost charge of $0 per hour will be added to Personnel Compensation for costs supporting projects including telecommunications, software, information technology, internal photocopying, shipping, and other support activity costs related to the support of projects Direct Expenses Reimbursement for direct expenses, as listed below, incurred in connection with the work, will be at cost plus five percent for items such as: a. Maps, photographs, 3rd party reproductions, 3rd party printing, equipment rental, and special supplies related to the work. b. Consultants, soils engineers, surveyors, contractors, and other outside services. c. Rented vehicles, local public transportation and taxis, travel and subsistence. d. Project specific telecommunications and delivery charges. e. Special fees, insurance, permits, and licenses applicable to the work. f. Outside computer processing, computation, and proprietary programs purchased for the work. Reimbursement for vehicles used in connection with the work will be at the federally approved mileage rates or at a negotiated monthly rate. If prevailing wage rates apply, the above billing rates will be adjusted as appropriate. Overtime for non-exempt employees will be billed at one and a half times the Hourly Rates specified above. Rates for professional staff for legal proceedings or as expert witnesses will be at rates one and one-half times the Hourly Rates specified above. Excise and gross receipts taxes, if any, will be added as a direct expense. The foregoing Schedule of Charges is incorporated into the agreement for the services provided, effective November 15, 2022, through December 31, 2023. After December 31, 2023, invoices will reflect the Schedule of Charges currently in effect, but not to exceed an average of 5 percent per year. City Council 19 — 297 4/4/2023 Public Works Agency www.santa-ana.org/public-works Item # 20 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report April 4, 2023 TOPIC: Santa Ana Regional Transportation Center: Lease Agreement AGENDA TITLE Approve a Lease Agreement with Senate Rules Committee, California Legislature for Office Space at the Santa Ana Regional Transportation Center for a Four-year Term for a Total Amount of $300,082 RECOMMENDED ACTION Authorize the City Manager to execute a site lease agreement with Senate Rules Committee, California Legislature to compensate the City $6,400 per month, with any partial month prorated at $206 per day, for the lease of 3,200 square feet of office space located at the Santa Ana Regional Transportation Center for a four-year term beginning on April 4, 2023 and ending February 28, 2027, for a total of $300,082 in lease revenue for the entire term of the agreement, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The Santa Ana Regional Transportation Center (SARTC) is a regional transportation hub that brings together Amtrak, Metrolink, Orange County Transportation Authority (OCTA), interstate bus services, and in the future, the OC Streetcar. The facility is open to the public seven days a week from 5 a.m. to midnight and contains approximately 35,000 square feet of rental space, including ten bus bays. In 2019, State Senator Thomas J. Umberg's staff approached City staff to express interest in leasing approximately 3,200 square feet of office space at SARTC. Senator Umberg represents Senate District 34, which includes the cities of Anaheim, Fountain Valley, Garden Grove, Huntington Beach, Los Alamitos, Midway City, Orange, Rossmoor, Santa Ana, Seal Beach, and Westminster in Orange County, as well as part of the city of Long Beach in Los Angeles County. Santa Ana is the county seat and is centrally located within Senate District 34. On June 18, 2019 the City Council approved a site lease agreement, with Senate Rules Committee, California Legislature, to lease 3,200 square feet of office space at SARTC. Recently State Senator Umberg's staff expressed interest in entering into a new lease for a four-year term beginning April 4, 2023 to February 28, 2027. By continuing to lease City Council 20-1 4/4/2023 Approve Lease Agreement with Senate Rules Committee, CA Legislature April 4, 2023 Page 2 office space to Senate Rules Committee, California Legislature, lease revenue will be generated for the SARTC day-to-day operation (Exhibit 1). FISCAL IMPACT Approval of the site lease agreement obligates Senate Rules Committee, California Legislature, to compensate the City $300,082 for the term of the lease agreement for lease of interior office space at the SARTC. The four-year agreement term begins April 4, 2023, and ends February 28, 2027. The total anticipated revenue from this agreement is as follows: Fiscal Year Accounting Unit Fund Accounting Unit, Amount _ Account # Description Account Description 2022-23 Regional Public Works-SARTC 06717002-53827 Transportation Operations, Rental -State $18,482 (April -June) Center (Umberg) 2023-24 Regional Public Works-SARTC 06717002-53827 Transportation Operations, Rental -State $76,800 Center (Umberg) Regional Public Works-SARTC 2024-25 06717002-53827 Transportation Operations, Rental -State $76,800 Center (Umberg) Regional Public Works-SARTC 2025-26 06717002-53827 Transportation Operations, Rental -State $76,800 Center (Umberg) Regional Public Works-SARTC 2026-27 06717002-53827 Transportation Operations, Rental -State $51,200 (July -Feb) Center (Umberg) Total: $300,082 EXHIBIT(S) 1. Lease Agreement with Senate Rules Commitee, California Legislature Submitted By: Nabil Saba, P.E., Executive Director— Public Works Agency Approved By: Kristine Ridge, City Manager City Council 20 — 2 4/4/2023 1*0:Otlrlfl Senator Senator Tom llmberg Lease# SR I8119-1 "1 7000 East Santa Ana Blvd, 220B Santa Ana, CA 92701 SENATE, CALIFORNIA LEGISLATURE LEASE ALL INFORMATION REQUESTED IN THIS LEASE MUST BE COMPLETED PRIOR TO SIGNATURE OF THE SENATE RULES COMMITTEE: PREAMBLE - THIS LEASE, made and entered into this 4" of April, 2023 by and between City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California, hereinafter called Lessor, and the Senate Rules Committee, California Legislature, hereinafter called State. WITNESSETH: The parties hereto mutually agree as follows: 1. DESCRIPTION - Lessor hereby leases unto State and State hereby hires from Lessor those certain premises situated in the City of Santa Ana, County of Orange, State of California, and more particularly described as follows: 1000 East Santa Ana Blvd., 220B Santa Ana, CA 92701 2. TERM -TO HAVE AND HOLD said leased premises, together with the appurtenance, rights, privileges ,and easements thereunto belonging or appertaining unto State, for a term commencing on the 4" day of April, 2023 and ending on the 28" day of February, 2027 with such rights of termination as are hereinafter set forth. 3. RENT— The total amount to be paid is as follows $2.00 PER SQUARE FOOT FOR 3,200 SQUARE FEET TOTAL MONTHLY COST $6,400.00 (Six Thousand Four Hundred Dollars and no cents). with rental payable by State in arrears on the last day of the month, unless sufficient funds have not been made available in the annual budget act for the purpose of funding Senate Rules Committee Lease agreements. Rental payments will be made as soon as funds are made available under the annual budget act. Rental payable hereunder for any period of time less than that for which periodic rental is paid shall be determined by prorating the rental herein specified for the applicable period by 30 days. 4. NOTICES TO STATE - State agrees to pay the aforesaid rental to Lessor at the address specified in paragraph 6, or to such other address as the Lessor may designate by a notice in writing, upon the submission by lessor of invoices therefore at least 15 days prior to the due date to: Senator Tom Umberg Senate Rules Cotmmittee - Facilities, Toni Z. Brenner 1020 N Street, Room 255 Sacramento, CA 95814 916/651-1505 fax 916/414-3690 5. NOTICES TO LESSOR - All notices herein provided to be given, or which may be given, by either party to the other, shall be deemed to have been fully given when made in writing and deposited in the United States mail, certified and postage prepaid, and addressed as follows: City Council 20 — 3 4/4/2023 NAME: City of Santa Ana M-13 ADDRESS: 20 Civic Center Plaza P.O. Box 1988 TAX I.D. # 95-6000785 CONTACT: Gabriela P. Lomeli TELEPHONE: 714/65 6-2 692 E-MAIL: glomeliCasanta-ana.org and to State at the address indicated in paragraph 5. Nothing herein contained shall preclude the giving of any such written notice by personal service. 6. EARLY TERMINATION - The state may terminate this lease by giving notice to the Lessor at least thirty (30) days prior to the date when such termination shall become effective. At the option of the State, this lease shall terminate within thirty (30) days immediately following the death, resignation or other removal from office of Senator Tom Umberg as a Member of the Senate. 7. JANITORIAL & UTILITIES - Lessor shall furnish to State, during the lease term, at Lessor's sole cost, the following services and utilities: A. Janitorial services, including but not limited to, regular cleaning of office areas and restrooms, toilet supplies and waste disposal. B. All utilities except telephone and data/internet services/cable. S. COMPLIANCE WITH LAW; REPAIR AND MAINTENANCE - During the lease term, Lessor shall maintain the leased premises together with appurtenances, rights, privileges, and easements belonging or appertaining thereto, in good repair and tenantable condition, except in the case of damage arising from negligence of State's agent, invitees or employees. Lessor shall be liable for any damages sustained by State from the failure of the Lessor to maintain the leased premised in good repair and tenantable condition pursuant to this paragraph. INSPECTION - Lessor reserves the right to enter and inspect the leased premises, at reasonable times, and to make any necessary repairs to the premises. 10. QUIET POSSESSION - Lessor agrees that State, keeping and performing the covenants and agreements herein contained on the part of State to be kept and performed, shall at all times during the existence of this lease peaceably and quietly, have hold and enjoy the leased premises, without suit, trouble, or hindrance from Lessor or any person claiming under Lessor. 11. DESTRUCTION - In the event the leased premises or any essential part thereof shall be destroyed by fire or other casualty, this lease, shall, in the case of total destruction of the leased premises, immediately terminate and, in case of partial destruction or damage, shall terminate at the option of State upon giving notice in writing to the Lessor within fifteen (15) days after such fire or casualty, and no rent shall accrue or be payable to the Lessor after such termination. In the event of any such destruction where the State remains in possession of said premises, the rental as herein provided shall be reduced by the same ratio as the floor space State is thus precluded from occupying bears to the total space of the leased premises. 12. FAIR EMPLOYMENT PRACTICES - This lease is subject to the provisions of the California Fair Employment and Housing Act (Section 12900 et seq., Government Code) and in its performance the Lessor will not discriminate against any employee or applicant for employment because of race religious creed, color, national origin, ancestry, physical handicap, medical condition, marital status, sex or age. The Lessor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, religious creed, color, national origin, ancestry, physical handicap, medical condition, marital status, sex or age. This 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 of training, including apprenticeship. The Lessor will permit access to his or her records of employment, employment advertisements, application forms, and other pertinent data and records by the Fair Employment and Housing Commission, and any other agency of the City Council 20 — 4 4/4/2023 State of California designated by the Joint Rules Committee, for the purposes of investigation to ascertain compliance with this paragraph. The State may determine a willful violation of the Fair Employment Practices provisions to have occurred upon receipt of a final judgment having that effect from a court in action to which the Lessor was a party, or upon receipt of a written notice from the Fair Employment and Housing Conmlission that it has investigated and determined that the Lessor has violated the Fair Employment and Housing Act and has issued an order, under Section 12970 of the Government Code which has become final. In the event of willful violation of the foregoing provision in the performance of this lease, and if the Lessor, within thirty (30) days after receipt of a written notice thereof from the State, fails to cure the breach, the State shall have the right immediately to terminate this lease and any necessary additional expense incurred by the State in securing space equivalent to the leased premises, including the additional rental, if any, shall be borne by the Lessor. 13. HOLD OVER - In the event State remains in possession of the leased premises after the expiration date of this lease, the State's continued possession shall create a tenancy from month to month with rental payable by State in arrears on the last day of each month in the amount specified in paragraph 2. The tenancy created herein shall be subject to all other terms and conditions of this lease. 14. ACCESSIBILITY — A. AMERICANS WITH DISABILITIES ACT (ADA) — Lessor warrants that the leased premises to be used by the State in the performance of this lease are readily accessible to and usable by individuals with disabilities with respect to services, programs, activities conducted by the State on the leased premised. In the event that Lessor makes alterations to any part of the leased premises used by the State, the alterations shall comply with the accessibility standards of the Americans with Disabilities Act (U.S.C.A. Section 12101 and following). In the event of violation of the foregoing provision in the performance of this lease, and if the Lessor, within thirty (30) days after receipt of a written notice thereof from the State, fails to cure the breach, the State shall have the right immediately to terminate this lease and any necessary additional expense incurred by the State in securing space equivalent to the leased premises, including the additional rental, if any shall be by the Lessor. B. CERTIFIED ACCESS SPECIALIST DISCLOSURE — Pursuant to Section 1938 of the Civil Code, the Lessor states that the leased premises: (check one) ❑have not undergone an inspection by a Certified Access Specialist (CASp). ❑have undergone an inspection by a Certified Access Specialist (CASp), it was determined that the leased premises met all applicable construction -related accessibility standards pursuant to Section 55.51 et seq. of the Civil Code, and Lessor provided the State with a copy of all reports prepared by the CASp. 15. INSURANCE — The State represents that, as an entity of the State of California, it is self -insured against damages, injury and other forms of liability. Lessor or other parties shall not be names as an additional insured therein. 16. ASBESTOS - Lessor hereby warrants and guarantees that the Premises leased to the State will be operated and maintained free of hazard from Asbestos -Containing Construction materials (ACCM), as that term is defined in Labor Code Section 6501.8. 17. SUBROGRATION WAIVER AND INDEMNITY - A. SUBROGATTON WAIVER — To the extent authorized by any fire and extended coverage insurance issued to Lessor on the herein damaged premises, Lessor releases State from liability for loss or damage covered by said insurance and waives subrogation rights of the insurer. B. INDEMNITY — (1) To the extent that Paragraph 18.A is not applicable, State agrees to indemnify, hold harmless and defend Lessor, its officers, employees, representatives and agents from any and all liability, claims, demands, actions, City Council - 20 — 5 4/4/2023 damages, costs and financial loss, including all costs and expenses and fees of litigation or arbitration, that arise directly or indirectly from any acts or omissions related to this Lease performed by the State or its agents, employees, or other persons acting on the State's behalf. This agreement to indemnify, hold harmless and defend shall apply whether such acts or omissions are the product of active negligence, passive negligence, willfulness or acts for which State or its agents, employees, or other persons acting on the State's behalf would be held strictly liable. (2) Lessor agrees to indemnify, hold harmless and defend the State, its officers, employees, representatives and agents from any and all liability, claims, demands, actions, damages, costs and financial loss, including all costs and expenses and fees of litigation or arbitration, that arise directly or indirectly from any acts or omissions related to this Lease performed by Lessor or its agents, employees, or others persons acting on Lessor's behalf This agreement to indemnify, hold harmless and defend shall apply whether such acts or omissions are the product of active negligence, passive negligence, willfulness or acts for which Lessor or its agents, employees, or other persons acting on Lessor's behalf would be held strictly liable. 18. MISCELLANEOUS — A. AMENDMENT OF LEASE — This lease may be amended by mutual consent of the State and Lessor. An alteration of or variation from the terms of this lease is not valid unless made in writing and signed by the patties to this lease. B. WAIVER — No term or provision of this lase may be deemed waived and no breach excused, unless that waiver or consent is in writing and signed by an individual authorized to so waive or consent. Any consent by either party to, or waiver of, a breach by the other, whether express or implied, does not constitute a consent to, waiver of, or excuse for, any other breach or subsequent breach, except as may be provided expressly in the waiver or consent. C. FORCE MAJEURE — Except for defaults of subcontractors, Lessor and the State are not responsible for delays or failures to perform resulting from acts beyond the control of the nonperforming party. Those acts include, but are not limited to, acts of God, strikes, lockouts, riots, acts of war, epidemics, earthquakes, other disasters, governmental statutes or regulations imposed after the fact, and ancillary functions or utilities that are provided by a person or entity not a party to this lease. if a delay or failure in performance by Lessor arises out of a default of its subcontractor, and the default arises out of causes beyond the control of either Lessor or the subcontractor, without the fault or negligence of either of them, Lessor is not liable for damages for that delay or failure, unless the supplies or services to be furnished by the subcontractor were available from other sources in sufficient time to permit Lessor to meet the required performance schedule. D. TIME OF PERFORMANCE — Time is of the essence of this lease for purposes including the performance of services under any schedule established under this lease. E. ENTIRE AGREEMENT — This lease represents the complete and exclusive statement of the agreements between the State and Lessor with respect to the subject matter of this lease, and supersedes all prior agreements, proposals, representations, and other communications, written or oral, between the State and Lessor regarding this subj ect matter. The State and Lessor agree that there are no oral or written covenants, conditions, or agreements with respect to the subject matter of this lease except as set forth in this lease. F. GOVERNING LAW — This lease, and any amendments to this lease, shall be governed by and construed in accordance with the laws of the State of California. G. CONFLICT WITH EXISTING LAW — Lessor and the State agree that, if any provision of this lease is found to be illegal or unenforceable, that provision shall be deemed stricken and the remainder of this lease shall remain in full force and effect. Either party having knowledge of any such provision promptly shall inform the other of the presumed inapplicability of the provision. If the deletion of the illegal or unenforceable provision would substantially frustrate the purposes of this lease, the lease thereupon shalt be terminated in a manner that is commensurate, to the maximum extent feasible, with the interests of both parties. IN WITNESS WHEREOF, this lease has been executed by the parties hereto as of the date first above written. City Council 20 — 6 4/4/2023 LESSOR: CITY OF SANTA ANA LESSEE: SENATE RULES COMMITTEE of CALIFORNIA By: Erika Contreras Title: Secretary of the Senate Date: City Council 20 — 7 4/4/2023 Police Department www.santa-ana.org/police Item # 21 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report April 4, 2023 TOPIC: Agreement with SenseMakers LLC for Grant Project and Fiscal Coordinator Services AGENDA TITLE Approve Agreement with SenseMakers LLC, in the amount of $896,370, for Grant Project and Fiscal Coordinator Services (Non -General Fund) RECOMMENDED ACTION Authorize the City Manager to execute a three-year professional services agreement with SenseMakers LLC for an on -site project and fiscal grant management coordinator services, for the period beginning June 1, 2023 through May 31, 2026, with a fourth - and fifth -year option in an amount not to exceed $896,370, subject to non -substantive changes approved by the City Manager and City Attorney. DISCUSSION The United States Department of Homeland Security (DHS) developed the Urban Areas Security Initiative (UASI) federal grant program. UASI provides funds to local emergency first responders to enhance security and overall preparedness to prevent, protect, mitigate, respond to, and recover from acts of terrorism. The grant specifically provides funding for management and administration, anti -terror planning, organizing, equipment, training, exercises, and technical assistance. Under the UASI funding program, the City of Santa Ana and the City of Anaheim have been designated as Urban Area Core Cities and serve as the grant recipients responsible for managing and administering the UASI grant funds. The Santa Ana and Anaheim Police Departments alternate as the fiscal agent responsible for the grant. Anaheim manages the grant during the even years, while Santa Ana manages the grant during the odd years. The on -site grant management services necessary for the administration of the UASI Grant program include, but are not limited to, the following: oversight of all assigned project activities; assisting with the development of grant applications, ensuring grant finances are processed appropriately and in compliance with established federal, state, and local statutes; and maintaining UASI sub -recipient guidelines and policies to include City Council 21 — 1 4/4/2023 Agreement with SenseMakers, LLC for Grant Project and Fiscal Coordinator Services April 4, 2023 Page 2 new laws, rules, and requirements issued by DHS and the California Governor's Office of Emergency Services (Cal OES). On October 11, 2022, the Police Department issued Request For Proposals No. 22-130 for grant management services for the Anaheim/Santa Ana UASI. A total of 674 vendors were notified through the City's bidding platform with a due date of November 8, 2022. SenseMakers LLC was the only company to submit a proposal. The professional services rate proposed by SenseMakers LLC was determined to be within the range expected for such services. Cal OES approved the sole source procurement for this agreement for grant years FY 2021 and FY 2022. A sole source approval for FY 2023 will be sought upon approval of the FY 2023 UASI grant application. The three-year agreement may be extended for two additional one-year terms, contingent upon grant funding being secured and approved by the City Council. SenseMakers LLC has been providing these professional services since 2012 and has developed unique skills and organizational knowledge to effectively manage the homeland security grants awarded to the City of Santa Ana. The Santa Ana Police Department's Homeland Security Division is pleased with the grant management services provided by SenseMakers LLC, and recommends approval of this agreement. The agreement includes 2,080 hours per year and $7,000 annually for training and travel: • Year 1 — Hourly rate of $76.46, annual amount not to exceed $166,036.80 • Year 2 — Hourly rate of $79.50, annual amount not to exceed $172,360.00 • Year 3 — Hourly rate of $82.70, annual amount not to exceed $179,016.00 • Year 4 (if extended) — Hourly rate of $86.01, annual amount not to exceed $185, 900.80 • Year 5 (if extended) — Hourly rate of $89.45, annual amount not to exceed $193, 056.00 FISCAL IMPACT Funding is available in the FY 2022-23 budget and funding for subsequent fiscal years will be included in the proposed budgets for City Council consideration as follows: Fiscal Year Accounting Unit — Account No. Fund Description Accounting Unit, Account Description Amount FY 22-23 12514407-62300 OES UASI UASI Cal OES Santa $ 13,837 Ana, Contract Services FY 23-24 12514407-62300 OES UASI UASI Cal OES Santa $152,200 Ana, Contract Services City Council 21 — 2 4/4/2023 Agreement with SenseMakers, LLC for Grant Project and Fiscal Coordinator Services April 4, 2023 Page 3 UASI Cal OES FY 23-24 12514491-62300 OES UASI Anaheim, Contract $ 14,364 Services UASI Cal OES FY 24-25 12514491-62300 OES UASI Anaheim, Contract $157,996 Services FY 24-25 12514407-62300 OES UASI UASI Cal OES Santa $ 14,918 Ana, Contract Services FY 25-26 12514407-62300 OES UASI UASI Cal OES Santa $164,098 Ana, Contract Services UASI Cal OES FY 25-26 12514491-62300 OES UASI Anaheim, Contract $ 15,492 Services UASI Cal OES FY 26-27 12514491-62300 OES UASI Anaheim, Contract $170,409 Services FY 26-27 12514407-62300 OES UASI UASI Cal OES Santa $ 16,088 Ana, Contract Services FY 27-28 12514407-62300 OES UASI UASI Cal OES Santa $176,968 Ana, Contract Services Total 1 $896,370 The expenditure amounts listed above are estimates based upon the Anaheim/Santa Ana UASI projects projection for grant years FY 2021, FY 2022, and FY 2023 and subject to change. If the agreement is extended, the expenditure amounts will be dependent upon the grant years' FY 2024 and FY 2025 projects. EXHIBIT(S) 1. Agreement with SenseMakers LLC Submitted By: David Valentin, Police Chief Approved By: Kristine Ridge, City Manager City Council 21 — 3 4/4/2023 EXHIBIT 1 PROFESSIONAL SERVICES AGREEMENT WITH SENSEMAKERS, LLC FOR GRANT PROJECT & FISCAL COORDINATOR SERVICES THIS AGREEMENT, is made and entered into this 0, day of April 2023 by and between SenseMakers LLC, 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"). ir4orarraM A. On October 11, 2022, the City issued Request for Proposal # 22-130 ("RFP") seeking qualified consultants to perform grant management services for the Anaheim/Santa Ana Urban Area Security Initiative ("ASAUASP') Grant. These services are required as the City, acting through the Santa Ana Police Department in its capacity as a Core City and lead agency for the Anaheim / Santa Ana Urban Area under the Urban Areas Security Initiative ("UASI"), has applied for, received and accepted a grant from the federal Department of Homeland Security, Office of Domestic Preparedness, through the State of California, Office of Emergency Services, to enhance countywide emergency preparedness, hereinafter referred to as "the Grant'. B. Consultant submitted a timely proposal and Consultant represents that it has the necessary skills and experience to provide assistance in developing grant applications, invoicing and processing payment documents in compliance with grant policies, and maintaining guidelines and polices required by grant providers. 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 develop and provide grant management services as set forth in Exhibit A, attached hereto and incorporated by this reference. All services required hereunder shall conform in all respects to standards and regulations for funding by the U.S. Department of Homeland Security, and the California Office of Emergency Services. Consultant will be responsible for continued training to remain current on the management and reporting obligations required of the various Homeland Security Grant funds. City Council 21 — 4 4/4/2023 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services an hourly rate of $76.46, effective June 1, 2023 through May 31, 2024 ("1" Year"). Consultant shall also be reimbursed for training and travel which requires pre -approval, in writing, by City. The total amount to be expended during the I" year of this Agreement shall not exceed $166,036.80. b. City agrees to pay, and Consultant agrees to accept as total payment for its services an hourly rate of $79.50, effective June 1, 2024 through May 31, 2025 ("2°d Year"). Consultant shall also be reimbursed for training and travel which requires pre -approval, in writing, by City. The total amount to be expended during the 2nd year of this Agreement shall not exceed $172,360. c. City agrees to pay, and Consultant agrees to accept as total payment for its services an hourly rate of $82.70, effective June 1, 2025 through May 31, 2026 ("Yd Year"). Consultant shall also be reimbursed for training and travel which requires pre -approval, in writing, by City. The total amount to be expended during the 3r6 year of this Agreement shall not exceed $179,016. d. If the parties exercise the option to extend the tern of the Agreement for a 4th Year, as detailed in Section 4 below, the City agrees to pay, and Consultant agrees to accept as total payment for its services an hourly rate of $86.01, effective June I, 2026 through May 31, 2027 ("4th Year") and/or (the "Ist Extension"). Consultant shall also be reimbusedfor trainingand travel which requires pre -approval, in writing, byCity. The total amount to expended for the extension shall not exceed $185,900.80. e. if the parties exercise the option to extend the term of the Agreement for a 5th Year, as detailed in Section 4 below, the City agrees to pay, and Consultant agrees to accept as total payment for its services an hourly rate of $89.45, effective June 1, 2027 through May 31, 2028 (5th Year) and/or (the "2nd Extension"). Consultant shall also be reimbursed for training and travel which requires pre -approval, in writing, by City. The total amount to expended during the 2nd extension shall not exceed $191,056. f. The total amount that may be expended throughout the entire term of this Agreement shall not exceed $896,369.60, as detailed in Exhibit B attached hereto. g. Payment by City shall be made within thirty (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. 3. USE AND OWNERSHIP OF DOCUMENTS It is understood by and agreed to between the parties that all written papers or materials prepared pursuant to this Agreement, paid for with Grant funds, or composed utilizing information City Council 21 — 5 4/4/2023 provided by Santa Ana, shall be the property of Santa Ana and shall be delivered to Santa Ana upon completion of the services hereunder. 4. TERbI This Agreement shall commence on June 1, 2023 and terminate on May 31, 2026, unless terminated earlier pursuant to Section 13, below. The term of this agreement may be extended for two (2) additional one (1) year terms. 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 standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. INSURANCE Based on scope of services and in accordance with ICRMA guidelines, minimum insurance requirements are below. Coverage shall be at least as broad as: a. Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an "occurrence" basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregatelimit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit. b. Automobile Liability: Insurance Services Office Form Number CA 0001 covering, Code (any auto), or if Consultant has no owned autos, Code 8 (hired) and 9 (non -owned), with limit no less than $1,000,000 per accident for bodily injury and property damage. C. Workers' Compensation insurance as required by the State of California, with Statutory lire and Employer's Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease. City Council 21 — 6 4/4/2023 d. Professional Liability (Errors and Omissions) Insurance appropriates to the Consultant's profession, with limit no less than $2,000,000 per occurrence or claim, $2,000,000 aggregate. If the Consultant maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by the contractor. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. Other Insurance Provisions The insurance policies are to contain, or be endorsed to contain, the following provisions: Additional Insured Status The City, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Consultant including materials, parts, or equipment furnished in connection with such work or operations. General liability coverage can be provided in the form of an endorsement to the Consultant's insurance (at least as broad as ISO Form CG 20 10 11 85 or both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 20 37 forms if later revisions used). Primary Coverage For any claims related to this contract, the Consultant's insurance coverage shall be primary insurance primary coverage at least as broad as ISO CG 20 01 04 13 as respects the City, its officers, officials, employees, and volunteers. Any insurance or self-insurance maintained by the City, its officers, officials, employees, orvolunteers shall be excess of the Consultant's insurance ad shall not contribute with it. Notice of Cancellation Each insurance policy required above shall state that coverage shall not be canceled, except with notice to the City. Waiver of Subrogation Consultant hereby grants to City a waiver of any right to subrogation which any insurer of said Consultant may acquire against the City by virtue of the payment of any loss under such insurance. Consultant agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer. Self -Insured Retentions Self -insured retentions must be declared to and approved by the City. The City may require the Consultant to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self -insured retention may be satisfied by either the named insured or City. City Council 21 — 7 4/4/2023 Acceptability of Insurers Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best's rating of no less than A: Vll, unless otherwise acceptable to the City. Claims Made Policies If any of the required policies provide coverage on a claims -made basis: a. The Retroactive Date must be shown and must be before the date of the contract or the beginning of contract work. b. Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of the contract of work c. If coverage is canceled or non -renewed, and not replaced with another claims -made policy form with a Retroactive Date prior to the contract effective date, the Consultant must purchase "extended reporting" coverage for a minimum of five (5) years after completion of contract work. Verification of Coverage Consultant shall furnish the City with original Certificates of Insurance including all required amendatory endorsements (or copies of the applicable policy language effecting coverage required by this clause) and a copy of the Declarations and Endorsement Page of the CGL policy listing all policy endorsements to City before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive the Consultant's obligation to provide them. The City reserves the right to require complete, certified copies of all required insurance policies, including endorsements required by these specifications, at any time. Subcontractors Consultant shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Contractor shall ensure that City is an additional insured on insurance required from subcontractors. Special Risks or Circumstances City reserves the right to modify these requirements, including limits, based on the nature of the risk, prior experience, insurer, coverage, or other special circumstances. 7. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, and special counsel from liability for personal injury, or just compensation, arising out of claims for personal injury, including death, and claims for property damage, to the extent they arise from the negligent or willful misconduct in the performance of operations or errors or omissions 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. City Council 21 — 8 4/4/2023 S. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 9. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 10. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Telefacsimile (714) 647-6956 With courtesy copies to: Santa Ana Police Department UASI / Homeland Security Division 60 Civic Center Plaza P.O. Box 1981 (M-97) Santa Ana, California 92702 Attn: Roland Andrade Email: randrade2@satrta-ana.org Telefacsimile (714) 245-8098 City Council 21 — 9 4/4/2023 To Consultant: Jim Bailey SenseMakers LLC 2401 East Katella Avenue, Suite 610 Anaheim, California 92806 Office (657) 223-8532 Email: jimLsensemakerslle.com A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. if sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. if sent by 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. 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 terns or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, that terms and conditions hereof, shall not bind or obligate Consultant nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 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 shalt be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 13. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In the event that grant funding is not secured, City has the right to terminate the Agreement immediately upon exhaustion of the grant funds. 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: City Council 21 — 10 4/4/2023 a. As a condition of such payment, the Chief of Police may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work that fails to meet the standard of performance specified in the Recitals of this Agreement. 14. NON-DISCRIMINATION 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. 15. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 16. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 17. CONSULTANT CERTIFICATIONS a. Debarment and Suspension — Contractor will comply, and all its contractors will comply, with applicable federal suspension and debarment regulations including, but not limited to, Executive Orders 12549 and 12689, and 2 Code of Federal Regulations (CFR) §200.212 and codified in 2 CFR Part 200. b. Section 504 of the Rehabilitation Act of 1973 (Handicapped) - All recipients of federal funds must comply with Section 504 of the Rehabilitation Act of 1973 (The Act). Therefore, the federal funds recipient pursuant to the requirements of The Act hereby gives assurance that no otherwise qualified handicapped person shall, solely by reason of handicap be excluded from the participation in, be denied the benefits of or be subject to discrimination, including discrimination in employment, in any program or activity that receives or benefits from City Council 21 —11 4/4/2023 federal financial assistance. The Contractor agrees it will ensure that requirements of The Act shall be included in the agreements with and be binding on all of its contractors, subcontractors, assignees or successors. C. Americans with Disabilities Act of 1990 - (ADA) Contractor must comply with all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable. d. Lobbying and Political Activity - None of the funds, materials, property, or services provided directly or indirectly under this agreement shall be used for any partisan political activity, or to further the election or defeat of any candidate for public office, or otherwise in violation of the provisions of the "Hatch Act". e. Contractor will comply with all applicable lobbying prohibitions and laws, including those found in United States Code Title 31, § 1352, et seq., and agrees that none of the funds provided tinder this award may be expended by the Contractor to pay any person to influence, or attempt 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 any federal action concerning the award or renewal of any federal contract, grant, loan, or cooperative agreement. f Contractor will comply, and all its contractors will comply, with all requirements of the Byrd Anti -Lobbying Amendment (31 U.S.C. 1352), as applicable. g. Non -Discrimination and Equal Opportunity - Contractor will comply, and all its contractors will comply, with Title VT of the Civil Rights Act of 1964, as amended; Section 504 of the Rehabilitation Act of 1964, as amended; Subtitle A, Title TT of the Americans with Disabilities Act (ADA) (1990); Title IX of the Education Amendments of 1972; the Age Discrimination Act of 1975, as amended; Drug Abuse Office and Treatment Act of 1972, as amended; Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970, as amended; Section 523 and 527 of the Public Health Service Act of 1912, as amended; Title VIII of the Civil Rights Act of 1968, as amended; Department of Justice Non -Discrimination Regulations, 28 CFR Part 42, Subparts C, D, E, and G; and Department of Justice regulations on disability discrimination, 28 CFR Part 35 and 39. In the event a Federal or State court, Federal or State administrative agency, or the Contractor makes a finding of discrimination after a due process hearing on the grounds of race, color, religion, national origin, sex, or disability against a recipient of funds, the Contractor will forward a copy of the findings to CITY which will, in turn, submit the findings to the Office of Civil Rights, Office of Justice Programs, U.S. Department of Justice. It. Contractor will comply, and all its contractors will comply, with all requirements of the Executive Order 11246 of September 24, 1965, entitled "Equal Employment Opportunity," as amended by Executive Order 11375 of October 13, 1967, and as supplemented in Department of Labor regulations (41 CFR chapter 60), as applicable. i. Contractor will comply, and all its contractors will comply, with all requirements of the California Public Contract Code Section 10295.3, as applicable. City Council 21 — 12 4/4/2023 j. Contractor will comply, and all its contractors will comply, with all requirements of the Copeland "Anti -Kickback" Act (18 U.S.C. 874) as supplemented in Department of Labor regulations (29 CFR Part 3), as applicable. k. Contractor will comply, and all its contractors will comply, with all requirements of the Davis -Bacon Act (40 U.S.C. 276a to 276a-7) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. 1. Contractor will comply, and all its contractors will comply, with all requirements of Sections 103 and 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 3701-3708) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. In. Contractor will comply, and all its contractors will comply, with all applicable standards, orders or requirements issued under Section 306 of the Clean Air Act (42 U.S.C. 1857(h)), Section 508 of the Clean Water Act (33 U.S.C. 1368), Executive Order 11738, and the Environmental Protection Agency regulations (40 CFR part 15), as applicable. n. Contractor will comply, and all its contractors will comply, with all requirements of the Energy Policy and Conservation Act (Pub. L. 94-163, 89 Stat. 871), (53 FR 8078, 8087, Mar. 1 1, 1988, as amended at 60 FR 19639, 19645, Apr. 19, 1995), as applicable. o. Contractor will comply, and all its contractors will comply, with all requirements of Section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act, as applicable. P. Contractor will comply with the Federal Water Pollution Control Act (33 U.S.C. 1251-1387) as applicable. q. Contractor agrees that the Department of Homeland Security shall have the authority to seek patent rights for any process, product, invention or discovery developed and paid for with funding through this Agreement based on the requirements of 37 CFR§ 401, as applicable. r. Pursuant to 2 CFR section 200.315, Contractor may copyright any work that is subject to copyright and was developed, or for which ownership was acquired, under a Federal award. The Federal awarding agency reserves a royalty -free, nonexclusive and irrevocable right to reproduce, publish, or otherwise use the work for Federal purposes, and to authorize others to do so. The Federal government has the right to: (1) Obtain, reproduce, publish or otherwise use the data produced under a Federal award; and (2) Authorize others to receive, reproduce, publish, or otherwise use such data for Federal purposes. Contractor will provide information pursuant to 2 CFR section 200.315(e) for response to a Freedom of Information Request when applicable. City Council 21 — 13 4/4/2023 S. Contractor will comply with the provisions of 2 C.F.R. section 200.315 regarding the use of intangible property. t. Contractor will comply with all applicable local, state and federal statutes, codes and regulations regarding the use of state or federal grant funds and property acquired with those grant funds. U. if the product is defective, does not function as represented or advertised, City is entitled to either a full refund of the purchase price or replacement of the product for a new product at the City's election. 18. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. c. The Agreement is the final and complete agreement and any prior or contemporaneous agreements for similar services between the parties is superseded by this Agreement. This clause shall not apply where the Parties are currently engaged and Consultant is providing services not contemplated by this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: JENNIFER HALL Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: TAMARA BOGOSTAN Senior Assistant City Attorney CITY OF SANTA ANA, a municipal Corporation of the State of California KRISTINE RIDGE City Manager City Council 21 — 14 4/4/2023 RECOMMENDED FOR APPROVAL: DAVID TIN e of Police SENSEMAKERS, LLC JAMES BAILEY President and CEO City Council 21 — 15 4/4/2023 EXHIBIT A SCOPE OF SERVICES DESCRIPTION AND SCOPE OF WORK The City of Santa Ana, on behalf of the Anahetm/Santa Ana Urban Area (ASAUA), is seeking proposals from qualified individuals or firms who cart provide grant management services for the management and administration of the Urban Area Security Initiative (UASI) Grant Program for the Santa Ana Police Department. The proposed ProjectfFmscal Coordinator would be responsible for the financial management and compliance of the UASI grant program with oversight on protect management and coordination A. BACKGROUND INFORMATION The requested grant projectmscal coordination will be paid in full with funding from the UASI grant. Funding from this grant is applied to homeland security related training, exercises, equipment, and projects in the ASAUA. The ASAUA is comprised of the County of Orange, 34 incorporated cities, and two universities, University of Califonua, Irvine, and Cahfomia State University, Fullerton, with a population of over 3 million people- The ASAUA has approximately 12,000 public safety emergency responders from the fire service, law enforcement, and public health professions. UASI grant management support is provided by the two largest cities in the ASAUA, Santa Ana and Anaheim. The two cities share grant administrative responsibilities, annually alternating the function of the lead fiduciary agency. Anaheim manages the grant during the even years (i.e. 2018, 2020, 2022 etc.), while Santa Ana manages the grant during the odd years (i_e. 2019, 2021, 2023 etc.). By way of example, the most current agreement has been attached, which includes duties and costs. B. OBJECTIVE The intention of the City is to recruit a contractor to fulfill the responsibilities and requirements of the Project(Fiscal Coordinator as assigned to the Santa Ana Police Department and outlined within Exhibit A. The project/fiscal coordinator must fit within the parameters of our MBA budget. C. PERFORMANCE SCHEDULE The City anticipates the final award of agreement to vendor on TBD. The requested services must be filled by TBD with the contractor providing services in accordance with the agreement starting that date. ❑. MINIMUM REQUIREMENTS Proposer (Contractor) must have an active registration in the System for Award Management (SAM). Please refer to www.SAM_cloy for registration information. Contractor shall certify that neither Contractor nor its principles are presently debarred, proposed for debarment, declared ineligible or voluntarily excluded from participation in the transaction by any federal department or agency- Where Contractor as the recipient of federal funds, is unable to certify to any of the statements in the certification, Contractor must include an explanation with the proposal. Debarment, pending debarment, declared ineligibility, or voluntary exclusion from participation by any federal departrnent or agency may result in the proposal being deemed ran -responsible. RFP 22-130 ASA UASI Grant Management Serricec Page 10 City Council 21 — 16 4/4/2023 2 The proposed ProjecUFiscal Coordinator candidate(s) will submit to a thorough police background investigation performed by the City_ The background investigation will be performed after a contractor has been selected but prior to submission to City Council for final approval. A polygraph examination may be conducted to determine the truthfulness of the candidate's responses about his/her background and qualifications- AN persons employed to provide service under the awarded contract must have satisfactory past work records indicating their ability to adequately perform the work under said contract Contractor's employees assigned to this project must meet character standards as demonstrated by background investigation and reference checks, coordinated by the City. The City shall have the right to require the removal and replacement of the Contractors ProjectlFiscal Coordinator and key personnel under the awarded contract The City shall notify the contractor in writing of such action_ The City is not required to provide any reason, rationale or additional factual information if l elects to request any specific key personnel be removed from performing services under the awarded contract. The City shall review and approve the appointment of the replacement for the Contractors personnel. Said approval shall not be unreasonably withheld. 3. The ProjectfFiscal Coordinator will work out of the Santa Ana Police Departinent, Homeland Security Division. 4. The ProjectlFiscal Coordinator will work a 40-hour week, consistent with regular business hours which are between the hours of 6:00 AM to S:i)0 PM, excluding weekends and holidays. The hours worked are subject to the needs of the unit, and reasonable flexibility is available to accommodate the Contractor. The Project/Fhsral Coordinator may work a compressed 4110 schedule: Monday through Thursday or Tuesday through Friday, depending the on the needs of the unit 5. The Project/Fiscal Coordinator shall have experience inconsistently managing multiple project budgets and deadfines. 6. The Project/Fiscal Coordinator shall have knowledge of local government and federal grant budgetary, management and procurement processes- 7- The ProjectlFscol Coordinator shall have the ability to read, comprehend, and apply various federal grant program rules and regulations including, but not Iirnited to, applicable code of federal regulations; notices of funding opportunities; Environmental & Historic Preservation requirements; state and local strategic goals & objectives, purchasing policies, and travel policies, and provide guidance to stakeholders within the ASAUA an how to comply. 6. The Project/Fiscal Coordinator shall have the ability to research topics unfamiliar to their normal area of expertise and experience (within Homeland Security Grant Program relevancy) and develop program plans and objectives. Examples of such experience must be provided in the Statement of Qualifications. 9_ The Pr*ct(Fiscal Coordinator shall be courteous and maintain good working relationships with all stakeholders within the ASAUA, state or outside agencies, other team members and staff within the Police Department and City of Santa Ana divtslons. Furthemxxe, City locations consist of public -use facilities and recognizes the obligation to insure Contractor personnel and agents maintain the highest level of professional standards in attire, decorum, and interaction with the public and City personnel. 10. The Project/Fiscal Coordinator shall have the knowledge and abifrtyto effectively use Microsoft RFP 22-130 ASA UASr Grant Management Servicea Page 11 City Council 21 — 17 4/4/2023 programs such as Word, Excel, Outlook, and Publisher, as well as, the ability to team programs specific to the City of Santa Ma such as financial management and equipment inventory systems in order to perform services as specified in this RFP_ 11_ The ProjedlFiscal Coordinator Will remain current on all aspects of their position to include continual training and education. Training required by the city and/or grant Will be funded through the city or grant funds. Training required by the contractor, for the contractor, will be done at their expense. 12_ The ProjectfFiscal Coordinator should be prepared to perform the dutiealresponsnalites outlned in this proposal immediately upon appoint-nent 13_ The ProjeclfRscal coordinator may also be tasked with management and adndnistatire duties unforeseen at this time, but necessary to fulfill their role. E. RESPONSIBIt1TIESOF PROJECTIFISCAL COORDINATOR The Project Fiseat Coor irator shall be responsible for the following tasks, including, but not limited to, the following tasks: 1. Financial Management of the 11ASI Grant Program a. Financial and administrative tasks associated with the management of all ASA 11ASI grant program funding to- ensure cwnpfiance wth applicable federal regulations and the Office of Management and Budget COMB):; b. Overseeing grant application and investment justification process at the regional, state, and federal level; c. Completing all city procedures for accepting and appropriatng t1ASl grant funding within Citys financial management system; d. Completing all budget projections, to include project services and personnel, for every grant program cycle and annual City budget process, e. Preparing and submitting al required performance reports and bi4mnual financial progress updates into the federal grant reporting system.; f. Reconciling all grant programs expenditures and submitting reimbursement requests to the state and local fiduciary agencies; g. Reviewing all submitted invoices and preparing the necessary back-W documentation for submission to the Police Department and City Finance Departments; h. Reviewing al sub4ecipient reimbursement requests submitted by the ASAl1A; and i. Compleiig all necessary dose out procedures to comply with City, state, and federal procedures and requirements. RFP 22-130 ASA UASr Grant Agaaagerrhent Sen7,:ex Page 12 City Council 21 — 18 4/4/2023 2. Proiect Management and Coordination a- Management and oversight of all assigned project activities, including, but not limited to: • contract management and milestone monitoring • ensuring compliance with all applicable rules and regulations • managing budgets • ensuring participation of all regional public safety agencies • regular reporting b. Assisting in the coordination and implementation of the contracting process to include the development of formal solicitations (Invitation for Bids, RFPs, etc.) and drafting of agreements. c. Providing briefings to the UAWG, UASI Steering Committee, OCIAC Fusion Center, ASAUA regional stakeholders within Law, Fre, Emergency Management, and Public Health, and the Santa Police Department executive management team. d. Review of all required programmatic documentation submitted by grant staff and sub - recipients to include project applications, EHP, state agency approvals (including but not limited to Sole Source, Vehicle Approval, Emergency Operation Center approvals, and AircraRM'atercraft Approval), quarterly reports, and project budgets. e- Develop reports and any other relevant documents necessary to complete the services and requirements as set forth in this RFP. If requested, ProjecflFsml Coordinator shall attend all meetings and provide such information that is requested by City personnel for the purpose of monitoring the resulting contract - All materials, documents, data or information obtained from the City data files or any City medium furnished to the contractor in the performance of the awarded contract will at all tones remain the property of the City. Such data or information may not be used or copied for direct or indirect use by the contractor after completion or termination of this contract without the express written consent of the City- Al materials, documents, data or information, including copies, must be returned to the City at the end of the contract term. a. The Project/Fiscal Coordinator is the primary point-0f-contact mall city, state, and federal monitoring visits and audits- b. Preparing all documentation pertaining the requested expenditures and period being reviewed. c. Assisting the internal grant office and city equipment inventory review processes. RFP 22-130ASA UASI Grant Management Services Pape 13 City Council 21 — 19 4/4/2023 Exhibit A —Federal Regulations a. Federal Regulations — Recipient must comply with the government cost principles, uniform administrative requirements and audit requirements for federal grant program housed within Title 2, Part 200 of the Code of Federal Regulations. b. Debarment and Suspension — As required by Executive Orders 12549 and 12689, and 2 CFR §200.212 and codified in 2 CFR Part 200, Recipient must provide protection against waste, fraud, and abuse by debarring or suspending those persons deemed irresponsible in their dealings with the Federal government. c. Audit Records — With respect to all matters covered by this agreement all records shall be made available for audit and inspection by CITY, the grant agency and/or their duly authorized representatives for a period of three (3) years from the date of submission of the final expenditure report by the City of Santa Ana. For a period of three years after final delivery hereunder or until all claims related to this Agreement are finally settled, whichever is later, Recipient shall preserve and maintain all documents, papers and records relevant to the services provided in accordance with this Agreement, including the Attachments hereto. For the same time period, Recipient shall make said documents, papers and records available to City and the agency from which City received grant funds or their duly authorized reprosentative(s), for examination, copying, or mechanical reproduction on or off the premises of Recipient, upon request during usual working hours. d. Reports — Recipient shall provide to City all records and information requested by City for inclusion in quarterly reports and such other reports or records as City may be required to provide to the agency from which City received grant funds or other persons or agencies. e. Section 504 of the Rehabilitation Act of 1973 (Handicapped) — All recipients of federal funds must comply with Section 504 of the Rehabilitation Act of 1973 (The Act). Therefore, the federal funds recipient pursuant to the requirements of The Act hereby gives assurance that no otherwise qualified handicapped person shall, solely by reason of handicap be excluded from the participation in, be denied the benefits of or be subject to discrimination, including discrimination in employment, in any program or activity that receives or benefits from federal financial assistance. The Recipient agrees it will ensure that requirements of The Act shall be included in the agreements with and be binding on all of its contractors, subcontractors, assignees or successors. f. Americans with Disabilities Act of 1990 — (ADA) Recipient must comply with all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable. g. Political Activity — None of the funds, materials, property, or services provided directly or indirectly under this agreement shall be used for any partisan political activity, or to further the election or defeat of any candidate for public office, or otherwise in violation of the provisions of the "Hatch Act". h. No Lobbying — Recipient will comply with all applicable lobbying prohibitions and laws, including those found in the Byrd Anti -Lobbying Amendment (31 U.S.C. 1352, et seq.), and agrees that none of the funds provided under this award may be expended by the Recipient to pay any person to influence, or attempt 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 any federal action corimming the award or renewal of any federal contract, grant, loan, or cooperative agreement. i. Non -Discrimination and Equal Opportunity —Recipient will comply, and all its contractors (or subrecipients) will comply, with Title VI of the Civil Rights Act of 1964, as amended; Section 504 of City Council 21 — 20 4/4/2023 the Rehabilitation Act of 1964, as amended; Subtitle A, Title H of the Americans with Disabilities Act (ADA) (1990); Title IX of the Education Amendments of 1972; the Age Discrimination Act of 1975, as amended; Drug Abuse Office and Treatment Act of 1972, as amended; Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970, as amended; Section 523 and 527 of the Public Health Service Act of 1912, as amended; Title VIII of the Civil Rights Act of 1968, as amended; Department of Justice Non -Discrimination Regulations, 28 CFR Part 42, Subparts C, D, E, and G; and Department of Justice regulations on disability discrimination, 28 CFR Part 35 and 39. In the event a Federal or State court, Federal or State administrative agency, or the Recipient makes a finding of discrimination after a due process hearing on the grounds of race, color, religion, national origin, sex, or disability against a recipient of funds, the Recipient will forward a copy of the findings to CITY which will, in turn, submit the findings to the Office of Civil Rights, Office of Justice Programs, U.S. Department of Justice. If applicable, recipient will comply with the equal opportunity clause in 41 C.F.R. 60-1.4(b) in accordance with Executive Order 11246 as amended by Executive Order No. 11375. j. Equal Employment Opportunity — Recipient will comply, and all its contractors (or subrecipients) will comply, with all requirements of the Executive Order 11246 of September 24, 1965, entitled "Equal Employment Opportunity," as amended by Executive Order 11375 of October 13, 1967, and as supplemented in Department of Labor regulations (41 CFR chapter 60), as applicable. k. Public Contracts Code — Recipient will comply, and all its contractors (or subrecipients) will comply, with all requirements of the California Public Contract Code Section 10295.3, as applicable. 1. Copeland "Anti -Kickback" Act — Recipient will comply, and all its contractors (or subrceipients) will comply, with all requirements of the Copeland "Anti -Kickback" Act (30 U.S.C. 3145) as supplemented in Department of Labor regulations (29 CFR Part 3), as applicable. in. David -Bacon Act —Recipient will comply, and all its contractors (or subrecipients) will comply, with all requirements of the Davis -Bacon Act (40 U.S.C. 3141-3144 and 3146-3148) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. n. Work Hours and Safety — Recipient will comply, and all its contractors (or subrecipients) will comply, with all requirements of Sections 103 and 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 3702 and 3704) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. o. Clean Air Act — Recipient will comply, and all its contractors (or subrecipients) will comply, with all applicable standards, orders or requirements issued under the Clean Air Act (42 U.S.C. 7401-767lq), and the Federal Water Pollution Control Act (33 U.S.C. 1251-1387), as applicable. P. Energy and Conservation — Recipient will comply, and all its contractors (or subrecipients) will comply, with all requirements of the Energy Policy and Conservation Act (42 U.S.C. 6201), as applicable. q. Waste Disposal — Recipient will comply, and all its contractors (or subrecipients) will comply, with all requirements of Section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act, as applicable. City Council 21 — 21 4/4/2023 r. Patent Rights — Recipient agrees that the Department of Homeland Security shall have the authority to seek patent rights for any process, product, invention or discovery developed and paid for with funding through this Agreement based on the requirements of 37 CFR§ 401 and any other implementing regulations, as applicable. S. Copyright — Recipient may copyright any books, publications or other copyrightable materials developed in the course of or under this Agreement. However, the federal awarding agency, State Administrative Agency (SAA) and City reserve a royalty -free, non-exclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for federal government, SAA and/or City purpose: (1) the copyright in any work developed through this Agreement; and (2) any rights of copyright to which the subcontractor purchases ownership with support through this grant. The Federal government's, SAA's and City's rights identified above must be conveyed to the publisher and the language of the publisher's release form must ensure the preservation of these rights. t. Equal Employment in Construction Contracts — Pursuant to Equal Employment Opportunity requirements of 41 C.F.R. 60-1.4(b) in accordance with Executive Order 11246 as amended by Executive Order No. 11375, as to any construction contract thereunder, if applicable, during the performance of this contract, the contractor agrees as follows: (1) The contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, sexual orientation, gender identity, or national origin. The contractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, religion, sex, sexual orientation, gender identity, 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 will, 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, sexual orientation, gender identity, or national origin. (3) The contractor will not discharge or in any other manner discriminate against any employee or applicant for employment because such employee or applicant has inquired about, discussed, or disclosed the compensation of the employee or applicant or another employee or applicant. This provision shall not apply to instances in which an employee who has access to the compensation information of other employees or applicants as a part of such employee's essential job functions discloses the compensation of such other employees or applicants to individuals who do not otherwise have access to such information, unless such disclosure is in response to a formal complaint or charge, in furtherance of an investigation, proceeding, City Council 21 — 22 4/4/2023 hearing, or action, including an investigation conducted by the employer, or is consistent with the contractor's legal duty to furnish information. (4) The contractor will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the contractors commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. (5) The contractor will 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. (6) The contractor will 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 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. (7) In the event of the contractor's noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, this 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 Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law. (8) The contractor will include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (8) 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 subcontractor or vendor. The contractor will take such action with respect to any subcontract or purchase order as the administering agency may direct as a means of enforcing such provisions, including sanctions for noncompliance. U. Prohibition on Certain Telecommunications and Video Surveillance Services or ui ment — Recipient will comply, and all its contractors (or subrecipients) will comply, with all requirements under Uniform Guidance 2 CFR §200.216. Recipient will comply with FEMA Policy 405- 143-1, Prohibitions on Expending FEMA Award Funds on Covered Telecommunications Equipment or Services (Interim), which prohibits grant recipients and subrecipients from obligating or expending loan or grant funds to procure or obtain, extend or renew a contract to procure or obtain, or to enter into a contract (or extend or renew a contract) to procure or obtain equipment, services, or systems that uses covered telecommunications equipment or services as a substantial or essential component of any system, or as critical technology as part of any system. As described in Public Law 115-232, section 889, covered telecommunications equipment: (1) Telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such entities). City Council 21 — 23 4/4/2023 (2) For the purpose of public safety, security of government facilities, physical security surveillance of critical infrastructure, and other national security purposes, video surveillance and telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities). (3) Telecommunications or video surveillance services produced by such entities or using such equipment. (4) Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of the National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the government of a covered foreign country. V. Domestic Preferences for Procurements/Subcontracts — Recipient will comply, and all its contractors (or subrecipients) will comply, with all requirements under Uniform Guidance 2 CFR §200.322. Recipient shall comply with the federal and recipient standards in the award of any subcontracts. For purposes of this Agreement, subcontracts shall include but not be limited to purchase agreements, rental or lease agreements, third party agreements, consultant service contracts and construction subcontracts. Recipient shall ensure that the terms of this Agreement with the CITY are incorporated into all Subcontractor Agreements. The recipient shall submit all Subcontractor Agreements to the CITY for review prior to the release of any funds to the subcontractor. The recipient shall withhold funds to any subcontractor agency that fails to comply with the terms and conditions of this Agreement and their respective Subcontractor Agreement. (1) Recovered Materials Recipient shall make maximum use of products containing recovered materials that are EPA - designated items unless the product cannot be acquired competitively within a timeframe providing for compliance with the contract performance schedule; Meeting contract performance requirements; or at a reasonable price. Information about this requirement, along with the list of EPA -designated items, is available at EPA's Comprehensive Procurement Guidelines webpage: hups://www.epa.gov/smm/comprehensive- procurement-guideline-cpg-program. The Contractor also agrees to comply with all other applicable requirements of Section 6002 of the Solid Waste Disposal Act. (2) Domestic Preference for Procurements Recipient should, to the greatest extent practicable, provide a preference for the purchase, acquisition, or use of goods, products, or materials produced in the United States. This includes, but is not limited to iron, aluminum, steel, cement, and other manufactured products. For purposes of this clause: City Council 21 — 24 4/4/2023 Produced in the United States means, for iron and steel products, that all manufacturing processes, from the initial melting stage through the application of coatings, occurred in the United States. Manufactured products mean items and construction materials composed in whole or in part of non-ferrous metals such as aluminum; plastics and polymer -based products such as polyvinyl chloride pipe; aggregates such as concrete; glass, including optical fiber; and lumber. W. Termination for Cause and Convenience — Should recipient fail for any reason to comply with the contractual obligations of this agreement within the time specified by this Agreement, the CITY reserves the right to terminate the Agreement, reserving all rights under state and federal law. Approved to Fonrt NWL�. Tamara Bogosian Sr. Assistant City Attorney City Council 21 — 25 4/4/2023 EXHIBIT B - SENSEMAKER, LLC'S PRICING PROPOSAL ASA UASI GRANT MANAGEMENT SERVICES 2. Exhibit C — Proposer's Certification and Proposal Item Pricing EXHIBIT C PROPOSERS CERTIFICATION AND PROPOSAL ITEM PRICING Certification - I certify that I have read, understand and agree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Exhibit A) and am familiar with the scope of work locations. I am familiar with all the existing conditions and limitation that may impact work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. Proposal Item Price - Pricing shall be based on the scope of services described in Exhibit A. Cost proposal shall Include all costs grant project/fiscal coordinator position. Pay rate is the proposed hourly rate for the actual Project/Fiscal Coordinator. Bill rate is the total hourly rate charged by the contractor. PAYr7MO TOTAL ESTIMATED LINE DESCRIPTION HOURS RATE EXTENDED TOTAL PRICE HOURS COSTS Grant Projed & Fiscal 1 Coordinator Months 1-12(1- 2.080 50.97159.036.80 $7,DDD $166.036.80 Year) Grant Project & Fiscal 2 Coordinator Months l3-24(2nd 2.080 53.00165,360.00 $7,000 $172,360.00 Year) Grant Projed & Fiscal3 CoodInator Months 2636(T" 2.080 55.13172,018.00 $7.000 $179,016of) Veen Grant Projed & Fiscal 4 Coordinator Months 37-48(4" 2,0110 57.34 86.01 178.900.80 $7.0M $185,900.80 Year) Granl Projed & Ftscal 5 Coordinator Months 4%60(5" 2,080 59.63 89A5 166,056.00 $7000 $193,056.00 Year) TOTAL EXTENDED COST (ADD LINES 1, 2, 3, 4, and 5): $896,369 60 *Travel costs shall include all expenses incurred such as mileage, parking, lodging, meals, and incidental fees, etc. Any travel expenses incurred must be billed per Orange County PerDiem Rates and itemized on invoice(s). SenseMakers LLC Phone: 657-223-8532, Fax: N/A LEGAL NAME OF COMPANY PHONE AND FAX NUMBERS 2401 E. Kate Ila Avenue, Suite 610, Anaheim CA 92806 James E. Bailey President and CEO PRINTED NAME OF AUTHORIZED AGENT TITLE !Jn„emhnrG 7r17'J m/i�ennenmaLn�ellr rnm AGENT DATE E-MAILADDRESS 46-3319261 N/A FEDERAL ID NUMBER (IF APPLICABLE) CONTRACTOR LICENSE NUMBER (IF APPLICABLE) THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP 22-130 ASA UASI Grant Management Services Page 22 Sens 17 Request for Proposal: RFP NO. 22-130 Council 21 — 26 4/4/2023 Finance and Management Services www.santa-ana.org/departments/finance Item # 22 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report April 4, 2023 TOPIC: Animal Licensing Services Agreement AGENDA TITLE Approve an Agreement with PetData, Inc. for Animal Licensing Services for up to a Three -Year Term and Two One -Year Renewal Periods RECOMMENDED ACTION Authorize the City Manager to execute an agreement with PetData, Inc. for animal licensing services for a three-year period, from April 4, 2023 through April 3, 2026, with two one-year extension periods, subject to non -substantive changes approved by the City Manager and City Attorney; there is a one-time start-up fee of $1,000 and an ongoing fee of $4.30 for each one-year license processed. DISCUSSION The Treasury and Customer Service Division of the Finance and Management Services Agency is responsible for managing the City's dog licensing program. Currently, it uses an in-house software program that has been used for over 20 years. Due to the age of this in-house dog licensing program, there are limited technological capabilities and it does not offer a customer portal website that is user-friendly for Santa Ana residents to initiate or renew a dog license online. After reviewing available software, staff found there is only one feasible option to meet the City's needs. Therefore, staff recommends utilizing PetData, Inc. ("PetData") as the sole source provider for the City's dog license program. PetData is the largest animal licensing organization in the U.S. and is the only private company currently providing custom and comprehensive turnkey animal licensing program to municipalities. PetData is a company whose sole purpose is animal licensing. PetData has over 25 years of experience providing animal license services to municipalities. The company operates nationwide, processing millions of animal licenses and rabies vaccination certificates each year. PetData currently provides animal licensing services to neighboring southern California cities such as Torrance, Hawthorne, Newport Beach, Laguna Beach, Garden Grove, San Clemente -Dana Point, and Santa Barbara. Unlike other companies that sell licensing software, PetData is the only company that provides both user software and processing capabilities. City Council 22 — 1 4/4/2023 Animal Licensing Services Agreement April 4, 2023 Page 2 PetData can handle all aspects of the City's dog licensing program, including the following: processing animal license applications and renewals received online or by mail; providing customer service to residents via phone, email and mail; mailing renewal and reminder notices for expiring animal licenses; mailing new and replacement tags to pet owners; providing online access to licensing data for Animal Control and canvassing contractor, processing and updating rabies vaccination records; updating owner and pet information; collecting and processing animal licensing fees; providing sales and revenue reporting; and remitting revenue to the City. Additionally, PetData will provide information and forms for the City to use at public events and in veterinary offices. The City maintains ownership of all the data, which can be incorporated into existing City systems if necessary. PetData will also work with the County of Orange — Animal Services department, the City's contracted animal shelter service provider. Furthermore, PetData provides a customized webpage dedicated to the City's dog licensing program, which can be accessed through the City's website. PetData provides a dedicated telephone number for residents to call for customer service, which includes an auto -attendant that provides basic registration instructions 24 hours a day, 7 days a week. Therefore, staff recommends City Council approval of an agreement with PetData to allow and improve how Santa Ana residents can process and pay for a new or renewed animal license online. FISCAL IMPACT There would be a $1,000 start-up fee to cover all aspects of the City's Start -Up with PetData, and includes PetData's data conversion from City system, creation of manuals/ reports, license renewal/billing forms, web pages, auto -attendant phone scripts and all database preparation. Their fees for processing animal licenses are as follows: • For years 1-3 of the agreement, $4.30 for a one-year license or replacement tag • For years 4-5 of the agreement, $4.40 for a one-year license or replacement tag • A fee of $2.00 for each additional year after the first year for each multi -year license • A collection service fee of $2.50 for each late fee collected during the term of the agreement If a pet owner chooses to license online, PetData charges a convenience fee of $2.00 per transaction. Multiple pets may be licensed per transaction. Pet owners may mail their application or submit it in person at City Hall if they do not wish to pay the convenience fee. The minimum annual contract payment would be $6,000 per calendar year. To process the City's 13,000 active dog licenses, the estimated annual expenditure for one-year licenses is $55,900. These fees would be deducted from the license revenue collected City Council 22 — 2 4/4/2023 Animal Licensing Services Agreement April 4, 2023 Page 3 by PetData on behalf of the City. The annual expenditure will fluctuate depending on the number of licenses processed. The City will receive estimated net revenues of $544,100 (Gross revenue $600,000 — Fees $55,900 = Net Revenue $544,100). The revenues collected will be deposited into the Finance/Management Services — Management & Support, Dog Licenses account (No. 01110002-51002) and funds are budgeted in the current fiscal year and will be budgeted in subsequent fiscal years in the Finance/Management Services — Treasury / Customer Services, Contract Services - Professional account (No. 01110130-62300). The estimated fee of $55,900 is a new cost to the City. However, the workload for the City's Information Technology department will decrease, as it will no longer need to maintain an antiquated custom-built system; and the City's dog owners will receive a higher level of service. Fiscal Accounting Fund Accounting Unit, Account Amount Year Unit- Description Description Account # FY22-23 01110130- General Finance/Management Services — $100,000 62300 Fund Treasury / Customer Services, Contract Services -Professional FY23-24 01110130- General Finance/Management Services — $100,000 62300 Fund Treasury / Customer Services, Contract Services -Professional FY24-25 01110130- General Finance/Management Services — $100,000 62300 Fund Treasury / Customer Services, Contract Services -Professional FY25-26 01110130- General Finance/Management Services — $100,000 62300 Fund Treasury / Customer Services, Contract Services -Professional FY26-27 01110130- General Finance/Management Services — $100,000 62300 Fund Treasury / Customer Services, Contract Services -Professional EXHIBIT 1. PetData, Inc., Animal Licensing Services Agreement Submitted By: Kathryn Downs, Finance and Management Services Executive Director Approved By: Kristine Ridge, City Manager City Council 22 — 3 4/4/2023 AGREEMENT WITH PETDATA, INC. TO PROVIDE ANIMAL LICENSING SERVICES THIS AGREEMENT is made and entered into on this 4th day of April, 2023 by and between PetData, Inc., a Texas corporation ("Contractor"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS A. The City desires to retain a Contractor having special skill and knowledge in the field of providing animal licensing services. B. Contractor represents that it is able and willing to provide such services to the City and serves as the largest animal licensing organization in the U.S. and is the only private company currently providing custom and comprehensive turnkey animal licensing program to municipalities. C. in undertaking the performance of this Agreement, Contractor represents that it is knowledgeable in its field and that any services performed by Contractor under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Contractor shall perform 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 Exhibit A and Exhibit B, attached hereto and PetData's proposal. of September 22, 2022, which shall be incorporated by reference. 2. COMPENSATION a. City agrees to pay, and Contactor agrees to accept as total payment for its services for City, the rates and charges identified in Exhibit B. Start up costs of $1,000 and minimum annual contract amounts of $6,000 per year shall be paid by the City. Fees and/or costs for licensing registration, as detailed in Exhibit B, shall be deducted from the Gross Revenue generated by the City. Annual expenditures to cover compensation to Contractor will fluctuate dependent on the number of licenses processed. b. Payment by City shall be made within forty-five (45) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. Page 1 of 9 #25 ity Council 22 — 4 4/4/2023 3. TERM This Agreement shall commence on the date first written above for a three (3) year term with the option for the City to grant up to a two (2) one (1) year renewals, exercisable by a writing by the City Manager and the City Attorney, unless terminated earlier in accordance with Section 15. below. 4. INDEPENDENT CONTRACTOR Contractor shall, during the entire term of this Agreement, be construed to be an independent Contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer -employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Contractor performs the services which are the subject matter of this Agreement however, the services to be provided by Contractor shall be provided in a manner consistent with all applicable standards and regulations governing such services. Contractor shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 5. OWNERSHIP OF MATERIALS This Agreement creates a non-exclusive, non -transferable, and perpetual license for City to copy, use, or reuse any and all copyrights, designs, and other intellectual property of Contractor to the extent 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 produced and delivered to City by Contractor tinder this Agreement ("Documents & Data"). However, Documents & Data do not include any portion of the System (as defined in Exhibit B hereto). Contractor shall require all subcontractors to agree in writing that City is granted a non-exclusive, non -transferable, 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 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 it may not use Documents & Data in any manner that would challenge or jeopardize Contractor's intellectual property rights embodied in such Documents & Data, and any use not within the purposes intended by this Agreement shall be at City's sole risk. In no event shall Contractor have any duty or obligation to any third party with respect to City's use of any Documents & Data. Nothing in this Section is intended to grant City any rights in or to the System. INSURANCE Contractor shall procure and maintain for the duration of the contract insurance against claims for injuries to persons or damages to property which may arise from or in connection with Page 2 of 9 #25 ity Council 22 — 5 4/4/2023 the performance of the work hereunder and the results of that work by the Contractor, his agents, representatives, employees or subcontractors. a. Minimum Scope and Limit of Insurance Coverage shall be at least as broad as: (1) Commercial General Liability (CGL): Insurance Services Office Form CG 00 01 covering CGL on an "occurrence" basis, including products and completed operations, property damage, bodily injury and personal & advertising injury with limits no less than $1,000,000 per occurrence. If a general aggregate limit applies, either the general aggregatelimit shall apply separately to this project/location (ISO CG 25 03 or 25 04) or the general aggregate limit shall be twice the required occurrence limit. (2) Workers' Compensation: as required by the State of California, with Statutory Limits, and Employer's Liability Insurance with limit of no less than $1,000,000 per accident for bodily injury or disease. (3) Broader Coverage: if the Contractor maintains broader coverage and/or higher limits than the minimums shown above, the City requires and shall be entitled to the broader coverage and/or the higher limits maintained by the Contractor. Any available insurance proceeds in excess of the specified minimum limits of insurance and coverage shall be available to the City. b. Other Insurance Provisions (1) Additional Insured Status: The City, its officers, officials, employees, and volunteers are to be covered as additional insureds on the CGL policy with respect to liability arising out of work or operations performed by or on behalf of the Contractor including materials, parts, or equipment furnished in connectionwith such work or operations. General liability coverage can be provided in the form of an endorsement to the Contractor's insurance (at least as broad as ISO Form CG 20 10 1185 or if notavailable, through the addition of both CG 20 10, CG 20 26, CG 20 33, or CG 20 38; and CG 2037 if a later edition is used). (2) Primary Coverage: For any claims related to this contract, the Contractor's insurance coverage shall be primary coverage at least as broad as ISO CG 20 0104 13 as respects the City, its officers, officials, employees, and volunteers. Any insurance or self-insurance maintained by the City, its officers, officials, employees, or volunteers shall be excess of the Contractor's insurance and shall not contribute with it. (3) Notice of Cancellation: Each insurance policy required above shall provide that coverage shall not be canceled, except with notice to the City. Page 3 of 9 #25 ity Council 22 — 6 4/4/2023 (4) Waiver of Subrogation: Contractor hereby grants to City a waiver of any right to subrogation that any insurer of said Contractor may acquire against the City by virtue of the payment of any loss under such insurance. Contractor agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether or not the City has received a waiver of subrogation endorsement from the insurer. (5) Self -Insured Retentions: Self -insured retentions must be declared to and approved bythe City. The City may require the Contractor to purchase coverage with a lower retention or provide proof of ability to pay losses and related investigations, claim administration, and defense expenses within the retention. The policy language shall provide, or be endorsed to provide, that the self - insured retention may be satisfied by either the named insured or City. (6) Acceptability of insurers: Insurance is to be placed with insurers authorized to conduct business in the state with a current A.M. Best's rating of no less than A:VII, unless otherwise acceptable to the City. (7) Claims Made Policies: If any of the required policies provide claims -made coverage: i. The retroactive date must be shown, and must be before the date of the contract or beginning of contract work. ii. Insurance must be maintained and evidence of insurance must be provided for at least five (5) years after completion of contract work. iii. if coverage is canceled or non -renewed, and not replaced with another claims -made policy form with a retroactive date prior to the contract effective date, the Contractor must purchase "extending reporting" coverage for a minimum of five (5) years after completion of work. (8) Verification of Coverage: Contractor shall furnish the City with original Certificates of Insurance including all required amendatory endorsements (or conies of the applicable policy language effecting coverage requiredby this clause,) and a copy of the Declarations and Endorsement Page of the CGL policy listing allpolicy endorsements to City before work begins. However, failure to obtain the required documents prior to the work beginning shall not waive the Contractor's obligation to provide them. The City reserves the right to require complete, certified copies of all required insurance policies,including endorsements required by these specifications, at any time. Page 4 of 9 #25 ity Council 22 — 7 4/4/2023 (9) Subcontractors: Contractor shall require and verify that all subcontractors maintain insurance meeting all the requirements stated herein, and Contractor shall ensure that City is an additional insured on insurance required from subcontractors. (10) Special Risks or Circumstances: City reserves the right to modify these requirements, including limits, based on the nature oftherisk, prior experience, insurer, coverage, or other special circumstances. 7. INDEMNIFICATION Contractor agrees to defend, and shall indemnify and hold harmless the City, its officers, agents, employees, and representatives from liability for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligent acts or omissions or willful misconduct of the Contractor, its subcontractors, agents, employees, or other persons acting on its behalf which relates to the services described in section 1 of 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. Notwithstanding the foregoing, to the extent Contractor's services are subject to Civil Code Section 2782.8, the above indemnity shall be limited, to the extent requiredby Civil Code Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the Contractor. Further, Contractor's obligations under this Section shall not extend to any loss, damages, or claims to the extent arising from the negligent acts or omissions or willful misconduct of City or its officers, agents, employees, or representatives. 8. 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 infi-ingement, including costs, contained in the work product or documents provided by Contractor to the City pursuant to this Agreement. 9. 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. Page 5 of 9 #25 ity Council 22 — 8 4/4/2023 10. 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. 11. CONFLICT OF INTEREST CLAUSE Contractor covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 12. NON-DISCRIMINATION Contractor 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. Contractor 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 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. Page 6 of 9 #25 ity Council 22 — 9 4/4/2023 14. 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. 15. 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. 16. NVAIVER 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 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 Page 7 of 9 #25 ity Council 22 — 10 4/4/2023 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. 19. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa. Ana, CA 92702-1988 Fax: 714- 647-6956 With courtesy copies to: Executive Director, Finance and Management Services Agency City of Santa Ana 20 Civic Center Plaza (M-17) P.O. Box 1988 Santa Ana, California 92702 Fax:714-647-5414 To Contractor: PetData Attn: Chris Richey, President 8585 N. Stemmons Fwy, Suite 1100N Dallas, TX 75247 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. Page 8 of 9 #25 ity Council 22 —11 4/4/2023 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. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Jennifer L. Hall City Clerk APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney B, Brad&on Salvatierra Deputy City Attorney RECOMMENDED FOR APPROVAL: nAI Kathryn Downs (Mar24, 202308:53 PDT) Kathryn Downs, CPA Executive Director Finance Management and Services Agency CITY OF SANTA ANA Kristine Ridge City Manager CONTRACTOR: Chris Riche President Page 9 of 9 #259972vl City Council 22 — 12 4/4/2023 EXHIBIT A SCOPE OF SERVICES City Council 22 — 13 4/4/2023 EXHIBIT A Description of Services This exhibit is attached to and a part of the above and foregoing Agreement for Animal Licensing Services (Agreement). Terms used in this exhibit that are not defined in this exhibit but which are defined elsewhere in the Agreement shall have the respective meanings given to them in the other provisions of the Agreement. In the event of any conflict between any of the provisions of this exhibit and the other provisions of the Agreement, the other provisions of the Agreement shall control. CONTRACTOR RESPONSIBILITIES 1. Process License Applications A. Receive and process animal license applications through the mail. B. Provide online licensing and process applications initiated through CONTRACTOR's website. C. Enter new and renewal license applications into CONTRACTOR's proprietary database. D. Deposit, or transmit for deposit, all receipts collected for license fees, with the exception of those payments made via credit card, into a Bank Account. E. Mail license tags within 10 business days after receipt of payment and complete documentation as required by local ordinance and/or CITY policy. F. Update license information in CONTRACTOR'S database and issue replacement tags as needed. G. If CONTRACTOR collects any payments due CITY from Licensees via credit card transactions that are paid to CONTRACTOR, those payments will be deposited, or transmitted for deposit, into a Bank Account within 15 business days after the end of the calendar month in which collected. 2. Mail License Notices A. Mail renewal and reminder notices for expiring animal licenses. Renewal notices will be mailed in the month prior to the license expiration date, or as otherwise agreed upon between CONTRACTOR and CITY. B. Mail billing notices to pet owners who have vaccinated a pet against rabies but have not licensed, if CITY collects rabies vaccination reports from veterinarians. 3. Customer Service for Licensing Program A. Provide customer service to pet owners via phone, email and mail, and respond to requests in a timely fashion. B. Provide customer service to CITY staff, and respond to CITY requests in a timely fashion. C. Provide online access to licensing data to appropriate personnel via CONTRACTOR's proprietary websitc, at no additional charge. 4. Manage Reports from Authorized Registrars and Veterinary Clinics A. Process and enter license sales records from any registrars and veterinary clinics authorized to sell animal licenses. 1) Track tag inventories at all authorized registrars, and reconcile reports. 2) Invoice authorized registrars for licenses sold as needed B. Process and enter rabies vaccination records from local veterinary clinics if rabies reporting is required by CITY. C. Follow up with delinquent clinics and registrars and report delinquent clinics and registrars to CITY as needed. City Council 22 — 14 4/4/2023 5. Provide veterinarians and other authorized registrars with reasonable quantities of supplies (reporting forms, applications or vaccination certificates, citizen mailing envelopes, etc.) necessary to sell license tags and/or report rabies vaccinations to CONTRACTOR. Supplies are to be printed in one color with the design and layout to be determined by CONTRACTOR. 6. Reporting to CITY A. Send reports to CITY within 15 business days after the end of each month including the number of licenses sold at each location. B. Provide statistical reports to CITY as requested within a timely manner. Depending on the information requested, CONTRACTOR can provide most reports within five business days. C. Process donations on behalf of CITY when a donation is made with the purchase of a license, if CITY requests donations be collected. D. Provide an online tag search to the public if CITY wishes to have CONTRACTOR's online tag search enabled. CITY RESPONSIBILITIES 1. Purchase license tags to CONTRACTOR's specifications and ship them to CONTRACTOR. CONTRACTOR recommends that tags be shipped directly from tag vendor to CONTRACTOR to reduce shipping costs. 2. Report CITY license sales electronically or by mail at least monthly by the 1 Oth calendar day of the month for the prior month's sales. 3. Give CONTRACTOR at least 60 days' notice of license fee or ordinance changes. 4. Respond to CONTRACTOR inquiries in a timely fashion. 5. Provide feedback to CONTRACTOR regarding program and customer matters. City Council 22 — 15 4/4/2023 EXHIBIT B COMPENSATION Fee Proposal including hourly rates if applicable City Council 22 — 16 4/4/2023 EXHIBIT B - COMPENSATION TO CONTRACTOR In consideration of the Services, CONTRACTOR shall be entitled to the following compensation: A. Basic Fees. CITY shall pay to CONTRACTOR the following fees for all animal licenses issued during the term of this Agreement, regardless of whether they are issued by CITY, CONTRACTOR, veterinarians, or any other persons: 1) $4.30 for each one-year license or replacement tag and for the first year for each multi -year license (which amount is subject to adjustment as provided below). 2) $2.00 for each additional year after the first year for each multi -year license. 3) $2.50 collection service fee for each late fee, if any, paid by a Licensee during the term of this Agreement. The fee provided for in clause 1), above, will be adj Listed as follows during any of the following periods that fall within the tern of this Agreement: (a) commencing on the third (3rd) annual anniversary of the Execution Date and continuing until the fifth (5th) annual anniversary of the Execution Date, the fee provided for in clause 1), above, will be $4.40; and (b) if the term of this Agreement is for more than five (5) years, then, commencing on the fifth (5th) annual anniversary of the Execution Date and continuing on each annual anniversary of the Execution Date thereafter throughout the remaining term of this Agreement, the fee provided for in clause 1), as previously adjusted, will increase by an amount equal to five percent (5%) of the fee under clause 1) that is in effect immediately prior to the respective anniversary, and the fee, as so increased, will thereupon become the fee payable under clause I ) unless and until further adjusted in accordance with this clause (b). An animal license will be considered "issued" for purposes of this Agreement regardless of the means, method, program, process, or agency used for the issuance or registration of the license, and whether or not a fee or other consideration is charged or received by the CITY for the license. Without limiting the generality of the foregoing, an animal license that is donated or issued free of charge by the CITY or that is issued as part of a bundling of CITY services or programs will be considered "issued" for purposes of this Agreement. Further, any animal license that is processed by CONTRACTOR for CITY during the term of this Agreement will be considered "issued" for purposes of this Agreement, whether or not the license was or is actually issued or delivered before, during, or after the term of this Agreement. Notwithstanding the preceding provisions of this Section 6A, the parties agree that CONTRACTOR's minimum aggregate fees under this Section A are S6,000.00 per calendar year. In order to assure the payment of such minimum aggregate animal fees to CONTRACTOR, the parties agree that if the aggregate fees payable to CONTRACTOR under this Section A for a calendar month would, but for the application of this sentence, be less than $500.00, then the aggregate fees payable to CONTRACTOR under this Section A for that calendar month will be $500.00. However, the foregoing minimum monthly amount will not be applicable if the aggregate fees paid to CONTRACTOR under this Section A have already equaled or exceeded, or in the opinion of CONTRACTOR are reasonably expected to otherwise equal or exceed, $6,000.00 for that calendar year. if the aggregate annual fees paid to CONTRACTOR under this Section A during any calendar year do not equal or exceed $6,000.00, then CITY shall pay an amount equal to the positive difference between (i) the amount previously paid to CONTRACTOR for that calendar year and (ii) $6,000.00, upon demand by CONTRACTOR. The $6,000.00 minimum annual amount shall be prorated for any partial calendar year during the term of this Agreement. No delay or failure on the part of CONTRACTOR in imposing or collecting the aforesaid monthly minimum amount shall affect CONTRACTOR's right to receive the aforesaid mininnmi aggregate annual fees or to collect the aforesaid minimum aggregate monthly amount either then or in the future. CITY acknowledges that the aforesaid minimum fee arnotmts apply only to the fees payable to CONTRACTOR Linder this Section City Council 22 — 17 4/4/2023 A, and do not include, by way of example and not by way of limitation, any Start -Up Fee payable to CONTRACTOR under Section B. The fees paid to CONTRACTOR tinder this Section A are further subject to reasonable adjustment in the event that CITY adds, modifies, or eliminates any fees that are charged to Licensees during the term of this Agreement. CITY and CONTRACTOR agree to negotiate any such reasonable adjustments in good faith. As used in this Agreement, the term "Licensee" refers to any person who applies for an animal license to be issued by or on behalf of CITY. B. Start -Up Fee. CITY shall pay to CONTRACTOR, a $1,000, one-time only, "Start -Up Fee". The Start -Up Fee is due and payable within fifteen business days after the Execution Date. There are no Start -Up Fees for term extensions or any renewals of this Agreement that may hereafter be entered into by the parties. C. Additional Service Fees or Costs. The following fees or cost reimbursements will apply to the extent that the corresponding services described below are requested by CITY: 1) Cost of Bank Account. CITY will be responsible for all out-of-pocket costs related to any Bank Account. CITY will reimburse CONTRACTOR on a monthly basis for any out-of-pocket costs for a Bank Account that are paid by CONTRACTOR. CITY may request copies of the bank statements for a Maintained Account at any time and CONTRACTOR will provide available bank statements for that Maintained Account within five business days after a request is received by CONTRACTOR. 2) Bank Deposit Mailing Fees. If CITY requires CONTRACTOR to deposit money into a CITY Account other than at a branch located in the CITY where CONTRACTOR's principal office is located, CONTRACTOR may make any deposit to that CITY Account by means of any form of U.S. Mail or overnight delivery service, and the actual cost to transmit the deposits to the required bank location will be borne by CITY and included in invoices submitted to CITY for the Services. 3) Postal Box/Mail Forwarding Fee. If CITY requests CONTRACTOR to establish a local post office box for mail collection and forwarding, CITY will pay or reimburse CONTRACTOR for the actual costs of mail box rental, mail forwarding and postage fees. 4) Supply Fee. If CITY requests changes to supplies or notices that it has previously approved, including but not limited to fee or program changes, CITY will be responsible for die actual costs associated with changing, replacing or discontinuing the use of the previously approved supplies. If CITY terminates this Agreement for any reason other than for cause, CITY will remain responsible for the actual cost of supplies purchased on its behalf. 5) Lock Box Fees. If CITY utilizes a lockbox, the actual fees and costs associated with the lockbox, including the cost to forward mail to CONTRACTOR from a lockbox, shall be borne solely by CITY. D. Charges to Licensees. City Council 22 — 18 4/4/2023 CITY agrees that CONTRACTOR may charge and collect the following fees directly from Licensees, and CONTRACTOR shall be entitled to retain any such fees so collected as part of CONTRACTOR's compensation under this Agreement, except as otherwise provided below: 1) $2.00 for each on-line transaction engaged in by a Licensee. 2) CONTRACTOR may charge a fee to a Licensee of no more than $25.00 (or, if lower, the maximum amount permitted by applicable law from time to time in effect) for each check or other payment trom that Licensee that is returned uncollected for any reason. Any such returned item fee related to a Maintained Account that is actually collected shall be deposited into the Maintained Account and shall be for the benefit of CITY; otherwise the fee shall be retained by CONTRACTOR. MODIFICATIONS OF SERVICES If CITY requests Services in addition to those described in this Agreement, and CONTRACTOR agrees to provide those additional Services, then CONTRACTOR shall be entitled to additional compensation for those additional Services as shall be agreed upon by CONTRACTOR and CITY in a written modification to this Agreement that is signed by CITY and CONTRACTOR. CONTRACTOR shall not be required to perform any such additional Services unless and until the parties have entered into a written modification of this Agreement. Without limiting the other types of services that may be considered to be outside of the scope of the Services described in this Agreement, the following types of Services would be considered to be outside of the scope of the Services described in this Agreement and, therefore, the subject of additional compensation to CONTRACTOR: customized software projects; requests for new features in CONTRACTOR's software; or requests for CONTRACTOR to implement new procedures or operations. CITY may determine after the Execution Date that certain portions of the Services are no longer necessary, in which event CITY shall notify CONTRACTOR of the portions of die Services that are no longer required, and CONTRACTOR shall be relieved of the responsibility for performing those portions of the Services. However, there shall be no adjustment in CONTRACTOR's compensation hereunder for any portions of the Services that CONTRACTOR is not required to perform. BANK ACCOUNTS Licensing fees and any other amounts that are collected by CONTRACTOR for the benefit of CITY under this Agreement will be deposited into an account of one of the following types that is from time to time designated by CITY (a `Bank Account"): A. An account established and maintained by CITY in its name at a bank or other financial institution (a "CITY Account"); or B. A separate account established and maintained by CONTRACTOR at a bank or other financial institution selected by CONTRACTOR in which will be deposited fiends that relate solely to this Agreement (a "Maintained Account"). CITY will initially designate the type of Bank Account to be utilized hereunder in a notice that CITY will deliver to CONTRACTOR during the Transition Phase in accordance with Section 11. CITY may thereafter change the designation of the type of Bank Account to be utilized hereunder from time to time upon notice to CONTRACTOR, and CONTRACTOR will have a reasonable time in order to effect any such requested change. CITY will reimburse CONTRACTOR for all out-of-pocket expenses incurred by CONTRACTOR in connection with any change in the type of Bank Account utilized hereunder. CITY acknowledges and consents that CONTRACTOR may make an initial deposit into a Maintained Account from CONTRACTOR's funds in order to establish the account, which initial deposit will be refunded or otherwise reimbursed to CONTRACTOR. City Council 22 — 19 4/4/2023 When a Maintained Account is closed, any funds remaining in the account after the payment of all amounts due CITY hereunder will belong to and be disbursed to CONTRACTOR. PAYMENTS A. CITY Account Used. If and for so tong as a CITY Account is utilized hereunder, the following provisions shall apply (and the provisions of Section 9B shall be inapplicable): Within 15 business days after the end of each calendar month, CONTRACTOR will submit to CITY an invoice with supporting documentation for the compensation due CONTRACTOR under this Agreement for that calendar month. CITY will pay CONTRACTOR the invoiced amount by means of check, ACH payment or other form of payment acceptable to CONTRACTOR within 30 days after the date CONTRACTOR submits the invoice to CITY. Invoices that are not timely paid will, at CONTRACTOR's option, bear interest from the 30th day after the date that CONTRACTOR submits the invoice to CITY until paid at a rate equal to the lesser of (i) 18% per annum or (it) the maximum annual rate of interest permitted from time to time under applicable law (or if those rates are the same, then at the rate determined under either clause). Invoices will be submitted electronically to the e-mail address that CITY shall from time to time provide CONTRACTOR for the submission of invoices or in such other manner as CITY may from time to time request in writing to CONTRACTOR and that is acceptable to CONTRACTOR. B. Maintained Account Used. If and for so long as a Maintained Account is utilized hereunder, the following provisions shall apply (and the provisions of Section 9A shall be inapplicable): Within 15 business days after the end of each calendar month, CONTRACTOR shall remit to CITY the residual amount, if any, of all license fees collected by CONTRACTOR hereunder during the preceding calendar month after deducting therefrom all fees, costs, expenses, and reimbursements due CONTRACTOR hereunder. If at any time the funds in the Maintained Account arc not sufficient to fully pay amounts due to CONTRACTOR hereunder, then CONTRACTOR may recoup any shortfall from any subsequent payments due to CITY under this paragraph until all sums due CONTRACTOR have been fully paid. C. Direct Collections by CITY. If CITY collects any animal license fee or any other amount that is subject to this Agreement directly from a Licensee, veterinarian or other source, other than CONTRACTOR, CITY may either forward the amount collected to CONTRACTOR within fifteen business days for deposit into a Maintained Account, if a Maintained Account is in effect, or retain the amount. In either event, CITY shall report the amount so collected to CONTRACTOR in accordance with Section 813 so that the fcc(s) due CONTRACTOR hereunder with respect to the amount collected by CITY may be determined and paid in accordance with this Agreement. REPORTS A. Reports from CONTRACTOR. Within 15 business days after the end of each calendar month during the term hereof, CONTRACTOR will submit an animal licensing summary report for the preceding calendar month to CITY in a format that is mutually agreed upon by CITY and CONTRACTOR. Any such report may be transmitted electronically or by any other means. B. Reports from CITY. Within 10 calendar days after the end of each calendar month during the term hereof, CITY will submit a report to CONTRACTOR of all license fees that CITY has received during arc preceding calendar month from Licensees, veterinarians or any other source other than CONTRACTOR. Any such report may be transmitted electronically or by any other means. City Council 22 — 20 4/4/2023 TRANSITION PHASE The period beginning on the Execution Date and expiring at the close of business on the 60th day thereafter is referred to as the "Transition Phase." CONTRACTOR shall begin processing licenses within a reasonable time following the Transition Phase subject to CITY's timely fulfillment of its obligations under this Section 11. CONTRACTOR, in its discretion, may begin processing licenses prior to the expiration of the Transition Phase. CITY acknowledges that any delay in the performance of its obligations under this Section 11 may result in a delay in the commencement of the Services. The date on which CONTRACTOR commences the processing of licenses hereunder is referred to in this Agreement as the "Commencement Date." CONTRACTOR shall notify CITY of the Commencement Date within a reasonable period before or after the Commencement Date. Daring the Transition Phase: A. License Data. CITY shall provide historical license data files consisting of licenses older than 90 days within fifteen days after the Execution Date. The said historical data shall be made available to CONTRACTOR in an electronic format that is readily importable by CONTRACTOR. B. Deliverables. Within ten days after request from CONTRACTOR, CITY shall provide to CONTRACTOR agreed upon supplies, data, feedback, process information, the initial designation regarding the type of Bank Account under Section 5, and required approvals for items such as form designs (collectively, "Deliverables"). Deliverables may be requested throughout the Transition Phase. C. Tags. CITY shall purchase, at CITY's expense, and cause to be delivered to CONTRACTOR license tags that meet CONTRACTOR's specifications, which have been provided to CITY. COVENANTS REGARDING DATA CONTRACTOR agrees that it will not, without CITY's consent, use personal data collected on behalf of CITY other than for the performance of the Services or other uses permitted by this Agreement or under applicable law. Further, CONTRACTOR agrees that it will not sell, or intentionally transfer or release, to any third party personal data that CONTRACTOR has collected in performing the Services, except as may otherwise be required by this Agreement or applicable law, and that it will take commercially reasonable measures to prevent the unauthorized release of any such third party personal data. Upon the termination of this Agreement, CONTRACTOR agrees to retain or transfer to CITY, in a mutually acceptable format, all animal licensing data maintained by CONTRACTOR under this Agreement within 15 business days after CONTRACTOR has received all sums due CONTRACTOR under this Agreement. CONTRACTOR'S SYSTEM CITY acknowledges that CONTRACTOR has developed and coordinated proprietary means and methods of performing the Services and related know-how, skills, and property (collectively, the "System"). The System includes, among other items, an interactive website, databases, software, and related items. The System is special and unique to CONTRACTOR and has been developed by CONTRACTOR at great cost and expense to CONTRACTOR. CITY acknowledges that CITY is not acquiring any rights in or to the System, and that the System is and will remain the sole and exclusive property of CONTRACTOR. CITY further acknowledges and City Council 22 — 21 4/4/2023 agrees that any information that CITY obtains related to the use, formulation or operation of the System that is not generally known is CONFIDENTIAL, may only be used by CITY for the limited purposes described in this Agreement, and may not be disclosed to any third parties except as may be required under applicable law or with CONTRACTOR's prior, express written consent in CONTRACTOR's sole discretion. Upon the termination of this Agreement, any information and materials, in whatever media or format, related to the System that CITY has in its possession will be returned to CONTRACTOR or destroyed at CONTRACTOR's option. CITY agrees that it will not attempt to discover, duplicate, or replicate the System in any manner. City Council 22 — 22 4/4/2023 Agreement_PetData - Animal Licensing Service s_FINAL _3.24.23_updated Final Audit Report 2023-03-24 Created: 2023-03-24 By: Kristin Andrade (kandra(Je@santa-ana.org) Status: Signed Transaction ID: CBJCHBCAABAAzstgsmZcs6CBLZYSD7zPKL5JgOh-DExe "Agreement _PetData - Animal Licensing Services_FINAL_3.24.2 3—updated" History °j Document created by Kristin Andrade (kandrade@santa-ana.org) 2023-03-24 - 3:49:01 PM GMT- IP address: 98.153.69.210 El Document emailed to Kathryn Downs (kdowns@santa-ana.org) for signature 2023-03-24 - 3:49:29 PM GMT Email viewed by Kathryn Downs (kdowns@santa-ana.org) 2023-03-24 - 3:53:14 PM GMT- IP address: 184.181.115.13 4S0 Document e-signed by Kathryn Downs (kdowns@santa-ana.org) Signature Date: 2023-03-24 - 3:53:27 PM GMT - Time Source: server- I P address: 184.181.115.13 0 Agreement completed. 2023-03-24 - 3:53:27 PM GMT Names and email addresses are entered into the Acrobat Sign service by Acrobat Sign users and are unverified unless otherwise noted. Q Ado I y ounce 22 — 23 4/4/2023 Public Works Agency www.santa-ana.org/public-works Item # 23 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report April 4, 2023 TOPIC: Installment Sale Agreement for the Septic to Sewer Island Project AGENDA TITLE Adopt a Resolution Approving the Construction Installment Sale Agreement with the California State Water Resources Control Board for Financing of the Septic to Sewer Island Project (Non -General Fund) RECOMMENDED ACTION Adopt a resolution approving the Construction Installment Sale Agreement (D2201000) with the California State Water Resources Control Board for financing of the Septic to Sewer Island Project, in an amount up to $1,529,220. DISCUSSION On June 5, 2018, the City Council directed staff to initiate the process to annex the 17th Street and Tustin Avenue County of Orange Unincorporated Island (Island). The Public Works Agency's Water Resources Division currently provides sanitary sewer service to some of the parcels within the Island, but many of the parcels are on septic systems. In an effort to find cost-effective solutions to expand the sewer system to serve the parcels with septic systems in the Island, the Water Resources Division has sought funding mechanisms such as the California State Water Resources Control Board's (Water Board) Clean Water State Revolving Fund (SRF) (Exhibit 1). The SRF provides low-cost, flexible financing to water utilities to implement projects that protect California's water resources. Approval of the agreement (Exhibit 2) will allow the City to complete the Project in a timely and cost-effective manner. Total project costs are estimated at $1,529,220. Staff has requested a principal loan amount for the full project cost, which according the Payment Schedule (Exhibit E in Exhibit 2), will be paid back over at a 2.6 percent annual interest rate over 30 years and at a cost of $671,079.54. FISCAL IMPACT Principal and interest payments are due annually beginning July 20, 2025. Funds for debt servicing in fiscal years FY25-26 through FY54-55 will be included in the proposed budgets for City Council consideration. Debt servicing will be recorded in the Sanitary City Council 23 — 1 4/4/2023 Adopt Resolution for Septic to Sewer Installment Sale Agreement April 4, 2023 Page 2 Sewer Capital Recovery Charges, Principal -Debt Services expenditure account (No. 05417647-67100) and Interest -Debt Services expenditure account (No. 05417647- 67110). Loan reimbursement disbursements will be recorded in the Sanitary Sewer Fund, Notes/Loan Payable account (No. 05401001-27000). EXHIBIT(S) 1. Resolution Approving the Construction Installment Sale Agreement with the California State Water Resources Control Board for Financing of the Septic to Sewer Island Project 2. Construction Installment Sale Agreement Submitted By: Nabil Saba, P.E. - Executive Director, Public Works Agency Approved By: Kristine Ridge, City Manager City Council 23 — 2 4/4/2023 EXHIBIT 1 RESOLUTION NO. 2023-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING A CONSTRUCTION INSTALLMENT SALE AGREEMENT WITH THE CALIFORNIA STATE WATER RESOURCES CONTROL BOARD IN CONNECTION WITH THE FINANCING OF THE SEPTIC TO SEWER ISLAND PROJECT AND AUTHORIZING CERTAIN OTHER RELATED ACTIONS WHEREAS, the City of Santa Ana wishes to finance the costs of certain design and construction improvements to its water delivery infrastructure, specifically the Septic to Sewer Island Project ("Project"); and WHEREAS, the City intends to finance the Project or portions of the Project with funds ("Project Funds") provided by the State of California, acting by and through the State Water Resources Control Board ("State Water Board"); and WHEREAS, the City previously adopted Resolution No. 2019-029 authorizing an application for financial assistance to the State Water Board for the Project and Resolution No. 2019-031 declaring its intention to use a portion of the Project Funds to reimburse certain capital expenditures made prior to the receipt of Project Funds from available moneys of the City in connection with the Project; and WHEREAS, the City and State Water Board now desire to approve a Construction Installment Sale Agreement ("2022 Installment Sale Agreement") for the purpose of providing the terms relating to the distribution and repayment by the City of the Project Funds and relating to the City's payment of certain installment payments; and WHEREAS, under the 2022 Installment Sale Agreement, the installment payments payable by the City will be secured by a pledge of and payable from Net Revenues (as defined in the 2022 Installment Sale Agreement) of the City's Sewer Enterprise, as described in Exhibit B to the 2022 Installment Sale Agreement. NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Santa Ana as follows: Section 1. The recitals set forth above are true and correct and adopted as findings in support of this Resolution. Section 2. The City approves the Project Funds in an amount not to exceed $1,529,220 with an interest rate not to exceed 2.60%. Section 3. The 2022 Installment Sale Agreement, a copy of which is attached as Exhibit A, is hereby approved in substantially the form thereof with changes as may be approved by the City Manager or his or her designee (each an "Authorized Representative"). Execution by an Authorized Representative of the 2022 Installment Resul xx City Council 23 — 3 c f 3 Sale Agreement shall constitute conclusive evidence of such Authorized Representative's approval of such changes. Each of the Authorized Representatives is hereby authorized, together or alone, to execute and deliver the 2022 Installment Sale Agreement. Section 4. The covenants set forth in the 2022 Installment Sale Agreement to be executed in accordance with Section 3 above are hereby approved, shall be deemed to be covenants of the legislative body of the City, and shall be complied with by the City. Section 5. Each Authorized Representative and the other officers and staff of the City responsible for the fiscal affairs of the City are hereby authorized and directed to take any actions and execute and deliver any and all documents and certificates as are necessary to complete the transactions contemplated by the 2022 Installment Sale Agreement. Section 6. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution ADOPTED this day of 12023. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney John M.`Funk Chief Assistant City Attorney AYES: NOES: ABSTAI N: NOT PRESENT: Councilmembers Councilmembers Councilmembers Councilmembers Valerie Amezcua Mayor Resul xx City Council 23 — 4 of 3 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Jennifer L. Hall, City Clerk, do hereby attest to and certify the attached Resolution No. 2023-_ to be the original Resolution adopted by the City Council of the City of Santa Ana on 2023. Date: City Clerk City of Santa Ana Resul xx City Council 23 — 5 of 3 Clean Water CLEAN WATER CITY OF SANTA ANA AND CALIFORNIA STATE WATER RESOURCES CONTROL BOARD Water Boards CONSTRUCTION INSTALLMENT SALE AGREEMENT PROJECT NO. C-06-8478-110 SEPTIC TO SEWER ISLAND PROJECT AGREEMENT NO. D2201000 PROJECT FUNDING AMOUNT: $1,529,220.00 ESTIMATED REASONABLE PROJECT COST: $1,529,220.00 ELIGIBLE WORK START DATE: JANUARY 1, 2020 ELIGIBLE CONSTRUCTION START DATE: NOVEMBER 14, 2022 COMPLETION OF CONSTRUCTION DATE: JULY 20, 2024 FINAL REIMBURSEMENT REQUEST DATE: JANUARY 20, 2025 FINAL PAYMENT DATE: JULY 20, 2054 RECORDS RETENTION END DATE: JULY 20, 2060 City Council 23 — 6 4/4/2023 Adobe Ncrobat Sign Tansactlon Number_CBJCHBC"B& eU90_]71_co22vynNwnRA_eGQndMU5 THIS PAGE INTENTIONALLY LEFT BLANK City Council 23 — 7 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page i of iv TABLE OF CONTENTS 5. DEFINITIONS........................................................................................................................................2 EXHIBIT A — SCOPE OF WORK.................................................................................................................. 9 A.1. PROJECT DESCRIPTION, USEFUL LIFE, AND SCOPE OF WORK...........................................9 A.2. STANDARD PROJECT REQUIREMENTS........................................................................................9 A.2.1 Acknowledgements....................................................................................................................................9 A.2.2 Reports ..................................................................................................................................................... to A.2.2.1 Progress Reports......................................................................................................................................10 A.2.2.2 Project Completion Report ....................................................................................................................... 10 A.2.23 As Needed Reports..................................................................................................................................10 A2.2.4 [Reserved.]...............................................................................................................................................II A2.2.5 DBE Reports for SRF Projects.................................................................................................................I I A.2.3 Signage....................................................................................................................................................II A.2.4 Commencement of Operations................................................................................................................ I I A.3 DATES & DELIVERABLES.............................................................................................................. 11 A.4 SCHEDULE......................................................................................................................................12 EXHIBIT B— FUNDING TERMS................................................................................................................. 13 B.1. FUNDING AMOUNTS AND REIMBURSEMENTS......................................................................13 B.1.1 Funding Contingency and. Other Sources................................................................................................13 B.1.2 Estimated. Reasonable Cost......................................................................................................................13 B.1.3 Project Funding Amount..........................................................................................................................13 B.1.4 [Reserved.]...............................................................................................................................................13 B. 1.5 Budget Costs............................................................................................................................................13 B.1.6 Contingent Disbursement........................................................................................................................14 B.1.7 Reimbursement Procedure.......................................................................................................................14 B.1.8 Withholding of Disbursements................................................................................................................15 B.1.9 Fraud and Misuse of Public Funds; Enforcement....................................................................................16 B.2 RECIPIENT'S PAYMENT OBLIGATION, PLEDGE, AND RESERVE ............................................. 16 B.2.1 Project Costs............................................................................................................................................ 16 B.2.2 Estimated Principal Payment Due...........................................................................................................16 B.2.3 Interest Rate and In -Lieu of Interest Charges..........................................................................................17 131.4 [Reserved.]...............................................................................................................................................17 1315 Obligation Absolute.................................................................................................................................17 City Council i 23 — 8 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page ii of iv B.2.6 Payment Timing.......................................................................................................................................17 B.2.7 Pledged Revenues....................................................................................................................................18 13.2.7.1 Establishment of Enterprise Fund and Reserve Fund . ............................................................................. 18 B.2.7.2 Pledge of Net Revenues, Enterprise Fund, and Reserve Fund.................................................................18 B.2.7.3 Application and Purpose of the Enterprise Fund..................................................................................... IS B.2.8 No Prepayment........................................................................................................................................18 B.2.9 Reserve Fund...........................................................................................................................................19 B.3 RATES, FEES AND CHARGES. =i111'] B.4 ADDITIONAL DEBT......................................................................................................................... 19 B.5 NO LIENS.........................................................................................................................................20 EXHIBIT C—GENERAL & PROGRAMMATIC TERMS & CONDITIONS..................................................20 C.1 REPRESENTATIONS & WARRANTIES.........................................................................................20 C.1.1 Application and General Recipient Commitments..................................................................................20 C.1.2 Authorization and Validity......................................................................................................................20 C.1.3 No Violations...........................................................................................................................................20 C.1.4 No Litigation............................................................................................................................................20 C. 1.5 Property Rights........................................................................................................................................21 C.1.6 Solvency and Insurance..........................................................................................................................21 C.1.7 Legal Status and Eligibility......................................................................................................................21 C.1.8 Financial Statements and Continuing Disclosure....................................................................................21 C.1.9 System Obligations........................._..............................................................._._._._._._.......................21 C.1.10 No Other Material Debt...........................................................................................................................21 C.1.11 Compliance with State Water Board Funding Agreements.....................................................................21 C.2 DEFAULTS AND REMEDIES..........................................................................................................21 C.2.1 Return of Funds; Acceleration; and Additional Payments.......................................................................22 C.2.2 [Reserved.]...............................................................................................................................................22 C.2.3 Administrative remedies..........................................................................................................................22 C.2.4 Judicial remedies.....................................................................................................................................22 C.2.5 Termination .............................................................................................................................................22 C.2.6 Damages for Breach of Tax -Exempt Status.............................................................................................22 C.2.7 Damages for Breach of Federal Conditions.............................................................................................23 C.2.8 Remedies and Limitations.......................................................................................................................23 C.2.9 Non-Waiver.............................................................................................................................................23 C.2.10 Status Quo................................................................................................................................................23 C.3 STANDARD CONDITIONS..................................................................................................................23 C.3.1 Access, Inspection, and Public Records..................................................................................................23 C.3.2 Accounting and Auditing Standards; Financial Management Systems; Records Retention....................24 C.3.3 Amendment.............................................................................................................................................25 C.3.4 Assignability ............................................................................................................................................25 C.3.5 Audit........................................................................................................................................................25 C.3.6 Bonditrg...................................................................................................................................................25 C.3.7 Competitive Bidding................................................................................................................................25 C.3.8 Compliance with Applicable Laws, Rules, and Requirements................................................................25 C.3.9 Computer Software..................................................................................................................................25 C.3.10 Conflict of Interest..................................................................................................................................26 C.3.1 1 Continuous Use of Project; No Lease, Sale, Transfer of ownership, or Disposal of Project._................26 C.3.12 Data Management.................................................................................................................................... 26 C.3.13 Disputes...................................................................................................................................................26 City Council ii 23 — 9 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page iii of iv C.3.14 [Reserved.]...............................................................................................................................................26 C3.15 Environmental Clearance.........................................................................................................................26 C3.16 Governing Law........................................................................................................................................27 C.3.17 Income Restrictions.................................................................................................................................27 C.3.18 Indemnification and State Reviews.........................................................................................................27 C.3.19 Independent Actor...................................................................................................................................28 C.3.20 Integration................................................................................................................................................2 8 C.3.21 Leveraging Covenants.............................................................................................................................28 C.3.22 No Discrimination...................................................................................................................................28 C.3.23 No Third Party Rights..............................................................................................................................29 C.3.24 No Obligation of the State.......................................................................................................................29 C.3.25 Notice.......................................................................................................................................................29 C.3.26 Operation and Maintenance; Insurance....................................................................................................31 C.3.27 Permits, Subcontracting, and Remedies...................................................................................................32 C.3.28 Professionals............................................................................................................................................32 C.3.29 Prevailing Wages.....................................................................................................................................31 C.3.30 Public Fundingg.........................................................................................................................................33 C.3.31 Recipient's Responsibility for Work.......................................................................................................33 C.3.32 Related Litigation....................................................................................................................................33 C.3.33 Rights in Data..........................................................................................................................................33 C.3.34 State Water Board Action; Costs and Attorney Fees...............................................................................33 C.3.35 Timeliness................................................................................................................................................34 C.3.36 Unenforceable Provision..........................................................................................................................34 C.3.37 Venue.......................................................................................................................................................34 C.338 Waiver and Rights of the State Water Board...........................................................................................34 CA MISCELLANEOUS STATE AND FEDERAL REQUIREMENTS..........................................................34 CAA[Reserved.] ................................ ................................................................... ._._..................................... 34 CA.2 State Cross-Cutters..................................................................................................................................34 C.4.3 Federal Requirements and Cross -Cutters for SRF Funding.....................................................................35 EXHIBIT D— SPECIAL CONDITIONS........................................................................................................41 EXHIBIT E— PAYMENT SCHEDULE.........................................................................................................43 EXHIBIT F — TAX CERTIFICATE...............................................................................................................44 F.1 Purpose............................................................................................................................................44 F.2 Tax Covenant...................................................................................................................................44 F.3 Governmental Unit...........................................................................................................................44 F.4 Financing of a Capital Project..........................................................................................................44 F.5 Ownership and Operation of Project................................................................................................44 F.6 Temporary Period.............................................................................................................................44 F.7 Working Capital................................................................................................................................45 F.8 Expenditure of Proceeds..................................................................................................................45 F.9 Private Use and Private Payments..................................................................................................45 4/4/2023 City Council iii 23 — 10 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page iv of iv F.10 No Sale, Lease or Private Operation of the Project.....................................................................45 F.11 No Disproportionate or Unrelated Use.........................................................................................46 F.12 Management and Service Contracts............................................................................................46 F.13 No Disposition of Financed Property............................................................................................46 F.14 Useful Life of Project.....................................................................................................................46 F.15 Payments......................................................................................................................................46 F.16 No Other Replacement Proceeds.................................................................................................46 F.17 No Sinking or Pledged Fund.........................................................................................................47 F.18 Reserve Amount........................................................................................................................... 47 F.19 Reimbursement Resolution..........................................................................................................47 F.20 Reimbursement Expenditures......................................................................................................47 F.21 Change in Use of the Project........................................................................................................47 F.22 Rebate Obligations.......................................................................................................................47 F.23 No Federal Guarantee..................................................................................................................48 F.24 Amendments.................................................................................................................................48 F.25 Reasonable Expectations.............................................................................................................48 F.26 Assignment...................................................................................................................................48 City Council iv 23 —11 4/4/2023 AGREEMENT AUTHORITY. City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 1 of 48 (a) The State Water Resources Control Board (State Water Board) is authorized, and implements its authority, to provide financial assistance under this Agreement pursuant to Section 13475 et seq. of the Water Code, and Resolution Nos. 2019-0064 and 2022-0040. (b) The Recipient is authorized to enter into this Installment Sale Agreement (Agreement) pursuant to Resolution No. 2019-029. 2. INTENTION. (a) The Recipient desires to receive financial assistance for and undertake work required for the wastewater construction Project according to the terms and conditions set forth in this Agreement. (b) The State Water Board proposes to assist in providing financial assistance for eligible costs of the Project in the amount set forth in Exhibit B, according to the terms and conditions set forth in this Agreement, with the expectation that the Recipient shall repay all of the financial assistance to the State Water Board. (c) The Recipient intends to evidence its obligation to submit Payments to the State Water Board and secure its obligation with Net Revenues of its wastewater enterprise, as set forth in Exhibit B, according to the terms and conditions set forth in this Agreement. (d) The Recipient intends to certify and evidence its compliance with the Tax Covenants set forth in Exhibit F. 3. AGREEMENT, TERM, DOCUMENTS INCORPORATED BY REFERENCE. In consideration of the mutual representations, covenants and agreements herein set forth, the State Water Board and the Recipient, each binding itself, its successors and assigns, do mutually promise, covenant, and agree to the terms, provisions, and conditions of this Agreement. (a) The Recipient hereby sells to the State Water Board and the State Water Board hereby purchases from the Recipient the Project. Simultaneously therewith, the Recipient hereby purchases from the State Water Board, and the State Water Board hereby sells to the Recipient, the Project in accordance with the provisions of this Agreement. All right, title, and interest in the Project shall immediately vest in the Recipient on the date of execution and delivery of this Agreement by both parties without further action on the part of the Recipient or the State Water Board. (b) Subject to the satisfaction of any condition precedent to this Agreement, this Agreement shall become effective upon the signature of both the Recipient and the State Water Board. Conditions precedent are not limited to the following: The Recipient must deliver to the Division a resolution authorizing this Agreement. The Recipient must deliver an opinion of general counsel satisfactory to the State Water Board's counsel dated on or after the date that the Recipient signs this Agreement. (c) Upon execution, the term of the Agreement shall begin on the Eligible Work Start Date and extend through the Final Payment Date. (d) This Agreement includes the following exhibits and attachments thereto: City Council 23 — 12 4/4/2023 C SRF/DWSRF 2Ni2022 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 2 of 48 i. EXHIBIT A— SCOPE OF WORK ii. EXHIBIT B — FUNDING TERMS iii. EXHIBIT C— GENERAL & PROGRAMMATIC TERMS & CONDITIONS V. EXHIBITD— SPECIALCONDITIONS V. EXHIBIT E — PAYMENT SCHEDULE vi. EXHIBIT F — TAX CERTIFICATE (e) This Agreement includes the following documents incorporated by reference, as well as any documents incorporated by reference in Exhibit D: i. the Final Plans & Specifications, which are the basis for the construction contract to be awarded by the Recipient; ii. the Waste Discharge Requirement Order No. R8-2021-0010 and National Pollutant Discharge Elimination System Permit No. CA0110604, and any amendments thereto; iii. the Recipient's Reimbursement Resolution No. 2019-031 dated May 16, 2019; iv. the Recipient's Tax Questionnaire dated September 12, 2018. V. the Davis -Bacon requirements found at: https://www.waterboards.ca.gov/water issues/programs/grants loans/srf/docs/davisbac on/davis-bacon 2021 cwsrf-governmental entities public.0f (f) This Agreement, and any amendments hereto, may be executed and delivered in any number of counterparts, each of which when delivered shall be deemed to be an original, but such counterparts shall together constitute one document The parties may sign this Agreement, and any amendments hereto, either by an electronic signature using a method approved by the State Water Board or by a physical, handwritten signature. The parties mutually agree that an electronic signature using a method approved by the State Water Board is the same as a physical, handwritten signature for the purposes of validity, enforceability, and admissibility. 4. PARTY CONTACTS State Water Board City of Santa Ana Section: Division of Financial Assistance Name: Crysten Cole Pro ect Manager Name: Nabil Saba Executive Director Address: 1001 1 Street, 16th Floor Address: P.O. Box 1988 Cit , State, Zip: Sacramento CA 95814 City,State, Zip: Santa Ana, CA 92702 Phone: 916 341-5693 Phone: 714 647-5654 Email: c sten.cole waterboards.ca. ov Email: nsaba Santa-ana.or The Recipient may change its contact upon written notice to the Division, which notice shall be accompanied by authorization from the Recipient's Authorized Representative. The State Water Board will notify the Recipient of any changes to its contact. While the foregoing are contacts for day-to-day communications regarding Project work, the Recipient shall provide official communications and events of Notice as set forth in Exhibit C to the Division's Deputy Director. 5. DEFINITIONS. Unless otherwise specified, each capitalized term used in this Agreement has the following meaning: "Additional Payments" means the reasonable extraordinary fees and expenses of the State Water Board, and of any assignee of the State Water Board's right, title, and interest in and to this Agreement, in connection with this Agreement, including all expenses and fees of accountants, trustees, staff, City Council 23 — 13 4/4/2023 C SRF/DWSRF 2%12022 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 3 of 48 contractors, consultants, costs, insurance premiums and all other extraordinary costs reasonably incurred by the State Water Board or assignee of the State Water Board. "Allowance" means an amount based on a percentage of the accepted bid for an eligible project to help defray the planning, design, and construction engineering and administration costs of the Project. "Agreement" means this agreement, including all exhibits and attachments hereto. "Authority" shall refer to Santa Ana Financing Authority. "Authorized Representative" means the duly appointed representative of the Recipient as set forth in the certified original of the Recipient's authorizing resolution that designates the authorized representative by title. Bank" means the California Infrastructure and Economic Development Bank. "Bond Funded Portion of the Project Funds" means any portion of the Project Funds which was or will be funded with Bond Proceeds. Bond Proceeds" means original proceeds, investment proceeds, and replacement proceeds of Bonds. "Bonds" means any series of bonds issued by the Bank, the interest on which is excluded from gross income for federal tax purposes, all or a portion of the proceeds of which have been, are, or will be applied by the State Water Board to fund all or any portion of the Project Costs or that are secured in whole or in part by Payments paid hereunder. "Charge In Lieu of Interest" means any fee or charge in lieu of some or all of, but not to exceed, the interest that would otherwise be owed under this Agreement, as set forth in Exhibit E. "Code" as used in Exhibit F of this Agreement means the Internal Revenue Code of 1986, as amended, and any successor provisions and the regulations of the U.S. Department of the Treasury promulgated thereunder. "Completion of Construction" means the date, as determined by the Division after consultation with the Recipient, that the work of building and erection of the Project is substantially complete, and is identified in Exhibit A of this Agreement. "Cover Page" means the front page of this Agreement. "Days" means calendar days unless otherwise expressly indicated. "Debt Service" means, as of any date, with respect to outstanding System Obligations and, in the case of the additional debt tests in Exhibit B of this Agreement, any System Obligations that are proposed to be outstanding, the aggregate amount of principal and interest scheduled to become due (either at maturity or by mandatory redemption), together with any Charge In Lieu of Interest on this Obligation or other System Obligations to the State Water Board, calculated with the following assumptions: a. Principal payments (unless a different subdivision of this definition applies for purposes of determining principal maturities or amortization) are made in accordance with any amortization schedule published for such principal, including any minimum sinking fund payments, b. Interest on a variable rate System Obligation that is not subject to a swap agreement and that is issued or will be issued as a tax-exempt obligation under federal law, is the average of the SIFMA City Council 23 — 14 4/4/2023 C SRF/DWSRF 2Ni2022 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 4 of 48 Municipal Swap Index, or its successor index, during the 24 months preceding the date of such calculation, C. Interest on a variable rate System Obligation that is not subject to a swap agreement and that is issued or will be issued as a taxable obligation under federal law, is the average of SOFR, or its successor index, during the 24 months preceding the date of such calculation, d. Interest on a variable rate System Obligation that is subject to a swap agreement is the fixed swap rate or cap strike rate, as appropriate, if the variable rate has been swapped to a fixed rate or capped pursuant to an interest rate cap agreement or similar agreement; e. Interest on a fixed rate System Obligation that is subject to a swap agreement such that all or a portion of the interest has been swapped to a variable rate shall be treated as variable rate debt under subdivisions (b) or (c) of this definition of Debt Service; f. Payments of principal and interest on a System Obligation are excluded from the calculation of Debt Service to the extent such payments are to be paid from amounts then currently on deposit with a trustee or other fiduciary and restricted for the defeasance of such System Obligations, g. If 25% or more of the principal of a System Obligation is not due until its final stated maturity, then principal and interest on that System Obligation may be projected to amortize over the lesser of 30 years or the Useful Life of the financed asset, and interest may be calculated according to subdivisions (b)-(e) of this definition of Debt Service, as appropriate. "Deputy Director" means the Deputy Director of the Division "Division" means the Division of Financial Assistance of the State Water Board or any other segment of the State Water Board authorized to administer this Agreement. "Eligible Construction Start Date" means the date set forth on the Cover Page of this Agreement, establishing the date on or after which construction costs may be incurred and eligible for reimbursement hereunder. "Eligible Work Start Date" means the date set forth on the Cover Page of this Agreement, establishing the date on or after which any non -construction costs may be incurred and eligible for reimbursement hereunder. "Enterprise Fund" means the enterprise fund of the Recipient in which Revenues are deposited "Event of Default' means the occurrence of any of the following events: a) Failure by the Recipient to make any payment required to be paid pursuant to this Agreement, including Payments, b) A representation or warranty made by or on behalf of the Recipient in this Agreement or in any document furnished by or on behalf of the Recipient to the State Water Board pursuant to this Agreement shall prove to have been inaccurate, misleading or incomplete in any material respect; c) A material adverse change in the condition of the Recipient, the Revenues, or the System, which the Division reasonably determines would materially impair the Recipient's ability to satisfy its obligations under this Agreement. d) Failure by the Recipient to comply with the additional debt test or reserve fund requirement, if any, in Exhibit B or Exhibit D of this Agreement, e) Failure to operate the System or the Project without the Division's approval, City Council 23 — 15 4/4/2023 C SRF/DWSRF 2Ni2022 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 5 of 48 f) Failure by the Recipient to observe and perform any covenant, condition, or provision in this Agreement, which failure shall continue for a period of time, to be determined by the Division, g) The occurrence of a material breach or event of default under any System Obligation that results in the acceleration of principal or interest or otherwise requires immediate prepayment, repurchase or redemption, h) Initiation of proceedings seeking arrangement, reorganization, or any other relief under any applicable bankruptcy, insolvency, or other similar law, the appointment of or taking possession of the Recipient's property by a receiver, liquidator, assignee, trustee, custodian, conservator, or similar official; the Recipient's entering into a general assignment for the benefit of creditors, the initiation of resolutions or proceedings to terminate the Recipient's existence, or any action in furtherance of any of the foregoing; i) A determination pursuant to Gov. Code section 11137 that the Recipient has violated any provision in Article 9.5 of Chapter 1 of Part 1 of Division 3 of Title 2 of the Government Code; or j) Loss of the Recipient's rights, licenses, permits, or privileges necessary for the operation of the System or the Project, or the occurrence of any material restraint on the Recipient's enterprise by a government agency or court order. "Final Payment Date" is the date by which all principal and accrued interest due under this Agreement is to be paid in full to the State Water Board and is specified on the Cover Page of this Agreement. "Final Reimbursement Request Date" means the date set forth as such on the Cover Page of this Agreement, after which date, no further Project Funds disbursements may be requested. "Fiscal Year" means the period of twelve (12) months terminating on June 30 of any year, or any other annual period selected and designated by the Recipient as its Fiscal Year in accordance with applicable I aw. "Force Account" means the use of the Recipient's own employees, equipment, or resources for the Project. "GAAP" means generally accepted accounting principles, the uniform accounting and reporting procedures set forth in publications of the American Institute of Certified Public Accountants or its successor, or by any other generally accepted authority on such procedures, and includes, as applicable, the standards set forth by the Governmental Accounting Standards Board or its successor, or the Uniform System of Accounts, as adopted by the California Public Utilities Commission for water utilities. "Initiation of Construction" means the date that notice to proceed with work is issued for the Project, or, if notice to proceed is not required, the date of commencement of building and erection of the Project. "Listed Event" means, so long as the Recipient has outstanding any System Obligation subject to Rule 15c2-12, any of the events required to be reported with respect to such System Obligation pursuant to Rule 15c2-12(b)(5). "Material Obligation" means an obligation of the Recipient that is material to this transaction, including System Obligations. "Maximum Annual Debt Service" means the maximum amount of Debt Service due on System Obligations in a Fiscal Year during the period commencing with the Fiscal Year for which such calculation is made and within the next five years in which Debt Service for any System Obligations will become due. "Net Revenues" means, for any Fiscal Year, all Revenues received by the Recipient less the Operations and Maintenance Costs for such Fiscal Year. City Council 23 — 16 4/4/2023 C SRF/DWSRF 2Ni2022 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 6 of 48 "Obligation" means the obligation of the Recipient to make Payments (including Additional Payments) as provided herein, as evidenced by the execution of this Agreement, proceeds of such obligations being used to fund the Project as specified in the Project Description in Exhibit A and Exhibit B and in the documents thereby incorporated by reference. "Operations and Maintenance Costs" means the reasonable and necessary costs paid or incurred by the Recipient for maintaining and operating the System, determined in accordance with GAAP, including all reasonable expenses of management and repair and all other expenses necessary to maintain and preserve the System in good repair and working order, and including all reasonable and necessary administrative costs of the Recipient that are charged directly or apportioned to the operation of the System, such as salaries and wages of employees, overhead, taxes (if any), the cost of permits, licenses, and charges to operate the System and insurance premiums, but excluding, in all cases depreciation, replacement, and obsolescence charges or reserves therefor and amortization of intangibles. "Parity Obligation" means a debt obligation of the Recipient on parity with this Obligation. There are no Parity Obligations. "Payment" means any payment due to the State Water Board from the Recipient pursuant to this Agreement. "Policy" means the State Water Board's "Policy for Implementing the Clean Water State Revolving Fund, as amended from time to time, including the Intended Use Plan in effect as of the execution date of this Agreement. "Project" means the Project financed by this Agreement as described in Exhibits A and B and in the documents incorporated by reference herein. "Project Completion" means the date, as determined by the Division after consultation with the Recipient, that operation of the Project is initiated or is capable of being initiated, whichever comes first. "Project Costs" means the incurred costs of the Recipient which are eligible for financial assistance under this Agreement, which are allowable costs as defined under the Policy, and which are reasonable, necessary and allocable by the Recipient to the Project under GAAP, and may include capitalized interest. "Project Funds" means all moneys disbursed to the Recipient by the State Water Board for eligible Project Costs pursuant to this Agreement. "Recipient" means City of Santa Ana. In any provision of this Agreement referencing duties undertaken by the Authority on behalf of the Recipient, the term "Recipient" shall also refer to the Authority. "Records Retention End Date" means the last date that the Recipient is obligated to maintain records and is set forth on the Cover Page of this Agreement. "Regional Water Quality Control Board" or "Regional Water Board" means the appropriate Regional Water Quality Control Board. "Reimbursement Resolution" means the Recipient's reimbursement resolution identified and incorporated by reference in this Agreement. "Reserve Fund" means the reserve fund required pursuant to Exhibit B of this Agreement City Council 23 — 17 4/4/2023 C SRF/DWSRF 2Ni2022 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 7 of 48 "Revenues" means, for each Fiscal Year, all gross income and revenue received or receivable by the Recipient from the ownership or operation of the System, determined in accordance with GAAP, including all rates, fees, and charges (including connection fees and charges) as received by the Recipient for the services of the System, and all other income and revenue howsoever derived by the Recipient from the ownership or operation of the System or arising from the System, including all income from the deposit or investment of any money in the Enterprise Fund or any rate stabilization fund of the Recipient or held on the Recipient's behalf, and any refundable deposits made to establish credit, and advances or contributions in aid of construction. "Rule 15c2-12(b)(5)" means Rule 15c2-12(b)(5) promulgated by the Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended. "Senior Obligation" means a debt obligation of the Recipient that is senior to this Obligation. There are no Senior Obligations. "SRF" means the Clean Water State Revolving Fund. "State" means State of California. State Water Board" means the State Water Resources Control Board. "Subordinate Obligation" means a debt obligation of the Recipient that is subordinate to this Obligation. There are no Subordinate Obligations. "System" means all wastewater collection, pumping, transport, treatment, storage, and disposal facilities, including land and easements thereof, owned by the Recipient, including the Project, and all other properties, structures, or works hereafter acquired and constructed by the Recipient and determined to be a part of the System, together with all additions, betterments, extensions, or improvements to such facilities, properties, structures, or works, or any part thereof hereafter acquired and constructed. "System Obligation" means any obligation of the Recipient payable from the Revenues, including but not limited to this Obligation, any Parity Obligation, any Subordinate Obligation, and such additional obligations as may hereafter be issued in accordance with the provisions of such obligations and this Agreement. "Useful Life" means the economically useful life of the Project beginning at Completion of Construction and is set forth in Exhibit A. "Year" means calendar year unless otherwise expressly indicated. City Council 23 — 18 4/4/2023 C SRF/DWSRF 2Ni2022 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 8 of 48 IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto. CITY OF SANTA ANA: Nabil Saba By: Nab![ Saba (Feb 8, 202315:15 PST) Name: Nabil Saba Title: Executive Director Feb 8, 2023 STATE WATER RESOURCES CONTROL BOARD: By: Name: Joe Karkoski Title: Deputy Director Division of Financial Assistance City Council Adobe Acrobat Sign Transaction Number CB1CHBCMBA eD90_771_cn22yynNwnVw_eGQndK8H5 23 - 19 4/4/2023 CWSRF/DWSRF 29,,2022 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 9 of 48 EXHIBIT A— SCOPE OF WORK A.1. PROJECT DESCRIPTION, USEFUL LIFE, AND SCOPE OF WORK. (a) The Project is the project set forth on the Cover Page of this Agreement. (b) The Useful Life of this Project is at least thirty (30) years. (c) Purpose. The Project is for the benefit of the Recipient and has a Useful Life of at least 30-years. The objectives of the project are to eliminate the leaking septic tanks and leach fields, which will help with preservation of the Santa Ana Groundwater Basin and prevent and reduce contamination of municipal and domestic supply wells. The project will also capture additional sewer flows to the Orange County Groundwater Replenishment System (GWRS) thereby augmenting recycled deliveries. Finally, it will also provide greater reliability and lower long-term costs to the residents for their sewage needs. (d) Scope of Work. The Recipient agrees to do the following: In this project, the City of Santa Ana will annex a 24.71-acre unincorporated area and provide sewer service to its 275 residents. The project involves: • Sewer main improvements on Ponderosa Street including 630 linear feet (LF) of 8-inch diameter sewer main, five sewer laterals, and two 48-inch diameter sewer manholes. Sewer main improvements on Pasadena Avenue, Medford Ave, and Deodar Street including 635 LF of 8-inch diameter sewer main, thirty sewer laterals, and two 48-inch diameter sewer manholes Septic tank conversion including abandoning 32 existing septic tanks and construction of 32 private side connections to public sewer mains. A.2. STANDARD PROJECT REQUIREMENTS. A.2.1 Acknowledgements. The Recipient shall include the following acknowledgement in any document, written report, or brochure prepared in whole or in part pursuant to this Agreement: "Funding for this project has been provided in full or in part through an agreement with the State Water Resources Control Board. California's Clean Water State Revolving Fund is capitalized through a variety of funding sources, including grants from the United States Environmental Protection Agency and state bond proceeds. The contents of this document do not necessarily reflect the views and policies of the foregoing, nor does mention of trade names or commercial products constitute endorsement or recommendation for use." City Council Exhibi43 — 20 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 10 of 48 A.2.2 Reports A.2.2.1 Progress Reports. (a) The Recipient must provide a progress report to the Division each quarter, beginning no later than 90 days after execution of this Agreement. (b) The Recipient must provide a progress report with each reimbursement request. Failure to provide a complete and accurate progress report may result in the withholding of Project Funds, as set forth in Exhibit B. (c) A progress report must contain the following information: i. A summary of progress to date including a description of progress since the last report, percent construction complete, percent contractor invoiced, and percent schedule elapsed, ii. A description of compliance with environmental requirements; iii. A listing of change orders including amount, description of work, and change in contract amount and schedule, and V. Any problems encountered, proposed resolution, schedule for resolution, and status of previous problem resolutions. A.2.2.2 Project Completion Report. (a) The Recipient must submit a Project Completion Report to the Division with a copy to the appropriate Regional Water Board on or before the due date established by the Division and the Recipient at the time of final project inspection. The Project Completion Report must include the following: i. Description of the Project, ii. Description of the water quality problem the Project sought to address, iii. Discussion of the Project's likelihood of successfully addressing that water quality problem in the future, and V. Summary of compliance with applicable environmental conditions. (b) If the Recipient fails to submit a timely Project Completion Report, the State Water Board may stop processing pending or future applications for new financial assistance, withhold disbursements under this Agreement or other agreements, and begin administrative proceedings. A.2.2.3 As Needed Reports. The Recipient must provide expeditiously, during the term of this Agreement, any reports, data, and information reasonably required by the Division, including but not limited to material necessary or appropriate for evaluation of the funding program or to fulfill any reporting requirements of the state or federal government. City Council Exhibi43 — 21 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 11 of 48 A.2.2.4 [Reserved.] A.2.2.5 DBE Reports for SRF Projects The Recipient must report Disadvantaged Business Enterprise (DBE) utilization to the Division on the DBE Utilization Report, State Water Board Form DBE UR334. The Recipient must submit such reports to the Division annually within ten (10) calendar days following October 1 until such time as the "Notice of Completion" is issued. The Recipient must comply with 40 CFR § 33.301 and require its contractors and subcontractors on the Project to comply. A.2.3 Signage. a. The Recipient shall place a sign at least four feet tall by eight feet wide made of'/ inch thick exterior grade plywood or other approved material in a prominent location on the Project site and shall maintain the sign in good condition for the duration of the construction period. The Recipient is encouraged to use recycled or recovered materials when procuring signs and must comply with 2 CFR 200.323 if applicable. The sign must include the following disclosure statement and color logos (available from the Division) and be consistent with the requirements at httos://www.whitehouse.aov/wn- content/uploads/2022/08/Building-a-Better-America-Brand-Guide.odf, including the requirement for a larger sign if located in a highway right-of-way." PRESIDENFJDEBIDFN BUILDING A by �a Water Boards ;;., per, „o� Clean Water BETTER AMERICA BUIW.DDY b. "Funding for this Septic to Sewer Island Project has been provided in full or in part by the Clean Water State Revolving Fund and President Biden's Bipartisan Infrastructure Law through an agreement with the State Water Resources Control Board. California's Clean Water State Revolving Fund is capitalized through a variety of funding sources, including grants from the United States Environmental Protection Agency and state bond proceeds." C. The Project sign may include another agency's required promotional information so long as the above logos and disclosure statement are equally prominent on the sign. The sign shall be prepared in a professional manner. d. The Recipient is encouraged to translate the sign (excluding logos) into the appropriate non- English language(s). A.2.4 Commencement of Operations. Upon Completion of Construction of the Project, the Recipient must expeditiously initiate Project operations. A.3 DATES & DELIVERABLES (a) Time is of the essence. (b) The Recipient must expeditiously proceed with and complete construction of the Project (c) The following dates are established as on the Cover Page of this Agreement: City Council Exhibi43 - 22 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 12 of 48 i. Eligible Work Start Date ii. Eligible Construction Start Date iii. Completion of Construction Date iv. Final Reimbursement Request Date V. Records Retention End Date vi. Final Payment Date (d) The Recipient must award the prime construction contract timely. (e) The Recipient agrees to start construction no later than March 31, 2023. (f) The Recipient must deliver any request for extension of the Completion of Construction date no less than 90 days prior to the Completion of Construction date. (g) The undisbursed balance of this Agreement will be deobligated if the Recipient does not provide its final reimbursement request to the Division on or before the Final Reimbursement Request Date. A.4 SCHEDULE. Failure to provide items by the due dates indicated in the table below may constitute a material violation of this Agreement. The Project Manager may adjust the dates in the "Estimated Due Date" column of this table, but Critical Due Date adjustments will require an amendment to this Agreement. The Recipient must complete and submit all work in time to be approved by the Division prior to Project Completion. As applicable for specific submittals, the Recipient must plan adequate time to solicit, receive, and address comments prior to submitting the final submittal. The Recipient must submit the final reimbursement request prior to the Final Reimbursement Request Date set forth on the Cover Page. ITEM DESCRIPTION OF SUBMITTAL CRITICAL DUE DATE ESTIMATED DUE DATE EXHIBIT A— SCOPE OF WORK A. ADDITIONAL SUBMITTALS TO THE DIVISION 1. Final Plans and Specifications N/A May 31, 2023 2. Completion of Construction Jul 20, 2024 N/A B. REPORTS 1 Progress Reports Quarterly 2. Final Inspection and Certification N/A N/A 3. Pro ect Com letion Report N/A N/A 4. As Need Reports As Requested by the Division EXHIBIT B— REIMBURSEMENTS BUDGET DETAIL AND REPORTING PROVISIONS B. Reimbursements Quarterly 1. Final Budget Approval Packa a N/A May 31, 2023 2 Final Reimbursement Re uest January 20, 2025 N/A City Council Exhibi43 — 23 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 13 of 48 EXHIBIT B — FUNDING TERMS B.1. FUNDING AMOUNTS AND REIMBURSEMENTS B.1.1 Funding Contingency and Other Sources. (a) If this Agreement's funding for any fiscal year expires due to reversion or is reduced, substantially delayed, or deleted by the Budget Act, by Executive Order, or by order or action of the Department of Finance, the State Water Board has the option to either cancel this Agreement with no liability accruing to the State Water Board or offer an amendment to the Recipient to reflect the reduced amount. (b) If funding for Project Costs is made available to the Recipient from sources other than this Agreement, the Recipient must notify the Division. The Recipient may retain such funding up to an amount which equals the Recipient's share of Project Costs. To the extent allowed by requirements of other funding sources, excess funding must be remitted to the State Water Board to be applied to Payments due hereunder, if any. B.1.2 Estimated Reasonable Cost. The estimated reasonable cost of the total Project, including associated planning and design costs is one million five hundred twenty-nine thousand two hundred twenty dollars and no cents ($1,529,220.00). B.1.3 Project Funding Amount. Subject to the terms of this Agreement, the State Water Board agrees to provide Project Funds not to exceed the amount of the Project Funding Amount set forth on the Cover Page of this Agreement. B.1.4 [Reserved.] B. 1.5 Budget Costs. (a) Estimated budget costs are contained in the Summary Project Cost Table below: LINE ITEM TOTAL ESTIMATED COST PROJECT FUNDING AMOUNT Construction $ 1,092,300 $1 092 300 Pre -Purchased Material/Equipment $0 $0 Purchase of Land/Easements $0 $0 Change Order Contingency $ 109,230 $ 109,230 Force Account $0 $0 Allowances Soft Costs $ 327,690 $ 327,690 TOTAL $1, 529, 220 $1, 529, 220 The Division's Final Budget Approval and related Form 259 and Form 260 will document a more detailed budget of eligible Project Costs and Project funding amounts. Upon written request by the Recipient, the Division may adjust the line items of the Summary Project Cost Table at the time of Division's Final Budget Approval. Upon written request by the Recipient, the Division may also adjust the line items of the Summary Project Cost Table as well as the detailed budget at the time of Recipient's submittal of its final claim. Any line item adjustments to the Summary Project Cost Table that are due to a change in scope of work will require an Agreement amendment. The sum of City Council `."'V' 23— 24 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 14 of 48 adjusted line items in both the Summary Project Cost Table and the detailed budget must not exceed the Project Funding Amount. The Division may also propose budget adjustments. (b) Under no circumstances may the sum of line items in the budget approved through the Final Budget Approval process exceed the Project Funding Amount. Any increase in the Project Funding Amount will require an Agreement amendment. B.1.6 Contingent Disbursement. (a) The State Water Board's disbursement of funds hereunder is contingent on the Recipient's compliance with the terms and conditions of this Agreement. (b) The State Water Board's obligation to disburse Project Funds is contingent upon the availability of sufficient funds to permit the disbursements provided for herein. If sufficient funds are not available for any reason, including but not limited to failure of the federal or State government to appropriate funds necessary for disbursement of Project Funds, the State Water Board shall not be obligated to make any disbursements to the Recipient under this Agreement. This provision shall be construed as a condition precedent to the obligation of the State Water Board to make any disbursements under this Agreement. Nothing in this Agreement shall be construed to provide the Recipient with a right of priority for disbursement over any other entity. If any disbursements due the Recipient under this Agreement are deferred because sufficient funds are unavailable, it is the intention of the State Water Board that such disbursement will be made to the Recipient when sufficient funds do become available, but this intention is not binding. (c) Construction costs and disbursements are not available until after the Division has approved the final budget form submitted by the Recipient. (d) No costs incurred prior to the Eligible Work Start Date are eligible for reimbursement. (e) Construction costs incurred prior to the Eligible Construction Start Date are not eligible for reimbursement. (f) Failure to proceed according to the timelines set forth in this Agreement may require the Recipient to repay to the State Water Board all disbursed Project Funds. (9) The Recipient agrees to ensure that its final reimbursement request is received by the Division no later than the Final Reimbursement Request Date. If the final reimbursement request is not received timely, the undisbursed balance of this Agreement will be deobligated. (h) The Recipient is not entitled to interest earned on undisbursed funds. B.1.7 Reimbursement Procedure. Except as may be otherwise provided in this Agreement, disbursement of Project Funds will be made as follows: (a) Upon execution and delivery of this Agreement by both parties, the Recipient may request immediate reimbursement of any eligible incurred planning and design allowance costs through submission to the State Water Board of the Reimbursement Request Form 260 and Form 261, or any amendment thereto, duly completed and executed. (b) The Recipient must submit a reimbursement request for costs incurred prior to the date this Agreement is executed by the State Water Board no later than ninety (90) days after this City Council `—.— "23 — 25 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 15 of 48 Agreement is executed by the State Water Board. Late reimbursement requests may not be honored. (c) The Recipient may request reimbursement of eligible construction and equipment costs consistent with budget amounts approved by the Division in the Final Budget Approval. (d) Additional Project Funds will be promptly disbursed to the Recipient upon receipt of reimbursement request Form 260 and Form 261, or any amendment thereto, duly completed and executed by the Recipient for incurred costs consistent with this Agreement, along with receipt of progress reports due under Exhibit A. (e) The Recipient must not request reimbursement for any Project Cost until such cost has been incurred and is currently due and payable by the Recipient, although the actual payment of such cost by the Recipient is not required as a condition of reimbursement request. Supporting documentation (e.g., receipts) must be submitted with each reimbursement request. The amount requested for administration costs must include a calculation formula (i.e., hours or days worked times the hourly or daily rate = total amount claimed). Disbursement of Project Funds will be made only after receipt of a complete, adequately supported, properly documented, and accurately addressed reimbursement request. Reimbursement requests submitted without supporting documents may be wholly or partially withheld at the discretion of the Division. (f) The Recipient must spend Project Funds within 30 days of receipt. If the Recipient earns interest earned on Project Funds, it must report that interest immediately to the State Water Board. The State Water Board may deduct earned interest from future disbursements. (g) The Recipient shall not request a reimbursement unless that Project Cost is allowable, reasonable, and allocable. (h) Notwithstanding any other provision of this Agreement, no disbursement shall be required at any time or in any manner which is in violation of or in conflict with federal or state laws, policies, or regulations. (i) No work or travel outside the State of California is permitted under this Agreement unless the Division provides prior written authorization. Failure to comply with this restriction may result in termination this Agreement, pursuant to Exhibit C. Any reimbursement for necessary travel and per diem shall be at rates not to exceed those set by the California Department of Human Resources at http,//www.calhr.ca.gov/em looyees/Pages/travel-reimbursements.asix. as of the date costs are incurred by the Recipient. B.1.8 Withholding of Disbursements. Notwithstanding any other provision of this Agreement, the State Water Board may withhold all or any portion of the Project Funds upon the occurrence of any of the following events: (a) The Recipient's failure to maintain reasonable progress on the Project as determined by the Division, (b) Placement on the ballot or passage of an initiative or referendum to repeal or reduce the Recipient's taxes, assessments, fees, or charges levied for operation of the System or payment of debt service on System Obligations; (c) Commencement of litigation or a judicial or administrative proceeding related to the Project, System, or Revenues that the State Water Board determines may impair the timely satisfaction of Recipient's obligations under this Agreement; (d) Any investigation by the State Water Board, District Attorney, California State Auditor, Bureau of State Audits, United States Environmental Protection Agency's Office of Inspector General, City Council `—.— "23 — 26 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 16 of 48 the Internal Revenue Service, Securities and Exchange Commission, a grand jury, or any other state or federal agency, relating to the Recipient's financial management, accounting procedures, or internal fiscal controls, (e) A material adverse change in the condition of the Recipient, the Revenues, or the System, that the Division reasonably determines would materially impair the Recipient's ability to satisfy its obligations under this Agreement, or any other event that the Division reasonably determines would materially impair the Recipient's ability to satisfy its obligations under this Agreement, (f) The Recipient's material violation of, or threat to materially violate, any term of this Agreement; (g) Suspicion of fraud, forgery, embezzlement, theft, or any other misuse of public funds by the Recipient or its employees, or by its contractors or agents regarding the Project or the System, (h) An event requiring Notice as set forth in Exhibit C; (i) An Event of Default or an event that the Division determines may become an Event of Default B.1.9 Fraud and Misuse of Public Funds; Enforcement All requests for reimbursement submitted must be accurate and signed by the Recipient's Authorized Representative under penalty of perjury. All costs submitted pursuant to this Agreement must only be for the work or tasks set forth in this Agreement. The Recipient must not submit any invoice containing costs that are ineligible or have been reimbursed from other funding sources unless required and specifically noted as such (i.e., match costs). Any eligible costs for which the Recipient is seeking reimbursement shall not be reimbursed from any other source. Double or multiple billing for time, services, or any other eligible cost is improper and will not be compensated. Any suspected occurrences of fraud, forgery, embezzlement, theft, or any other misuse of public funds may result in suspension of disbursements and, notwithstanding any other section in this Agreement, the termination of this Agreement requiring the repayment of all Project Funds disbursed hereunder. Additionally, the Deputy Director of the Division may request an audit; refer the matter for appropriate administrative action, including but not limited to the recovery of financial assistance provided and the imposition of civil penalties; and/or refer the matter to the Attorney General's Office or the appropriate district attorney's office for criminal prosecution or the imposition of civil liability. A person who knowingly makes or causes to be made any false statement, material misrepresentation, or false certification in any submittal may be subject to a civil penalty, criminal fine, or imprisonment. (Wat. Code, § 13490 et seq.) B.2 RECIPIENT'S PAYMENT OBLIGATION, PLEDGE, AND RESERVE B.2.1 Project Costs The Recipient must pay any and all costs connected with the Project including, without limitation, any and all Project Costs and Additional Payments. If the Project Funds are not sufficient to pay the Project Costs in full, the Recipient must nonetheless complete the Project and pay that portion of the Project Costs in excess of available Project Funds, and shall not be entitled to any reimbursement therefor from the State Water Board. B.2.2 Estimated Principal Payment Due. The estimated amount of principal that will be due to the State Water Board from the Recipient under this Agreement is one million five hundred twenty-nine thousand two hundred twenty dollars and no cents ($1, 529,220.00). City Council ` __ "23 — 27 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 17 of 48 B.2.3 Interest Rate and In -Lieu of Interest Charges. (a) The Recipient agrees to make all Payments according to the schedule in Exhibit E, and as otherwise set forth herein, at an interest rate of two and six -tenths percent (2.6%) per annum. (b) Interest will accrue beginning with each disbursement. (c) In lieu of, and not to exceed, interest otherwise due under this Agreement, the Recipient agrees to pay the following charge(s), as further set forth in Exhibit E: • an Administrative Service Charge • a Small Community Grant Fund Charge B.2.4 [Reserved.] B.2.5 Obligation Absolute The obligation of the Recipient to make the Payments and other payments required to be made by it under this Agreement, from the Net Revenues and/or other amounts legally available to the Recipient therefor, is absolute and unconditional, and until such time as the Payments and Additional Payments have been paid in full, the Recipient must not discontinue or suspend any Payments or other payments required to be made by it hereunder when due, whether or not the Project, or any related part thereof is operating or operable or has been completed, or its use is suspended, interfered with, reduced or curtailed or terminated in whole or in part, and such Payments and other payments shall not be subject to reduction whether by offset or otherwise and shall not be conditional upon the performance or nonperformance by any party of any agreement for any cause whatsoever. B.2.6 Payment Timing. (a) Beginning one year after Completion of Construction, the Recipient must submit an annual Payment of the principal of the Project Funds, together with all interest accruing thereon. The Recipient must make Payments fully amortizing the total principal of the Project by the Final Payment Date. Payments are based on a standard fully amortized assistance amount with equal annual payments. (b) The remaining balance is the previous balance, plus the disbursements, plus the accrued interest on both, plus any Charge In Lieu of Interest, less the Payment. Payment calculations will be made beginning one (1) year after Completion of Construction. Exhibit E is a payment schedule based on the provisions of this Exhibit and an estimated disbursement schedule. Actual payments will be based on actual disbursements. (c) Upon Completion of Construction and submission of necessary reports by the Recipient, the Division will prepare an appropriate payment schedule and supply the same to the Recipient. The Division may amend this schedule as necessary to accurately reflect amounts due under this Agreement. The Division will prepare any necessary amendments to the payment schedule and send them to the Recipient. The Recipient must make each Payment on or before the due date therefor. A ten (10) day grace period will be allowed, after which time a penalty in the amount of costs incurred by the State Water Board will be assessed for late payment. These costs may include, but are not limited to, lost interest earnings, staff time, bond debt service default penalties, if any, and other related costs. For purposes of penalty assessment, payment will be deemed to have been made if payment is deposited in the U.S. Mail within the grace period with postage prepaid and properly addressed. Any penalties assessed will not be added to the assistance amount balance, but will be treated as a separate account and obligation of the Recipient. The interest penalty will be assessed from the payment due date. City Council ` __ "23 — 28 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 18 of 48 (d) The Recipient is obligated to make all payments required by this Agreement to the State Water Board, notwithstanding any individual default by its constituents or others in the payment to the Recipient of fees, charges, taxes, assessments, tolls or other charges ("Charges") levied or imposed by the Recipient. The Recipient must provide for the punctual payment to the State Water Board of all amounts which become due under this Agreement and which are received from constituents or others in the payment to the Recipient. In the event of failure, neglect or refusal of any officer of the Recipient to levy or cause to be levied any Charge to provide payment by the Recipient under this Agreement, to enforce or to collect such Charge, or to pay over to the State Water Board any money collected on account of such Charge necessary to satisfy any amount due under this Agreement, the State Water Board may take such action in a court of competent jurisdiction as it deems necessary to compel the performance of all duties relating to the imposition or levying and collection of any of such Charges and the payment of the money collected therefrom to the State Water Board. Action taken pursuant hereto shall not deprive the State Water Board of, or limit the application of, any other remedy provided by law or by this Agreement. (e) Each Payment must be paid in lawful money of the United States of America by check or other acceptable form of payment set forth at www.waterboards.ca.gov/make a payment. The Recipient must pay Payments and Additional Payments from Net Revenues and/or other amounts legally available to the Recipient therefor. B.2.7 Pledged Revenues. B.2.7.1 Establishment of Enterprise Fund and Reserve Fund. In order to carry out its System Obligations, the Recipient covenants that it shall establish and maintain or shall have established and maintained the Enterprise Fund. All Revenues received shall be deposited when and as received in trust in the Enterprise Fund. As required in this Exhibit, the Recipient must establish and maintain a Reserve Fund. B.2.7.2 Pledge of Net Revenues, Enterprise Fund, and Reserve Fund. The Obligation hereunder shall be secured by a lien on and pledge of the Enterprise Fund, Net Revenues, and any Reserve Fund on parity with the Parity Obligations. The Recipient hereby pledges and grants such lien on and pledge of the Enterprise Fund, Net Revenues, and any Reserve Fund to secure the Obligation, including payment of Payments and Additional Payments hereunder. The Enterprise Fund, Net Revenues in the Enterprise Fund, and any Reserve Fund shall be subject to the lien of such pledge without any physical delivery thereof or further act, and the lien of such pledge shall be valid and binding as against all parties having claims of any kind in tort, contract, or otherwise against the Recipient. B.2.7.3 Application and Purpose of the Enterprise Fund. Subject to the provisions of any outstanding System Obligation, money on deposit in the Enterprise Fund shall be applied and used first, to pay Operations and Maintenance Costs, and thereafter, all amounts due and payable with respect to the System Obligations in order of priority. After making all payments hereinabove required to be made in each Fiscal Year, the Recipient may expend in such Fiscal Year any remaining money in the Enterprise Fund for any lawful purpose of the Recipient. B.2.8 No Prepayment. Pursuant to State Water Board's Debt Management Policy, adopted on October 3, 2017, the Recipient may not prepay any portion of the principal and interest due under this Agreement without the written consent of the Deputy Director of the Division. City Council `—.— "23 — 29 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 19 of 48 B.2.9 Reserve Fund. Prior to Completion of Construction, the Recipient must establish a restricted Reserve Fund, held in its Enterprise Fund, equal to one year's Debt Service on this Obligation. The Recipient must maintain the Reserve Fund throughout the term of this Agreement. The Reserve Fund is subject to lien and pledged as security for this Obligation, and its use is restricted to payment of this Obligation during the term of this Agreement. B.3 RATES. FEES AND CHARGES. (a) The Recipient must, to the extent permitted by law, fix, prescribe and collect rates, fees and charges for the System during each Fiscal Year which are reasonable, fair, and nondiscriminatory and which will be sufficient to generate Revenues in the amounts necessary to cover Operations and Maintenance Costs, and must ensure that Net Revenues are equal to the sum of (i) at least 120% of the Maximum Annual Debt Service with respect to all outstanding System Obligations senior to and on parity with the Obligation and (ii) at least 100% of the Maximum Annual Debt Service with respect to all outstanding System Obligations subordinate to the Obligation, so long as System Obligations other than this Obligation are outstanding. Upon defeasance of all System Obligations other than this Obligation, this ratio must be at least 120%, except where System Obligations are defeased pursuant to refunding obligations. (b) The Recipient may make adjustments from time to time in such fees and charges and may make such classification thereof as it deems necessary, but shall not reduce the rates, fees and charges then in effect unless the Net Revenues from such reduced rates, fees, and charges will at all times be sufficient to meet the requirements of this section. (c) Upon consideration of a voter initiative to reduce Revenues, the Recipient must make a finding regarding the effect of such a reduction on the Recipient's ability to satisfy the rate covenant set forth in this Section. The Recipient must make its findings available to the public. The Recipient's Authorized Representative must request, if necessary, the authorization of the Recipient's decision -maker or decision -making body to file litigation to challenge any such initiative that it finds will render it unable to satisfy the rate covenant set forth in this Agreement and its obligation to operate and maintain the Project for its Useful Life. The Recipient must diligently pursue and bear any and all costs related to such challenge. The Recipient must notify and regularly update the State Water Board regarding the status of any such challenge. B.4 ADDITIONAL DEBT. (a) The Recipient's future debt that is secured by Revenues pledged herein may not be senior to this Obligation. (b) The Recipient may issue additional parity or subordinate debt only if all of the following conditions are met: (i) Net Revenues in the most recent Fiscal Year, excluding transfers from a rate stabilization fund, if any, meet the ratio for rate covenants set forth in this Exhibit with respect to any outstanding and proposed additional obligations. (i i) The Recipient is in compliance with any reserve fund requirement of this Obligation. (iii) No Event of Default (or no event with respect to which notice has been given and which, once all notice of grace periods have passed, would constitute an Event of Default) has occurred and is continuing. City Council ` __ "23 — 30 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 20 of 48 B.5 NO LIENS. The Recipient must not make any pledge of or place any lien on the Project, System, or Revenues except as otherwise provided or permitted by this Agreement. EXHIBIT C— GENERAL & PROGRAMMATIC TERMS & CONDITIONS C.1 REPRESENTATIONS & WARRANTIES The Recipient represents, warrants, and commits to the following as of the Eligible Work Start Date and continuing thereafter for the term of this Agreement. C.1.1 Application and General Recipient Commitments. The Recipient has not made any untrue statement of a material fact in its application for this financial assistance, or omitted to state in its application a material fact that makes the statements in its application not misleading. The Recipient agrees to comply with all terms, provisions, conditions, and commitments of this Agreement, including all incorporated documents. The Recipient agrees to fulfill all assurances, declarations, representations, and commitments in its application, accompanying documents, and communications filed in support of its request for funding under this Agreement. C.1.2 Authorization and Validity The execution and delivery of this Agreement, including all incorporated documents, has been duly authorized by the Recipient. Upon execution by both parties, this Agreement constitutes a valid and binding obligation of the Recipient, enforceable in accordance with its terms, except as such enforcement may be limited by law. C.1.3 No Violations. The execution, delivery, and performance by Recipient of this Agreement, including all incorporated documents, do not violate any provision of any law or regulation in effect as of the date of execution of this Agreement by the Recipient, or result in any breach or default under any contract, obligation, indenture, or other instrument to which Recipient is a parry or by which Recipient is bound as of the date of execution of this Agreement by the Recipient. C.1.4 No Litigation. There are, as of the date of execution of this Agreement by the Recipient, no pending or, to Recipient's knowledge, threatened actions, claims, investigations, suits, or proceedings before any governmental authority, court, or administrative agency which materially affect the financial condition or operations of the Recipient, the System, the Revenues, and/or the Project. There are no proceedings, actions, or offers by a public entity to acquire by purchase or the power of eminent domain the System or any of the real or personal property related to or necessary for the Project. City Council `—.— -23 - 31 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 21 of 48 C.1.5 Property Rights. The Recipient owns or has sufficient property rights in the Project property for the longer of the Useful Life or the term of this Agreement, either in fee simple or for a term of years that is not subject to third -party revocation during the Useful Life of the Project. C.1.6 Solvency and Insurance. None of the transactions contemplated by this Agreement will be or have been made with an actual intent to hinder, delay, or defraud any present or future creditors of Recipient The Recipient is solvent and will not be rendered insolvent by the transactions contemplated by this Agreement. The Recipient is able to pay its debts as they become due. The Recipient maintains sufficient insurance coverage considering the scope of this Agreement, including, for example but not necessarily limited to, general liability, automobile liability, workers compensation and employer liability, professional liability. C.1.7 Legal Status and Eligibility. The Recipient is duly organized and existing and in good standing under the laws of the State of California. Recipient must at all times maintain its current legal existence and preserve and keep in full force and effect its legal rights and authority. The Recipient acknowledges that changes to its legal or financial status may affect its eligibility for funding under this Agreement and commits to maintaining its eligibility. Within the preceding ten years, the Recipient has not failed to demonstrate compliance with state or federal audit disallowances. C.1.8 Financial Statements and Continuing Disclosure. The financial statements of Recipient previously delivered to the State Water Board as of the date(s) set forth in such financial statements: (a) are materially complete and correct, (b) present fairly the financial condition of the Recipient, and (c) have been prepared in accordance with GAAP. Since the date(s) of such financial statements, there has been no material adverse change in the financial condition of the Recipient, nor have any assets or properties reflected on such financial statements been sold, transferred, assigned, mortgaged, pledged or encumbered, except as previously disclosed in writing by Recipient and approved in writing by the State Water Board. The Recipient is current in its continuing disclosure obligations associated with its material debt, if any. C.1.9 System Obligations The Recipient has no System Obligations other than those defined in this Agreement. C.1.10 No Other Material Debt. The Recipient has no Material Obligations. C.1.11 Compliance with State Water Board Funding Agreements. The Recipient represents that it is in compliance with all State Water Board funding agreements to which it is a party. C.2 DEFAULTS AND REMEDIES In addition to any other remedy set forth in this Agreement, the following remedies are available under this Agreement City Council ` __ "23 — 32 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 22 of 48 C.2.1 Return of Funds, Acceleration, and Additional Payments. Notwithstanding any other provision of this Agreement, if the Division determines that an Event of Default has occurred, the Recipient may be required, upon demand, immediately to do each of the following: i. return to the State Water Board any grant or principal forgiveness amounts received pursuant to this Agreement; ii. accelerate the payment of any principal owed under this Agreement, all of which shall be immediately due and payable; iii. pay interest at the highest legal rate on all of the foregoing; and iv. pay any Additional Payments. C.2.2 [Reserved.] C.2.3 Administrative remedies. Whenever the State Water Board determines that the Recipient, the Recipient's contractor, consultant, employee, agent, assignee, or grantee has violated any requirement or term of the Agreement, the State Water Board may impose civil penalties in accordance with Water Code, section 13497. The State Water Board may impose civil liability administratively against the Recipient or the Recipient's consultant or contractor or other agent furnishing any information related to funds disbursed or costs claimed for reimbursement if the Recipient or the Recipient's consultant or contractor or other agent fails to personally attest that the information is true, accurate, and complete the best of one's knowledge. (Wat. Code, § 13498.) The State Water Board may impose civil liability administratively against any person who makes a misrepresentation in any submittal to the State Water Board, including, but not limited to, an application, report, certification, record, invoice, form, or other document that is submitted to the State Water Board relating to a financial assistance agreement. (Wat. Code, § 13499.) C.2.4 Judicial remedies. Whenever the State Water Board determines that an Event of Default shall have occurred, the State Water Board may enforce its rights under this Agreement by any judicial proceeding, whether at law or in equity. Without limiting the generality of the foregoing, the State Water Board may: i. by suit in equity, require the Recipient to account for amounts relating to this Agreement as if the Recipient were the trustee of an express trust; ii. by mandamus or other proceeding, compel the performance by the Recipient and any of its officers, agents, and employees of any duty under the law or of any obligation or covenant under this Agreement, including but not limited to the imposition and collection of rates for the services of the System sufficient to meet all requirements of this Agreement, and iii. take whatever action at law or in equity as may appear necessary or desirable to the State Water Board to collect the Payments then due or thereafter to become due, or to enforce performance of any obligation or covenant of the Recipient under this Agreement. C.2.5 Termination. Upon an Event of Default, the State Water Board may terminate this Agreement. Interest shall accrue on all amounts due at the highest legal rate of interest from the date that the State Water Board delivers notice of termination to the Recipient. C.2.6 Damages for Breach of Tax -Exempt Status. City Council ` __ "23 — 33 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 23 of 48 In the event that any breach of any of the provisions of this Agreement by the Recipient results in the loss of tax-exempt status for any bonds of the State or any subdivision or agency thereof, or if such breach results in an obligation on the part of the State or any subdivision or agency thereof to reimburse the federal government by reason of any arbitrage profits, the Recipient must immediately reimburse the State or any subdivision or agency thereof in an amount equal to any damages paid by or loss incurred by the State or any subdivision or agency thereof due to such breach. C.2.7 Damages for Breach of Federal Conditions In the event that any breach of any of the provisions of this Agreement by the Recipient results in the failure of Project Funds to be used pursuant to the provisions of this Agreement, or if such breach results in an obligation on the part of the State or any subdivision or agency thereof to reimburse the federal government, the Recipient must immediately reimburse the State or any subdivision or agency thereof in an amount equal to any damages paid by or loss incurred by the State or any subdivision or agency thereof due to such breach. C.2.8 Remedies and Limitations. None of the remedies available to the State Water Board shall be exclusive of any other remedy, and each such remedy shall be cumulative and in addition to every other remedy given hereunder or now or hereafter existing at law or in equity. The State Water Board may exercise any remedy, now or hereafter existing, without exhausting and without regard to any other remedy. Any claim of the Recipient is limited to the rights and remedies provided to the Recipient under this Agreement and is subject to the claims procedures provided to the Recipient under this Agreement. C.2.9 Non -Waiver. Nothing in this Agreement shall affect or impair the Recipient's Obligation to pay Payments as provided herein or shall affect or impair the right of the State Water Board to bring suit to enforce such payment. No delay or omission of the State Water Board in the exercise of any right arising upon an Event of Default shall impair any such right or be construed to be a waiver of any such Event of Default. The State Water Board may exercise from time to time and as often as shall be deemed expedient by the State Water Board, any remedy or right provided by law or pursuant to this Agreement. C.2.10 Status Quo. If any action to enforce any right or exercise any remedy shall be brought and either discontinued or determined adversely to the State Water Board, then the State Water Board shall be restored to its former position, rights and remedies as if no such action had been brought. C.3 STANDARD CONDITIONS C.3.1 Access, Inspection, and Public Records. The Recipient must ensure that the State Water Board, the Governor of the State, the United States Environmental Protection Agency, the Office of Inspector General, any member of Congress, or any authorized representative of the foregoing, will have safe and suitable access to the Project site at all reasonable times during Project construction and thereafter for the term of the Agreement. The Recipient acknowledges that, except for a subset of information regarding archaeological records, the Project records and locations are public records, including but not limited to all of the submissions accompanying the application, all of the documents incorporated into this Agreement by reference, and all reports, reimbursement requests, and supporting documentation submitted hereunder. City Council ` __ "23 — 34 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 24 of 48 C.3.2 Accounting and Auditing Standards, Financial Management Systems, Records Retention (a) The Recipient must maintain project accounts according to GAAP as issued by the Governmental Accounting Standards Board (GASB) or its successor. The Recipient must maintain GAAP-compliant project accounts, including GAAP requirements relating to the reporting of infrastructure assets. (b) The Recipient must comply with federal standards for financial management systems. The Recipient agrees that, at a minimum, its fiscal control and accounting procedures will be sufficient to permit preparation of reports required by the federal government and tracking of Project funds to a level of expenditure adequate to establish that such funds have not been used in violation of federal or state law or the terms of this Agreement. To the extent applicable, the Recipient is bound by, and must comply with, the provisions and requirements of the federal Single Audit Act of 1984 and 2 CFR Part 200, subpart F, and updates or revisions, thereto. (c) Without limitation of the requirement to maintain Project accounts in accordance with GAAP, the Recipient must: i. Establish an official file for the Project which adequately documents all significant actions relative to the Project, ii. Establish separate accounts which will adequately and accurately depict all amounts received and expended on the Project, including all assistance funds received under this Agreement; iii. Establish separate accounts which will adequately depict all income received which is attributable to the Project, specifically including any income attributable to assistance funds disbursed under this Agreement; iv. Establish an accounting system which will accurately depict final total costs of the Project, including both direct and indirect costs, V. Establish such accounts and maintain such records as may be necessary for the State to fulfill federal reporting requirements, including any and all reporting requirements under federal tax statutes or regulations, and vi. If Force Account is used by the Recipient for any phase of the Project, other than for planning, design, and construction engineering and administration provided for by allowance, accounts will be established which reasonably document all employee hours charged to the Project and the associated tasks performed by each employee. (d) The Recipient must maintain separate books, records and other material relative to the Project. The Recipient must also retain such books, records, and other material for itself and for each contractor or subcontractor who performed or performs work on this project for a minimum of thirty-six (36) years after Completion of Construction. The Recipient must require that such books, records, and other material are subject at all reasonable times (at a minimum during normal business hours) to inspection, copying, and audit by the State Water Board, the California State Auditor, the Bureau of State Audits, the United States Environmental Protection Agency (USEPA), the Office of Inspector General, the Internal Revenue Service, the Governor, or any authorized representatives of the aforementioned. The Recipient must allow and must require its contractors to allow interviews during normal business hours of any employees who might reasonably have information related to such records. The Recipient agrees to include a similar duty regarding audit, interviews, and records retention in any contract or subcontract related to the performance of this Agreement. The provisions of this section survive the term of this Agreement. City Council ` __ "23 — 35 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 25 of 48 C.3.3 Amendment. No amendment or variation of the terms of this Agreement shall be valid unless made in writing and signed by both the Recipient and the Deputy Director or designee. Requests for amendments must be in writing and directed to the contact listed in Section 4 and to the Division's Chief of Loans and Grants Administration Section. C.3.4 Assignability. This Agreement is not assignable by the Recipient, either in whole or in part, without the consent of the State Water Board in the form of a formal written amendment to this Agreement. C.3.5 Audit. (a) The Division may call for an audit of financial information relative to the Project if the Division determines that an audit is desirable to assure program integrity or if an audit becomes necessary because of state or federal requirements. If an audit is called for, the audit must be performed by a certified public accountant independent of the Recipient and at the cost of the Recipient. The audit must be in the form required by the Division. (b) Audit disallowances must be returned to the State Water Board. C.3.6 Bonding. Where contractors are used, the Recipient must not authorize construction to begin until each contractor has furnished a performance bond in favor of the Recipient in the following amounts: faithful performance (100%) of contract value; labor and materials (100%) of contract value. This requirement shall not apply to any contract for less than $25,000.00. C.3.7 Competitive Bidding Recipient must adhere to any applicable state law or local ordinance for competitive bidding and applicable labor laws. C.3.8 Compliance with Applicable Laws, Rules, and Requirements. The Recipient must, at all times, comply with and require its contractors and subcontractors to comply with all applicable federal and state laws, rules, guidelines, regulations, and requirements. Without limitation of the foregoing, to the extent applicable, the Recipient must: (a) Comply with the provisions of the adopted environmental mitigation plan, if any, for the term of this Agreement; (b) Comply with the Policy, and (c) Comply with and require compliance with the state and federal requirements set forth elsewhere in this Agreement. C.3.9 Computer Software. The Recipient certifies that it has appropriate systems and controls in place to ensure that state funds will not be used in the performance of this Agreement for the acquisition, operation or maintenance of computer software in violation of copyright laws. City Council `—.— "23 — 36 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 26 of 48 C.3.10 Conflict of Interest The Recipient certifies that its owners, officers, directors, agents, representatives, and employees are in compliance with applicable state and federal conflict of interest laws. C.3.11 Continuous Use of Project, No Lease, Sale, Transfer of Ownership, or Disposal of Project. The Recipient agrees that, except as provided in this Agreement, it will not abandon, substantially discontinue use of, lease, sell, transfer ownership of, or dispose of all or a significant part or portion of the Project during the Useful Life of the Project without prior written approval of the Division. Such approval may be conditioned as determined to be appropriate by the Division, including a condition requiring repayment of all disbursed Project Funds or all or any portion of all remaining funds covered by this Agreement together with accrued interest and any penalty assessments that may be due. C.3.12 Data Management. The Recipient will undertake appropriate data management activities so that Project data can be incorporated into statewide data systems. C.3.13 Disputes (a) The Recipient may appeal a staff decision within 30 days to the Deputy Director of the Division or designee, for a final Division decision. The Recipient may appeal a final Division decision to the State Water Board within 30 days. The Office of the Chief Counsel of the State Water Board will prepare a summary of the dispute and make recommendations relative to its final resolution, which will be provided to the State Water Board's Executive Director and each State Water Board Member. Upon the motion of any State Water Board Member, the State Water Board will review and resolve the dispute in the manner determined by the State Water Board. Should the State Water Board determine not to review the final Division decision, this decision will represent a final agency action on the dispute. (b) This clause does not preclude consideration of legal questions, provided that nothing herein shall be construed to make final the decision of the State Water Board, or any official or representative thereof, on any question of law. (c) Recipient must continue with the responsibilities under this Agreement during any dispute. (d) This section relating to disputes does not establish an exclusive procedure for resolving claims within the meaning of Government Code sections 930 and 930.4. C.3.14 [Reserved.] C.3.15 Environmental Clearance (a) No work that is subject to CEQA or NEPA may proceed under this Agreement unless the State Water Board has provided environmental clearance. The State Water Board may require changes in the scope of work or additional mitigation as a condition to providing construction or implementation funding under this Agreement. Recipient shall not perform any work subject to CEQA and/or NEPA before the State Water Board completes its environmental review and specifies any changes in scope or additional mitigation that may be required. Proceeding with work subject to CEQA and/or NEPA without approval by the State Water Board shall constitute a breach of a material provision of this Agreement. (b) If this Project includes modification of a river or stream channel, the Recipient must fully mitigate environmental impacts resulting from the modification. The Recipient must provide documentation that City Council `—.— "23 — 37 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 27 of 48 the environmental impacts resulting from such modification will be fully mitigated considering all of the impacts of the modification and any mitigation, environmental enhancement, and environmental benefit resulting from the Project, and whether, on balance, any environmental enhancement or benefit equals or exceeds any negative environmental impacts of the Project. C.3.16 Governing Law. This Agreement is governed by and shall be interpreted in accordance with the laws of the State of California. C.3.17 Income Restrictions. The Recipient agrees that any refunds, rebates, credits, or other amounts (including any interest thereon) accruing to or received by the Recipient under this Agreement must be paid by the Recipient to the State Water Board, to the extent that they are properly allocable to costs for which the Recipient has been reimbursed by the State Water Board under this Agreement. C.3.18 Indemnification and State Reviews. The parties agree that review or approval of Project plans and specifications by the State Water Board is for administrative purposes only, including conformity with application and eligibility criteria, and expressly not for the purposes of design defect review or construction feasibility, and does not relieve the Recipient of its responsibility to properly plan, design, construct, operate, and maintain the Project. To the extent permitted by law, the Recipient agrees to indemnify, defend, and hold harmless the State Water Board, the Bank, and any trustee, and their officers, employees, and agents for the Bonds, if any (collectively, 'Indemnified Persons"), against any loss or liability arising out of any claim or action brought against any Indemnified Persons from and against any and all losses, claims, damages, liabilities, or expenses, of every conceivable kind, character, and nature whatsoever arising out of, resulting from, or in any way connected with (1) the System or the Project or the conditions, occupancy, use, possession, conduct, or management of, work done in or about, or the planning, design, acquisition, installation, or construction, of the System or the Project or any part thereof, (2) the carrying out of any of the transactions contemplated by this Agreement or any related document, (3) any violation of any applicable law, rule or regulation, any environmental law (including, without limitation, the Federal Comprehensive Environmental Response, Compensation and Liability Act, the Resource Conservation and Recovery Act, the California Hazardous Substance Account Act, the Federal Water Pollution Control Act, the Clean Air Act, the Toxic Substances Control Act, the Occupational Safety and Health Act, the Safe Drinking Water Act, the California Hazardous Waste Control Law, and California Water Code Section 13304, and any successors to said laws), rule or regulation or the release of any toxic substance on or near the System or the Project, or (4) any untrue statement or alleged untrue statement of any material fact or omission or alleged omission to state a material fact necessary to make the statements required to be stated therein, in light of the circumstances under which they were made, not misleading with respect to any information provided by the Recipient for use in any disclosure document utilized in connection with any of the transactions contemplated by this Agreement, except those arising from the gross negligence or willful misconduct of the Indemnified Persons. The Recipient must also provide for the defense and indemnification of the Indemnified Persons in any contractual provision extending indemnity to the Recipient in any contract let for the performance of any work under this Agreement, and must cause the Indemnified Persons to be included within the scope of any provision for the indemnification and defense of the Recipient in any contract or subcontract. To the fullest extent permitted by law, the Recipient agrees to pay and discharge any judgment or award entered or made against Indemnified Persons with respect to any such claim or action, and any settlement, compromise or other voluntary resolution. The provisions of this section survive the term of this Agreement. City Council `—.— "23 — 38 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 28 of 48 C.3.19 Independent Actor The Recipient, and its agents and employees, if any, in the performance of this Agreement, shall act in an independent capacity and not as officers, employees, or agents of the State Water Board. C.3.20 Integration. This Agreement constitutes the complete and final agreement between the parties. No oral or written understanding or agreement not incorporated in this Agreement shall be binding on either party. C.3.21 Leveraging Covenants. (a) Notwithstanding any other provision hereof, the Recipient covenants and agrees that it will comply with the Tax Covenants set forth in Exhibit F of this Agreement. (b) The Recipient covenants to furnish such financial, operating and other data pertaining to the Recipient as may be requested by the State Water Board to: (i) enable the State Water Board to cause the issuance of Bonds and provide for security therefor; or (ii) enable any underwriter of Bonds issued for the benefit of the State Water Board to comply with Rule 15c2-12(b)(5). (c) The Recipient further covenants to provide the State Water Board with copies of all continuing disclosure documents or reports that are disclosed pursuant to (i) the Recipient's continuing disclosure undertaking or undertakings made in connection with any outstanding System Obligation, (ii) the terms of any outstanding System Obligation, or (iii) a voluntary disclosure of information related to an outstanding System Obligation. The Recipient must disclose such documents or reports to the State Water Board at the same time such documents or reports are submitted to any dissemination agent, trustee, nationally recognized municipal securities information repository, the Municipal Securities Rulemaking Board's Electronic Municipal Market Access (EMMA) website or other person or entity. C.3.22 No Discrimination (a) The Recipient must comply with Government Code section 11135 and the implementing regulations (Cal. Code Regs, tit. 2, § 11140 et sec.), including, but not limited to, ensuring that no person is unlawfully denied full and equal access to the benefits of, or unlawfully subjected to discrimination in the operation of, the Project or System on the basis of sex, race, color, religion, ancestry, national origin, ethnic group identification, age, mental disability, physical disability, medical condition, genetic information, marital status, or sexual orientation as such terms are defined under California law, for as long as the Recipient retains ownership or possession of the Project. (b) If Project Funds are used to acquire or improve real property, the Recipient must include a covenant of nondiscrimination running with the land in the instrument effecting or recording the transfer of such real property. (c) The Recipient must comply with the federal American with Disabilities Act of 1990 and implementing regulations as required by Government Code section 11135(b). (d) The Recipient's obligations under this section shall survive the term of this Agreement. (e) During the performance of this Agreement, Recipient and its contractors and subcontractors must not unlawfully discriminate, harass, or allow harassment against any employee or applicant for employment because of sex, race, color, ancestry, religious creed, national origin, sexual orientation, physical disability (including HIV and AIDS), mental disability, medical condition (cancer), age (over 40), marital City Council `—.— "23 — 39 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 29 of 48 status, denial of family care leave, or genetic information, gender, gender identity, gender expression, or military and veteran status. (f) The Recipient, its contractors, and subcontractors must ensure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment. (g) The Recipient, its contractors, and subcontractors must comply with the provisions of the Fair Employment and Housing Act and the applicable regulations promulgated thereunder. (Gov. Code, §12990, subds. (a)-(f) et seq.,Cal. Code Regs., tit. 2, § 7285 et seq.) Such regulations are incorporated into this Agreement by reference and made a part hereof as if set forth in full. (h) The Recipient, its contractors, and subcontractors must comply with all applicable federal civil rights regulations, including statutory and national policy requirements. (2 CFR § 200.300). This includes, to the greatest extent practicable and to the extent permitted by law, the requirement to respect and protect the freedom of persons and organizations to engage in political and religious speech. (Executive Order 13798). (i) The Recipient, its contractors, and subcontractors must give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other agreement. (j) The Recipient must include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under this Agreement. C.3.23 No Third Party Rights. The parties to this Agreement do not create rights in, or grant remedies to, any third party as a beneficiary of this Agreement, or of any duty, covenant, obligation, or undertaking established herein. C.3.24 No Obligation of the State. Any obligation of the State Water Board herein contained shall not be an obligation, debt, or liability of the State and any such obligation shall be payable solely out of the moneys encumbered pursuant to this Agreement. C.3.25 Notice. Upon the occurrence of any of the following events, the Recipient must provide notice as set forth below. (a) Within 24 hours of the following, the Recipient must notify the Division by phone at (916) 327-9978 and by email to crysten.colefaDwaterboards.ca.gov and robert.00ntureri(awaterboards.ca.gov and CleanWaterSRF@waterboards.ca.gov: i. The seizure of, or levy on, any Revenues securing this Agreement, ii. Any discovery of any potential tribal cultural resource and/or archaeological or historical resource. Should a potential tribal cultural resource and/or archaeological or historical resource be discovered during construction or Project implementation, the Recipient must ensure that all work in the area of the find will cease until a qualified archaeologist has evaluated the situation and made recommendations regarding preservation of the resource, and the Division has determined what actions should be taken to protect and preserve the resource. The Recipient must implement appropriate actions as directed by the Division. (b) [Reserved.] City Council `—.— "23 — 40 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 30 of 48 (c) Within five (5) business days, the Recipient must notify the Division by phone at (916) 327-9978; by email to Lance.Reese@waterboards.ca.gov crvsten.cole(c)waterboards.ca.cov and robert.pontureri0waterboards.ca.cov and Clean WaterSRF(cDwaterboards.ca.gov; and by mail to the contact address set forth in Section 4 of this Agreement of the occurrence of any of the following events: i. Bankruptcy, insolvency, receivership or similar event of the Recipient, or actions taken in anticipation of any of the foregoing, ii. Change of ownership of the Project or the System or change of management or service contracts, if any, for operation of the System; iii. Loss, theft, damage, or impairment to Project, the Revenues or the System; iv. Failure to meet any debt service coverage test in Exhibit B of this Agreement; v. Draws on the Reserve Fund; vi. Listed Events and Events of Default, except as otherwise set forth in this section; vii. Failure to observe or perform any covenant or comply with any condition in this Agreement, viii. An offer from a public entity to purchase the Project or the System or any portion thereof, or any of the real or personal property related to or necessary for the Project, ix. A proceeding or action by a public entity to acquire the Project or the System by power of eminent domain, x. Incurrence of a System Obligation or other Material Obligation by the Recipient, or xi. A default, event of acceleration, termination event, modification of terms, or other similar event under the terms of a System Obligation or other Material Obligation of the Recipient, any of which reflect financial difficulties. (d) Within ten (10) business days, the Recipient must notify the Division by phone at (916) 327-9978, by email to crysten.cole(c)waterboards.ca.gov and robert.pontureriowaterboards.ca.gov and CleanWaterSRFO_waterboards.ca.gov, and by mail to the contact address set forth in Section 4 of this Agreement of the following events: i. Material defaults on Material Obligations, other than this Obligation, ii. Unscheduled draws on material debt service reserves or credit enhancements, reflecting financial difficulties, iii. Substitution of credit or liquidity providers, if any or their failure to perform, iv. Any litigation pending or threatened with respect to the Project or the Recipient's technical, managerial or financial capacity to operate the System or the Recipient's continued existence, v. Circulation of a petition to repeal, reduce, or otherwise challenge the Recipient's rates for services of the System, vi. Consideration of dissolution, or disincorporation, or any other event that could materially impair the Revenues; vii. Adverse tax opinions, the issuance by the Internal Revenue Service or proposed or final determinations of taxability, Notices of Proposed Issue (IRS Form 5701- TEB) or other material notices of determinations with respect to the tax status of any tax-exempt bonds, viii. Rating changes on outstanding System Obligations, if any, ix. Enforcement actions by or brought on behalf of the State Water Board or Regional Water Board; or x. Any investigation by the District Attorney, California State Auditor, Bureau of State Audits, United States Environmental Protection Agency's Office of Inspector General, the Internal Revenue Service, Securities and Exchange City Council ` __ "23 — 41 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 31 of 48 Commission, a grand jury, or any other state or federal agency, relating to the Recipient's financial management, accounting procedures, or internal fiscal controls, (e) The Recipient must notify the Division promptly by phone at (916) 327-9978, by email to crvsten.cole(a_)waterboards.ca.00v and robert.pontureri(o)_waterboards.ca.00v and Clean WaterSRF(cDwaterboards.ca.gov, and by mail to the contact address set forth in Section 4 of this Agreement of any of the following events: i. The discovery of a false statement of fact or representation made in this Agreement or in the application to the Division for this financial assistance, or in any certification, report, or request for reimbursement made pursuant to this Agreement, by the Recipient, its employees, agents, or contractors; ii. Any substantial change in scope of the Project. The Recipient must undertake no substantial change in the scope of the Project until prompt written notice of the proposed change has been provided to the Division and the Division has given written approval for the change, iii. Cessation of all major construction work on the Project where such cessation of work is expected to or does extend for a period of thirty (30) days or more, iv. Any circumstance, combination of circumstances, or condition, which is expected to or does delay Completion of Construction for a period of ninety (90) days or more, v. Discovery of any unexpected endangered or threatened species, as defined in the federal Endangered Species Act. Should a federally protected species be unexpectedly encountered during construction of the Project, the Recipient agrees to promptly notify the Division. This notification is in addition to the Recipient's obligations under the federal Endangered Species Act, vi. Any Project monitoring, demonstration, or other implementation activities required in Exhibit A or Exhibit D of this Agreement, if any, vii. Any public or media event publicizing the accomplishments and/or results of this Agreement and provide the opportunity for attendance and participation by state representatives with at least ten (10) working days' notice to the Division, viii. Any allegation of research misconduct involving research activities that are supported in whole or in part with EPA funds under this Project, as required by Exhibit C.4.3(xxvii); ix. Any events requiring notice to the Division pursuant to the provisions of this Agreement; x. Completion of Construction of the Project, and actual Project Completion, xi. The award of the prime construction contract for the Project, xii. Initiation of construction of the Project. C.3.26 Operation and Maintenance, Insurance. The Recipient agrees to sufficiently and properly staff, operate and maintain all portions of the System during the Useful Life of the Project in accordance with all applicable state and federal laws, rules, and regulations. The Recipient will procure and maintain or cause to be maintained insurance on the System with responsible insurers, or as part of a reasonable system of self-insurance, in such amounts and against such risks (including damage to or destruction of the System) as are usually covered in connection with systems similar to the System. Such insurance may be maintained by a self-insurance plan so long as such plan provides for (i) the establishment by the Recipient of a separate segregated self-insurance fund in an amount determined (initially and on at least an annual basis) by an independent insurance City Council `—.— "23 — 42 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 32 of 48 consultant experienced in the field of risk management employing accepted actuarial techniques and (ii) the establishment and maintenance of a claims processing and risk management program. In the event of any damage to or destruction of the System caused by the perils covered by such insurance, the net proceeds thereof shall be applied to the reconstruction, repair or replacement of the damaged or destroyed portion of the System. The Recipient must begin such reconstruction, repair or replacement as expeditiously as possible, and must pay out of such net proceeds all costs and expenses in connection with such reconstruction, repair or replacement so that the same must be completed and the System must be free and clear of all claims and liens. If such net proceeds are insufficient to reconstruct, repair, or restore the System to the extent necessary to enable the Recipient to pay all remaining unpaid principal portions of the Payments, if any, in accordance with the terms of this Agreement, the Recipient must provide additional funds to restore or replace the damaged portions of the System. Recipient agrees that for any policy of insurance concerning or covering the construction of the Project, it will cause, and will require its contractors and subcontractors to cause, a certificate of insurance to be issued showing the State Water Board, its officers, agents, employees, and servants as additional insured; and must provide the Division with a copy of all such certificates prior to the commencement of construction of the Project. C.3.27 Permits, Subcontracting, and Remedies Recipient must procure all permits, licenses and other authorizations necessary to accomplish the work contemplated in this Agreement, pay all charges and fees, and give all notices necessary and incidental to the due and lawful prosecution of the work. Signed copies of any such permits or licenses must be submitted to the Division before any construction begins. The Recipient must not contract or allow subcontracting with excluded parties. The Recipient must not contract with any party who is debarred or suspended or otherwise excluded from or ineligible for participation in any work overseen, directed, funded, or administered by the State Water Board program for which this funding is authorized. For any work related to this Agreement, the Recipient must not contract with any individual or organization on the State Water Board's List of Disqualified Businesses and Persons that is identified as debarred or suspended or otherwise excluded from or ineligible for participation in any work overseen, directed, funded, or administered by the State Water Board program for which funding under this Agreement is authorized. The State Water Board's List of Disqualified Businesses and Persons is located at htto://www.waterboards.ca.aov/water issues/groarams/enforcement/fwa/dbo.shtml C.3.28 Professionals The Recipient agrees that only licensed professionals will be used to perform services under this Agreement where such services are called for. All technical reports required pursuant to this Agreement that involve planning, investigation, evaluation, design, or other work requiring interpretation and proper application of engineering, architectural, or geologic sciences, shall be prepared by or under the direction of persons registered to practice in California pursuant to Business and Professions Code, sections 5536.1, 6735, 7835, and 7835.1. To demonstrate compliance with California Code of Regulations, title 16, sections 415 and 3065, all technical reports must contain a statement of the qualifications of the responsible registered professional(s). As required by these laws, completed technical reports must bear the signature(s) and seal(s) of the registered professional(s) in a manner such that all work can be clearly attributed to the professional responsible for the work. City Council `—.— "23 — 43 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 33 of 48 C.3.29 Prevailing Wages The Recipient agrees to be bound by all applicable provisions of State Labor Code regarding prevailing wages. The Recipient must monitor all agreements subject to reimbursement from this Agreement to ensure that the prevailing wage provisions of the State Labor Code are being met. In addition, the Recipient agrees to comply with the Davis -Bacon provisions incorporated by reference in Section 3 of this Agreement. C.3.30 Public Funding. This Project is publicly funded. Any service provider or contractor with which the Recipient contracts must not have any role or relationship with the Recipient, that, in effect, substantially limits the Recipient's ability to exercise its rights, including cancellation rights, under the contract, based on all the facts and circumstances. C.3.31 Recipient's Responsibility for Work. The Recipient shall be responsible for all work and for persons or entities engaged in work performed pursuant to this Agreement, including, but not limited to, contractors, subcontractors, suppliers, and providers of services. The Recipient shall be responsible for responding to any and all disputes arising out of its contracts for work on the Project. The State Water Board will not mediate disputes between the Recipient and any other entity concerning responsibility for performance of work. C.3.32 Related Litigation Under no circumstances may the Recipient use funds from any reimbursement under this Agreement to pay costs associated with any litigation the Recipient pursues against the State Water Board or any Regional Water Quality Control Board. Regardless of the outcome of any such litigation, and notwithstanding any conflicting language in this Agreement, the Recipient agrees to repay all of the disbursed funds plus interest in the event that Recipient does not complete the project. C.3.33 Rights in Data. The Recipient agrees that all data, plans, drawings, specifications, reports, computer programs, operating manuals, notes, and other written or graphic work produced in the performance of this Agreement are subject to the rights of the State as set forth in this section. The State shall have the right to reproduce, publish, and use all such work, or any part thereof, in any manner and for any purposes whatsoever and to authorize others to do so. If any such work is copyrightable, the Recipient may copyright the same, except that, as to any work which is copyrighted by the Recipient, the State reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish, and use such work, or any part thereof, and to authorize others to do so, and to receive electronic copies from the Recipient upon request. C.3.34 State Water Board Action, Costs and Attorney Fees Any remedy provided in this Agreement is in addition to and not in derogation of any other legal or equitable remedy available to the State Water Board as a result of breach of this Agreement by the Recipient, whether such breach occurs before or after completion of the Project, and exercise of any remedy provided by this Agreement by the State Water Board shall not preclude the State Water Board from pursuing any legal remedy or right which would otherwise be available. In the event of litigation between the parties hereto arising from this Agreement, it is agreed that each party shall bear its own costs and attorney fees. City Council ` __ "23 — 44 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 34 of 48 C.3.35 Timeliness. Time is of the essence in this Agreement. C.3.36 Unenforceable Provision. In the event that any provision of this Agreement is unenforceable or held to be unenforceable, then the parties agree that all other provisions of this Agreement have force and effect and shall not be affected thereby. C.3.37 Venue. Any action arising out of this Agreement shall be filed and maintained in the Superior Court in and for the County of Sacramento, California. C.3.38 Waiver and Rights of the State Water Board. Any waiver of rights by the State Water Board with respect to a default or other matter arising under this Agreement at any time shall not be considered a waiver of rights with respect to any other default or matter. Any rights and remedies of the State Water Board provided for in this Agreement are in addition to any other rights and remedies provided by law. CA MISCELLANEOUS STATE AND FEDERAL REQUIREMENTS C.4.1 [Reserved.] C.4.2 State Cross -Cutters. Recipient represents that, as applicable, it complies and covenants to maintain compliance with the following for the term of the Agreement: i. The California Environmental Quality Act (CEQA), as set forth in Public Resources Code 21000 et seq. and in the CEQA Guidelines at Title 14, Division 6, Chapter 3, Section 15000 et seq. ii. Water Conservation requirements, including regulations in Division 3 of Title 23 of the California Code of Regulations. iii. Monthly Water Diversion Reporting requirements, including requirements set forth in Water Code section 5103. iv. Public Works Contractor Registration with Department of Industrial Relations requirements, including requirements set forth in Sections 1725.5 and 1771.1 of the Labor Code. V. Volumetric Pricing & Water Meters requirements, including the requirements of Water Code sections 526 and 527. vi. Urban Water Management Plan requirements, including the Urban Water Management Planning Act (Water Code, § 10610 et sec.). vii. Urban Water Demand Management requirements, including the requirements of Section 10608.56 of the Water Code. City Council ` __ "23 — 45 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 35 of 48 viii. Delta Plan Consistency Findings requirements, including the requirements of Water Code section 85225 and California Code of Regulations, title 23, section 5002. ix. Agricultural Water Management Plan Consistency requirements, including the requirements of Water Code section 10852. X. Charter City Project Labor Requirements, including the requirements of Labor Code section 1782 and Public Contract Code section 2503. C.4.3 Federal Requirements and Cross -Cutters for SRF Funding. The Recipient acknowledges, warrants compliance with, and covenants to continuing compliance with the following federal terms and conditions for the Useful Life of the Project: Unless the Recipient has obtained a waiver from USEPA on file with the State Water Board or unless this Project is not a project for the construction, alteration, maintenance or repair of a public water system or treatment work, the Recipient shall not purchase "iron and steel products" produced outside of the United States on this Project Unless the Recipient has obtained a waiver from USEPA on file with the State Water Board or unless this Project is not a project for the construction, alteration, maintenance or repair of a public water system or treatment work, the Recipient hereby certifies that all "iron and steel products" used in the Project were or will be produced in the United States. For purposes of this section, the term "iron and steel products" means the following products made primarily of iron or steel: lined or unlined pipes and fittings, manhole covers and other municipal castings, hydrants, tanks, flanges, pipe clamps and restraints, valves, structural steel, reinforced precast concrete, and construction materials. "Steel" means an alloy that includes at least 50 percent iron, between .02 and 2 percent carbon, and may include other elements. The Recipient acknowledges that funds received under this Agreement are subject to the Build America Buy America (BABA) requirements of Public Law 117-58 (the Infrastructure Investment and Jobs Act, also known as the Bipartisan Infrastructure Law (BIL), signed into law on November 15, 2021), which are in addition to "iron and steel products" requirements described in section C.4.3 (i) above. Specifically, unless (1) the Recipient has requested and obtained a waiver from USEPA on file with the State Water Board pertaining to the Project or the Project is otherwise covered by a general applicability waiver, as confirmed in writing by the State Water Board, or (2) the State Water Board and, to the extent the Project is co -funded by any other agency using federal funds subject to BABA requirements, each such agency, has advised the Recipient in writing that the BABA requirements are not applicable to the Project, the Recipient shall ensure and certifies that, as these terms are defined within and made applicable by Public Law 117-58: (a) all iron and steel used in the Project are produced in the United States; (b) the manufactured products used in the Project are produced in the United States; and (c) the construction materials used in the Project are produced in the United States. The Recipient must comply and require its contractors and subcontractors to comply with all applicable BABA requirements and reporting and must inform the State Water Board immediately of any information regarding a violation of the foregoing. Based on representations made by the Recipient and corresponding evidence on file with the State Water Board, the Project qualifies for the "Adjustment Period Waiver of Section 70914(a) of P.L. 117-58, Build America, Buy America Act, 2021 for SRF Projects that have Initiated Design Planning", found at EPA - SRF - Final Waiver - Adjustment Period September 2022 - Sioned.odf. This waiver applies to projects that have initiated project design planning prior to May 14, 2022, the statutory effective date of the BABA requirements, and permits the use of non - domestic manufactured products and construction materials that would otherwise be prohibited City Council `."'V' 23 — 46 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 36 of 48 under the BABA requirements. This program waiver does not waive the iron and steel requirements under BABA. Sections 70917(a) and (b) of BIL provide a savings provision for existing statutory requirements that meet or exceed BABA requirements, such as the "iron and steel products" requirements applicable to SRF funded projects referenced in section C.4.3 (i) above, which will continue to apply as part of BABA requirements." iii. The Recipient must comply with the signage requirements set forth in Exhibit A. iv. The Recipient shall notify the State Water Board and the USEPA contact of public or media events publicizing the accomplishment of significant events related to this Project and provide the opportunity for attendance and participation by federal representatives with at least ten (10) working days' notice. V. No Recipient may receive funding under this Agreement unless it has provided its Unique Entity Identifier, assigned by the System for Award management, to the State Water Board. vi. The Recipient shall comply with applicable USEPA general terms and conditions found at https://www. a pa. g ov/g rants/epa-genera I-terms-and-cond itions-effective-october-1-2022-or-later. vii. The Recipient represents and warrants that it and its principals are not excluded or disqualified from participating in this transaction as such terms are defined in Parts 180 and 1532 of Title 2 of the Code of Federal Regulations (2 CFR). If the Recipient is excluded after execution of this Agreement, the Recipient shall notify the Division within ten (10) days and shall inform the Division of the Recipient's exclusion in any request for amendment of this Agreement. The Recipient shall comply with Subpart C of Part 180 of 2 CFR, as supplemented by Subpart C of Part 1532 of 2 CFR. Such compliance is a condition precedent to the State Water Board's performance of its obligations under this Agreement. When entering into a covered transaction as defined in Parts 180 and 1532 of 2 CFR, the Recipient shall require the other party to the covered transaction to comply with Subpart C of Part 180 of 2 CFR, as supplemented by Subpart C of Part 1532 of 2 CFR. viii. To the extent applicable, the Recipient shall disclose to the State Water Board any potential conflict of interest consistent with USEPA's Final Financial Assistance Conflict of Interest Policy at https://www.epa.gov/arants/epas-final-financial-assistance-conflict-interest-policy. A conflict of interest may result in disallowance of costs. ix. USEPA and the State Water Board have the right to reproduce, publish, use and authorize others to reproduce, publish and use copyrighted works or other data developed under this assistance agreement. X. Where an invention is made with Project Funds, USEPA and the State Water Board retain the right to a worldwide, nonexclusive, nontransferable, irrevocable, paid -up license to practice the invention owned by the Recipient. The Recipient must utilize the Interagency Edison extramural invention reporting system at httO/iEdison.gov and shall notify the Division when an invention report, patent report, or utilization report is filed. A. The Recipient agrees that any reports, documents, publications or other materials developed for public distribution supported by this Agreement shall contain the Disclosure statement set forth in Exhibit A. xii. The Recipient acknowledges that it is encouraged to follow guidelines established under Section 508 of the Rehabilitation Act, codified at 36 CFR Part 1194, with respect to enabling individuals with disabilities to participate in its programs supported by this Project. City Council 23 — 47 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 37 of 48 xiii. The Recipient, its employees, contractors and subcontractors and their employees warrants that it will not engage in severe forms of trafficking in persons, procure a commercial sex act during the term of this Agreement, or use forced labor in the performance of this Agreement. The Recipient must include this provision in its contracts and subcontracts under this Agreement. The Recipient must inform the State Water Board immediately of any information regarding a violation of the foregoing. The Recipient understands that failure to comply with this provision may subject the State Water Board to loss of federal funds. The Recipient agrees to compensate the State Water Board for any such funds lost due to its failure to comply with this condition, or the failure of its contractors or subcontractors to comply with this condition. The State Water Board may unilaterally terminate this Agreement if the Recipient that is a private entity is determined to have violated the foregoing. xiv. The Recipient certifies to the best of its knowledge and belief that: a. No federal appropriated funds have been paid or will be paid, by or on behalf of the Recipient, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. b. 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 in connection with this Agreement, the Recipient shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions, and notify the State Water Board. The Recipient shall require this certification from all parties to any contract or agreement that the Recipient enters into and under which the Recipient incurs costs for which it seeks reimbursements under this Agreement. xv. The Recipient must comply with the following federal non-discrimination requirements: a. Title VI of the Civil Rights Act of 1964, which prohibits discrimination based on race, color, and national origin, including limited English proficiency (LEP). b. Section 504 of the Rehabilitation Act of 1973, which prohibits discrimination against persons with disabilities. c. The Age Discrimination Act of 1975, which prohibits age discrimination. d. Section 13 of the Federal Water Pollution Control Act Amendments of 1972, which prohibits discrimination on the basis of sex. e. 40 CFR Part 7, as it relates to the foregoing. xvi. If the Project relates to construction of a publicly owned treatment works, where the Recipient contracts for program management, construction management, feasibility studies, preliminary engineering, design, engineering, surveying, mapping, or architectural related services, the Recipient shall ensure that any such contract is negotiated in the same manner as a contract for architectural and engineering services is negotiated under chapter 11 of title 40, United States Code, or an equivalent State qualifications -based requirement as determined by the State Water Board. xvii. If the Project relates to construction of a publicly owned treatment works, the Recipient certifies that it has developed and is implementing a fiscal sustainability plan for the Project, except as set forth in Exhibit D, that includes an inventory of critical assets that are a part of the Project, an evaluation of the condition and performance of inventoried assets or asset groupings, a certification that the Recipient has evaluated and will be implementing water and energy City Council ` __ "23 — 48 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 38 of 48 conservation efforts as part of the plan, and a plan for maintaining, repairing, and, as necessary, replacing the Project and a plan for funding such activities. xviii. Executive Order No. 11246. The Recipient shall include in its contracts and subcontracts related to the Project the following provisions: "During the performance of this contract, the contractor agrees as follows: "(a) The contractor will not discriminate against any employee or applicant for employment because of race, creed, color, or national origin. The contractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment, without regard to their race, creed, color, 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 by the contracting officer setting forth the provisions of this nondiscrimination clause. "(b) The contractor will, 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, creed, color, or national origin. "(c) The contractor will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice, to be provided by the agency contracting officer, advising the labor union or workers'representative of the contractor's commitments under Section 202 of Executive Order No. 11246 of September 24, 1965, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. "(d) The contractor will comply with all provisions of Executive Order No. 11246 of Sept. 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. "(e) The contractor will furnish all information and reports required by Executive Order No. 11246 of September 24, 1965, and by the rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the contracting agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders. "(f) In the event of the contractor's noncompliance with the nondiscrimination clauses of this contract or with any of such rules, regulations, or orders, this contract may be cancelled, terminated or suspended in whole or in part and the contractor may be declared ineligible for further Government contracts in accordance with procedures authorized in Executive Order No. 11246 of Sept 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order No. 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law. "(g) The contractor will include 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 No. 11246 of Sept. 24, 1965, so that such provisions will be binding upon each subcontractor or vendor. The contractor will take such action with respect to any subcontract or purchase order as the contracting agency may direct as a 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 contracting agency, the contractor City Council `— .— "23 — 49 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 39 of 48 may request the United States to enter into such litigation to protect the interests of the United States. " xix. The Recipient agrees to comply with the requirements of USEPA's Program for Utilization of Small, Minority and Women's Business Enterprises. xx. Procurement Prohibitions under Section 306 of the Clean Air Act and Section 508 of the Clean Water Act, including Executive Order 11738, Administration of the Clean Air Act and the Federal Water Pollution Control Act with Respect to Federal Contracts, Grants, or Loans; 42 USC § 7606; 33 USC § 1368. Except where the purpose of this Agreement is to remedy the cause of the violation, the Recipient may not procure goods, services, or materials from suppliers excluded under the federal System for Award Management: httr)J/www.sam.gov/. xxi. Uniform Relocation and Real Property Acquisition Policies Act, Pub. L. 91-646, as amended; 42 USC §§4601-4655. The Recipient must comply with the Act's implementing regulations at 49 CFR 24.101 through 24.105. xxii. The Recipient agrees that if its network or information system is connected to USEPA networks to transfer data using systems other than the Environmental Information Exchange Network or USEPA's Central Data Exchange, it will ensure that any connections are secure. xxiii. All geospatial data created pursuant to this Agreement that is submitted to the State Water Board for use by USEPA or that is submitted directly to USEPA must be consistent with Federal Geographic Data Committee endorsed standards. Information on these standards may be found at www.fadc.gov. xxiv. If the Recipient is a water system that serves 500 or fewer persons, the Recipient represents that it has considered publicly -owned wells as an alternative drinking water supply. xxv. The Recipient represents that it is not a corporation that has any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability; and it is not a corporation that was convicted of a felony criminal violation under a Federal law within the preceding 24 months. xxvi. The Recipient agrees to immediately notify the Project Manager in writing about any allegation of research misconduct involving research activities that are supported in whole or in part with EPA funds under this Project, including fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results, or ordering, advising, or suggesting that subordinates engage in research misconduct. xxvii. The Recipient agrees to comply with, and require all contractors and subcontractors to comply with, EPA's Scientific Integrity Policy, available at httips://wvjw.eipa.gov/osa/policy-epa-scientific- inteari , when conducting, supervising, and communicating science and when using or applying the results of science. For purposes of this condition scientific activities include, but are not limited to, computer modelling, economic analysis, field sampling, laboratory experimentation, demonstrating new technology, statistical analysis, and writing a review article on a scientific issue. The Recipient shall not suppress, alter, or otherwise impede the timely release of scientific findings or conclusions; intimidate or coerce scientists to alter scientific data, findings, or professional opinions or exert non -scientific influence on scientific advisory boards; knowingly misrepresent, exaggerate, or downplay areas of scientific uncertainty; or otherwise violate the EPA's Scientific Integrity Policy. The Recipient must refrain from acts of research misconduct, City Council 23 — 50 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 40 of 48 including publication or reporting, as described in EPA's Policy and Procedures for Addressing Research Misconduct, Section 9.C, and must ensure scientific findings are generated and disseminated in a timely and transparent manner, including scientific research performed by contractors and subcontractors. xxviii. The Recipient agrees to comply with the Animal Welfare Act of 1966 (7 USC 2131-2156). Recipient also agrees to abide by the "U.S. Government Principles for the Utilization and Care of Vertebrate Animals used in Testing, Research, and Training," available at htto://arants.nih.gov/grants/olaw/references/ hhsspol.htm#USGovPrinci Imes. xxix. The Recipient certifies that no Project Funds will be used on: a. Video surveillance or telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such entities), telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities); b. Telecommunications or video surveillance services produced by such entities, c. Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of the National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the government of a covered foreign country, or d. Other telecommunications or video surveillance services or equipment in violation of 2 CFR 200.216. The Recipient acknowledges that funds received under this Agreement are subject to federal requirements, including the Build America Buy America (BABA) provisions of Public Law 117-58 (the Infrastructure Investment and Jobs Act, also known as the Bipartisan Infrastructure Law (BIL), signed into law on November 15, 2021). Specifically, the Recipient shall ensure that, as these terms are defined within and made applicable by Public Law 117-58: (a) all iron and steel used in the Project are produced in the United States, (b) the manufactured products used in the Project are produced in the United States, and (c) the construction materials used in the Project are produced in the United States. Recipient represents that it has consulted with its counsel with respect to the application of these federal provisions. City Council `—.— "23 — 51 4/4/2023 EXHIBIT D — SPECIAL CONDITIONS Environmental: City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 41 of 48 1. The documents identified below are incorporated by reference and the Recipient shall comply with the conditions and recommendations therein: a) The Mitigation Monitoring and Reporting Program adopted by the City of Santa Ana on December 15, 2020, for the Project. The Recipient shall implement all mitigation measures therein. 2. The Recipient shall make no changes in the Project, construction area, or special conditions, without obtaining the appropriate and necessary prior approval(s) from the State Water Board. REPORTING TO THE STATE WATER BOARD In the Recipient's Progress Reports and the Project Completion Report, submitted pursuant to this Agreement, the Recipient shall include a discussion of the status of its compliance with environmental measures identified in this Exhibit D, with separate sections clearly labeled with section titles, discussing the status of Recipient's compliance with: a) Mitigation Monitoring and Reporting Program measures adopted for the Project. Executive Order N-6-22 — Russian Sanctions On March 4, 2022, Governor Gavin Newsom issued Executive Order N-6-22 (the EO) regarding Economic Sanctions against Russia and Russian entities and individuals. "Economic Sanctions" refers to sanctions imposed by the U.S. government in response to Russia's actions in Ukraine, as well as any sanctions imposed under state law. The EO directs state agencies to terminate contracts with, and to refrain from entering any new contracts with, individuals or entities that are determined to be a target of Economic Sanctions. Accordingly, should the State Water Board determine Recipient is a target of Economic Sanctions or is conducting prohibited transactions with sanctioned individuals or entities, that shall be grounds for termination of this Agreement. The State Water Board shall provide Recipient advance written notice of such termination, allowing Recipient at least 30 calendar days to provide a written response. Termination shall be at the sole discretion of the State Water Board. The Recipient represents that the Recipient is not a target of economic sanctions imposed in response to Russia's actions in Ukraine imposed by the United States government or the State of California. The Recipient is required to comply with the economic sanctions imposed in response to Russia's actions in Ukraine, including with respect to, but not limited to, the federal executive orders identified in California Executive Order N-6-22, located at https://www.00v.ca.00v/wo-content/uploads/2022/03/3.4.22-Russia- Ukraine-Executive-Order.pdf and the sanctions identified on the United States Department of the Treasury website (https://home.treasurv.00v/policy-issues/financial-sanctions/sanctions-programs-and- countrv-information/ukraine-russia-related-sanctions). The Recipient is required to comply with all applicable reporting requirements regarding compliance with the economic sanctions, including, but not limited to, those reporting requirements set forth in California Executive Order N-6-22 for all Recipients with one or more agreements with the State of California with an aggregated value of Five Million Dollars ($5,000,000) or more. Notwithstanding any other provision in this Agreement, failure to comply with the economic sanctions and all applicable reporting requirements may result in termination of this Agreement. For Recipients with an aggregated agreement value of Five Million Dollars ($5,000,000) or more with the State of California, reporting requirements include, but are not limited to, information related to steps taken in response to Russia's actions in Ukraine, including but not limited to: City Council `—.— `23 — 52 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 42 of 48 1. Desisting from making any new investments or engaging in financial transactions with Russian institutions or companies that are headquartered or have their principal place of business in Russia, 2. Not transferring technology to Russia or companies that are headquartered or have their principal place of business in Russia, and 3. Direct support to the government and people of Ukraine. City Council `—.— `23 — 53 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 43 of 48 EXHIBIT E — PAYMENT SCHEDULE See the attached preliminary Payment Schedule. The final Payment Schedule will be forwarded to the Recipient after all disbursements have been paid and construction of the Project has been completed. City Council Exhibit E23 — 54 4/4/2023 California CWSRF Pavment Schedule Pi a I cct no. 8478-1If) -Sanm Ana, Ot, of 94remnene D2201000 - based on Am,] + Prolacmd Uisbmsamen0 Scptic ro 9mycr laland Ref Dne Date Interest Interest Total P and 1 Total Rnding CPI Nam Date Rvecived Principal Payment Rate% Pavment Payment Payment Rxlmtce htttrest 1 720_01_5 393602 2600 2241&51 61,77874 61,77974 1,247,369-,7 0-)0 _ 7'02026 35,968,97 1600 37.713.13 73,742,10 73,742.10 1.453.890.80 0.00 3 7101017 35,940,94 1600 37,801,16 73,742,10 73,742.10 1.417.949.86 0.00 4 7 20 2028 36,875.40 2.600 36,866.70 73.742.IN 73,742.10 1.381.074.41 0.00 5 7 20 2029 37,834.16 2.600 31.907.94 73.742.IN 73,742.10 1.343240.30 0.90 6 7202030 38,817,85 2600 34924.1_5 73,74210 73,74210 1304,42245 ODO 7 10 1031 39,827.12 2.600 33,914,98 73,742.10 7 ,J42.10 1,264,595.33 ODO 8 7202032 40,86262 2.600 32,879,48 73,742.10 73,742.10 1223,73371 fo0 9 7202033 41,925.05 2.600 31,817.05 73,742.10 73,742.10 1.181.807.66 0.00 10 7 20 2034 43,015.10 2.600 30.727.00 73.742.10 73.742.10 1.138.79256 ODO II 7202035 44,133,49 2.600 29 hos,61 73,742IN 73,742,10 1.094,659-07 0,00 .. 7202036 45,280.96 2.600 2N361,14 73,742IN 73,742,10 1,049378.11 0,00 13 720^037 46,458,27 1600 27_83.33 73,742.10 73,74210 100291984 000 14 7202033 47,666.18 2600 26,075.92 73,74210 73342.10 955,253.66 0_00 15 7 10 1039 43905.50 2600 24.834.60 73.742.10 r.743.10 906.348.16 0.00 16 7 20 2040 5Q177.05 2600 23.565.05 73.742.10 7;.742.10 856.171.11 0.00 17 7 20 2041 51,481,65 2,600 22,1_60.45 73,74210 73,742.10 804,689.46 0,00 18 7202042 52,R20.17 2600 10,91['93 7.1,74210 7;34210 751N6424 0.00 19 721121043 54,10330 2600 19,148,60 73,74210 73,74210 69767579 000 20 7202044 55,60253 1600 18.139.57 73.74210 71]42.10 642.073.26 O.00 11 7 2) 2045 57o48.20 2.600 16.693!90 71742,If 733.742.10 585.025.06 0.o0 22 71_01046 58531,45 1600 11,110.61 73,742.10 75742.10 526,491.61 0.00 23 7 21)1047 60,053.27 2600 13,688_N3 73,742 10 73.742 10 466,44014 0 00 24 7201049 6L614.65 1600 12.127.4, 73,742,10 73,742.10 404,835.69 0.00 _5 7 20 104Q 61716,63 1600 10,525.47 73,742,10 73,747.10 341,609.06 0.00 26 7202050 64.MQ,26 2,000 8,881.64 73.742.IN 73,742.10 276,748.80 9,90 27 7202051 66546.63 2,000 7.195.47 73.742.IN 73,742.10 210,202.17 9,90 28 720_012 68Z76-84 2600 5,46526 73,742IN 73,74210 141,92513 OL0 29 720 2053 1M52.04 1600 3,690A, 73,742,10 73.741.10 ]L87229 0.00 30 7101014 71,873.29 1600 1,86831 73,742,00 73,742.00 0.00 0.00 1,529,220.00 67L079.54 2,200,299.54 2,200,29954 0.00 Prinupodis oddo,,; 30Years lntenat rnrc: 2.60DOd 1 182011 City Council 23 — 55 4/4/2023 EXHIBIT F—TAX CERTIFICATE F.1 Purpose City of Santa Ana Agreement No., D2201000 Project No.:C-06-8478-110 Page 44 of 48 The purpose of this Exhibit F is to establish the reasonable expectations of the Recipient regarding the Project and the Project Funds, and is intended to be and may be relied upon for purposes of Sections 103, 141 and 148 of the Code and as a certification described in Section 1.148-2(b)(2) of the Treasury Regulations. This Exhibit F sets forth certain facts, estimates and circumstances which form the basis for the Recipient's expectation that neither the Project nor the Bond Funded Portion of the Project Funds is to be used in a manner that would cause the Obligation to be classified as "arbitrage bonds" under Section 148 of the Code or "private activity bonds" under Section 141 of the Code. F.2 Tax Covenant The Recipient agrees that it will not take or authorize any action or permit any action within its reasonable control to be taken, or fail to take any action within its reasonable control, with respect to the Project which would result in the loss of the exclusion of interest on the Bonds from gross income for federal income tax purposes under Section 103 of the Code. F.3 Governmental Unit. The Recipient is a state or local governmental unit as defined in Section 1.103-1 of the Treasury Regulations or an instrumentality thereof (a "Governmental Unit") and is not the federal government or any agency or instrumentality thereof. FA Financing of a Capital Project. The Recipient will use the Project Funds to finance capital expenditures it has incurred or will incur for the construction, reconstruction, installation or acquisition of the Project in accordance with the terms of this Agreement. Such expenditures shall not have previously been financed with the proceeds of any other issue of indebtedness except for interim financing by the Recipient, the date of maturity, prepayment or redemption of which is within thirty (30) days of the date of disbursement of Project Funds under this Agreement. All Project Funds shall be allocated to expenditures by the Recipient within thirty (30) days of the date of disbursement, including (if at all) Project Funds allocated to repay interim financing of the Recipient. For purposes of this Section F.4, "interim financing" means notes, commercial paper, loans, lines of credit and other forms of short- term borrowing. F.5 Ownership and Operation of Project. The Recipient exclusively owns and, except as provided in Section F.12 hereof, operates the Project F.6 Temporary Period. The Recipient reasonably expects that at least eighty-five percent (85%) of the Bond Funded Portion of the Project Funds will be allocated to expenditures for the Project within three (3) years of the earlier of the effective date of this Agreement or the date the Bonds are issued ("Applicable Date"). The Recipient has incurred, or reasonably expects that it will incur within six (6) months of the Applicable Date, a substantial binding obligation (i.e., not subject to contingencies within the control of the Recipient or a related party) to a third party to expend at least five percent (5%) of the Bond Funded Portion of the Project Funds on Project Costs. The completion of acquisition, construction, improvement and equipping of the Project and the allocation of the Bond Funded Portion of the Project Funds to Project Costs will proceed with due diligence. City Council `"""✓'" 23 — 56 4/4/2023 City of Santa Ana Agreement No., D2201000 Project No.:C-06-8478-110 Page 45 of 48 F.7 Working Capital. No operational expenditures of the Recipient or any related entity are being, have been or will be financed or refinanced with Project Funds. F.8 Expenditure of Proceeds The Bond Funded Portion of the Project Funds shall be used exclusively for the following purposes: (i) Reimbursement Expenditures (as defined in Section F.20 below), (ii) Preliminary Expenditures (as defined in Section F.20 below) in an aggregate amount not exceeding twenty percent (20%) of the Bond Funded Portion of the Project Funds, (iii) capital expenditures relating to the Project originally paid by the Recipient on or after the date hereof, (iv) interest on the Obligation through the later of three (3) years after the Applicable Date or one (1) year after the Project is placed in service, and (v) initial operating expenses directly associated with the Project in the aggregate amount not more than five percent (5%) of the Bond Funded Portion of the Project Funds. F.9 Private Use and Private Payments. No portion of the Project Funds or the Project is being, has been or will be used in the aggregate for any activities that constitute a Private Use (as defined below). No portion of the principal of or interest with respect to the Payments will be secured by any interest in property (whether or not the Project) used for a Private Use or in payments in respect of property used for a Private Use, or will be derived from payments in respect of property used for a Private Use. "Private Use" means any activity that constitutes a trade or business that is carried on by persons or entities, other than a Governmental Unit. The leasing of the Project or the access by or the use of the Project by a person or entity other than a Governmental Unit on a basis other than as a member of the general public shall constitute a Private Use. Use by or on behalf of the State of California or any of its agencies, instrumentalities or subdivisions or by any local Governmental Unit and use as a member of the general public will be disregarded in determining whether a Private Use exists. Use under an arrangement that conveys priority rights or other preferential benefits is generally not use on the same basis as the general public. Arrangements providing for use that is available to the general public at no charge or on the basis of rates that are generally applicable and uniformly applied do not convey priority rights or other preferential benefits. For this purpose, rates may be treated as generally applicable and uniformly applied even if (i) different rates apply to different classes of users, such as volume purchasers, if the differences in rates are customary and reasonable, or (ii) a specially negotiated rate arrangement is entered into, but only if the user is prohibited by federal law from paying the generally applicable rates, and the rates established are as comparable as reasonably possible to the generally applicable rates. An arrangement that does not otherwise convey priority rights or other preferential benefits is not treated, nevertheless, as general public use if the term of the use under the arrangement, including all renewal options, is greater than 200 days. For this purpose, a right of first refusal to renew use under the arrangement is not treated as a renewal option if (i) the compensation for the use under the arrangement is redetermined at generally applicable, fair market value rates that are in effect at the time of renewal; and (ii) the use of the financed property under the same or similar arrangements is predominantly by natural persons who are not engaged in a trade or business. F.10 No Sale, Lease or Private Operation of the Project. The Project (or any portion thereof) will not be sold or otherwise disposed of, in whole or in part, to any person who is not a Governmental Unit prior to the final maturity date of the Obligation. The Project will not be leased to any person or entity that is not a Governmental Unit prior to the final maturity date of the Obligation. Except as permitted under Section F.12 hereof, the Recipient will not enter any contract or arrangement or cause or permit any contract or arrangement to be entered with persons or entities that are not Governmental Units if that contract or arrangement would confer on such persons or entities any right to use the Project on a basis different from the right of members of the general public. The contracts or arrangements contemplated by the preceding sentence include but are not limited to management contracts, take or pay contracts or put or pay contracts, and capacity guarantee contracts. City Council `"`"'✓'" 23 — 57 4/4/2023 City of Santa Ana Agreement No., D2201000 Project No.:C-06-8478-110 Page 46 of 48 F.11 No Disproportionate or Unrelated Use No portion of the Project Funds or the Project is being, has been, or will be used for a Private Use that is unrelated or disproportionate to the governmental use of the Project Funds. F.12 Management and Service Contracts. The Recipient represents that, as of the date hereof, it is not a party to any contract, agreement or other arrangement with any persons or entities engaged in a trade or business (other than Governmental Units) that involve the management or operation of property or the provision of services at or with respect to the Project that does not comply with the standards of the Treasury Regulations, or Revenue Procedure 2017-13, as applicable. The Recipient represents that it will not be party to any such contract, agreement or arrangement with any person or entity that is not a Governmental Unit for the management of property or the provision of services at or with respect to the Project, while the Obligation (including any obligation or series thereof issued to refund the Obligation, as the case may be) is outstanding, except: (a) with respect to any contract, agreement or arrangement that does not constitute "private business use' of the Project under Code §141(b), or (b) with respect to any contract, agreement or arrangement that complies with (i) Revenue Procedure 97-13, 1997-1 C.B. 632, as amended by Revenue Procedure 2001-39, 2001-2 C.B. 38, and as amplified by Notice 2014-67, with respect to contracts entered into before August 18, 2017 and not materially modified or extended after August 18, 2017, or (ii) Revenue Procedure 2017-13, with respect to contracts entered into or materially modified or extended on or after August 18, 2017, or (c) with respect to any contract, agreement or arrangement that does not give rise to use of the Bond Funded Portion of the Project Funds or the Project by a non -Governmental Unit of more than the amount of such non -qualified use permitted by the Code, or (d) in the event that the Recipient receives an opinion of counsel, satisfactory to the State Water Board and the Bank and expert in the issuance of state and local government bonds the interest on which is excluded from gross income under Section 103 of the Code ("Nationally -Recognized Bond Counsel'), that such contract, agreement or arrangement will not adversely affect the exclusion of the interest on the Obligation from gross income for federal income taxation purposes. F.13 No Disposition of Financed Property. As of the date hereof, the Recipient does not expect to sell or otherwise dispose of any portion of the Project, in whole or in part, prior to the final maturity date of the Obligation. F.14 Useful Life of Project. As of the date hereof, the Recipient reasonably expects that the economic useful life of the Project, commencing at Project Completion, will be at least equal to the term of this Agreement, as set forth in Exhibit A hereto. F.15 Payments. Payments generally are expected to be derived from assessments, taxes, fees, charges or other current Revenues of the Recipient in each year, and such current Revenues are expected to equal or exceed the Payments during each payment period. Any amounts accumulated in a sinking fund or bona fide debt service fund to pay Payments (whether or not deposited to a fund or account established by the Recipient) will be disbursed to pay Payments within thirteen months of the initial date of accumulation or deposit. Any such fund used for the payment of Payments will be depleted once a year except for a reasonable carryover amount not exceeding the greater of earnings on such fund or one -twelfth of the Payments in either case for the immediately preceding year. F.16 No Other Replacement Proceeds. The Recipient will not use any of the Bond Funded Portion of the Project Funds to replace or substitute other funds of the Recipient that were otherwise to be used to finance the Project or which are or will be used to acquire securities, obligations or other investment property reasonably expected to produce a yield that is materially higher than the yield on the Bonds. City Council `"""✓'" 23 — 58 4/4/2023 City of Santa Ana Agreement No., D2201000 Project No.:C-06-8478-110 Page 47 of 48 F.17 No Sinking or Pledged Fund Except as set forth in Section F.18 below, the Recipient will not create or establish any sinking fund or pledged fund which will be used to pay Payments on the Obligation within the meaning of Section 1.148-1(c) of the Treasury Regulations. If any sinking fund or pledged fund comes into being with respect to the Obligation before the Obligation has been fully retired which may be used to pay the Payments, the Recipient will invest such sinking fund and pledged fund moneys at a yield that does not exceed the yield on the Bonds. F.18 Reserve Amount The State Water Board requires that the Recipient maintain and fund a separate account in an amount equal to one (1) year of debt service with respect to the Obligation (the "Reserve Amount") as set forth in Exhibit B. The Recipient represents that the Reserve Amount is and will be available to pay debt service with respect to the Obligation, if and when needed. The Reserve Amount consists solely of revenues of the Recipient and does not include any proceeds of any obligations the interest on which is excluded from gross income for federal income tax purposes or investment earnings thereon. The aggregate of the Reserve Amount, up to an amount not exceeding the lesser of (i) ten percent of the aggregate principal amount of the Obligation, (ii) the maximum annual debt service with respect to the Obligation, or (iii) 125 percent of the average annual debt service with respect to the Obligation, will be treated as a reasonably required reserve fund. F.19 Reimbursement Resolution. The "reimbursement resolution" adopted by the Recipient is incorporated herein by reference F.20 Reimbursement Expenditures. Reimbursements are disallowed, except as specifically authorized in Exhibit B or Exhibit D of this Agreement. To the extent so authorized, a portion of the Bond Funded Portion of the Project Funds may be applied to reimburse the Recipient for Project Costs paid before the date hereof, so long as the Project Cost was (i) not paid prior to sixty (60) days before the Recipient's adoption of a declaration of official intent to finance the Project, (ii) not paid more than eighteen (18) months prior to the date hereof or the date the Project was placed -in-service, whichever is later, and (iii) not paid more than three (3) years prior to the date hereof (collectively, "Reimbursement Expenditures'), unless such cost is attributable to a "preliminary expenditure." Preliminary expenditure for this purpose means architectural, engineering, surveying, soil testing and similar costs incurred prior to the commencement of construction or rehabilitation of the Project, but does not include land acquisition, site preparation and similar costs incident to the commencement of acquisition, construction or rehabilitation of the Project. Preliminary expenditures may not exceed 20% of the Bond Funded Portion of the Project Funds. F.21 Change in Use of the Project The Recipient reasonably expects to use all of the Bond Funded Portion of the Project Funds and the Project for the entire stated term to maturity of the Obligation. Absent an opinion of Nationally -Recognized Bond Counsel to the effect that such use of the Bond Funded Portion of the Project Funds will not adversely affect the exclusion from federal gross income of interest on the Bonds pursuant to Section 103 of the Code, the Recipient will use the Bond Funded Portion of the Project Funds and the Project solely as set forth in this Agreement. F.22 Rebate Obligations If the Recipient satisfies the requirements of one of the spending exceptions to rebate specified in Section 1.148-7 of the Treasury Regulations, amounts earned from investments, if any, acquired with the Bond Funded Portion of the Project Funds will not be subject to the rebate requirements imposed under Section 148(f) of the Code. If the Recipient fails to satisfy such requirements for any period, it will notify the State Water Board and the Bank immediately and will comply with the provisions of the Code and the Treasury Regulations at such time, including the payment of any rebate amount calculated by the State Water Board or the Bank. City Council `"""✓'" 23 — 59 4/4/2023 City of Santa Ana Agreement No., D2201000 Project No.:C-06-8478-110 Page 48 of 48 F.23 No Federal Guarantee The Recipient will not directly or indirectly use any of the Bond Funded Portion of the Project Funds in any manner that would cause the Bonds to be "federally guaranteed" within the meaning of Section 149(b) of the Code, taking into account various exceptions including any guarantee related to investments during an initial temporary period until needed for the governmental purpose of the Bonds, investments as part of a bona fide debt service fund, investments of a reasonably required reserve or replacement fund, investments in bonds issued by the United States Treasury, investments in refunding escrow funds or certain other investments permitted under the Treasury Regulations. F.24 Amendments. The provisions in this Exhibit may be amended, modified or supplemented at any time to reflect changes in the Code upon obtaining written approval of the State Water Board and the Bank and an opinion of Nationally - Recognized Bond Counsel to the effect that such amendment, modification or supplement will not adversely affect the exclusion from federal gross income of interest on the Bonds pursuant to Section 103 of the Code. F.25 Reasonable Expectations. The Recipient warrants that, to the best of its knowledge, information and belief, and based on the facts and estimates as set forth in the tax covenants in this Exhibit, the expectations of the Recipient as set forth in this Exhibit are reasonable. The Recipient is not aware of any facts or circumstances that would cause it to question the accuracy or reasonableness of any representation made in the provisions in this Exhibit. F.26 Assignment The Recipient consents to any pledge, sale, or assignment to the Bank or a trustee for the benefit of the owners of the Bonds, if any, at any time of any portion of the State Water Board's estate, right, title, and interest and claim in, to and under this Agreement and the right to make all related waivers and agreements in the name and on behalf of the State Water Board, as agent and attorney -in -fact, and to perform all other related acts which are necessary and appropriate under this Agreement, if any, and the State Water Board's estate, right, title, and interest and claim in, to and under this Agreement to Payments (but excluding the State Water Board's rights to Additional Payments and to notices, opinions and indemnification under each Obligation). City Council `"`"'✓'" 23 — 60 4/4/2023 California Environmental Quality Act (CEQA) Determination City of Santa Ana (Applicant) Septic to Sewer Island (Project) Project Number: C-06-8478-110 As the Deputy Director for the State Water Resources Control Board (State Water Board), Division of Financial Assistance, I have been delegated the authority to approve and execute financing agreements for projects that are routine and non -controversial. The execution of a financing agreement is an action that is subject to CEQA. The authority to make this CEQA determination necessarily accompanies the delegation to approve and execute the financing agreement for this Project. The Applicant is the CEQA Lead Agency and has prepared an Initial Study/Mitigated Negative Declaration (MND) titled Septic to Gravity Sewer Conversion Project, for the Project which was circulated through the Governor's Office of Planning and Research (OPR), State Clearinghouse (No. 2020100428) for review and comments. The Applicant adopted the MND and a Mitigation Monitoring and Reporting Program (MMRP) and approved the Project on December 15, 2020. The Applicant filed a Notice of Determination with the Orange County Clerk on September 20, 2021 and the OPR on September 24, 2021. 2. The State Water Board is a Responsible Agency under CEQA. A Responsible Agency complies with CEQA by considering the MND and MMRP prepared by the Lead Agency and by reaching its own conclusions on whether and how to approve the Project involved. The State Water Board has independently considered the MND and MMRP, and pursuant to my delegated authority, I make the following determinations regarding the Project: The Project will not result in any significant adverse water quality impacts. The MND and MMRP include mitigation measures for Tribal Cultural Resources, Geology and Soils, and Hazards and Hazardous Materials, that mitigate potential environmental impacts to less than significant levels for these impact categories. Changes or alterations to the Project based on these mitigation measures are within the responsibility and jurisdiction of other public agencies and are not within the jurisdiction of the State Water Board. Such changes either have been adopted by other relevant agencies or can and should be adopted by such other agencies. A final copy of the MND, MMRP, comments and responses, and records of the financing approval for the Project are available to the general public at the State Water Board, Division of Financial Assistance at 1001 1 Street, 16th Floor, Sacramento, CA 95814. City Council 23 — 61 4/4/2023 Applicant: City of Santa Ana Project No: C-06-8478-110 Digitally signed by Joe Karkoski Joe Karkoski Date: 2023.02.06 08:56:45 -08,00, Joe Karkoski, Deputy Director Division of Financial Assistance Documents Transmitted back to Adobe by the Recipient: Steps: 1. Once the Adobe notification has been received, the Recipient will open Adobe. The Recipient must checkmark the box to agree to the Consumer Disclosure. Click on [Accept] 2. The Recipient will need to download the (PDF) documents by selecting the corresponding radio button. Ensure to save the documents to the desired location. MI 3 Once you have saved the documents to the desired location, the Recipient will proceed with generating the required closing documents. For the documents to be edited, you must save your file in Word format. Click on [File -Export To -Microsoft Word — Word Document] 4. Once the Recipient has completed the closing documents, the file must be saved as "Adobe PDF' for their respective digital signatures to be entered. 5. The Recipient will select [Certificates] from the tools field and using your mouse, click and drag to draw the area where you would like the signature to appear. A dialogue message box will display your Digital ID press [Continue] and click on [Sign]. [Save] i0Using your rn on dick and drag to dawthe—whueynu —Id lde the signature to appear Once you finish dragging ouHhe desired area, you will be taken to the nut atey of the signing psocus. MD. not showthis menage again City Council 23 — 63 4/4/2023 6. The Recipient will attach the signed documents to Adobe by clicking the [Click to Attachment] and downloading the signed document(s). Click to Attach ... 7. Once the closing document(s) have been attached, the Recipient will click on the [Click to Sign] button. City Council 23 — 64 4/4/2023 MAYOR Vicente Sarmiento MAYOR PRO TEM Phil Bacerra COUNCILMEMBERS Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza David Penaloza Thai Viet Phan CITY OF SANTA ANA CITY ATTORNEY'S OFFICE 20 Civic Center Plaza . P.O. Box 1988 Santa Ana, California 92702 www.santa-ana.ora [DATE] State Water Resources Control Board Division of Financial Assistance Attn: Amor Moskaira 1001 1 Street. 16th Floor Sacramento, CA 95914 CITY MANAGER Kristine Ridge CITY ATTORNEY Sonia R. Carvalho CLERK OF THE COUNCIL Re: City of Santa Ana ("City") —[Project Name] — ProjectNo. 8478-110 ("Project") —Agreement No. [XXXXYXXXXX] ("Agreement") Ladies and Gentlemen: This Office serves as City Attorney to the City in connection with the Project. This opinion is delivered to the State Water Resources Control Board ("State Water Board') at the request of the City. In connection therewith, we have examined the laws pertaining to the City, originals of the Agreement between the City and the State Water Board ("Agreement'), the City's authorized representative resolution No. XXXX-XX adopted on [Date], the City's authorizing resolution No. XXXX-XX adopted on [Date], the City's reimbursement resolution No. XXXX-XX adopted on [Date], the City's rate -setting resolution XXXX-XX adopted on [Date], (collectively, "the Resolutions'), the City's debt management policy, documents related to each of the Material Obligations as set forth in the Agreement, and such other documents, legal opinions, instruments and records, and have made such investigation of law, as we have considered necessary or appropriate for the purpose of this opinion. The opinions expressed herein are based on an analysis of existing statutes, regulations, rulings and court decisions and cover certain matters not directly addressed by such authorities. Such opinions may be affected by actions taken or omitted, or events occurring, after the date hereof. We have not undertaken to determine, or to inform any person, whether any such actions or events are taken or do occur after the date hereof. In our examination, we have assumed, without independent investigation, the authenticity of all documents submitted to us as originals, of all documents submitted to us as certified or photostatic copies and the authenticity of the originals of such latter documents and the accuracy of the statements SANTA ANA CITY COUNCIL City Council 23 — 65 4/4/2023 and representations contained in such documents. In addition, we have assumed the authority of and due execution by each of the parties to the documents other than the City. As used in this opinion, the phrase "to the best of our knowledge and based upon reasonable investigation" means knowledge as we have obtained from (i) the incumbency and signature certificate of the City, (ii) the representations and warranties contained in each document covered by this opinion and delivered by the City, (iii) knowledge of facts or other information currently lmown to attorneys for the City, and (iv) any and all investigations that the attorneys for the City deem necessary in connection with this Opinion. Based on the foregoing, we are of the opinion that: a. The City, a charter city duly organized, validly existing under its charter and the laws of the State of California, has the requisite legal right, power, and authority to execute and deliver the Agreement and carry out and consummate all transactions contemplated therein. The City, is a charter city, the City Council of which is not prohibited, limited or constrained in any way from adopting, requiring, or utilizing a project labor agreement that includes all taxpayer protection provisions of Public Contract Code section 2500. b. The Resolutions have been duly adopted at meetings of the City which were called and held pursuant to law with all public notice required by law and at which a quorum was present and acting when the Resolutions were adopted. The Resolutions are in full force and effect and have not been amended, modified, supplemented, or rescinded, nor has the rate -setting resolution been challenged or the rates become subject of a referendum or initiative or other similar process. C. To the best of my knowledge and based upon a reasonable investigation, all proceedings required by law or under the ordinances or bylaws of the City to be taken by the City in connection with the authorization of the Agreement and the transactions contemplated by and related thereto, and all such approvals, authorizations, consents or other orders of or filings or registrations with such public boards or bodies, if any, as may be legally required to be obtained by the City prior to the date hereof with respect to all or any of such matters have been taken or obtained and are in full force and effect, except that no opinion is expressed as to any approvals, obligations or proceedings which may be required under any federal securities laws or state blue sky or securities laws. d. To the best of my knowledge and based upon a reasonable investigation, the execution and delivery of the Agreement and the consummation of the transactions therein will not conflict with or constitute a breach of or default (with due notice or the passage of time or both) under (i) the statutes creating the City or any amendments thereto, (ii) the ordinances or bylaws of the City, (iii) any bond, debenture, note or other evidence of indebtedness, or any material contract, agreement or lease to which the City is a party or by which it or its properties are otherwise subject to or bound, (iv) any labor agreement to which the City is a party, SANTA ANA CITY COUNCIL City Council 23 — 66 4/4/2023 or (v) any applicable law or administrative regulation or any applicable court or administrative decree or order. e. To the best of my knowledge and based upon a reasonable investigation, the City has sufficient property rights in the Project property for the purposes contemplated in the Agreement and has complied with the requirements of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (42 U.S.C. 4601) with respect to any property acquired for the purposes of the Project. Project property rights extend in perpetuity. f. To the best of my knowledge and based upon a reasonable investigation, there is no action, suit, proceeding, inquiry, or investigation before or by any court of federal. state, municipal or other governmental authority pending or threatened against or affecting the City's System, as defined in the Agreement, or the assets, properties or operations of the City relating to its System which, if determined adversely to the City or its interests would result in any material change in the assets or financial condition of the City, the City's System or the financial condition thereof, and the City is not in default with respect to any order or decree of arty court or any order, regulation, or demand of any federal, state, municipal, or other governmental agency which default might have consequences that would materially and adversely affect the financial condition of the City or its System. g. No facts have come to my attention which lead me to believe that the City's authorized representative has made any untrue statement of a material fact or omitted or omits to state a material fact or has made misleading statements in the Agreement. h. The Agreement has been duly authorized, executed. and delivered, and assuming due authorization, execution and delivery of the Agreement by the State Water Board, constitutes legal, valid, and binding obligation of the City enforceable against the City in accordance with its terms, subject to the laws relating to bankruptcy, insolvency, reorganization, or creditors' rights generally and to the application of equitable principles, if equitable remedies are sought. We disclaim any obligation to supplement this opinion letter with regard to events occurring or coming to our attention after the date hereof. The opinions herein are limited to the matters expressly set forth herein, and no opinion is to be implied or may be inferred beyond the matters expressly so stated. Specifically, without limitation, we do not express herein any opinion as to: (1) Any matter governed by any laws other than the laws of the State of California or the laws of the United States of America; (2) Federal tax matters or federal securities laws; (3) The enforceability of any choice of forum provisions contained in the Agreement; or (4) The validity and enforceability of any liquidated damages provisions. SANTA ANA CITY COUNCIL City Council 23 — 67 4/4/2023 No attomey-client relationship exists between you and us. No party other than those to whom this opinion is specifically addressed may rely on the opinions contained herein without our express written authorization to do so. As City Attorney to the City in this matter, we have not rendered financial advice to the City and do not represent by this opinion, or otherwise, that we have reviewed or made any assessment about nor do we express any opinion about, the financial ability of the City to pay debt service or amounts due under the Agreement. We bring to your attention the fact that our conclusions are an expression of professional judgment and are not a guarantee of a result. Sincerely, Ulty Attorney By: John M.Funk Chief Assistant City Attorney SANTA ANA CITY COUNCIL City Council 23 — 68 4/4/2023 Water Boards State Water Resources Control Board February 8, 2023 City of Santa Ana Attn: Nabil B. Saba. - Executive Director P.O. Box 1988 Santa Ana, CA 92702 Agreement Number: D2201000 Project Number: C-06-8478-110 GAVIN NEWSOM COVEflWOP YANA GARCIA l , SECPETAPY FOR �NVV SEC ETARY FOL PROTECTION Please review, and if appropriate, electronically sign the signature page of the Agreement via Adobe Sign. Once electronically signed, the Agreement will be routed automatically to the next signer. You will automatically receive a copy of the fully executed Agreement via Adobe Sign once the final signer has signed. This Agreement cannot be considered binding by either party until executed by the State Water Resources Control Board (State Water Board). For the Funding Agreement to be executed by the State Water Board, the following items must also be returned electronically with the signed signature pages: The Opinion will need to be dated and signed on or after the date the agreement is signed. Counsel can file and attach the letters and submit them back to Adobe. 1. Opinion of General Counsel. If you have questions about the General Counsel Opinion Letter, Bond Counsel Letter, and Closing Resolution should be directed by your legal counsel to Lindsey Harms, at (916) 327-8709 or email at I i n dsev. harms5.waterboards.ca.Qov. Be aware that all projects receiving funding must comply with all applicable implementing guidelines and regulations adopted by the California Department of Industrial Relations (DIR), regarding state prevailing wage requirements. You must contact DIR for guidance on how to comply. Information can be found at: htti)7//www.dir-ca-ciov/lcp.asi)- Davis Bacon Compliance: httos://www.waterboards.ca.gov/water issues/programs/grants loans/srf/davisbacon.shtml Disadvantaged Business Enterprise (DBE) httos://www.waterboards.ca.gov/water issues/programs/grants loans/srf/docs/policv0513/dbe complianc e guidelines instructions.0 We strive to provide superior service to our recipients and would appreciate your feedback on the application process. Please assist us in completing a 5-minute Customer Satisfaction Survey at httos://www.surveymonkey.com/s/CWSRFSatisfaction so we can continue to improve our service and process. Your comments are valuable to the success of the CWSRF Program. Thank you for your time and we look forward to continuing to work with you. E. JOAQUIN ESQUIVEL, CHAIR I EILEEN SOBECK, EXECUTIVE DIRECTOR 1001 1 Street, Sacramento, CA 95814 1 Mailing Address: P.O. Box 100, Sacramento, CA 95812-0100 1 www.waterboards.ca.gov City Council 23 — 69 4/4/2023 -2- Your Agreement may be funded with Federal Capitalization Grants CW Catalog of Federal Domestic Assistance No. 66.45. If your financing agreement is funded with a Federal Capitalization Grant, you must comply with the rules and regulations in Subpart F of Title 2 U.S. Code of Federal Regulations (CFR) Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. These requirements include the submission of a single or program audit if you expend $750,000 or more of Federal funds during your fiscal year. The receipt of Federal funds may be directly from the Federal government or via a pass -through entity such as the State Water Resources Control Board. In addition to other reporting requirements, your Single Audit Report must be submitted to the State Controller's Office and to the State Water Resources Control Board, Division of Financial Assistance within nine months after the end of your fiscal year. Ms. Amor Moskaira may be contacted at 916-449-5627 or Amor.Moskairanwaterboards.ca.aov. Enclosures City Council 23 — 70 4/4/2023 Adobe 4cmbat Sign Transaction Number CBJCHBCkkBki eQ90_771_m12v➢nNwnWi e6QnJKS S Clean Water CITY OF SANTA ANA AND CALIFORNIA STATE WATER RESOURCES CONTROL BOARD Water Boards role] 0619rliA7Ire] 01 INSTALLMENT SALE AGREEMENT PROJECT NO. C-06-8478-110 SEPTIC TO SEWER ISLAND PROJECT AGREEMENT NO. D2201000 PROJECT FUNDING AMOUNT: $1,529,220.00 ESTIMATED REASONABLE PROJECT COST: $1,529,220.00 ELIGIBLE WORK START DATE: JANUARY 1, 2020 ELIGIBLE CONSTRUCTION START DATE: NOVEMBER 14, 2022 COMPLETION OF CONSTRUCTION DATE: JULY 20, 2024 FINAL REIMBURSEMENT REQUEST DATE: JANUARY 20, 2025 FINAL PAYMENT DATE: JULY 20, 2054 RECORDS RETENTION END DATE: JULY 20, 2060 City Council 23 — 71 4/4/2023 Adobe Acrobat Sign Transaction Number CBJCHBCA BAA5eD90_771_m2NynNwnRv_eGQnd KBUS THIS PAGE INTENTIONALLY LEFT BLANK City Council 23 — 72 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page i of iv TABLE OF CONTENTS 5. DEFINITIONS........................................................................................................................................2 EXHIBIT A— SCOPE OF WORK.................................................................................................................. 9 A.1. PROJECT DESCRIPTION, USEFUL LIFE, AND SCOPE OF WORK...........................................9 A.2. STANDARD PROJECT REQUIREMENTS........................................................................................9 A.2.1 Acknowledgcruents....................................................................................................................................9 A.2.2 Reports.._......................._._._._...................................................................._._._...................................10 A.2.2.1 Progress Reports...................................................................................................................................... 10 A.2.2.2 Project Completion Report ....................................................................................................................... 10 A.2.23 As Needed Reports..................................................................................................................................10 A.2.2.4[Reserved.]...............................................................................................................................................II A.2.2.5 DBE Reports for SRF Projects.................................................................................................................11 A.2.3 Signage....................................................................................................................................................II A.2.4 Commencement of Operations................................................................................................................ I I A.3 DATES & DELIVERABLES..............................................................................................................11 A.4 SCHEDULE......................................................................................................................................12 EXHIBIT B— FUNDING TERMS ....13 B.1. FUNDING AMOUNTS AND REIMBURSEMENTS......................................................................13 B.1.1 Funding Contingency and Other Sources ................................................................................................13 B.1.2 Estimated Reasonable Cost......................................................................................................................13 B.1 .3 Project Funding Amount.......................................................................................................................... 13 B.1.4 [Reserved.]...............................................................................................................................................13 B. 1.5 Budget Costs............................................................................................................................................13 B.1.6 Contingent Disbursement........................................................................................................................ 14 B.1.7 Reimbursement Procedure....................................................................................................................... 14 B.1.8 Withholding of Disbursements................................................................................................................15 B.1.9 Fraud and Misuse of Public Funds; Enforcement....................................................................................16 B.2 RECIPIENT'S PAYMENT OBLIGATION, PLEDGE, AND RESERVE.............................................16 B.2.1 Project Costs............................................................................................................................................ 16 B.2.2 Estimated Principal Payment Due........................................................................................................... 16 B.2.3 Interest Rate and In -Lieu of Interest Charges..........................................................................................17 B.2.4 [Reserved.]_._.........................._..............................................................................................................17 B.2.5 Obligation Absolute..............._................................................................................................................17 City Council i 23 — 73 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page ii of iv B.2.6 Payment Timing.......................................................................................................................................17 B.2.7 Pledged Revenues....................................................................................................................................18 13.2.7.1 Establishment of Enterprise Fund and Reserve Fund.............................................................................. 18 B.2.72 Pledge of Net Revenues, Enterprise Fund, and Reserve Fund.................................................................18 B.2.7.3 Application and Purpose of the Enterprise Fund.....................................................................................18 B.2.8 No Prepayment........................................................................................................................................ 18 B.2.9 Reserve Fund...........................................................................................................................................19 B.3 RATES, FEES AND CHARGES......................................................................................................19 B.4 ADDITIONAL DEBT.........................................................................................................................19 B.5 NO LIENS.........................................................................................................................................20 EXHIBIT C— GENERAL & PROGRAMMATIC TERMS & CONDITIONS..................................................20 CA REPRESENTATIONS & WARRANTIES.........................................................................................20 C.1.1 Application and General Recipient Commitments..................................................................................20 C.1.2 Authorization and Validity ......................................................................................................................20 C.1.3 No Violations...........................................................................................................................................20 C.1.4 No Litigation............................................................................................................................................20 C.1.5 Property Rights.......................................................................................................................................21 C.1.6 Solvency and Insurance..........................................................................................................................21 C.1.7 Legal Status and Eligibility.....................................................................................................................21 C. 1.8 Financial Statements and Continuing Disclosure...................................................................................21 C.1.9 System Obligations............._._._._._..............................................................._._._._.............................21 C.1.10 No Other Material Debt...........................................................................................................................21 C.1.11 Compliance with State Water Board Funding Agreements.....................................................................21 C.2 DEFAULTS AND REMEDIES..........................................................................................................21 C.2.1 Return of Funds; Acceleration; and Additional Payments.......................................................................22 C,2.2 [Reserved.]...............................................................................................................................................22 C.2.3 Administrative remedies..........................................................................................................................22 C.2.4 Judicial remedies.....................................................................................................................................22 C.2.5 Termination.............................................................................................................................................22 C.2.6 Damages for Breach of Tax -Exempt Status.............................................................................................22 C.2.7 Damages for Breach of Federal Conditions.............................................................................................23 C.2.8 Remedies and Limitations.......................................................................................................................23 C.2.9 Non-Waiver.............................................................................................................................................23 C.2.10 Status Quo................................................................................................................................................23 C.3 STANDARD CONDITIONS..................................................................................................................23 C.3.1 Access, Inspection, and Public Records..................................................................................................23 C.3.2 Accounting and Auditing Standards; Financial Management Systems; Records Retention....................24 C.3.3 Amendment.............................................................................................................................................25 C.3.4 Assignability............................................................................................................................................25 C.3.5 Audit........................................................................................................................................................25 C.3.6 Bonding...................................................................................................................................................25 C.3.7 Competitive Bidding................................................................................................................................25 C.3.8 Compliance with Applicable Laws, Rules, and Requirements................................................................25 C.3.9 Computer Software..................................................................................................................................25 C.3.10 Conflict of Interest..................................................................................................................................26 C.3.1 1 Continuous Use of Project; No Lease, Sale, Transfer of Ownership, or Disposal of Project._................26 C.3.12 Data Management...................................................................................................................................26 C.3.13 Disputes...................................................................................................................................................26 City Council ii 23 — 74 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page iii of iv C3.14 [Reserved.]...............................................................................................................................................26 C3.15 Environmental Clearance.........................................................................................................................26 C3.16 Governing Law........................................................................................................................................27 C.3.17 income Restrictions................................................................................................................................. 27 C.3.19 indemnification and State Reviews.........................................................................................................27 C.3.19 independent Actor...................................................................................................................................28 C.3.20 integration................................................................................................................................................28 C.3.21 Leveraging Covenants.............................................................................................................................28 C.3.22 No Disci ...................................................................................................................................28 C.3.23 No Third Party Rights..............................................................................................................................29 C.3.24 No Obligation of the State.......................................................................................................................29 C.3.25 Notice.......................................................................................................................................................29 C.326 Operation and Maintenance; Insurance....................................................................................................31 C.3.27 Permits, Subcontracting, and Remedies...................................................................................................32 C.3.28 Professionals............................................................................................................................................32 C.3.29 Prevailing Wages.....................................................................................................................................33 C.3.30 Public Funding.........................................................................................................................................33 C.3.31 Recipient's Responsibility for Work.......................................................................................................33 C.3.32 Related Litigation....................................................................................................................................33 C.3.33 Rights in Data..........................................................................................................................................33 C.3.34 State Water Board Action; Costs and Attorney Fees...............................................................................33 C.3.35 Timeliness................................................................................................................................................34 C.3.36 Unenforceable Provision..........................................................................................................................34 C.3.37 Venue.......................................................................................................................................................34 C.338 Waiver and Rights of the State Water Board...........................................................................................34 CA MISCELLANEOUS STATE AND FEDERAL REQUIREMENTS..........................................................34 C4.1 [Reserved.] ............................. ._.................................................................. ........................................... 34 C4.2 State Cross-Cutters..................................................................................................................................34 C.4.3 Federal Requirements and Cross -Cutters for SRF Funding..................................................................... 35 EXHIBIT D— SPECIAL CONDITIONS... ... 41 EXHIBIT E— PAYMENT SCHEDULE.........................................................................................................43 EXHIBIT F — TAX CERTIFICATE...............................................................................................................44 F.1 Purpose............................................................................................................................................44 F.2 Tax Covenant................................................................................................................................... 44 F.3 Governmental Unit...........................................................................................................................44 FA Financing of a Capital Project..........................................................................................................44 F.5 Ownership and Operation of Project................................................................................................44 F.6 Temporary Period.............................................................................................................................44 F.7 Working Capital. WIN F.8 Expenditure of Proceeds..................................................................................................................45 F.9 Private Use and Private Payments..................................................................................................45 City Council iii 23 — 75 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page iv of iv F.10 No Sale, Lease or Private Operation of the Project . .................................................................... 45 F.11 No Disproportionate or Unrelated Use.........................................................................................46 F.12 Management and Service Contracts............................................................................................46 F.13 No Disposition of Financed Property............................................................................................46 F.14 Useful Life of Project.....................................................................................................................46 F.15 Payments......................................................................................................................................46 F.16 No Other Replacement Proceeds.................................................................................................46 F.17 No Sinking or Pledged Fund.........................................................................................................47 F.18 Reserve Amount...........................................................................................................................47 F.19 Reimbursement Resolution..........................................................................................................47 F.20 Reimbursement Expenditures......................................................................................................47 F.21 Change in Use of the Project........................................................................................................47 F.22 Rebate Obligations.......................................................................................................................47 F.23 No Federal Guarantee..................................................................................................................48 F.24 Amendments.................................................................................................................................48 F.25 Reasonable Expectations.............................................................................................................48 F.26 Assignment...................................................................................................................................48 City Council iv 23 — 76 4/4/2023 AGREEMENT AUTHORITY. City of Santa Ana Agreement No.. D2201000 Project No.:C-06-8478-110 Page 1 of 48 (a) The State Water Resources Control Board (State Water Board) is authorized, and implements its authority, to provide financial assistance under this Agreement pursuant to Section 13475 et seq. of the Water Code, and Resolution Nos. 2019-0064 and 2022-0040. (b) The Recipient is authorized to enter into this Installment Sale Agreement (Agreement) pursuant to Resolution No. 2019-029. f�I�II��IINL� (a) The Recipient desires to receive financial assistance for and undertake work required for the wastewater construction Project according to the terms and conditions set forth in this Agreement. (b) The State Water Board proposes to assist in providing financial assistance for eligible costs of the Project in the amount set forth in Exhibit B, according to the terms and conditions set forth in this Agreement, with the expectation that the Recipient shall repay all of the financial assistance to the State Water Board. (c) The Recipient intends to evidence its obligation to submit Payments to the State Water Board and secure its obligation with Net Revenues of its wastewater enterprise, as set forth in Exhibit B, according to the terms and conditions set forth in this Agreement. (d) The Recipient intends to certify and evidence its compliance with the Tax Covenants set forth in Exhibit F. 3. AGREEMENT, TERM, DOCUMENTS INCORPORATED BY REFERENCE. In consideration of the mutual representations, covenants and agreements herein set forth, the State Water Board and the Recipient, each binding itself, its successors and assigns, do mutually promise, covenant, and agree to the terms, provisions, and conditions of this Agreement. (a) The Recipient hereby sells to the State Water Board and the State Water Board hereby purchases from the Recipient the Project. Simultaneously therewith, the Recipient hereby purchases from the State Water Board, and the State Water Board hereby sells to the Recipient, the Project in accordance with the provisions of this Agreement. All right, title, and interest in the Project shall immediately vest in the Recipient on the date of execution and delivery of this Agreement by both parties without further action on the part of the Recipient or the State Water Board. (b) Subject to the satisfaction of any condition precedent to this Agreement, this Agreement shall become effective upon the signature of both the Recipient and the State Water Board. Conditions precedent are not limited to the following: The Recipient must deliver to the Division a resolution authorizing this Agreement. The Recipient must deliver an opinion of general counsel satisfactory to the State Water Board's counsel dated on or after the date that the Recipient signs this Agreement. (c) Upon execution, the term of the Agreement shall begin on the Eligible Work Start Date and extend through the Final Payment Date. (d) This Agreement includes the following exhibits and attachments thereto: City Council 23 — 77 4/4/2023 CWSRF/DWSRF 2W2022 City of Santa Ana Agreement No.. D2201000 Project No.:C-06-8478-110 Page 2 of 48 i. EXHIBIT A— SCOPE OF WORK ii. EXHIBIT B — FUNDING TERMS iii. EXHIBIT C—GENERAL & PROGRAMMATIC TERMS & CONDITIONS V. EXHIBITD — SPECIALCONDITIONS V. EXHIBIT E — PAYMENT SCHEDULE vi. EXHIBIT F — TAX CERTIFICATE (e) This Agreement includes the following documents incorporated by reference, as well as any documents incorporated by reference in Exhibit D: i. the Final Plans & Specifications, which are the basis for the construction contract to be awarded by the Recipient, ii. the Waste Discharge Requirement Order No. R8-2021-0010 and National Pollutant Discharge Elimination System Permit No. CA0110604, and any amendments thereto, iii. the Recipient's Reimbursement Resolution No. 2019-031 dated May 16, 2019, iv. the Recipient's Tax Questionnaire dated September 12, 2018. V. the Davis -Bacon requirements found at: htti)s://www.waterboards.ca.ciov/water issues/Droorams/a rants loans/srf/docs/davisbac on/davis-bacon 2021 cwsrf-governmental entities public.pdf (f) This Agreement, and any amendments hereto, may be executed and delivered in any number of counterparts, each of which when delivered shall be deemed to be an original, but such counterparts shall together constitute one document. The parties may sign this Agreement, and any amendments hereto, either by an electronic signature using a method approved by the State Water Board or by a physical, handwritten signature. The parties mutually agree that an electronic signature using a method approved by the State Water Board is the same as a physical, handwritten signature for the purposes of validity, enforceability, and admissibility. 4. PARTY CONTACTS State Water Board City of Santa Ana Section: Division of Financial Assistance Name: Crysten Cole Project Manager Name: Nabil Saba Executive Director Address: 1001 1 Street, 16th Floor Address: P.O. Box 1988 Cit , State, Zi : Sacramento CA 95814 City, State, Zip: Santa Ana CA 92702 Phone: 916 341-5693 Phone: 714 647-5654 Email: crysten.cole waterboards.ca. gov Email: nsaba Santa-ana.or The Recipient may change its contact upon written notice to the Division, which notice shall be accompanied by authorization from the Recipient's Authorized Representative. The State Water Board will notify the Recipient of any changes to its contact. While the foregoing are contacts for day-to-day communications regarding Project work, the Recipient shall provide official communications and events of Notice as set forth in Exhibit C to the Division's Deputy Director. 5. DEFINITIONS. Unless otherwise specified, each capitalized term used in this Agreement has the following meaning: "Additional Payments" means the reasonable extraordinary fees and expenses of the State Water Board, and of any assignee of the State Water Board's right, title, and interest in and to this Agreement, in connection with this Agreement, including all expenses and fees of accountants, trustees, staff, City Council 23 — 78 4/4/2023 CWSRF/DWSRF 2W2022 City of Santa Ana Agreement No.. D2201000 Project No.:C-06-8478-110 Page 3 of 48 contractors, consultants, costs, insurance premiums and all other extraordinary costs reasonably incurred by the State Water Board or assignee of the State Water Board. "Allowance" means an amount based on a percentage of the accepted bid for an eligible project to help defray the planning, design, and construction engineering and administration costs of the Project. "Agreement" means this agreement, including all exhibits and attachments hereto. "Authority" shall refer to Santa Ana Financing Authority. "Authorized Representative" means the duly appointed representative of the Recipient as set forth in the certified original of the Recipient's authorizing resolution that designates the authorized representative by title. "Bank" means the California Infrastructure and Economic Development Bank. "Bond Funded Portion of the Project Funds" means any portion of the Project Funds which was or will be funded with Bond Proceeds. "Bond Proceeds" means original proceeds, investment proceeds, and replacement proceeds of Bonds. "Bonds" means any series of bonds issued by the Bank, the interest on which is excluded from gross income for federal tax purposes, all or a portion of the proceeds of which have been, are, or will be applied by the State Water Board to fund all or any portion of the Project Costs or that are secured in whole or in part by Payments paid hereunder. "Charge In Lieu of Interest" means any fee or charge in lieu of some or all of, but not to exceed, the interest that would otherwise be owed under this Agreement, as set forth in Exhibit E. "Code" as used in Exhibit F of this Agreement means the Internal Revenue Code of 1986, as amended, and any successor provisions and the regulations of the U.S. Department of the Treasury promulgated thereunder. "Completion of Construction" means the date, as determined by the Division after consultation with the Recipient, that the work of building and erection of the Project is substantially complete, and is identified in Exhibit A of this Agreement. "Cover Page" means the front page of this Agreement. Days" means calendar days unless otherwise expressly indicated. "Debt Service" means, as of any date, with respect to outstanding System Obligations and, in the case of the additional debt tests in Exhibit B of this Agreement, any System Obligations that are proposed to be outstanding, the aggregate amount of principal and interest scheduled to become due (either at maturity or by mandatory redemption), together with any Charge In Lieu of Interest on this Obligation or other System Obligations to the State Water Board, calculated with the following assumptions: a. Principal payments (unless a different subdivision of this definition applies for purposes of determining principal maturities or amortization) are made in accordance with any amortization schedule published for such principal, including any minimum sinking fund payments; b. Interest on a variable rate System Obligation that is not subject to a swap agreement and that is issued or will be issued as a tax-exempt obligation under federal law, is the average of the SIFMA City Council 23 — 79 4/4/2023 CWSRF/DWSRF 2W2022 City of Santa Ana Agreement No.. D2201000 Project No.:C-06-8478-110 Page 4 of 48 Municipal Swap Index, or its successor index, during the 24 months preceding the date of such calculation; C. Interest on a variable rate System Obligation that is not subject to a swap agreement and that is issued or will be issued as a taxable obligation under federal law, is the average of SOFR, or its successor index, during the 24 months preceding the date of such calculation; d. Interest on a variable rate System Obligation that is subject to a swap agreement is the fixed swap rate or cap strike rate, as appropriate, if the variable rate has been swapped to a fixed rate or capped pursuant to an interest rate cap agreement or similar agreement; e. Interest on a fixed rate System Obligation that is subject to a swap agreement such that all or a portion of the interest has been swapped to a variable rate shall be treated as variable rate debt under subdivisions (b) or (c) of this definition of Debt Service; f. Payments of principal and interest on a System Obligation are excluded from the calculation of Debt Service to the extent such payments are to be paid from amounts then currently on deposit with a trustee or other fiduciary and restricted for the defeasance of such System Obligations; g. If 25% or more of the principal of a System Obligation is not due until its final stated maturity, then principal and interest on that System Obligation may be projected to amortize over the lesser of 30 years or the Useful Life of the financed asset, and interest may be calculated according to subdivisions (b)-(e) of this definition of Debt Service, as appropriate. "Deputy Director" means the Deputy Director of the Division. "Division" means the Division of Financial Assistance of the State Water Board or any other segment of the State Water Board authorized to administer this Agreement. "Eligible Construction Start Date" means the date set forth on the Cover Page of this Agreement, establishing the date on or after which construction costs may be incurred and eligible for reimbursement hereunder. "Eligible Work Start Date" means the date set forth on the Cover Page of this Agreement, establishing the date on or after which any non -construction costs may be incurred and eligible for reimbursement hereunder. "Enterprise Fund" means the enterprise fund of the Recipient in which Revenues are deposited "Event of Default' means the occurrence of any of the following events: a) Failure by the Recipient to make any payment required to be paid pursuant to this Agreement, including Payments; b) A representation or warranty made by or on behalf of the Recipient in this Agreement or in any document furnished by or on behalf of the Recipient to the State Water Board pursuant to this Agreement shall prove to have been inaccurate, misleading or incomplete in any material respect; c) A material adverse change in the condition of the Recipient, the Revenues, or the System, which the Division reasonably determines would materially impair the Recipient's ability to satisfy its obligations under this Agreement. d) Failure by the Recipient to comply with the additional debt test or reserve fund requirement, if any, in Exhibit B or Exhibit D of this Agreement; e) Failure to operate the System or the Project without the Division's approval; City Council 23 — 80 4/4/2023 CWSRF/DWSRF 2W2022 City of Santa Ana Agreement No.. D2201000 Project No.:C-06-8478-110 Page 5 of 48 f) Failure by the Recipient to observe and perform any covenant, condition, or provision in this Agreement, which failure shall continue for a period of time, to be determined by the Division; g) The occurrence of a material breach or event of default under any System Obligation that results in the acceleration of principal or interest or otherwise requires immediate prepayment, repurchase or redemption; h) Initiation of proceedings seeking arrangement, reorganization, or any other relief under any applicable bankruptcy, insolvency, or other similar law; the appointment of or taking possession of the Recipient's property by a receiver, liquidator, assignee, trustee, custodian, conservator, or similar official; the Recipient's entering into a general assignment for the benefit of creditors; the initiation of resolutions or proceedings to terminate the Recipient's existence, or any action in furtherance of any of the foregoing; i) A determination pursuant to Gov. Code section 11137 that the Recipient has violated any provision in Article 9.5 of Chapter 1 of Part 1 of Division 3 of Title 2 of the Government Code; or j) Loss of the Recipient's rights, licenses, permits, or privileges necessary for the operation of the System or the Project, or the occurrence of any material restraint on the Recipient's enterprise by a government agency or court order. "Final Payment Date" is the date by which all principal and accrued interest due under this Agreement is to be paid in full to the State Water Board and is specified on the Cover Page of this Agreement. "Final Reimbursement Request Date" means the date set forth as such on the Cover Page of this Agreement, after which date, no further Project Funds disbursements may be requested. "Fiscal Year" means the period of twelve (12) months terminating on June 30 of any year, or any other annual period selected and designated by the Recipient as its Fiscal Year in accordance with applicable I aw. "Force Account" means the use of the Recipient's own employees, equipment, or resources for the Project. "GAAP" means generally accepted accounting principles, the uniform accounting and reporting procedures set forth in publications of the American Institute of Certified Public Accountants or its successor, or by any other generally accepted authority on such procedures, and includes, as applicable, the standards set forth by the Governmental Accounting Standards Board or its successor, or the Uniform System of Accounts, as adopted by the California Public Utilities Commission for water utilities. "Initiation of Construction" means the date that notice to proceed with work is issued for the Project, or, if notice to proceed is not required, the date of commencement of building and erection of the Project. "Listed Event" means, so long as the Recipient has outstanding any System Obligation subject to Rule 15c2-12, any of the events required to be reported with respect to such System Obligation pursuant to Rule 15c2-12(b)(5). "Material Obligation" means an obligation of the Recipient that is material to this transaction, including System Obligations. "Maximum Annual Debt Service" means the maximum amount of Debt Service due on System Obligations in a Fiscal Year during the period commencing with the Fiscal Year for which such calculation is made and within the next five years in which Debt Service for any System Obligations will become due. "Net Revenues" means, for any Fiscal Year, all Revenues received by the Recipient less the Operations and Maintenance Costs for such Fiscal Year. City Council 23 — 81 4/4/2023 . CWSRF/DWSRF 2m2022 City of Santa Ana Agreement No.. D2201000 Project No.:C-06-8478-110 Page 6 of 48 "Obligation" means the obligation of the Recipient to make Payments (including Additional Payments) as provided herein, as evidenced by the execution of this Agreement, proceeds of such obligations being used to fund the Project as specified in the Project Description in Exhibit A and Exhibit B and in the documents thereby incorporated by reference. "Operations and Maintenance Costs" means the reasonable and necessary costs paid or incurred by the Recipient for maintaining and operating the System, determined in accordance with GAAP, including all reasonable expenses of management and repair and all other expenses necessary to maintain and preserve the System in good repair and working order, and including all reasonable and necessary administrative costs of the Recipient that are charged directly or apportioned to the operation of the System, such as salaries and wages of employees, overhead, taxes (if any), the cost of permits, licenses, and charges to operate the System and insurance premiums; but excluding, in all cases depreciation, replacement, and obsolescence charges or reserves therefor and amortization of intangibles. "Parity Obligation" means a debt obligation of the Recipient on parity with this Obligation. There are no Parity Obligations. "Payment" means any payment due to the State Water Board from the Recipient pursuant to this Agreement. "Policy" means the State Water Board's "Policy for Implementing the Clean Water State Revolving Fund, as amended from time to time, including the Intended Use Plan in effect as of the execution date of this Agreement. "Project" means the Project financed by this Agreement as described in Exhibits A and B and in the documents incorporated by reference herein. "Project Completion" means the date, as determined by the Division after consultation with the Recipient, that operation of the Project is initiated or is capable of being initiated, whichever comes first. "Project Costs" means the incurred costs of the Recipient which are eligible for financial assistance under this Agreement, which are allowable costs as defined under the Policy, and which are reasonable, necessary and allocable by the Recipient to the Project under GAAP, and may include capitalized interest. "Project Funds" means all moneys disbursed to the Recipient by the State Water Board for eligible Project Costs pursuant to this Agreement. "Recipient" means City of Santa Ana. In any provision of this Agreement referencing duties undertaken by the Authority on behalf of the Recipient, the term "Recipient" shall also refer to the Authority. "Records Retention End Date" means the last date that the Recipient is obligated to maintain records and is set forth on the Cover Page of this Agreement. "Regional Water Quality Control Board" or "Regional Water Board" means the appropriate Regional Water Quality Control Board. "Reimbursement Resolution" means the Recipient's reimbursement resolution identified and incorporated by reference in this Agreement. "Reserve Fund" means the reserve fund required pursuant to Exhibit B of this Agreement City Council 23 — 82 4/4/2023 CWSRF/DWSRF 2W2022 City of Santa Ana Agreement No.. D2201000 Project No.:C-06-8478-110 Page 7 of 48 "Revenues" means, for each Fiscal Year, all gross income and revenue received or receivable by the Recipient from the ownership or operation of the System, determined in accordance with GAAP, including all rates, fees, and charges (including connection fees and charges) as received by the Recipient for the services of the System, and all other income and revenue howsoever derived by the Recipient from the ownership or operation of the System or arising from the System, including all income from the deposit or investment of any money in the Enterprise Fund or any rate stabilization fund of the Recipient or held on the Recipient's behalf, and any refundable deposits made to establish credit, and advances or contributions in aid of construction. "Rule 15c2-12(b)(5)" means Rule 15c2-12(b)(5) promulgated by the Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended. "Senior Obligation" means a debt obligation of the Recipient that is senior to this Obligation. There are no Senior Obligations. "SRF" means the Clean Water State Revolving Fund. "State" means State of California. State Water Board" means the State Water Resources Control Board. "Subordinate Obligation" means a debt obligation of the Recipient that is subordinate to this Obligation. There are no Subordinate Obligations. "System" means all wastewater collection, pumping, transport, treatment, storage, and disposal facilities, including land and easements thereof, owned by the Recipient, including the Project, and all other properties, structures, or works hereafter acquired and constructed by the Recipient and determined to be a part of the System, together with all additions, betterments, extensions, or improvements to such facilities, properties, structures, or works, or any part thereof hereafter acquired and constructed. "System Obligation" means any obligation of the Recipient payable from the Revenues, including but not limited to this Obligation, any Parity Obligation, any Subordinate Obligation, and such additional obligations as may hereafter be issued in accordance with the provisions of such obligations and this Agreement. "Useful Life" means the economically useful life of the Project beginning at Completion of Construction and is set forth in Exhibit A. "Year" means calendar year unless otherwise expressly indicated. City Council 23 — 83 4/4/2023 CWSRF/DWSRF 2W2022 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 8 of 48 IN WITNESS WHEREOF, this Agreement has been executed by the parties hereto. CITY OF SANTA ANA: Nabrl Saba Nabil Saba (Feb 8, 202315:15 PST) By: Name: Nabil Saba Title: Executive Director Feb 8, 2023 STATE WATER RESOURCES CONTROL BOARD: By: Name: Joe Karkoski Title: Deputy Director Division of Financial Assistance City Council Adobe Acrobat Sign Transaction Number: CBJCHBCAABAA9eD90_771-co22yynNwnVw_e6QndKSU5 23 - 84 4/4/2023 CWSRF/DWSRF 29vi2n22 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 9 of 48 EXHIBIT A— SCOPE OF WORK A.1. PROJECT DESCRIPTION, USEFUL LIFE, AND SCOPE OF WORK. (a) The Project is the project set forth on the Cover Page of this Agreement. (b) The Useful Life of this Project is at least thirty (30) years. (c) Purpose. The Project is for the benefit of the Recipient and has a Useful Life of at least 30-years. The objectives of the project are to eliminate the leaking septic tanks and leach fields, which will help with preservation of the Santa Ana Groundwater Basin and prevent and reduce contamination of municipal and domestic supply wells. The project will also capture additional sewer flows to the Orange County Groundwater Replenishment System (GWRS) thereby augmenting recycled deliveries. Finally, it will also provide greater reliability and lower long-term costs to the residents for their sewage needs. (d) Scope of Work The Recipient agrees to do the following: In this project, the City of Santa Ana will annex a 24.71-acre unincorporated area and provide sewer service to its 275 residents. The project involves: Sewer main improvements on Ponderosa Street including 630 linear feet (LF) of 8-inch diameter sewer main, five sewer laterals, and two 48-inch diameter sewer manholes. Sewer main improvements on Pasadena Avenue, Medford Ave, and Deodar Street including 635 LF of 8-inch diameter sewer main, thirty sewer laterals, and two 48-inch diameter sewer manholes Septic tank conversion including abandoning 32 existing septic tanks and construction of 32 private side connections to public sewer mains. A.2. STANDARD PROJECT REQUIREMENTS A.2.1 Acknowledgements. The Recipient shall include the following acknowledgement in any document, written report, or brochure prepared in whole or in part pursuant to this Agreement: "Funding for this project has been provided in full or in part through an agreement with the State Water Resources Control Board. California's Clean Water State Revolving Fund is capitalized through a variety of funding sources, including grants from the United States Environmental Protection Agency and state bond proceeds. The contents of this document do not necessarily reflect the views and policies of the foregoing, nor does mention of trade names or commercial products constitute endorsement or recommendation for use." City Council Exhibi43 — 85 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 10 of 48 A.2.2 Reports A.2.2.1 Progress Reports. (a) The Recipient must provide a progress report to the Division each quarter, beginning no later than 90 days after execution of this Agreement. (b) The Recipient must provide a progress report with each reimbursement request. Failure to provide a complete and accurate progress report may result in the withholding of Project Funds, as set forth in Exhibit B. (c) A progress report must contain the following information: i. A summary of progress to date including a description of progress since the last report, percent construction complete, percent contractor invoiced, and percent schedule elapsed; ii. A description of compliance with environmental requirements; iii. A listing of change orders including amount, description of work, and change in contract amount and schedule; and V. Any problems encountered, proposed resolution, schedule for resolution, and status of previous problem resolutions. A.2.2.2 Project Completion Report. (a) The Recipient must submit a Project Completion Report to the Division with a copy to the appropriate Regional Water Board on or before the due date established by the Division and the Recipient at the time of final project inspection. The Project Completion Report must include the following: i. Description of the Project, ii. Description of the water quality problem the Project sought to address, iii. Discussion of the Project's likelihood of successfully addressing that water quality problem in the future, and V. Summary of compliance with applicable environmental conditions. (b) If the Recipient fails to submit a timely Project Completion Report, the State Water Board may stop processing pending or future applications for new financial assistance, withhold disbursements under this Agreement or other agreements, and begin administrative proceedings. A.2.2.3 As Needed Reports. The Recipient must provide expeditiously, during the term of this Agreement, any reports, data, and information reasonably required by the Division, including but not limited to material necessary or appropriate for evaluation of the funding program or to fulfill any reporting requirements of the state or federal government. City Council Exhibi43 — 86 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 11 of 48 A.2.2.4 [Reserved.] A.2.2.5 DBE Reports for SRF Projects The Recipient must report Disadvantaged Business Enterprise (DBE) utilization to the Division on the DBE Utilization Report, State Water Board Form DBE UR334. The Recipient must submit such reports to the Division annually within ten (10) calendar days following October 1 until such time as the "Notice of Completion" is issued. The Recipient must comply with 40 CFR § 33.301 and require its contractors and subcontractors on the Project to comply. A.2.3 Signage. a. The Recipient shall place a sign at least four feet tall by eight feet wide made of/< inch thick exterior grade plywood or other approved material in a prominent location on the Project site and shall maintain the sign in good condition for the duration of the construction period. The Recipient is encouraged to use recycled or recovered materials when procuring signs and must comply with 2 CFR 200.323 if applicable. The sign must include the following disclosure statement and color logos (available from the Division) and be consistent with the requirements at httos://www.whitehouse.aov/wo- content/uploads/2022/08/Building-a-Better-America-Brand-Guide.odf, including the requirement for a larger sign if located in a highway right-of-way." PRESIDENT JOE RIDEN BUILDING A BETTERAWater Boards 9� �,�n Clean Water—SUILDJGOV CA b. "Funding for this Septic to Sewer Island Project has been provided in full or in part by the Clean Water State Revolving Fund and President Biden's Bipartisan Infrastructure Law through an agreement with the State Water Resources Control Board. California's Clean Water State Revolving Fund is capitalized through a variety of funding sources, including grants from the United States Environmental Protection Agency and state bond proceeds." C. The Project sign may include another agency's required promotional information so long as the above logos and disclosure statement are equally prominent on the sign. The sign shall be prepared in a professional manner. d. The Recipient is encouraged to translate the sign (excluding logos) into the appropriate non- English language(s). A.2.4 Commencement of Operations. Upon Completion of Construction of the Project, the Recipient must expeditiously initiate Project operations. F-11 971-11ZY:!91AI1yjMI:7_1:31 (a) Time is of the essence. (b) The Recipient must expeditiously proceed with and complete construction of the Project (c) The following dates are established as on the Cover Page of this Agreement: City Council Exhibi43 — 87 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 12 of 48 i. Eligible Work Start Date ii. Eligible Construction Start Date iii. Completion of Construction Date iv. Final Reimbursement Request Date V. Records Retention End Date vi. Final Payment Date (d) The Recipient must award the prime construction contract timely. (e) The Recipient agrees to start construction no later than March 31, 2023. (f) The Recipient must deliver any request for extension of the Completion of Construction date no less than 90 days prior to the Completion of Construction date. (g) The undisbursed balance of this Agreement will be deobligated if the Recipient does not provide its final reimbursement request to the Division on or before the Final Reimbursement Request Date. A.4 SCHEDULE. Failure to provide items by the due dates indicated in the table below may constitute a material violation of this Agreement. The Project Manager may adjust the dates in the "Estimated Due Date' column of this table, but Critical Due Date adjustments will require an amendment to this Agreement. The Recipient must complete and submit all work in time to be approved by the Division prior to Project Completion. As applicable for specific submittals, the Recipient must plan adequate time to solicit, receive, and address comments prior to submitting the final submittal. The Recipient must submit the final reimbursement request prior to the Final Reimbursement Request Date set forth on the Cover Page. ITEM DESCRIPTION OF SUBMITTAL CRITICAL DUE DATE ESTIMATED DUE DATE EXHIBIT A — SCOPE OF WORK A. ADDITIONAL SUBMITTALS TO THE DIVISION 1. Final Plans and Specifications N/A May 31, 2023 2. Completion of Construction Jul 20, 2024 N/A B. REPORTS 1 Progress Reports Quarterly 2. Final In ection and Certification N/A N/A 3. Project Completion Report N/A N/A 4. As Need Reports As Requested by the Division EXHIBIT B— REIMBURSEMENTS BUDGET DETAIL AND REPORTING PROVISIONS B. Reimbursements Quarterly 1. Final Budget Approval Package N/A IMay 31, 2023 2 Final Reimbursement Request January 20, 2025 1 N/A City Council Exhibi43 — 88 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 13 of 48 EXHIBIT B — FUNDING TERMS B.1. FUNDING AMOUNTS AND REIMBURSEMENTS B.1.1 Funding Contingency and Other Sources. (a) If this Agreement's funding for any fiscal year expires due to reversion or is reduced, substantially delayed, or deleted by the Budget Act, by Executive Order, or by order or action of the Department of Finance, the State Water Board has the option to either cancel this Agreement with no liability accruing to the State Water Board or offer an amendment to the Recipient to reflect the reduced amount. (b) If funding for Project Costs is made available to the Recipient from sources other than this Agreement, the Recipient must notify the Division. The Recipient may retain such funding up to an amount which equals the Recipient's share of Project Costs. To the extent allowed by requirements of other funding sources, excess funding must be remitted to the State Water Board to be applied to Payments due hereunder, if any. B.1.2 Estimated Reasonable Cost. The estimated reasonable cost of the total Project, including associated planning and design costs is one million five hundred twenty-nine thousand two hundred twenty dollars and no cents ($1,529,220.00). B.1.3 Project Funding Amount. Subject to the terms of this Agreement, the State Water Board agrees to provide Project Funds not to exceed the amount of the Project Funding Amount set forth on the Cover Page of this Agreement. B.1.4 [Reserved.] B. 1.5 Budget Costs. (a) Estimated budget costs are contained in the Summary Project Cost Table below: LINE ITEM TOTAL ESTIMATED COST PROJECT FUNDING AMOUNT Construction $ 1,092,300 $1,092,300 Pre -Purchased Material/Equipment $0 $0 Purchase of Land/Easements $0 $0 Change Order Contingency $ 109,230 $ 109,230 Force Account $0 $0 Allowances Soft Costs $ 327,690 $ 327,690 TOTAL $1,529,220 $1,529,220 The Division's Final Budget Approval and related Form 259 and Form 260 will document a more detailed budget of eligible Project Costs and Project funding amounts. Upon written request by the Recipient, the Division may adjust the line items of the Summary Project Cost Table at the time of Division's Final Budget Approval. Upon written request by the Recipient, the Division may also adjust the line items of the Summary Project Cost Table as well as the detailed budget at the time of Recipient's submittal of its final claim. Any line item adjustments to the Summary Project Cost Table that are due to a change in scope of work will require an Agreement amendment. The sum of City Council `""'V' -23- 89 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 14 of 48 adjusted line items in both the Summary Project Cost Table and the detailed budget must not exceed the Project Funding Amount. The Division may also propose budget adjustments. (b) Under no circumstances may the sum of line items in the budget approved through the Final Budget Approval process exceed the Project Funding Amount. Any increase in the Project Funding Amount will require an Agreement amendment. B.1.6 Contingent Disbursement. (a) The State Water Board's disbursement of funds hereunder is contingent on the Recipient's compliance with the terms and conditions of this Agreement. (b) The State Water Board's obligation to disburse Project Funds is contingent upon the availability of sufficient funds to permit the disbursements provided for herein. If sufficient funds are not available for any reason, including but not limited to failure of the federal or State government to appropriate funds necessary for disbursement of Project Funds, the State Water Board shall not be obligated to make any disbursements to the Recipient under this Agreement. This provision shall be construed as a condition precedent to the obligation of the State Water Board to make any disbursements under this Agreement. Nothing in this Agreement shall be construed to provide the Recipient with a right of priority for disbursement over any other entity. If any disbursements due the Recipient under this Agreement are deferred because sufficient funds are unavailable, it is the intention of the State Water Board that such disbursement will be made to the Recipient when sufficient funds do become available, but this intention is not binding. (c) Construction costs and disbursements are not available until after the Division has approved the final budget form submitted by the Recipient. (d) No costs incurred prior to the Eligible Work Start Date are eligible for reimbursement. (e) Construction costs incurred prior to the Eligible Construction Start Date are not eligible for reimbursement. (f) Failure to proceed according to the timelines set forth in this Agreement may require the Recipient to repay to the State Water Board all disbursed Project Funds. (g) The Recipient agrees to ensure that its final reimbursement request is received by the Division no later than the Final Reimbursement Request Date. If the final reimbursement request is not received timely, the undisbursed balance of this Agreement will be deobligated. (h) The Recipient is not entitled to interest earned on undisbursed funds. B.1.7 Reimbursement Procedure. Except as may be otherwise provided in this Agreement, disbursement of Project Funds will be made as follows: (a) Upon execution and delivery of this Agreement by both parties, the Recipient may request immediate reimbursement of any eligible incurred planning and design allowance costs through submission to the State Water Board of the Reimbursement Request Form 260 and Form 261, or any amendment thereto, duly completed and executed. (b) The Recipient must submit a reimbursement request for costs incurred prior to the date this Agreement is executed by the State Water Board no later than ninety (90) days after this City Council `""'V' -23- 90 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 15 of 48 Agreement is executed by the State Water Board. Late reimbursement requests may not be honored. (c) The Recipient may request reimbursement of eligible construction and equipment costs consistent with budget amounts approved by the Division in the Final Budget Approval. (d) Additional Project Funds will be promptly disbursed to the Recipient upon receipt of reimbursement request Form 260 and Form 261, or any amendment thereto, duly completed and executed by the Recipient for incurred costs consistent with this Agreement, along with receipt of progress reports due under Exhibit A. (e) The Recipient must not request reimbursement for any Project Cost until such cost has been incurred and is currently due and payable by the Recipient, although the actual payment of such cost by the Recipient is not required as a condition of reimbursement request. Supporting documentation (e.g., receipts) must be submitted with each reimbursement request. The amount requested for administration costs must include a calculation formula (i.e., hours or days worked times the hourly or daily rate = total amount claimed). Disbursement of Project Funds will be made only after receipt of a complete, adequately supported, properly documented, and accurately addressed reimbursement request. Reimbursement requests submitted without supporting documents may be wholly or partially withheld at the discretion of the Division. (f) The Recipient must spend Project Funds within 30 days of receipt. If the Recipient earns interest earned on Project Funds, it must report that interest immediately to the State Water Board. The State Water Board may deduct earned interest from future disbursements. (g) The Recipient shall not request a reimbursement unless that Project Cost is allowable, reasonable, and allocable. (h) Notwithstanding any other provision of this Agreement, no disbursement shall be required at any time or in any manner which is in violation of or in conflict with federal or state laws, policies, or regulations. (i) No work or travel outside the State of California is permitted under this Agreement unless the Division provides prior written authorization. Failure to comply with this restriction may result in termination this Agreement, pursuant to Exhibit C. Any reimbursement for necessary travel and per diem shall be at rates not to exceed those set by the California Department of Human Resources at http://www.calhr.ca.gov/employees/Pages/travel-reimbursements.asox. as of the date costs are incurred by the Recipient. B.1.8 Withholding of Disbursements. Notwithstanding any other provision of this Agreement, the State Water Board may withhold all or any portion of the Project Funds upon the occurrence of any of the following events: (a) The Recipient's failure to maintain reasonable progress on the Project as determined by the Division; (b) Placement on the ballot or passage of an initiative or referendum to repeal or reduce the Recipient's taxes, assessments, fees, or charges levied for operation of the System or payment of debt service on System Obligations; (c) Commencement of litigation or a judicial or administrative proceeding related to the Project, System, or Revenues that the State Water Board determines may impair the timely satisfaction of Recipient's obligations under this Agreement; (d) Any investigation by the State Water Board, District Attorney, California State Auditor, Bureau of State Audits, United States Environmental Protection Agency's Office of Inspector General, City Council `"""' -23 - 91 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 16 of 48 the Internal Revenue Service, Securities and Exchange Commission, a grand jury, or any other state or federal agency, relating to the Recipient's financial management, accounting procedures, or internal fiscal controls; (e) A material adverse change in the condition of the Recipient, the Revenues, or the System, that the Division reasonably determines would materially impair the Recipient's ability to satisfy its obligations under this Agreement, or any other event that the Division reasonably determines would materially impair the Recipient's ability to satisfy its obligations under this Agreement; (f) The Recipient's material violation of, or threat to materially violate, any term of this Agreement; (g) Suspicion of fraud, forgery, embezzlement, theft, or any other misuse of public funds by the Recipient or its employees, or by its contractors or agents regarding the Project or the System; (h) An event requiring Notice as set forth in Exhibit C; (i) An Event of Default or an event that the Division determines may become an Event of Default. B.1.9 Fraud and Misuse of Public Funds; Enforcement All requests for reimbursement submitted must be accurate and signed by the Recipient's Authorized Representative under penalty of perjury. All costs submitted pursuant to this Agreement must only be for the work or tasks set forth in this Agreement. The Recipient must not submit any invoice containing costs that are ineligible or have been reimbursed from other funding sources unless required and specifically noted as such (i.e., match costs). Any eligible costs for which the Recipient is seeking reimbursement shall not be reimbursed from any other source. Double or multiple billing for time, services, or any other eligible cost is improper and will not be compensated. Any suspected occurrences of fraud, forgery, embezzlement, theft, or any other misuse of public funds may result in suspension of disbursements and, notwithstanding any other section in this Agreement, the termination of this Agreement requiring the repayment of all Project Funds disbursed hereunder. Additionally, the Deputy Director of the Division may request an audit; refer the matter for appropriate administrative action, including but not limited to the recovery of financial assistance provided and the imposition of civil penalties; and/or refer the matter to the Attorney General's Office or the appropriate district attorney's office for criminal prosecution or the imposition of civil liability. A person who knowingly makes or causes to be made any false statement, material misrepresentation, or false certification in any submittal may be subject to a civil penalty, criminal fine, or imprisonment. (Wat. Code, § 13490 et seq.) B.2 RECIPIENT'S PAYMENT OBLIGATION, PLEDGE, AND RESERVE B.2.1 Project Costs The Recipient must pay any and all costs connected with the Project including, without limitation, any and all Project Costs and Additional Payments. If the Project Funds are not sufficient to pay the Project Costs in full, the Recipient must nonetheless complete the Project and pay that portion of the Project Costs in excess of available Project Funds, and shall not be entitled to any reimbursement therefor from the State Water Board. B.2.2 Estimated Principal Payment Due. The estimated amount of principal that will be due to the State Water Board from the Recipient under this Agreement is one million five hundred twenty-nine thousand two hundred twenty dollars and no cents ($1, 529,220.00). City Council `""'V' -23- 92 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 17 of 48 B.2.3 Interest Rate and In -Lieu of Interest Charges. (a) The Recipient agrees to make all Payments according to the schedule in Exhibit E, and as otherwise set forth herein, at an interest rate of two and six -tenths percent (2.6%) per annum. (b) Interest will accrue beginning with each disbursement. (c) In lieu of, and not to exceed, interest otherwise due under this Agreement, the Recipient agrees to pay the following charge(s), as further set forth in Exhibit E: • an Administrative Service Charge • a Small Community Grant Fund Charge B.2.4 [Reserved.] B.2.5 Obligation Absolute The obligation of the Recipient to make the Payments and other payments required to be made by it under this Agreement, from the Net Revenues and/or other amounts legally available to the Recipient therefor, is absolute and unconditional, and until such time as the Payments and Additional Payments have been paid in full, the Recipient must not discontinue or suspend any Payments or other payments required to be made by it hereunder when due, whether or not the Project, or any related part thereof is operating or operable or has been completed, or its use is suspended, interfered with, reduced or curtailed or terminated in whole or in part, and such Payments and other payments shall not be subject to reduction whether by offset or otherwise and shall not be conditional upon the performance or nonperformance by any party of any agreement for any cause whatsoever. B.2.6 Payment Timing (a) Beginning one year after Completion of Construction, the Recipient must submit an annual Payment of the principal of the Project Funds, together with all interest accruing thereon. The Recipient must make Payments fully amortizing the total principal of the Project by the Final Payment Date. Payments are based on a standard fully amortized assistance amount with equal annual payments. (b) The remaining balance is the previous balance, plus the disbursements, plus the accrued interest on both, plus any Charge In Lieu of Interest, less the Payment. Payment calculations will be made beginning one (1) year after Completion of Construction. Exhibit E is a payment schedule based on the provisions of this Exhibit and an estimated disbursement schedule. Actual payments will be based on actual disbursements. (c) Upon Completion of Construction and submission of necessary reports by the Recipient, the Division will prepare an appropriate payment schedule and supply the same to the Recipient. The Division may amend this schedule as necessary to accurately reflect amounts due under this Agreement. The Division will prepare any necessary amendments to the payment schedule and send them to the Recipient. The Recipient must make each Payment on or before the due date therefor. A ten (10) day grace period will be allowed, after which time a penalty in the amount of costs incurred by the State Water Board will be assessed for late payment. These costs may include, but are not limited to, lost interest earnings, staff time, bond debt service default penalties, if any, and other related costs. For purposes of penalty assessment, payment will be deemed to have been made if payment is deposited in the U.S. Mail within the grace period with postage prepaid and properly addressed. Any penalties assessed will not be added to the assistance amount balance, but will be treated as a separate account and obligation of the Recipient. The interest penalty will be assessed from the payment due date. City Council """V' "23— 93 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 18 of 48 (d) The Recipient is obligated to make all payments required by this Agreement to the State Water Board, notwithstanding any individual default by its constituents or others in the payment to the Recipient of fees, charges, taxes, assessments, tolls or other charges ("Charges") levied or imposed by the Recipient. The Recipient must provide for the punctual payment to the State Water Board of all amounts which become due under this Agreement and which are received from constituents or others in the payment to the Recipient. In the event of failure, neglect or refusal of any officer of the Recipient to levy or cause to be levied any Charge to provide payment by the Recipient under this Agreement, to enforce or to collect such Charge, or to pay over to the State Water Board any money collected on account of such Charge necessary to satisfy any amount due under this Agreement, the State Water Board may take such action in a court of competent jurisdiction as it deems necessary to compel the performance of all duties relating to the imposition or levying and collection of any of such Charges and the payment of the money collected therefrom to the State Water Board. Action taken pursuant hereto shall not deprive the State Water Board of, or limit the application of, any other remedy provided by law or by this Agreement. (e) Each Payment must be paid in lawful money of the United States of America by check or other acceptable form of payment set forth at www.waterboards.ca.gov/make a payment. The Recipient must pay Payments and Additional Payments from Net Revenues and/or other amounts legally available to the Recipient therefor. B.2.7 Pledged Revenues. B.2.7.1 Establishment of Enterprise Fund and Reserve Fund. In order to carry out its System Obligations, the Recipient covenants that it shall establish and maintain or shall have established and maintained the Enterprise Fund. All Revenues received shall be deposited when and as received in trust in the Enterprise Fund. As required in this Exhibit, the Recipient must establish and maintain a Reserve Fund. B.2.7.2 Pledge of Net Revenues, Enterprise Fund, and Reserve Fund. The Obligation hereunder shall be secured by a lien on and pledge of the Enterprise Fund, Net Revenues, and any Reserve Fund on parity with the Parity Obligations. The Recipient hereby pledges and grants such lien on and pledge of the Enterprise Fund, Net Revenues, and any Reserve Fund to secure the Obligation, including payment of Payments and Additional Payments hereunder. The Enterprise Fund, Net Revenues in the Enterprise Fund, and any Reserve Fund shall be subject to the lien of such pledge without any physical delivery thereof or further act, and the lien of such pledge shall be valid and binding as against all parties having claims of any kind in tort, contract, or otherwise against the Recipient. B.2.7.3 Application and Purpose of the Enterprise Fund. Subject to the provisions of any outstanding System Obligation, money on deposit in the Enterprise Fund shall be applied and used first, to pay Operations and Maintenance Costs, and thereafter, all amounts due and payable with respect to the System Obligations in order of priority. After making all payments hereinabove required to be made in each Fiscal Year, the Recipient may expend in such Fiscal Year any remaining money in the Enterprise Fund for any lawful purpose of the Recipient. B.2.8 No Prepayment. Pursuant to State Water Board's Debt Management Policy, adopted on October 3, 2017, the Recipient may not prepay any portion of the principal and interest due under this Agreement without the written consent of the Deputy Director of the Division. City Council `""'V' -23- 94 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 19 of 48 B.2.9 Reserve Fund. Prior to Completion of Construction, the Recipient must establish a restricted Reserve Fund, held in its Enterprise Fund, equal to one year's Debt Service on this Obligation. The Recipient must maintain the Reserve Fund throughout the term of this Agreement. The Reserve Fund is subject to lien and pledged as security for this Obligation, and its use is restricted to payment of this Obligation during the term of this Agreement. B.3 RATES, FEES AND CHARGES. (a) The Recipient must, to the extent permitted by law, fix, prescribe and collect rates, fees and charges for the System during each Fiscal Year which are reasonable, fair, and nondiscriminatory and which will be sufficient to generate Revenues in the amounts necessary to cover Operations and Maintenance Costs, and must ensure that Net Revenues are equal to the sum of (i) at least 120% of the Maximum Annual Debt Service with respect to all outstanding System Obligations senior to and on parity with the Obligation and (ii) at least 100% of the Maximum Annual Debt Service with respect to all outstanding System Obligations subordinate to the Obligation, so long as System Obligations other than this Obligation are outstanding. Upon defeasance of all System Obligations other than this Obligation, this ratio must be at least 120%, except where System Obligations are defeased pursuant to refunding obligations. (b) The Recipient may make adjustments from time to time in such fees and charges and may make such classification thereof as it deems necessary, but shall not reduce the rates, fees and charges then in effect unless the Net Revenues from such reduced rates, fees, and charges will at all times be sufficient to meet the requirements of this section. (c) Upon consideration of a voter initiative to reduce Revenues, the Recipient must make a finding regarding the effect of such a reduction on the Recipient's ability to satisfy the rate covenant set forth in this Section. The Recipient must make its findings available to the public. The Recipient's Authorized Representative must request, if necessary, the authorization of the Recipient's decision -maker or decision -making body to file litigation to challenge any such initiative that it finds will render it unable to satisfy the rate covenant set forth in this Agreement and its obligation to operate and maintain the Project for its Useful Life. The Recipient must diligently pursue and bear any and all costs related to such challenge. The Recipient must notify and regularly update the State Water Board regarding the status of any such challenge. BA ADDITIONAL DEBT. (a) The Recipient's future debt that is secured by Revenues pledged herein may not be senior to this Obligation. (b) The Recipient may issue additional parity or subordinate debt only if all of the following conditions are met: (i) Net Revenues in the most recent Fiscal Year, excluding transfers from a rate stabilization fund, if any, meet the ratio for rate covenants set forth in this Exhibit with respect to any outstanding and proposed additional obligations. (ii) The Recipient is in compliance with any reserve fund requirement of this Obligation. (iii) No Event of Default (or no event with respect to which notice has been given and which, once all notice of grace periods have passed, would constitute an Event of Default) has occurred and is continuing. City Council `""'V' -23- 95 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 20 of 48 B.5 NO LIENS. The Recipient must not make any pledge of or place any lien on the Project, System, or Revenues except as otherwise provided or permitted by this Agreement. EXHIBIT C — GENERAL & PROGRAMMATIC TERMS & CONDITIONS C.1 REPRESENTATIONS & WARRANTIES. The Recipient represents, warrants, and commits to the following as of the Eligible Work Start Date and continuing thereafter for the term of this Agreement. C.1.1 Application and General Recipient Commitments. The Recipient has not made any untrue statement of a material fact in its application for this financial assistance, or omitted to state in its application a material fact that makes the statements in its application not misleading. The Recipient agrees to comply with all terms, provisions, conditions, and commitments of this Agreement, including all incorporated documents. The Recipient agrees to fulfill all assurances, declarations, representations, and commitments in its application, accompanying documents, and communications filed in support of its request for funding under this Agreement. C.1.2 Authorization and Validity. The execution and delivery of this Agreement, including all incorporated documents, has been duly authorized by the Recipient. Upon execution by both parties, this Agreement constitutes a valid and binding obligation of the Recipient, enforceable in accordance with its terms, except as such enforcement may be limited by law. C.1.3 No Violations. The execution, delivery, and performance by Recipient of this Agreement, including all incorporated documents, do not violate any provision of any law or regulation in effect as of the date of execution of this Agreement by the Recipient, or result in any breach or default under any contract, obligation, indenture, or other instrument to which Recipient is a party or by which Recipient is bound as of the date of execution of this Agreement by the Recipient. C.1.4 No Litigation. There are, as of the date of execution of this Agreement by the Recipient, no pending or, to Recipient's knowledge, threatened actions, claims, investigations, suits, or proceedings before any governmental authority, court, or administrative agency which materially affect the financial condition or operations of the Recipient, the System, the Revenues, and/or the Project. There are no proceedings, actions, or offers by a public entity to acquire by purchase or the power of eminent domain the System or any of the real or personal property related to or necessary for the Project. City Council `""'V' -23- 96 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 21 of 48 C.1.5 Property Rights. The Recipient owns or has sufficient property rights in the Project property for the longer of the Useful Life or the term of this Agreement, either in fee simple or for a term of years that is not subject to third -party revocation during the Useful Life of the Project. C.1.6 Solvency and Insurance. None of the transactions contemplated by this Agreement will be or have been made with an actual intent to hinder, delay, or defraud any present or future creditors of Recipient. The Recipient is solvent and will not be rendered insolvent by the transactions contemplated by this Agreement. The Recipient is able to pay its debts as they become due. The Recipient maintains sufficient insurance coverage considering the scope of this Agreement, including, for example but not necessarily limited to, general liability, automobile liability, workers compensation and employer liability, professional liability. C.1.7 Legal Status and Eligibility. The Recipient is duly organized and existing and in good standing under the laws of the State of California. Recipient must at all times maintain its current legal existence and preserve and keep in full force and effect its legal rights and authority. The Recipient acknowledges that changes to its legal or financial status may affect its eligibility for funding under this Agreement and commits to maintaining its eligibility. Within the preceding ten years, the Recipient has not failed to demonstrate compliance with state or federal audit disallowances. C.1.8 Financial Statements and Continuing Disclosure. The financial statements of Recipient previously delivered to the State Water Board as of the date(s) set forth in such financial statements: (a) are materially complete and correct; (b) present fairly the financial condition of the Recipient; and (c) have been prepared in accordance with GAAP. Since the date(s) of such financial statements, there has been no material adverse change in the financial condition of the Recipient, nor have any assets or properties reflected on such financial statements been sold, transferred, assigned, mortgaged, pledged or encumbered, except as previously disclosed in writing by Recipient and approved in writing by the State Water Board. The Recipient is current in its continuing disclosure obligations associated with its material debt, if any. C.1.9 System Obligations The Recipient has no System Obligations other than those defined in this Agreement. C.1.10 No Other Material Debt. The Recipient has no Material Obligations. C.1.11 Compliance with State Water Board Funding Agreements. The Recipient represents that it is in compliance with all State Water Board funding agreements to which it is a party. C.2 DEFAULTS AND REMEDIES In addition to any other remedy set forth in this Agreement, the following remedies are available under this Agreement. City Council """V' "23— 97 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 22 of 48 C.2.1 Return of Funds; Acceleration; and Additional Payments. Notwithstanding any other provision of this Agreement, if the Division determines that an Event of Default has occurred, the Recipient may be required, upon demand, immediately to do each of the following: i. return to the State Water Board any grant or principal forgiveness amounts received pursuant to this Agreement; ii. accelerate the payment of any principal owed under this Agreement, all of which shall be immediately due and payable; iii. pay interest at the highest legal rate on all of the foregoing; and iv. pay any Additional Payments. C.2.2 [Reserved.] C.2.3 Administrative remedies. Whenever the State Water Board determines that the Recipient, the Recipient's contractor, consultant, employee, agent, assignee, or grantee has violated any requirement or term of the Agreement, the State Water Board may impose civil penalties in accordance with Water Code, section 13497. The State Water Board may impose civil liability administratively against the Recipient or the Recipient's consultant or contractor or other agent furnishing any information related to funds disbursed or costs claimed for reimbursement if the Recipient or the Recipient's consultant or contractor or other agent fails to personally attest that the information is true, accurate, and complete the best of one's knowledge. (Wat. Code, § 13498.) The State Water Board may impose civil liability administratively against any person who makes a misrepresentation in any submittal to the State Water Board, including, but not limited to, an application, report, certification, record, invoice, form, or other document that is submitted to the State Water Board relating to a financial assistance agreement. (Wat. Code, § 13499.) C.2.4 Judicial remedies. Whenever the State Water Board determines that an Event of Default shall have occurred, the State Water Board may enforce its rights under this Agreement by any judicial proceeding, whether at law or in equity. Without limiting the generality of the foregoing, the State Water Board may: i. by suit in equity, require the Recipient to account for amounts relating to this Agreement as if the Recipient were the trustee of an express trust; ii. by mandamus or other proceeding, compel the performance by the Recipient and any of its officers, agents, and employees of any duty under the law or of any obligation or covenant under this Agreement, including but not limited to the imposition and collection of rates for the services of the System sufficient to meet all requirements of this Agreement; and iii. take whatever action at law or in equity as may appear necessary or desirable to the State Water Board to collect the Payments then due or thereafter to become due, or to enforce performance of any obligation or covenant of the Recipient under this Agreement. C.2.5 Termination. Upon an Event of Default, the State Water Board may terminate this Agreement. Interest shall accrue on all amounts due at the highest legal rate of interest from the date that the State Water Board delivers notice of termination to the Recipient. C.2.6 Damages for Breach of Tax -Exempt Status. City Council `""'V' -23- 98 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 23 of 48 In the event that any breach of any of the provisions of this Agreement by the Recipient results in the loss of tax-exempt status for any bonds of the State or any subdivision or agency thereof, or if such breach results in an obligation on the part of the State or any subdivision or agency thereof to reimburse the federal government by reason of any arbitrage profits, the Recipient must immediately reimburse the State or any subdivision or agency thereof in an amount equal to any damages paid by or loss incurred by the State or any subdivision or agency thereof due to such breach. C.2.7 Damages for Breach of Federal Conditions. In the event that any breach of any of the provisions of this Agreement by the Recipient results in the failure of Project Funds to be used pursuant to the provisions of this Agreement, or if such breach results in an obligation on the part of the State or any subdivision or agency thereof to reimburse the federal government, the Recipient must immediately reimburse the State or any subdivision or agency thereof in an amount equal to any damages paid by or loss incurred by the State or any subdivision or agency thereof due to such breach. [WA:M:Z MA M oRz-T.TiTGlwridiFtireMe None of the remedies available to the State Water Board shall be exclusive of any other remedy, and each such remedy shall be cumulative and in addition to every other remedy given hereunder or now or hereafter existing at law or in equity. The State Water Board may exercise any remedy, now or hereafter existing, without exhausting and without regard to any other remedy. Any claim of the Recipient is limited to the rights and remedies provided to the Recipient under this Agreement and is subject to the claims procedures provided to the Recipient under this Agreement. C.2.9 Non -Waiver. Nothing in this Agreement shall affect or impair the Recipient's Obligation to pay Payments as provided herein or shall affect or impair the right of the State Water Board to bring suit to enforce such payment. No delay or omission of the State Water Board in the exercise of any right arising upon an Event of Default shall impair any such right or be construed to be a waiver of any such Event of Default. The State Water Board may exercise from time to time and as often as shall be deemed expedient by the State Water Board, any remedy or right provided by law or pursuant to this Agreement. C.2.10 Status Quo. If any action to enforce any right or exercise any remedy shall be brought and either discontinued or determined adversely to the State Water Board, then the State Water Board shall be restored to its former position, rights and remedies as if no such action had been brought. C.3 STANDARD CONDITIONS C.3.1 Access, Inspection, and Public Records. The Recipient must ensure that the State Water Board, the Governor of the State, the United States Environmental Protection Agency, the Office of Inspector General, any member of Congress, or any authorized representative of the foregoing, will have safe and suitable access to the Project site at all reasonable times during Project construction and thereafter for the term of the Agreement. The Recipient acknowledges that, except for a subset of information regarding archaeological records, the Project records and locations are public records, including but not limited to all of the submissions accompanying the application, all of the documents incorporated into this Agreement by reference, and all reports, reimbursement requests, and supporting documentation submitted hereunder. City Council `""'V' -23- 99 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 24 of 48 C.3.2 Accounting and Auditing Standards; Financial Management Systems; Records Retention. (a) The Recipient must maintain project accounts according to GAAP as issued by the Governmental Accounting Standards Board (GASB) or its successor. The Recipient must maintain GAAP-compliant project accounts, including GAAP requirements relating to the reporting of infrastructure assets. (b) The Recipient must comply with federal standards for financial management systems. The Recipient agrees that, at a minimum, its fiscal control and accounting procedures will be sufficient to permit preparation of reports required by the federal government and tracking of Project funds to a level of expenditure adequate to establish that such funds have not been used in violation of federal or state law or the terms of this Agreement. To the extent applicable, the Recipient is bound by, and must comply with, the provisions and requirements of the federal Single Audit Act of 1984 and 2 CFR Part 200, subpart F, and updates or revisions, thereto. (c) Without limitation of the requirement to maintain Project accounts in accordance with GAAP, the Recipient must: i. Establish an official file for the Project which adequately documents all significant actions relative to the Project; ii. Establish separate accounts which will adequately and accurately depict all amounts received and expended on the Project, including all assistance funds received under this Agreement; iii. Establish separate accounts which will adequately depict all income received which is attributable to the Project, specifically including any income attributable to assistance funds disbursed under this Agreement; iv. Establish an accounting system which will accurately depict final total costs of the Project, including both direct and indirect costs; V. Establish such accounts and maintain such records as may be necessary for the State to fulfill federal reporting requirements, including any and all reporting requirements under federal tax statutes or regulations; and vi. If Force Account is used by the Recipient for any phase of the Project, other than for planning, design, and construction engineering and administration provided for by allowance, accounts will be established which reasonably document all employee hours charged to the Project and the associated tasks performed by each employee. (d) The Recipient must maintain separate books, records and other material relative to the Project. The Recipient must also retain such books, records, and other material for itself and for each contractor or subcontractor who performed or performs work on this project for a minimum of thirty-six (36) years after Completion of Construction. The Recipient must require that such books, records, and other material are subject at all reasonable times (at a minimum during normal business hours) to inspection, copying, and audit by the State Water Board, the California State Auditor, the Bureau of State Audits, the United States Environmental Protection Agency (USEPA), the Office of Inspector General, the Internal Revenue Service, the Governor, or any authorized representatives of the aforementioned. The Recipient must allow and must require its contractors to allow interviews during normal business hours of any employees who might reasonably have information related to such records. The Recipient agrees to include a similar duty regarding audit, interviews, and records retention in any contract or subcontract related to the performance of this Agreement. The provisions of this section survive the term of this Agreement. City Council """V' "23— 100 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 25 of 48 C.3.3 Amendment. No amendment or variation of the terms of this Agreement shall be valid unless made in writing and signed by both the Recipient and the Deputy Director or designee. Requests for amendments must be in writing and directed to the contact listed in Section 4 and to the Division's Chief of Loans and Grants Administration Section. C.3.4 Assignability. This Agreement is not assignable by the Recipient, either in whole or in part, without the consent of the State Water Board in the form of a formal written amendment to this Agreement. C.3.5 Audit. (a) The Division may call for an audit of financial information relative to the Project if the Division determines that an audit is desirable to assure program integrity or if an audit becomes necessary because of state or federal requirements. If an audit is called for, the audit must be performed by a certified public accountant independent of the Recipient and at the cost of the Recipient. The audit must be in the form required by the Division. (b) Audit disallowances must be returned to the State Water Board. C.3.6 Bonding. Where contractors are used, the Recipient must not authorize construction to begin until each contractor has furnished a performance bond in favor of the Recipient in the following amounts: faithful performance (100%) of contract value, labor and materials (100%) of contract value. This requirement shall not apply to any contract for less than $25,000.00. C.3.7 Competitive Bidding Recipient must adhere to any applicable state law or local ordinance for competitive bidding and applicable labor laws. C.3.8 Compliance with Applicable Laws, Rules, and Requirements. The Recipient must, at all times, comply with and require its contractors and subcontractors to comply with all applicable federal and state laws, rules, guidelines, regulations, and requirements. Without limitation of the foregoing, to the extent applicable, the Recipient must: (a) Comply with the provisions of the adopted environmental mitigation plan, if any, for the term of this Agreement; (b) Comply with the Policy; and (c) Comply with and require compliance with the state and federal requirements set forth elsewhere in this Agreement. C.3.9 Computer Software. The Recipient certifies that it has appropriate systems and controls in place to ensure that state funds will not be used in the performance of this Agreement for the acquisition, operation or maintenance of computer software in violation of copyright laws. City Council `""'V' -23- 101 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 26 of 48 C.3.10 Conflict of Interest. The Recipient certifies that its owners, officers, directors, agents, representatives, and employees are in compliance with applicable state and federal conflict of interest laws. C.3.11 Continuous Use of Project; No Lease, Sale, Transfer of Ownership, or Disposal of Project The Recipient agrees that, except as provided in this Agreement, it will not abandon, substantially discontinue use of, lease, sell, transfer ownership of, or dispose of all or a significant part or portion of the Project during the Useful Life of the Project without prior written approval of the Division. Such approval may be conditioned as determined to be appropriate by the Division, including a condition requiring repayment of all disbursed Project Funds or all or any portion of all remaining funds covered by this Agreement together with accrued interest and any penalty assessments that may be due. C.3.12 Data Management. The Recipient will undertake appropriate data management activities so that Project data can be incorporated into statewide data systems. C.3.13 Disputes (a) The Recipient may appeal a staff decision within 30 days to the Deputy Director of the Division or designee, for a final Division decision. The Recipient may appeal a final Division decision to the State Water Board within 30 days. The Office of the Chief Counsel of the State Water Board will prepare a summary of the dispute and make recommendations relative to its final resolution, which will be provided to the State Water Board's Executive Director and each State Water Board Member. Upon the motion of any State Water Board Member, the State Water Board will review and resolve the dispute in the manner determined by the State Water Board. Should the State Water Board determine not to review the final Division decision, this decision will represent a final agency action on the dispute. (b) This clause does not preclude consideration of legal questions, provided that nothing herein shall be construed to make final the decision of the State Water Board, or any official or representative thereof, on any question of law. (c) Recipient must continue with the responsibilities under this Agreement during any dispute. (d) This section relating to disputes does not establish an exclusive procedure for resolving claims within the meaning of Government Code sections 930 and 930.4. C.3.14 [Reserved.] C.3.15 Environmental Clearance (a) No work that is subject to CEQA or NEPA may proceed under this Agreement unless the State Water Board has provided environmental clearance. The State Water Board may require changes in the scope of work or additional mitigation as a condition to providing construction or implementation funding under this Agreement. Recipient shall not perform any work subject to CEQA and/or NEPA before the State Water Board completes its environmental review and specifies any changes in scope or additional mitigation that may be required. Proceeding with work subject to CEQA and/or NEPA without approval by the State Water Board shall constitute a breach of a material provision of this Agreement. (b) If this Project includes modification of a river or stream channel, the Recipient must fully mitigate environmental impacts resulting from the modification. The Recipient must provide documentation that City Council `""'V' -23- 102 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 27 of 48 the environmental impacts resulting from such modification will be fully mitigated considering all of the impacts of the modification and any mitigation, environmental enhancement, and environmental benefit resulting from the Project, and whether, on balance, any environmental enhancement or benefit equals or exceeds any negative environmental impacts of the Project. C.3.16 Governing Law. This Agreement is governed by and shall be interpreted in accordance with the laws of the State of California. C.3.17 Income Restrictions. The Recipient agrees that any refunds, rebates, credits, or other amounts (including any interest thereon) accruing to or received by the Recipient under this Agreement must be paid by the Recipient to the State Water Board, to the extent that they are properly allocable to costs for which the Recipient has been reimbursed by the State Water Board under this Agreement. C.3.18 Indemnification and State Reviews. The parties agree that review or approval of Project plans and specifications by the State Water Board is for administrative purposes only, including conformity with application and eligibility criteria, and expressly not for the purposes of design defect review or construction feasibility, and does not relieve the Recipient of its responsibility to properly plan, design, construct, operate, and maintain the Project. To the extent permitted by law, the Recipient agrees to indemnify, defend, and hold harmless the State Water Board, the Bank, and any trustee, and their officers, employees, and agents for the Bonds, if any (collectively, 'Indemnified Persons"), against any loss or liability arising out of any claim or action brought against any Indemnified Persons from and against any and all losses, claims, damages, liabilities, or expenses, of every conceivable kind, character, and nature whatsoever arising out of, resulting from, or in any way connected with (1) the System or the Project or the conditions, occupancy, use, possession, conduct, or management of, work done in or about, or the planning, design, acquisition, installation, or construction, of the System or the Project or any part thereof; (2) the carrying out of any of the transactions contemplated by this Agreement or any related document; (3) any violation of any applicable law, rule or regulation, any environmental law (including, without limitation, the Federal Comprehensive Environmental Response, Compensation and Liability Act, the Resource Conservation and Recovery Act, the California Hazardous Substance Account Act, the Federal Water Pollution Control Act, the Clean Air Act, the Toxic Substances Control Act, the Occupational Safety and Health Act, the Safe Drinking Water Act, the California Hazardous Waste Control Law, and California Water Code Section 13304, and any successors to said laws), rule or regulation or the release of any toxic substance on or near the System or the Project; or (4) any untrue statement or alleged untrue statement of any material fact or omission or alleged omission to state a material fact necessary to make the statements required to be stated therein, in light of the circumstances under which they were made, not misleading with respect to any information provided by the Recipient for use in any disclosure document utilized in connection with any of the transactions contemplated by this Agreement, except those arising from the gross negligence or willful misconduct of the Indemnified Persons. The Recipient must also provide for the defense and indemnification of the Indemnified Persons in any contractual provision extending indemnity to the Recipient in any contract let for the performance of any work under this Agreement, and must cause the Indemnified Persons to be included within the scope of any provision for the indemnification and defense of the Recipient in any contract or subcontract. To the fullest extent permitted by law, the Recipient agrees to pay and discharge any judgment or award entered or made against Indemnified Persons with respect to any such claim or action, and any settlement, compromise or other voluntary resolution. The provisions of this section survive the term of this Agreement. City Council """V' "23— 103 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 28 of 48 C.3.19 Independent Actor The Recipient, and its agents and employees, if any, in the performance of this Agreement, shall act in an independent capacity and not as officers, employees, or agents of the State Water Board. C.3.20 Integration. This Agreement constitutes the complete and final agreement between the parties. No oral or written understanding or agreement not incorporated in this Agreement shall be binding on either party. C.3.21 Leveraging Covenants. (a) Notwithstanding any other provision hereof, the Recipient covenants and agrees that it will comply with the Tax Covenants set forth in Exhibit F of this Agreement. (b) The Recipient covenants to furnish such financial, operating and other data pertaining to the Recipient as may be requested by the State Water Board to: (i) enable the State Water Board to cause the issuance of Bonds and provide for security therefor, or (ii) enable any underwriter of Bonds issued for the benefit of the State Water Board to comply with Rule 15c2-12(b)(5). (c) The Recipient further covenants to provide the State Water Board with copies of all continuing disclosure documents or reports that are disclosed pursuant to (i) the Recipient's continuing disclosure undertaking or undertakings made in connection with any outstanding System Obligation, (ii) the terms of any outstanding System Obligation, or (iii) a voluntary disclosure of information related to an outstanding System Obligation. The Recipient must disclose such documents or reports to the State Water Board at the same time such documents or reports are submitted to any dissemination agent, trustee, nationally recognized municipal securities information repository, the Municipal Securities Rulemaking Board's Electronic Municipal Market Access (EMMA) website or other person or entity. C.3.22 No Discrimination (a) The Recipient must comply with Government Code section 11135 and the implementing regulations (Cal. Code Regs, tit. 2, § 11140 et sec.), including, but not limited to, ensuring that no person is unlawfully denied full and equal access to the benefits of, or unlawfully subjected to discrimination in the operation of, the Project or System on the basis of sex, race, color, religion, ancestry, national origin, ethnic group identification, age, mental disability, physical disability, medical condition, genetic information, marital status, or sexual orientation as such terms are defined under California law, for as long as the Recipient retains ownership or possession of the Project. (b) If Project Funds are used to acquire or improve real property, the Recipient must include a covenant of nondiscrimination running with the land in the instrument effecting or recording the transfer of such real property. (c) The Recipient must comply with the federal American with Disabilities Act of 1990 and implementing regulations as required by Government Code section 11135(b). (d) The Recipient's obligations under this section shall survive the term of this Agreement. (e) During the performance of this Agreement, Recipient and its contractors and subcontractors must not unlawfully discriminate, harass, or allow harassment against any employee or applicant for employment because of sex, race, color, ancestry, religious creed, national origin, sexual orientation, physical disability (including HIV and AIDS), mental disability, medical condition (cancer), age (over 40), marital City Council `""'V' —23— 104 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 29 of 48 status, denial of family care leave, or genetic information, gender, gender identity, gender expression, or military and veteran status. (f) The Recipient, its contractors, and subcontractors must ensure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment. (g) The Recipient, its contractors, and subcontractors must comply with the provisions of the Fair Employment and Housing Act and the applicable regulations promulgated thereunder. (Gov. Code, §12990, subds. (a)-(f) et seq.;Cal. Code Regs., tit. 2, § 7285 et seq.) Such regulations are incorporated into this Agreement by reference and made a part hereof as if set forth in full. (h) The Recipient, its contractors, and subcontractors must comply with all applicable federal civil rights regulations, including statutory and national policy requirements. (2 CFR § 200.300). This includes, to the greatest extent practicable and to the extent permitted by law, the requirement to respect and protect the freedom of persons and organizations to engage in political and religious speech. (Executive Order 13798). (i) The Recipient, its contractors, and subcontractors must give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other agreement. (j) The Recipient must include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under this Agreement. C.3.23 No Third Party Rights. The parties to this Agreement do not create rights in, or grant remedies to, any third party as a beneficiary of this Agreement, or of any duty, covenant, obligation, or undertaking established herein. C.3.24 No Obligation of the State. Any obligation of the State Water Board herein contained shall not be an obligation, debt, or liability of the State and any such obligation shall be payable solely out of the moneys encumbered pursuant to this Agreement. C.3.25 Notice. Upon the occurrence of any of the following events, the Recipient must provide notice as set forth below. (a) Within 24 hours of the following, the Recipient must notify the Division by phone at (916) 327-9978 and by email to crysten.coleewaterboards.ca.aoov and robert.00ntureri(o)waterboards.ca.gov and CleanWaterSRF(a-)-waterboards.ca.gov: i. The seizure of, or levy on, any Revenues securing this Agreement; ii. Any discovery of any potential tribal cultural resource and/or archaeological or historical resource. Should a potential tribal cultural resource and/or archaeological or historical resource be discovered during construction or Project implementation, the Recipient must ensure that all work in the area of the find will cease until a qualified archaeologist has evaluated the situation and made recommendations regarding preservation of the resource, and the Division has determined what actions should be taken to protect and preserve the resource. The Recipient must implement appropriate actions as directed by the Division. (b) [Reserved.] City Council """V' "23— 105 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 30 of 48 (c) Within five (5) business days, the Recipient must notify the Division by phone at (916) 327-9978; by email to Lance.Reese@waterboards.ca.gov crvsten.cole(ci).waterboards.ca.gov and robert.pontureri(a)waterboards.ca.gov and CleanWaterSRF@waterboards.ca.gov; and by mail to the contact address set forth in Section 4 of this Agreement of the occurrence of any of the following events: i. Bankruptcy, insolvency, receivership or similar event of the Recipient, or actions taken in anticipation of any of the foregoing; ii. Change of ownership of the Project or the System or change of management or service contracts, if any, for operation of the System; iii. Loss, theft, damage, or impairment to Project, the Revenues or the System; iv. Failure to meet any debt service coverage test in Exhibit B of this Agreement; v. Draws on the Reserve Fund; vi. Listed Events and Events of Default, except as otherwise set forth in this section; vii. Failure to observe or perform any covenant or comply with any condition in this Agreement; viii. An offer from a public entity to purchase the Project or the System or any portion thereof, or any of the real or personal property related to or necessary for the Project; ix. A proceeding or action by a public entity to acquire the Project or the System by power of eminent domain; x. Incurrence of a System Obligation or other Material Obligation by the Recipient; or xi. A default, event of acceleration, termination event, modification of terms, or other similar event under the terms of a System Obligation or other Material Obligation of the Recipient, any of which reflect financial difficulties. (d) Within ten (10) business days, the Recipient must notify the Division by phone at (916) 327-9978, by email to crysten.coleawaterboards.ca.gov and robert.pontureripwaterboards.ca.gov and CleanWaterSRFP_waterboards.ca.gov, and by mail to the contact address set forth in Section 4 of this Agreement of the following events: i. Material defaults on Material Obligations, other than this Obligation; ii. Unscheduled draws on material debt service reserves or credit enhancements, reflecting financial difficulties; iii. Substitution of credit or liquidity providers, if any or their failure to perform; iv. Any litigation pending or threatened with respect to the Project or the Recipient's technical, managerial or financial capacity to operate the System or the Recipient's continued existence; v. Circulation of a petition to repeal, reduce, or otherwise challenge the Recipient's rates for services of the System; vi. Consideration of dissolution, or disincorporation, or any other event that could materially impair the Revenues; vii. Adverse tax opinions, the issuance by the Internal Revenue Service or proposed or final determinations of taxability, Notices of Proposed Issue (IRS Form 5701- TEB) or other material notices of determinations with respect to the tax status of any tax-exempt bonds; viii. Rating changes on outstanding System Obligations, if any; ix. Enforcement actions by or brought on behalf of the State Water Board or Regional Water Board; or x. Any investigation by the District Attorney, California State Auditor, Bureau of State Audits, United States Environmental Protection Agency's Office of Inspector General, the Internal Revenue Service, Securities and Exchange City Council `""'V' -23- 106 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 31 of 48 Commission, a grand jury, or any other state or federal agency, relating to the Recipient's financial management, accounting procedures, or internal fiscal controls; (e) The Recipient must notify the Division promptly by phone at (916) 327-9978, by email to crvsten.cole(abwaterboards.ca.gov and robert.pontureri(a)_waterboards.ca.gov and Clean WaterSRF(@waterboards.ca.gov, and by mail to the contact address set forth in Section 4 of this Agreement of any of the following events: i. The discovery of a false statement of fact or representation made in this Agreement or in the application to the Division for this financial assistance, or in any certification, report, or request for reimbursement made pursuant to this Agreement, by the Recipient, its employees, agents, or contractors; ii. Any substantial change in scope of the Project. The Recipient must undertake no substantial change in the scope of the Project until prompt written notice of the proposed change has been provided to the Division and the Division has given written approval for the change; iii. Cessation of all major construction work on the Project where such cessation of work is expected to or does extend for a period of thirty (30) days or more; iv. Any circumstance, combination of circumstances, or condition, which is expected to or does delay Completion of Construction for a period of ninety (90) days or more; v. Discovery of any unexpected endangered or threatened species, as defined in the federal Endangered Species Act. Should a federally protected species be unexpectedly encountered during construction of the Project, the Recipient agrees to promptly notify the Division. This notification is in addition to the Recipient's obligations under the federal Endangered Species Act; vi. Any Project monitoring, demonstration, or other implementation activities required in Exhibit A or Exhibit D of this Agreement, if any; vii. Any public or media event publicizing the accomplishments and/or results of this Agreement and provide the opportunity for attendance and participation by state representatives with at least ten (10) working days' notice to the Division; viii. Any allegation of research misconduct involving research activities that are supported in whole or in part with EPA funds under this Project, as required by Exhibit C.4.3(xxvii); ix. Any events requiring notice to the Division pursuant to the provisions of this Agreement; x. Completion of Construction of the Project, and actual Project Completion; A. The award of the prime construction contract for the Project; xii. Initiation of construction of the Project. C.3.26 Operation and Maintenance; Insurance. The Recipient agrees to sufficiently and properly staff, operate and maintain all portions of the System during the Useful Life of the Project in accordance with all applicable state and federal laws, rules, and regulations. The Recipient will procure and maintain or cause to be maintained insurance on the System with responsible insurers, or as part of a reasonable system of self-insurance, in such amounts and against such risks (including damage to or destruction of the System) as are usually covered in connection with systems similar to the System. Such insurance may be maintained by a self-insurance plan so long as such plan provides for (i) the establishment by the Recipient of a separate segregated self-insurance fund in an amount determined (initially and on at least an annual basis) by an independent insurance City Council `""'V' -23- 107 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 32 of 48 consultant experienced in the field of risk management employing accepted actuarial techniques and (ii) the establishment and maintenance of a claims processing and risk management program. In the event of any damage to or destruction of the System caused by the perils covered by such insurance, the net proceeds thereof shall be applied to the reconstruction, repair or replacement of the damaged or destroyed portion of the System. The Recipient must begin such reconstruction, repair or replacement as expeditiously as possible, and must pay out of such net proceeds all costs and expenses in connection with such reconstruction, repair or replacement so that the same must be completed and the System must be free and clear of all claims and liens. If such net proceeds are insufficient to reconstruct, repair, or restore the System to the extent necessary to enable the Recipient to pay all remaining unpaid principal portions of the Payments, if any, in accordance with the terms of this Agreement, the Recipient must provide additional funds to restore or replace the damaged portions of the System. Recipient agrees that for any policy of insurance concerning or covering the construction of the Project, it will cause, and will require its contractors and subcontractors to cause, a certificate of insurance to be issued showing the State Water Board, its officers, agents, employees, and servants as additional insured, and must provide the Division with a copy of all such certificates prior to the commencement of construction of the Project. C.3.27 Permits, Subcontracting, and Remedies. Recipient must procure all permits, licenses and other authorizations necessary to accomplish the work contemplated in this Agreement, pay all charges and fees, and give all notices necessary and incidental to the due and lawful prosecution of the work. Signed copies of any such permits or licenses must be submitted to the Division before any construction begins. The Recipient must not contract or allow subcontracting with excluded parties. The Recipient must not contract with any party who is debarred or suspended or otherwise excluded from or ineligible for participation in any work overseen, directed, funded, or administered by the State Water Board program for which this funding is authorized. For any work related to this Agreement, the Recipient must not contract with any individual or organization on the State Water Board's List of Disqualified Businesses and Persons that is identified as debarred or suspended or otherwise excluded from or ineligible for participation in any work overseen, directed, funded, or administered by the State Water Board program for which funding under this Agreement is authorized. The State Water Board's List of Disqualified Businesses and Persons is located at httD://www.waterboards.ca.aov/water issues/Drooram s/enforcement/fwa/dbD.shtmI C.3.28 Professionals The Recipient agrees that only licensed professionals will be used to perform services under this Agreement where such services are called for. All technical reports required pursuant to this Agreement that involve planning, investigation, evaluation, design, or other work requiring interpretation and proper application of engineering, architectural, or geologic sciences, shall be prepared by or under the direction of persons registered to practice in California pursuant to Business and Professions Code, sections 5536.1, 6735, 7835, and 7835.1. To demonstrate compliance with California Code of Regulations, title 16, sections 415 and 3065, all technical reports must contain a statement of the qualifications of the responsible registered professional(s). As required by these laws, completed technical reports must bear the signature(s) and seal(s) of the registered professional(s) in a manner such that all work can be clearly attributed to the professional responsible for the work. City Council `""'V' -23- 108 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 33 of 48 C.3.29 Prevailing Wages The Recipient agrees to be bound by all applicable provisions of State Labor Code regarding prevailing wages. The Recipient must monitor all agreements subject to reimbursement from this Agreement to ensure that the prevailing wage provisions of the State Labor Code are being met. In addition, the Recipient agrees to comply with the Davis -Bacon provisions incorporated by reference in Section 3 of this Agreement. C.3.30 Public Funding. This Project is publicly funded. Any service provider or contractor with which the Recipient contracts must not have any role or relationship with the Recipient, that, in effect, substantially limits the Recipient's ability to exercise its rights, including cancellation rights, under the contract, based on all the facts and circumstances. C.3.31 Recipient's Responsibility for Work. The Recipient shall be responsible for all work and for persons or entities engaged in work performed pursuant to this Agreement, including, but not limited to, contractors, subcontractors, suppliers, and providers of services. The Recipient shall be responsible for responding to any and all disputes arising out of its contracts for work on the Project. The State Water Board will not mediate disputes between the Recipient and any other entity concerning responsibility for performance of work. C.3.32 Related Litigation Under no circumstances may the Recipient use funds from any reimbursement under this Agreement to pay costs associated with any litigation the Recipient pursues against the State Water Board or any Regional Water Quality Control Board. Regardless of the outcome of any such litigation, and notwithstanding any conflicting language in this Agreement, the Recipient agrees to repay all of the disbursed funds plus interest in the event that Recipient does not complete the project. C.3.33 Rights in Data The Recipient agrees that all data, plans, drawings, specifications, reports, computer programs, operating manuals, notes, and other written or graphic work produced in the performance of this Agreement are subject to the rights of the State as set forth in this section. The State shall have the right to reproduce, publish, and use all such work, or any part thereof, in any manner and for any purposes whatsoever and to authorize others to do so. If any such work is copyrightable, the Recipient may copyright the same, except that, as to any work which is copyrighted by the Recipient, the State reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish, and use such work, or any part thereof, and to authorize others to do so, and to receive electronic copies from the Recipient upon request. C.3.34 State Water Board Action; Costs and Attorney Fees. Any remedy provided in this Agreement is in addition to and not in derogation of any other legal or equitable remedy available to the State Water Board as a result of breach of this Agreement by the Recipient, whether such breach occurs before or after completion of the Project, and exercise of any remedy provided by this Agreement by the State Water Board shall not preclude the State Water Board from pursuing any legal remedy or right which would otherwise be available. In the event of litigation between the parties hereto arising from this Agreement, it is agreed that each party shall bear its own costs and attorney fees. City Council `""'V' -23- 109 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 34 of 48 C.3.35 Timeliness. Time is of the essence in this Agreement. C.3.36 Unenforceable Provision. In the event that any provision of this Agreement is unenforceable or held to be unenforceable, then the parties agree that all other provisions of this Agreement have force and effect and shall not be affected thereby. C.3.37 Venue. Any action arising out of this Agreement shall be filed and maintained in the Superior Court in and for the County of Sacramento, California. C.3.38 Waiver and Rights of the State Water Board Any waiver of rights by the State Water Board with respect to a default or other matter arising under this Agreement at any time shall not be considered a waiver of rights with respect to any other default or matter. Any rights and remedies of the State Water Board provided for in this Agreement are in addition to any other rights and remedies provided by law. CA MISCELLANEOUS STATE AND FEDERAL REQUIREMENTS C.4.1 [Reserved.] C.4.2 State Cross -Cutters. Recipient represents that, as applicable, it complies and covenants to maintain compliance with the following for the term of the Agreement: i. The California Environmental Quality Act (CEQA), as set forth in Public Resources Code 21000 et seq. and in the CEQA Guidelines at Title 14, Division 6, Chapter 3, Section 15000 et seq. ii. Water Conservation requirements, including regulations in Division 3 of Title 23 of the California Code of Regulations. iii. Monthly Water Diversion Reporting requirements, including requirements set forth in Water Code section 5103. iv. Public Works Contractor Registration with Department of Industrial Relations requirements, including requirements set forth in Sections 1725.5 and 1771.1 of the Labor Code. V. Volumetric Pricing & Water Meters requirements, including the requirements of Water Code sections 526 and 527. vi. Urban Water Management Plan requirements, including the Urban Water Management Planning Act (Water Code, § 10610 et sec.). vii. Urban Water Demand Management requirements, including the requirements of Section 10608.56 of the Water Code. City Council """V' "23— 110 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 35 of 48 viii. Delta Plan Consistency Findings requirements, including the requirements of Water Code section 85225 and California Code of Regulations, title 23, section 5002. ix. Agricultural Water Management Plan Consistency requirements, including the requirements of Water Code section 10852. X. Charter City Project Labor Requirements, including the requirements of Labor Code section 1782 and Public Contract Code section 2503. C.4.3 Federal Requirements and Cross -Cutters for SRF Funding. The Recipient acknowledges, warrants compliance with, and covenants to continuing compliance with the following federal terms and conditions for the Useful Life of the Project: Unless the Recipient has obtained a waiver from USEPA on file with the State Water Board or unless this Project is not a project for the construction, alteration, maintenance or repair of a public water system or treatment work, the Recipient shall not purchase "iron and steel products' produced outside of the United States on this Project. Unless the Recipient has obtained a waiver from USEPA on file with the State Water Board or unless this Project is not a project for the construction, alteration, maintenance or repair of a public water system or treatment work, the Recipient hereby certifies that all "iron and steel products" used in the Project were or will be produced in the United States. For purposes of this section, the term "iron and steel products" means the following products made primarily of iron or steel: lined or unlined pipes and fittings, manhole covers and other municipal castings, hydrants, tanks, flanges, pipe clamps and restraints, valves, structural steel, reinforced precast concrete, and construction materials. "Steel" means an alloy that includes at least 50 percent iron, between .02 and 2 percent carbon, and may include other elements. The Recipient acknowledges that funds received under this Agreement are subject to the Build America Buy America (BABA) requirements of Public Law 117-58 (the Infrastructure Investment and Jobs Act, also known as the Bipartisan Infrastructure Law (BIL), signed into law on November 15, 2021), which are in addition to "iron and steel products" requirements described in section C.4.3 (i) above. Specifically, unless (1) the Recipient has requested and obtained a waiver from USEPA on file with the State Water Board pertaining to the Project or the Project is otherwise covered by a general applicability waiver, as confirmed in writing by the State Water Board; or (2) the State Water Board and, to the extent the Project is co -funded by any other agency using federal funds subject to BABA requirements, each such agency, has advised the Recipient in writing that the BABA requirements are not applicable to the Project, the Recipient shall ensure and certifies that, as these terms are defined within and made applicable by Public Law 117-58: (a) all iron and steel used in the Project are produced in the United States; (b) the manufactured products used in the Project are produced in the United States; and (c) the construction materials used in the Project are produced in the United States. The Recipient must comply and require its contractors and subcontractors to comply with all applicable BABA requirements and reporting and must inform the State Water Board immediately of any information regarding a violation of the foregoing. Based on representations made by the Recipient and corresponding evidence on file with the State Water Board, the Project qualifies for the "Adjustment Period Waiver of Section 70914(a) of P.L. 117-58, Build America, Buy America Act, 2021 for SRF Projects that have Initiated Design Planning", found at EPA - SRF - Final Waiver - Adiustment Period September 2022 - Signed.pdf. This waiver applies to projects that have initiated project design planning prior to May 14, 2022, the statutory effective date of the BABA requirements, and permits the use of non - domestic manufactured products and construction materials that would otherwise be prohibited City Council "" "V' "23 —111 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 36 of 48 under the BABA requirements. This program waiver does not waive the iron and steel requirements under BABA. Sections 70917(a) and (b) of BIL provide a savings provision for existing statutory requirements that meet or exceed BABA requirements, such as the "iron and steel products" requirements applicable to SRF funded projects referenced in section C.4.3 (i) above, which will continue to apply as part of BABA requirements." iii. The Recipient must comply with the signage requirements set forth in Exhibit A. iv. The Recipient shall notify the State Water Board and the USEPA contact of public or media events publicizing the accomplishment of significant events related to this Project and provide the opportunity for attendance and participation by federal representatives with at least ten (10) working days' notice. V. No Recipient may receive funding under this Agreement unless it has provided its Unique Entity Identifier, assigned by the System for Award management, to the State Water Board. vi. The Recipient shall comply with applicable USEPA general terms and conditions found at httos://www. eoa. aov/arants/er)a-aeneral-terms-and-conditions-effective-october-1-2022-or-later. vii. The Recipient represents and warrants that it and its principals are not excluded or disqualified from participating in this transaction as such terms are defined in Parts 180 and 1532 of Title 2 of the Code of Federal Regulations (2 CFR). If the Recipient is excluded after execution of this Agreement, the Recipient shall notify the Division within ten (10) days and shall inform the Division of the Recipient's exclusion in any request for amendment of this Agreement. The Recipient shall comply with Subpart C of Part 180 of 2 CFR, as supplemented by Subpart C of Part 1532 of 2 CFR. Such compliance is a condition precedent to the State Water Board's performance of its obligations under this Agreement. When entering into a covered transaction as defined in Parts 180 and 1532 of 2 CFR, the Recipient shall require the other party to the covered transaction to comply with Subpart C of Part 180 of 2 CFR, as supplemented by Subpart C of Part 1532 of 2 CFR. viii. To the extent applicable, the Recipient shall disclose to the State Water Board any potential conflict of interest consistent with USEPA's Final Financial Assistance Conflict of Interest Policy at httos://www.eoa.gov/arants/eoas-final-financial-assistance-conflict-interest-i)olicy. A conflict of interest may result in disallowance of costs. ix. USEPA and the State Water Board have the right to reproduce, publish, use and authorize others to reproduce, publish and use copyrighted works or other data developed under this assistance agreement. X. Where an invention is made with Project Funds, USEPA and the State Water Board retain the right to a worldwide, nonexclusive, nontransferable, irrevocable, paid -up license to practice the invention owned by the Recipient. The Recipient must utilize the Interagency Edison extramural invention reporting system at htto://iEdison.00v and shall notify the Division when an invention report, patent report, or utilization report is filed. A. The Recipient agrees that any reports, documents, publications or other materials developed for public distribution supported by this Agreement shall contain the Disclosure statement set forth in Exhibit A. xii. The Recipient acknowledges that it is encouraged to follow guidelines established under Section 508 of the Rehabilitation Act, codified at 36 CFR Part 1194, with respect to enabling individuals with disabilities to participate in its programs supported by this Project. City Council 23 — 112 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 37 of 48 xiii. The Recipient, its employees, contractors and subcontractors and their employees warrants that it will not engage in severe forms of trafficking in persons, procure a commercial sex act during the term of this Agreement, or use forced labor in the performance of this Agreement. The Recipient must include this provision in its contracts and subcontracts under this Agreement. The Recipient must inform the State Water Board immediately of any information regarding a violation of the foregoing. The Recipient understands that failure to comply with this provision may subject the State Water Board to loss of federal funds. The Recipient agrees to compensate the State Water Board for any such funds lost due to its failure to comply with this condition, or the failure of its contractors or subcontractors to comply with this condition. The State Water Board may unilaterally terminate this Agreement if the Recipient that is a private entity is determined to have violated the foregoing. xiv. The Recipient certifies to the best of its knowledge and belief that: a. No federal appropriated funds have been paid or will be paid, by or on behalf of the Recipient, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any federal contract, grant, loan, or cooperative agreement. b. 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 in connection with this Agreement, the Recipient shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions, and notify the State Water Board. The Recipient shall require this certification from all parties to any contract or agreement that the Recipient enters into and under which the Recipient incurs costs for which it seeks reimbursements under this Agreement. xv. The Recipient must comply with the following federal non-discrimination requirements: a. Title VI of the Civil Rights Act of 1964, which prohibits discrimination based on race, color, and national origin, including limited English proficiency (LEP). b. Section 504 of the Rehabilitation Act of 1973, which prohibits discrimination against persons with disabilities. c. The Age Discrimination Act of 1975, which prohibits age discrimination. d. Section 13 of the Federal Water Pollution Control Act Amendments of 1972, which prohibits discrimination on the basis of sex. e. 40 CFR Part 7, as it relates to the foregoing. xvi. If the Project relates to construction of a publicly owned treatment works, where the Recipient contracts for program management, construction management, feasibility studies, preliminary engineering, design, engineering, surveying, mapping, or architectural related services, the Recipient shall ensure that any such contract is negotiated in the same manner as a contract for architectural and engineering services is negotiated under chapter 11 of title 40, United States Code, or an equivalent State qualifications -based requirement as determined by the State Water Board. xvii. If the Project relates to construction of a publicly owned treatment works, the Recipient certifies that it has developed and is implementing a fiscal sustainability plan for the Project, except as set forth in Exhibit D, that includes an inventory of critical assets that are a part of the Project, an evaluation of the condition and performance of inventoried assets or asset groupings, a certification that the Recipient has evaluated and will be implementing water and energy City Council """ ' "23 — 113 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 38 of 48 conservation efforts as part of the plan, and a plan for maintaining, repairing, and, as necessary, replacing the Project and a plan for funding such activities. xviii. Executive Order No. 11246. The Recipient shall include in its contracts and subcontracts related to the Project the following provisions: "During the performance of this contract, the contractor agrees as follows: "(a) The contractor will not discriminate against any employee or applicant for employment because of race, creed, color, or national origin. The contractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment, without regard to their race, creed, color, 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 by the contracting officer setting forth the provisions of this nondiscrimination clause. "(b) The contractor will, 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, creed, color, or national origin. "(c) The contractor will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice, to be provided by the agency contracting officer, advising the labor union or workers'representative of the contractor's commitments under Section 202 of Executive Order No. 11246 of September 24, 1965, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. "(d) The contractor will comply with all provisions of Executive Order No. 11246 of Sept. 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. "(e) The contractor will furnish all information and reports required by Executive Order No. 11246 of September 24, 1965, and by the rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the contracting agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders. "(f) In the event of the contractor's noncompliance with the nondiscrimination clauses of this contract or with any of such rules, regulations, or orders, this contract may be cancelled, terminated or suspended in whole or in part and the contractor may be declared ineligible for further Government contracts in accordance with procedures authorized in Executive Order No. 11246 of Sept 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order No. 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law. "(g) The contractor will include 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 No. 11246 of Sept. 24, 1965, so that such provisions will be binding upon each subcontractor or vendor. The contractor will take such action with respect to any subcontract or purchase order as the contracting agency may direct as a 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 contracting agency, the contractor City Council `""'V' "23— 114 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 39 of 48 may request the United States to enter into such litigation to protect the interests of the United States." xix. The Recipient agrees to comply with the requirements of USEPA's Program for Utilization of Small, Minority and Women's Business Enterprises. xx. Procurement Prohibitions under Section 306 of the Clean Air Act and Section 508 of the Clean Water Act, including Executive Order 11738, Administration of the Clean Air Act and the Federal Water Pollution Control Act with Respect to Federal Contracts, Grants, or Loans, 42 USC § 7606; 33 USC § 1368. Except where the purpose of this Agreement is to remedy the cause of the violation, the Recipient may not procure goods, services, or materials from suppliers excluded under the federal System for Award Management: htto://www.sam.ciov/ . xxi. Uniform Relocation and Real Property Acquisition Policies Act, Pub. L. 91-646, as amended, 42 USC §§4601-4655. The Recipient must comply with the Act's implementing regulations at 49 CFR 24.101 through 24.105. xxii. The Recipient agrees that if its network or information system is connected to USEPA networks to transfer data using systems other than the Environmental Information Exchange Network or USEPA's Central Data Exchange, it will ensure that any connections are secure. xxiii. All geospatial data created pursuant to this Agreement that is submitted to the State Water Board for use by USEPA or that is submitted directly to USEPA must be consistent with Federal Geographic Data Committee endorsed standards. Information on these standards may be found at www.fgdc.gov. xxiv. If the Recipient is a water system that serves 500 or fewer persons, the Recipient represents that it has considered publicly -owned wells as an alternative drinking water supply. xxv. The Recipient represents that it is not a corporation that has any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability, and it is not a corporation that was convicted of a felony criminal violation under a Federal law within the preceding 24 months. xxvi. The Recipient agrees to immediately notify the Project Manager in writing about any allegation of research misconduct involving research activities that are supported in whole or in part with EPA funds under this Project, including fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results, or ordering, advising, or suggesting that subordinates engage in research misconduct. xxvii. The Recipient agrees to comply with, and require all contractors and subcontractors to comply with, EPA's Scientific Integrity Policy, available at htti)s://www.ei)a.ciov/osa/i)olicy-epa-scientific- integri , when conducting, supervising, and communicating science and when using or applying the results of science. For purposes of this condition scientific activities include, but are not limited to, computer modelling, economic analysis, field sampling, laboratory experimentation, demonstrating new technology, statistical analysis, and writing a review article on a scientific issue. The Recipient shall not suppress, alter, or otherwise impede the timely release of scientific findings or conclusions, intimidate or coerce scientists to alter scientific data, findings, or professional opinions or exert non -scientific influence on scientific advisory boards, knowingly misrepresent, exaggerate, or downplay areas of scientific uncertainty, or otherwise violate the EPA's Scientific Integrity Policy. The Recipient must refrain from acts of research misconduct, City Council 23 — 115 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 40 of 48 including publication or reporting, as described in EPA's Policy and Procedures for Addressing Research Misconduct, Section 9.C, and must ensure scientific findings are generated and disseminated in a timely and transparent manner, including scientific research performed by contractors and subcontractors. xxviii. The Recipient agrees to comply with the Animal Welfare Act of 1966 (7 USC 2131-2156). Recipient also agrees to abide by the "U.S. Government Principles for the Utilization and Care of Vertebrate Animals used in Testing, Research, and Training," available at http://grants. nih.aov/grants/olaw/references/phspol. htm#USGovPrinci ales. xxix. The Recipient certifies that no Project Funds will be used on: a. Video surveillance or telecommunications equipment produced by Huawei Technologies Company or ZTE Corporation (or any subsidiary or affiliate of such entities), telecommunications equipment produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, or Dahua Technology Company (or any subsidiary or affiliate of such entities); b. Telecommunications or video surveillance services produced by such entities; c. Telecommunications or video surveillance equipment or services produced or provided by an entity that the Secretary of Defense, in consultation with the Director of the National Intelligence or the Director of the Federal Bureau of Investigation, reasonably believes to be an entity owned or controlled by, or otherwise connected to, the government of a covered foreign country; or d. Other telecommunications or video surveillance services or equipment in violation of 2 CFR 200.216. xxx. BABA. The Recipient acknowledges that funds received under this Agreement are subject to federal requirements, including the Build America Buy America (BABA) provisions of Public Law 117-58 (the Infrastructure Investment and Jobs Act, also known as the Bipartisan Infrastructure Law (BIL), signed into law on November 15, 2021). Specifically, the Recipient shall ensure that, as these terms are defined within and made applicable by Public Law 117-58: (a) all iron and steel used in the Project are produced in the United States; (b) the manufactured products used in the Project are produced in the United States; and (c) the construction materials used in the Project are produced in the United States. Recipient represents that it has consulted with its counsel with respect to the application of these federal provisions. City Council `"""' -23 — 116 4/4/2023 EXHIBIT D — SPECIAL CONDITIONS Environmental: City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 41 of 48 The documents identified below are incorporated by reference and the Recipient shall comply with the conditions and recommendations therein: a) The Mitigation Monitoring and Reporting Program adopted by the City of Santa Ana on December 15, 2020, for the Project. The Recipient shall implement all mitigation measures therein. 2. The Recipient shall make no changes in the Project, construction area, or special conditions, without obtaining the appropriate and necessary prior approval(s) from the State Water Board. REPORTING TO THE STATE WATER BOARD In the Recipient's Progress Reports and the Project Completion Report, submitted pursuant to this Agreement, the Recipient shall include a discussion of the status of its compliance with environmental measures identified in this Exhibit D, with separate sections clearly labeled with section titles, discussing the status of Recipient's compliance with: a) Mitigation Monitoring and Reporting Program measures adopted for the Project. Executive Order N-6-22 — Russian Sanctions On March 4, 2022, Governor Gavin Newsom issued Executive Order N-6-22 (the EO) regarding Economic Sanctions against Russia and Russian entities and individuals. "Economic Sanctions" refers to sanctions imposed by the U.S. government in response to Russia's actions in Ukraine, as well as any sanctions imposed under state law. The EO directs state agencies to terminate contracts with, and to refrain from entering any new contracts with, individuals or entities that are determined to be a target of Economic Sanctions. Accordingly, should the State Water Board determine Recipient is a target of Economic Sanctions or is conducting prohibited transactions with sanctioned individuals or entities, that shall be grounds for termination of this Agreement. The State Water Board shall provide Recipient advance written notice of such termination, allowing Recipient at least 30 calendar days to provide a written response. Termination shall be at the sole discretion of the State Water Board. The Recipient represents that the Recipient is not a target of economic sanctions imposed in response to Russia's actions in Ukraine imposed by the United States government or the State of California. The Recipient is required to comply with the economic sanctions imposed in response to Russia's actions in Ukraine, including with respect to, but not limited to, the federal executive orders identified in California Executive Order N-6-22, located at httos://www.gov.ca.gov/wp-content/uploads/2022/03/3.4.22-Russia- Ukraine-Executive-Order.odf and the sanctions identified on the United States Department of the Treasury website (htti)s://home.treasury.ciov/policy-issues/financial-sanctions/sanctions-programs-and- countrv-information/ukraine-russia-related-sanctions). The Recipient is required to comply with all applicable reporting requirements regarding compliance with the economic sanctions, including, but not limited to, those reporting requirements set forth in California Executive Order N-6-22 for all Recipients with one or more agreements with the State of California with an aggregated value of Five Million Dollars ($5,000,000) or more. Notwithstanding any other provision in this Agreement, failure to comply with the economic sanctions and all applicable reporting requirements may result in termination of this Agreement. For Recipients with an aggregated agreement value of Five Million Dollars ($5,000,000) or more with the State of California, reporting requirements include, but are not limited to, information related to steps taken in response to Russia's actions in Ukraine, including but not limited to: City Council `""'V' `23— 117 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 42 of 48 1. Desisting from making any new investments or engaging in financial transactions with Russian institutions or companies that are headquartered or have their principal place of business in Russia; 2. Not transferring technology to Russia or companies that are headquartered or have their principal place of business in Russia; and 3. Direct support to the government and people of Ukraine. City Council """V' `23— 118 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 43 of 48 EXHIBIT E — PAYMENT SCHEDULE See the attached preliminary Payment Schedule. The final Payment Schedule will be forwarded to the Recipient after all disbursements have been paid and construction of the Project has been completed. City Council Exhibit E23 — 119 4/4/2023 California CWSRF Pavment Schedule Pi a cct no. 8478-1If) -Sanm Ann, Cm of 9gremn,ne IM01000 -based on A,mal + Prplecmd Uisbmsemenrs Scpcic to Smvcr Islood Ref Dne Date Interest Interest Towl P and 1 TOM Rnding CPI Nam Date R,ecived Principal Payment Rat,% Pavment Payment Pavm,nt Rxlmtce hder,rt 1 720_01_5 39360,23 2600 2241&51 61,778-74 61,77974 1,247,369-,7 0-)0 _ 7to 7076 35,968,97 1600 37.773.13 73,742,10 73,747.10 1.453.890.80 0.00 3 7101017 35,940,94 1600 37,801,16 73,742,10 73,742.10 1.417.949.86 0.00 4 7 20 2028 36,875.40 2.600 36,866.70 73.742.It 73,742.10 1.381.074.41 0.00 5 7 20 2029 37,834.16 2.600 31.907.94 73.742.It 73,742.10 1.343240.30 0.90 6 7202030 38,817,85 2600 34924.1_s 73,74210 73,74210 1304,42245 ODO 7 10 1031 39,827.12 2.600 33,914,98 73,742.10 7 ,J42.10 1,264,595.33 ODO 8 7202032 40,86262 2.600 32,879,48 73,742.10 73,742.10 1223,73371 fo0 9 7202033 41,925.05 2.600 31,817.95 73,742.10 73,742.10 1.181.807.66 0.00 10 7 20 2034 43,015.10 2.600 30.727.00 73.742.10 73.742.10 1.138.79256 ODO II 7202035 44,133,49 2.600 29 hos,61 73,742IN 73,742,10 1.094,659-07 0,00 .. 7202036 45,280.96 2.600 2S461,14 73,742IN 73,742,10 1,049378.11 0,00 13 720^037 46,458,27 1600 27_83.93 73,742.10 7,J4210 100291984 000 14 7202038 47,666.18 2600 26,075.92 73,74210 73342.10 955,253.66 0_00 15 7 10 1039 4K905.50 2600 24.334.60 73.742.10 r.743.10 906.348.16 0.00 16 7 20 2040 5Q177.05 2600 23.565.05 73.742.10 7;.742.10 856.171.11 0.00 17 7 20 2041 51,481,65 2,600 22,1_60.45 73,74210 73,742.10 804,689.46 0,00 18 7202042 52,S20.17 2600 20,921.93 7.1,74210 7;34210 751N6924 0.00 19 721121043 54,10330 2600 19,148,60 73,74210 71,74210 69767579 000 20 7202044 55,60253 1600 18.139.57 73.74210 71]42.10 642.073.26 O.00 21 7 2) 2045 57048.20 2.600 16.693!90 71742,If 733.742.10 585.025.06 0.o0 22 71_01046 58531,45 1600 11,110.61 73,742.10 73342.10 526,491.61 0.00 23 7 21)1047 60,053.27 2600 13,688_N3 73,742 10 73.742 to 466,44014 0 00 24 7201049 6L614.65 1600 12.127.4, 73,742,10 73,742.10 404,835.69 0.00 _5 7 20 104Q 61716,63 1600 10,525.47 73,742,10 73,747.10 341,609.06 0.00 26 7202050 64.86026 2,000 8,881.64 73.742.It 73,742.10 276,748.80 9,90 27 7202051 66546.63 2,000 7.195.47 73.742.It 73,742.10 210,202.17 9,90 28 720_012 68Z76-84 2600 5,46526 73,742IN 73,74210 141,92513 OL0 29 720 2053 1M52.04 1600 3,690A, 73,742,10 73.741.10 ]L87229 0.00 30 7101014 71,873.29 1600 1,86831 73,742,00 73,747.00 0.00 0.00 1,529,220.00 67L1179.54 2,200,299.54 2,200,29954 0.00 Prlaupod is odd o,,; 30Years lntenat rntc: 2.60DOd 1 182051 City Council 23 — 120 4/4/2023 EXHIBIT F—TAX CERTIFICATE F.1 Purpose City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 44 of 48 The purpose of this Exhibit F is to establish the reasonable expectations of the Recipient regarding the Project and the Project Funds, and is intended to be and may be relied upon for purposes of Sections 103, 141 and 148 of the Code and as a certification described in Section 1.148-2(b)(2) of the Treasury Regulations. This Exhibit F sets forth certain facts, estimates and circumstances which form the basis for the Recipient's expectation that neither the Project nor the Bond Funded Portion of the Project Funds is to be used in a manner that would cause the Obligation to be classified as "arbitrage bonds" under Section 148 of the Code or "private activity bonds" under Section 141 of the Code. F.2 Tax Covenant The Recipient agrees that it will not take or authorize any action or permit any action within its reasonable control to be taken, or fail to take any action within its reasonable control, with respect to the Project which would result in the loss of the exclusion of interest on the Bonds from gross income for federal income tax purposes under Section 103 of the Code. F.3 Governmental Unit. The Recipient is a state or local governmental unit as defined in Section 1.103-1 of the Treasury Regulations or an instrumentality thereof (a "Governmental Unit") and is not the federal government or any agency or instrumentality thereof. FA Financing of a Capital Project. The Recipient will use the Project Funds to finance capital expenditures it has incurred or will incur for the construction, reconstruction, installation or acquisition of the Project in accordance with the terms of this Agreement. Such expenditures shall not have previously been financed with the proceeds of any other issue of indebtedness except for interim financing by the Recipient, the date of maturity, prepayment or redemption of which is within thirty (30) days of the date of disbursement of Project Funds under this Agreement. All Project Funds shall be allocated to expenditures by the Recipient within thirty (30) days of the date of disbursement, including (if at all) Project Funds allocated to repay interim financing of the Recipient. For purposes of this Section F.4, "interim financing" means notes, commercial paper, loans, lines of credit and other forms of short- term borrowing. F.5 Ownership and Operation of Project. The Recipient exclusively owns and, except as provided in Section F.12 hereof, operates the Project F.6 Temporary Period. The Recipient reasonably expects that at least eighty-five percent (85%) of the Bond Funded Portion of the Project Funds will be allocated to expenditures for the Project within three (3) years of the earlier of the effective date of this Agreement or the date the Bonds are issued ("Applicable Date"). The Recipient has incurred, or reasonably expects that it will incur within six (6) months of the Applicable Date, a substantial binding obligation (i.e., not subject to contingencies within the control of the Recipient or a related party) to a third party to expend at least five percent (5%) of the Bond Funded Portion of the Project Funds on Project Costs. The completion of acquisition, construction, improvement and equipping of the Project and the allocation of the Bond Funded Portion of the Project Funds to Project Costs will proceed with due diligence. City Council `""' '" 23 — 121 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 45 of 48 F.7 Working Capital. No operational expenditures of the Recipient or any related entity are being, have been or will be financed or refinanced with Project Funds. F.8 Expenditure of Proceeds The Bond Funded Portion of the Project Funds shall be used exclusively for the following purposes: (i) Reimbursement Expenditures (as defined in Section F.20 below), (ii) Preliminary Expenditures (as defined in Section F.20 below) in an aggregate amount not exceeding twenty percent (20%) of the Bond Funded Portion of the Project Funds, (iii) capital expenditures relating to the Project originally paid by the Recipient on or after the date hereof, (iv) interest on the Obligation through the later of three (3) years after the Applicable Date or one (1) year after the Project is placed in service, and (v) initial operating expenses directly associated with the Project in the aggregate amount not more than five percent (5%) of the Bond Funded Portion of the Project Funds. F.9 Private Use and Private Payments. No portion of the Project Funds or the Project is being, has been or will be used in the aggregate for any activities that constitute a Private Use (as defined below). No portion of the principal of or interest with respect to the Payments will be secured by any interest in property (whether or not the Project) used for a Private Use or in payments in respect of property used for a Private Use, or will be derived from payments in respect of property used for a Private Use. 'Private Use" means any activity that constitutes a trade or business that is carried on by persons or entities, other than a Governmental Unit. The leasing of the Project or the access by or the use of the Project by a person or entity other than a Governmental Unit on a basis other than as a member of the general public shall constitute a Private Use. Use by or on behalf of the State of California or any of its agencies, instrumentalities or subdivisions or by any local Governmental Unit and use as a member of the general public will be disregarded in determining whether a Private Use exists. Use under an arrangement that conveys priority rights or other preferential benefits is generally not use on the same basis as the general public. Arrangements providing for use that is available to the general public at no charge or on the basis of rates that are generally applicable and uniformly applied do not convey priority rights or other preferential benefits. For this purpose, rates may be treated as generally applicable and uniformly applied even if (i) different rates apply to different classes of users, such as volume purchasers, if the differences in rates are customary and reasonable; or (ii) a specially negotiated rate arrangement is entered into, but only if the user is prohibited by federal law from paying the generally applicable rates, and the rates established are as comparable as reasonably possible to the generally applicable rates. An arrangement that does not otherwise convey priority rights or other preferential benefits is not treated, nevertheless, as general public use if the term of the use under the arrangement, including all renewal options, is greater than 200 days. For this purpose, a right of first refusal to renew use under the arrangement is not treated as a renewal option if (i) the compensation for the use under the arrangement is redetermined at generally applicable, fair market value rates that are in effect at the time of renewal; and (ii) the use of the financed property under the same or similar arrangements is predominantly by natural persons who are not engaged in a trade or business. F.10 No Sale, Lease or Private Operation of the Project. The Project (or any portion thereof) will not be sold or otherwise disposed of, in whole or in part, to any person who is not a Governmental Unit prior to the final maturity date of the Obligation. The Project will not be leased to any person or entity that is not a Governmental Unit prior to the final maturity date of the Obligation. Except as permitted under Section F.12 hereof, the Recipient will not enter any contract or arrangement or cause or permit any contract or arrangement to be entered with persons or entities that are not Governmental Units if that contract or arrangement would confer on such persons or entities any right to use the Project on a basis different from the right of members of the general public. The contracts or arrangements contemplated by the preceding sentence include but are not limited to management contracts, take or pay contracts or put or pay contracts, and capacity guarantee contracts. City Council `--- 23 — 122 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 46 of 48 F.11 No Disproportionate or Unrelated Use. No portion of the Project Funds or the Project is being, has been, or will be used for a Private Use that is unrelated or disproportionate to the governmental use of the Project Funds. F.12 Management and Service Contracts. The Recipient represents that, as of the date hereof, it is not a party to any contract, agreement or other arrangement with any persons or entities engaged in a trade or business (other than Governmental Units) that involve the management or operation of property or the provision of services at or with respect to the Project that does not comply with the standards of the Treasury Regulations, or Revenue Procedure 2017-13, as applicable. The Recipient represents that it will not be party to any such contract, agreement or arrangement with any person or entity that is not a Governmental Unit for the management of property or the provision of services at or with respect to the Project, while the Obligation (including any obligation or series thereof issued to refund the Obligation, as the case may be) is outstanding, except: (a) with respect to any contract, agreement or arrangement that does not constitute "private business use' of the Project under Code §141(b), or (b) with respect to any contract, agreement or arrangement that complies with (i) Revenue Procedure 97-13, 1997-1 C.B. 632, as amended by Revenue Procedure 2001-39, 2001-2 C.B. 38, and as amplified by Notice 2014-67, with respect to contracts entered into before August 18, 2017 and not materially modified or extended after August 18, 2017, or (ii) Revenue Procedure 2017-13, with respect to contracts entered into or materially modified or extended on or after August 18, 2017, or (c) with respect to any contract, agreement or arrangement that does not give rise to use of the Bond Funded Portion of the Project Funds or the Project by a non -Governmental Unit of more than the amount of such non -qualified use permitted by the Code, or (d) in the event that the Recipient receives an opinion of counsel, satisfactory to the State Water Board and the Bank and expert in the issuance of state and local government bonds the interest on which is excluded from gross income under Section 103 of the Code ("Nationally -Recognized Bond Counsel'), that such contract, agreement or arrangement will not adversely affect the exclusion of the interest on the Obligation from gross income for federal income taxation purposes. F.13 No Disposition of Financed Property. As of the date hereof, the Recipient does not expect to sell or otherwise dispose of any portion of the Project, in whole or in part, prior to the final maturity date of the Obligation. F.14 Useful Life of Project. As of the date hereof, the Recipient reasonably expects that the economic useful life of the Project, commencing at Project Completion, will be at least equal to the term of this Agreement, as set forth in Exhibit A hereto. F.15 Payments. Payments generally are expected to be derived from assessments, taxes, fees, charges or other current Revenues of the Recipient in each year, and such current Revenues are expected to equal or exceed the Payments during each payment period. Any amounts accumulated in a sinking fund or bona fide debt service fund to pay Payments (whether or not deposited to a fund or account established by the Recipient) will be disbursed to pay Payments within thirteen months of the initial date of accumulation or deposit. Any such fund used for the payment of Payments will be depleted once a year except for a reasonable carryover amount not exceeding the greater of earnings on such fund or one -twelfth of the Payments in either case for the immediately preceding year. F.16 No Other Replacement Proceeds. The Recipient will not use any of the Bond Funded Portion of the Project Funds to replace or substitute other funds of the Recipient that were otherwise to be used to finance the Project or which are or will be used to acquire securities, obligations or other investment property reasonably expected to produce a yield that is materially higher than the yield on the Bonds. City Council `""' '" 23 — 123 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 47 of 48 F.17 No Sinking or Pledged Fund Except as set forth in Section F.18 below, the Recipient will not create or establish any sinking fund or pledged fund which will be used to pay Payments on the Obligation within the meaning of Section 1.148-1(c) of the Treasury Regulations. If any sinking fund or pledged fund comes into being with respect to the Obligation before the Obligation has been fully retired which may be used to pay the Payments, the Recipient will invest such sinking fund and pledged fund moneys at a yield that does not exceed the yield on the Bonds. F.18 Reserve Amount. The State Water Board requires that the Recipient maintain and fund a separate account in an amount equal to one (1) year of debt service with respect to the Obligation (the "Reserve Amount") as set forth in Exhibit B. The Recipient represents that the Reserve Amount is and will be available to pay debt service with respect to the Obligation, if and when needed. The Reserve Amount consists solely of revenues of the Recipient and does not include any proceeds of any obligations the interest on which is excluded from gross income for federal income tax purposes or investment earnings thereon. The aggregate of the Reserve Amount, up to an amount not exceeding the lesser of (i) ten percent of the aggregate principal amount of the Obligation, (ii) the maximum annual debt service with respect to the Obligation, or (iii) 125 percent of the average annual debt service with respect to the Obligation, will be treated as a reasonably required reserve fund. F.19 Reimbursement Resolution The "reimbursement resolution" adopted by the Recipient is incorporated herein by reference F.20 Reimbursement Expenditures. Reimbursements are disallowed, except as specifically authorized in Exhibit B or Exhibit D of this Agreement. To the extent so authorized, a portion of the Bond Funded Portion of the Project Funds may be applied to reimburse the Recipient for Project Costs paid before the date hereof, so long as the Project Cost was (i) not paid prior to sixty (60) days before the Recipient's adoption of a declaration of official intent to finance the Project, (ii) not paid more than eighteen (18) months prior to the date hereof or the date the Project was placed -in-service, whichever is later, and (iii) not paid more than three (3) years prior to the date hereof (collectively, "Reimbursement Expenditures'), unless such cost is attributable to a "preliminary expenditure." Preliminary expenditure for this purpose means architectural, engineering, surveying, soil testing and similar costs incurred prior to the commencement of construction or rehabilitation of the Project, but does not include land acquisition, site preparation and similar costs incident to the commencement of acquisition, construction or rehabilitation of the Project. Preliminary expenditures may not exceed 20% of the Bond Funded Portion of the Project Funds. F.21 Change in Use of the Project The Recipient reasonably expects to use all of the Bond Funded Portion of the Project Funds and the Project for the entire stated term to maturity of the Obligation. Absent an opinion of Nationally -Recognized Bond Counsel to the effect that such use of the Bond Funded Portion of the Project Funds will not adversely affect the exclusion from federal gross income of interest on the Bonds pursuant to Section 103 of the Code, the Recipient will use the Bond Funded Portion of the Project Funds and the Project solely as set forth in this Agreement. F.22 Rebate Obligations. If the Recipient satisfies the requirements of one of the spending exceptions to rebate specified in Section 1.148-7 of the Treasury Regulations, amounts earned from investments, if any, acquired with the Bond Funded Portion of the Project Funds will not be subject to the rebate requirements imposed under Section 148(f) of the Code. If the Recipient fails to satisfy such requirements for any period, it will notify the State Water Board and the Bank immediately and will comply with the provisions of the Code and the Treasury Regulations at such time, including the payment of any rebate amount calculated by the State Water Board or the Bank. City Council `--- 23 — 124 4/4/2023 City of Santa Ana Agreement No.: D2201000 Project No.:C-06-8478-110 Page 48 of 48 F.23 No Federal Guarantee The Recipient will not directly or indirectly use any of the Bond Funded Portion of the Project Funds in any manner that would cause the Bonds to be "federally guaranteed" within the meaning of Section 149(b) of the Code, taking into account various exceptions including any guarantee related to investments during an initial temporary period until needed for the governmental purpose of the Bonds, investments as part of a bona fide debt service fund, investments of a reasonably required reserve or replacement fund, investments in bonds issued by the United States Treasury, investments in refunding escrow funds or certain other investments permitted under the Treasury Regulations. F.24 Amendments. The provisions in this Exhibit may be amended, modified or supplemented at any time to reflect changes in the Code upon obtaining written approval of the State Water Board and the Bank and an opinion of Nationally - Recognized Bond Counsel to the effect that such amendment, modification or supplement will not adversely affect the exclusion from federal gross income of interest on the Bonds pursuant to Section 103 of the Code. F.25 Reasonable Expectations. The Recipient warrants that, to the best of its knowledge, information and belief, and based on the facts and estimates as set forth in the tax covenants in this Exhibit, the expectations of the Recipient as set forth in this Exhibit are reasonable. The Recipient is not aware of any facts or circumstances that would cause it to question the accuracy or reasonableness of any representation made in the provisions in this Exhibit. F.26 Assignment The Recipient consents to any pledge, sale, or assignment to the Bank or a trustee for the benefit of the owners of the Bonds, if any, at any time of any portion of the State Water Board's estate, right, title, and interest and claim in, to and under this Agreement and the right to make all related waivers and agreements in the name and on behalf of the State Water Board, as agent and attorney -in -fact, and to perform all other related acts which are necessary and appropriate under this Agreement, if any, and the State Water Board's estate, right, title, and interest and claim in, to and under this Agreement to Payments (but excluding the State Water Board's rights to Additional Payments and to notices, opinions and indemnification under each Obligation). City Council `--- 23 — 125 4/4/2023 California Environmental Quality Act (CEQA) Determination City of Santa Ana (Applicant) Septic to Sewer Island (Project) Project Number: C-06-8478-110 As the Deputy Director for the State Water Resources Control Board (State Water Board), Division of Financial Assistance, I have been delegated the authority to approve and execute financing agreements for projects that are routine and non -controversial. The execution of a financing agreement is an action that is subject to CEQA. The authority to make this CEQA determination necessarily accompanies the delegation to approve and execute the financing agreement for this Project. The Applicant is the CEQA Lead Agency and has prepared an Initial Study/Mitigated Negative Declaration (MND) titled Septic to Gravity Sewer Conversion Project, for the Project which was circulated through the Governor's Office of Planning and Research (OPR), State Clearinghouse (No. 2020100428) for review and comments. The Applicant adopted the MND and a Mitigation Monitoring and Reporting Program (MMRP) and approved the Project on December 15, 2020. The Applicant filed a Notice of Determination with the Orange County Clerk on September 20, 2021 and the OPR on September 24, 2021. 2. The State Water Board is a Responsible Agency under CEQA. A Responsible Agency complies with CEQA by considering the MND and MMRP prepared by the Lead Agency and by reaching its own conclusions on whether and how to approve the Project involved. The State Water Board has independently considered the MND and MMRP, and pursuant to my delegated authority, I make the following determinations regarding the Project: The Project will not result in any significant adverse water quality impacts. The MND and MMRP include mitigation measures for Tribal Cultural Resources, Geology and Soils, and Hazards and Hazardous Materials, that mitigate potential environmental impacts to less than significant levels for these impact categories. Changes or alterations to the Project based on these mitigation measures are within the responsibility and jurisdiction of other public agencies and are not within the jurisdiction of the State Water Board. Such changes either have been adopted by other relevant agencies or can and should be adopted by such other agencies. A final copy of the MND, MMRP, comments and responses, and records of the financing approval for the Project are available to the general public at the State Water Board, Division of Financial Assistance at 1001 1 Street, 16th Floor, Sacramento, CA 95814. City Council 23 — 126 4/4/2023 Applicant: City of Santa Ana Project No: C-06-8478-110 Digitally signed by Joe Karkoski Joe Karkoski Date: 2023.02.06 08:56:45 Joe Karkoski, Deputy Director Division of Financial Assistance Documents Transmitted back to Adobe by the Recipient: Steps: 1. Once the Adobe notification has been received, the Recipient will open Adobe. The Recipient must checkmark the box to agree to the Consumer Disclosure. Click on [Accept] 2. The Recipient will need to download the (PDF) documents by selecting the corresponding radio button. Ensure to save the documents to the desired location. 0I -r 9 Once you have saved the documents to the desired location, the Recipient will proceed with generating the required closing documents. For the documents to be edited, you must save your file in Word format. Click on [File -Export To -Microsoft Word — Word Document] 4. Once the Recipient has completed the closing documents, the file must be saved as "Adobe PDF" for their respective digital signatures to be entered. 5. The Recipient will select [Certificates] from the tools field and using your mouse, click and drag to draw the area where you would like the signature to appear. A dialogue message box will display your Digital ID press [Continue] and click on [Sign]. [Save] Using your moue dick and drag to draw the am wheterou would like the signatureto appear. Once you finish drsgging out the desired area, you will be Liken to the sect Eep of the sgning process. 0 Do not show the message .,in City Council 23 — 128 4/4/2023 6. The Recipient will attach the signed documents to Adobe by clicking the [Click to Attachment] and downloading the signed document(s). Click to Attach ... 7. Once the closing document(s) have been attached, the Recipient will click on the [Click to Sign] button. City Council 23 — 129 4/4/2023 MAYOR Vicente Sarmiento MAYOR PRO TENT Phil Bacerra COUNCILMEMBERS Johnathan Ryan Hernandez Jessie Lopez Nelida Mendoza David Penaloza Thai Viet Phan CITY OF SANTA ANA CITY ATTORNEY'S OFFICE 20 Civic Center Plaza . P.O. Box 1988 Santa Ana, California 92702 www.santa-ana.ora [DATE] State Water Resources Control Board Division of Financial Assistance Attn: Amor Moskaira 1001 1 Street, 16th Floor Sacramento, CA 95814 CITY MANAGER Kristine Ridge CITY ATTORNEY Sonia R. Carvalho CLERK OF THE COUNCIL Re: City of Santa Ana ("City") — [ProjectName]—Project No.8478-110("Project") — Agreement No. [XXXXXXXXXX] ("Agreement") Ladies and Gentlemen: This Office serves as City Attorney to the City in connection with the Project. This opinion is delivered to the State Water Resources Control Board ("State Water Board") at the request of the City. In connection therewith, we have examined the laws pertaining to the City, originals of the Agreement between the City and the State Water Board ("Agreement"), the City's authorized representative resolution No. XXXX-XX adopted on [Date], the City's authorizing resolution No. XXXX-XX adopted on [Date], the City's reimbursement resolution No. XXXX-XX adopted on [Date], the City's rate -setting resolution XXXX-XX adopted on [Date], (collectively, "the Resolutions"), the City's debt management policy, documents related to each of the Material Obligations as set forth in the Agreement, and such other documents, legal opinions, instruments and records, and have made such investigation of law, as we have considered necessary or appropriate for the purpose of this opinion. The opinions expressed herein are based on an analysis of existing statutes, regulations, rulings and court decisions and cover certain matters not directly addressed by such authorities. Such opinions may be affected by actions taken or omitted, or events occurring, after the date hereof. We have not undertaken to determine, or to inforni any person, whether any such actions or events are taken or do occur after the date hereof. In our examination, we have assumed, without independent investigation, the authenticity of all documents submitted to us as originals, of all documents submitted to us as certified or photostatic copies and the authenticity of the originals of such latter documents and the accuracy of the statements SANTA ANA CITY COUNCIL City Council 23 — 130 4/4/2023 and representations contained in such documents. In addition, we have assumed the authority of and due execution by each of the parties to the documents other than the City. As used in this opinion, the phrase "to the best of our knowledge and based upon reasonable investigation" means knowledge as we have obtained from (i) the incumbency and signature certificate of the City, (ii) the representations and warranties contained in each document covered by this opinion and delivered by the City, (iii) knowledge of facts or other information currently known to attorneys for the City, and (iv) any and all investigations that the attorneys for the City deem necessary in connection with this Opinion. Based on the foregoing, we are of the opinion that: a. The City, a charter city duly organized, validly existing under its charter and the laws of the State of California, has the requisite legal right, power, and authority to execute and deliver the Agreement and carry out and consummate all transactions contemplated therein. The City is a charter city, the City Council of which is not prohibited, limited or constrained in any way from adopting, requiring, or utilizing a project labor agreement that includes all taxpayer protection provisions of Public Contract Code section 2500. b. The Resolutions have been duly adopted at meetings of the City which were called and held pursuant to law with all public notice required by law and at which a quorum was present and acting when the Resolutions were adopted. The Resolutions are in full force and effect and have not been amended, modified, supplemented, or rescinded, nor has the rate -setting resolution been challenged or the rates become subject of a referendum or initiative or other similar process. C. To the best of my knowledge and based upon a reasonable investigation, all proceedings required by law or under the ordinances or bylaws of the City to be taken by the City in connection with the authorization of the Agreement and the transactions contemplated by and related thereto, and all such approvals, authorizations, consents or other orders of or filings or registrations with such public boards or bodies, if any, as may be legally required to be obtained by the City prior to the date hereof with respect to all or any of such matters have been taken or obtained and are in full force and effect, except that no opinion is expressed as to any approvals, obligations or proceedings which may be required under any federal securities laws or state blue sky or securities laws. d. To the best of my knowledge and based upon a reasonable investigation, the execution and delivery of the Agreement and the consummation of the transactions therein will not conflict with or constitute a breach of or default (with due notice or the passage of time or both) under (i) the statutes creating the City or any amendments thereto, (ii) the ordinances or bylaws of the City, (iii) any bond, debenture, note or other evidence of indebtedness, or any material contract, agreement or lease to which the City is a party or by which it or its properties are otherwise subject to or bound, (iv) any labor agreement to which the City is a party, SANTA ANA CITY COUNCIL City Council 23 — 131 4/4/2023 or (v) any applicable law or administrative regulation or any applicable court or administrative decree or order. e. To the best of my knowledge and based upon a reasonable investigation, the City has sufficient property rights in the Project property for the purposes contemplated in the Agreement and has complied with the requirements of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (42 U.S.C. 4601) with respect to any property acquired for the purposes of the Project. Project property rights extend in perpetuity. f. To the best of my knowledge and based upon a reasonable investigation, there is no action, suit, proceeding, inquiry or investigation before or by any court of federal, state, municipal or other governmental authority pending or threatened against or affecting the City's System, as defined in the Agreement, or the assets, properties or operations of the City relating to its System which, if determined adversely to the City or its interests would result in any material change in the assets or financial condition of the City, the City's System or the financial condition thereof, and the City is not in default with respect to any order or decree of any court or any order, regulation, or demand of any federal, state, municipal, or other governmental agency which default might have consequences that would materially and adversely affect the financial condition of the City or its System. g. No facts have come to my attention which lead me to believe that the City's authorized representative has made any untrue statement of a material fact or omitted or omits to state a material fact or has made misleading statements in the Agreement. h. The Agreement has been duly authorized, executed, and delivered, and assuming due authorization, execution and delivery of the Agreement by the State Water Board, constitutes legal, valid, and binding obligation of the City enforceable against the City in accordance with its terms, subject to the laws relating to bankruptcy, insolvency, reorganization, or creditors' rights generally and to the application of equitable principles, if equitable remedies are sought. We disclaim any obligation to supplement this opinion letter with regard to events occurring or coming to our attention after the date hereof. The opinions herein are limited to the matters expressly set forth herein, and no opinion is to be implied or may be inferred beyond the matters expressly so stated. Specifically, without limitation, we do not express herein any opinion as to: (1) Any matter governed by any laws other than the laws of the State of California or the laws of the United States of America; (2) Federal tax matters or federal securities laws; (3) The enforceability of any choice of forum provisions contained in the Agreement; or (4) The validity and enforceability of any liquidated damages provisions. SANTA ANA CITY COUNCIL City Council 23 — 132 4/4/2023 No attorney -client relationship exists between you and us. No party other than those to whom this opinion is specifically addressed may rely on the opinions contained herein without our express written authorization to do so. As City Attorney to the City in this matter, we have not rendered financial advice to the City and do not represent by this opinion, or othenvise, that we have reviewed or made any assessment about nor do we express any opinion about, the financial ability of the City to pay debt service or amounts due under the Agreement. We bring to your attention the fact that our conclusions are an expression of professional judgment and are not a guarantee of a result. Sincerely, Uty Attorney By: John M. Frmk Chief Assistant City Attorney SANTA ANA CITY COUNCIL City Council 23 — 133 4/4/2023 Public Works Agency hftps://www.santa-ana.org/public-works Item # 24 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report April 4, 2023 TOPIC: Authorize Resolution Approving the Award of Conservancy Grant Funding to the City AGENDA TITLE Adopt a Resolution to Authorize Grant from the State Coastal Conservancy for Santiago Park Trail and Habitat Restoration Plan (Non -General Fund) RECOMMENDED ACTION Adopt resolution accepting grant funds from the State Coastal Conservancy for Santiago Park Trail and Habitat Restoration Plan in the amount of $400,000. DISCUSSION Santiago Park is a 35-acre linear park located in the northern edge of the City of Santa Ana along Santiago Creek. Being the city's only wilderness park, it is an important site within our park system due to Santa Ana's urban environment and rapidly increasing density. On July 30, 2022, the Public Works Agency's Park Services Division submitted an application to the State's Coastal Conservancy for the Santiago Park Trail and Habitat Restoration Plan. The project intends to increase public use of the trail, provide additional connectivity through the park, and further enhance this natural park by restoring the native landscape. The scope of work involves providing a delineated walking trail, restoration of the riparian habitat, security lighting, automated irrigation system, and pedestrian bridge to connect the north and south banks of the park over Santiago Creek. On February 2023, the State notified the City regarding the grant award. As a requirement of the grant, the City is to adopt resolution approving the award of the Conservancy grant, agreeing to the terms of the grant and designating officers and/or employees to act as a representative to complete grant requirements and documentation. FISCAL IMPACT There is no fiscal impact associated with the action. Once the City has an award of the grant, a staff report will be presented to City Council at a later date to recognize and appropriate grant funds. City Council 24 — 1 4/4/2023 Adopt Resolution Accepting Grant Funds from the State Coastal Conservancy April 4, 2023 Page 2 EXHIBIT(S) 1. Resolution: Santiago Park Trail and Habitat Restoration Plan Submitted By: Nabil Saba, P.E., Executive Director— Public Works Agency Approved By: Kristine Ridge, City Manager City Council 24 — 2 4/4/2023 EXHIBIT 1 brs 3/14/23 RESOLUTION NO. 2023-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE GRANT OF FUNDS FROM THE STATE COASTAL CONSERVANCY FOR THE SANTIAGO PARK TRAIL AND HABITAT RESTORATION PLAN WHEREAS, the Legislature of the State of California has established the State Coastal Conservancy ("Conservancy") under Division 21 of the California Public Resources Code, and has authorized the Conservancy to award grants to public agencies and nonprofit organizations to implement the provisions of Division 21; and WHEREAS, the Conservancy awards grants for projects that it determines are consistent with Division 21 of the Public Resources Code and with the Conservancy's Strategic Plan and that best achieve the Conservancy's statutory objectives, in light of limited funding; and WHEREAS, the City's Public Works Park Services submitted an application for these grant funds to make improvements to the City's Santiago Park; and WHEREAS, at its February 2, 2023 meeting, the Conservancy adopted a resolution authorizing a grant to the City of Santa Ana ("Grantee") for the Santiago Park Trail and Habitat Restoration Plan ("Project") in an amount not to exceed $400,000. The resolution was adopted by the Conservancy pursuant to and is included in the Conservancy February 2, 2023 staff recommendation, a copy of which is on file with the Grantee and with the Conservancy; and WHEREAS, the Project includes restoration of native riparian landscaping, security lighting, a new decomposed park walkways, automated irrigation system, interpretive signage, and pedestrian bridge to connect the north and south banks of the park; and WHEREAS, the Conservancy requires that the governing body of the Grantee certify through a resolution that it approves the award of Conservancy grant funding and authorizes the execution by a representative of the Grantee of a grant agreement on terms and conditions required by the Conservancy grant agreement. NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Santa Ana as follows: Section 1. The award of grant funding from the Conservancy for the Project is hereby approved in an amount not to exceed $400,000. Section 2. Grantee acknowledges that it has or will have sufficient funds to complete the Project and, if any property is acquired as part of the Project, to operate and Resolution No. 2023-XXX Page 1 of 3 City Council 24 — 3 4/4/2023 brs 3/14/23 maintain the property and, if any facilities are constructed as a part of the Project, to operate and maintain the facilities for a reasonable period, not less than the useful life of the facilities. Section 3. Grantee agrees to be bound by all terms and conditions of the grant agreement and any other agreement or instrument as may be required by the Conservancy and as may be necessary to fulfill the terms of the grant agreement and to complete the Project. Section 4. Grantee authorizes the City Manager, or designee, to act as a representative of the Grantee, to negotiate and execute on behalf of the Grantee all agreements and instruments necessary to complete the Project, and to comply with the Conservancy's grant requirements, including, without limitation, the grant agreement. Section 5. This Resolution shall take effect immediately upon its adoption by the City Council, and the City Clerk shall attest to and certify the vote adopting this Resolution. ADOPTED this day of April, 2023. Valerie Amezcua Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: andon Salvatierra Deputy City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Resolution No. 2023-XXX Page 2 of 3 City Council 24 — 4 4/4/2023 brs 3/14/23 CERTIFICATION OF ATTESTATION AND ORIGINALITY I, Jennifer Hall, City Clerk, do hereby attest to and certify the attached Resolution No. 2023-_ to be the original Resolution adopted by the City Council of the City of Santa Ana on April _, 2023. Date: City Clerk City of Santa Ana Resolution No. 2023-XXX Page 3 of 3 City Council 24 — 5 4/4/2023 Public Works Agency www.santa-ana.org/public-works Item # 25 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report April 4, 2023 TOPIC: Tenant Relocation Plan for 206 and 208 S Flower Street AGENDA TITLE Adopt a Resolution to Approve the Tenant Relocation Plan for the Acquisition of Real Property at 206 and 208 South Flower Street RECOMMENDED ACTION Adopt a resolution to approve the Tenant Relocation Plan for the Public Works Agency's Water Resources Division acquisition of real property located at Assessor's Parcel Number 008-213-31 (206 and 208 South Flower Street). DISCUSSION On October 4, 2022, the City Council approved the acquisition of Assessor's Parcel Number 008-213-31, real property that includes 206 and 208 South Flower Street, for the development of a new water well site, which included up to $250,000 for relocation costs. Pursuant to California Government Code, a public entity is required to adopt a relocation plan by resolution whenever it enters into an agreement for acquisition of real property, which would lead to the displacement of people from their homes. In conformance with applicable provisions of California Relocation Assistance Law and Relocation Guidelines and the Uniform Relocation and Real Property Acquisition Policies Act of 1970, the "206 S. Flower Acquisition and Relocation" Relocation Plan (Exhibit 1) was prepared to outline the level of advisory and financial assistance that will be provided. Based on the needs assessment conducted by the consultant, the total estimated relocation cost, including a 20% contingency, is $172,000. The occupants of the property have been interviewed and provided informational notices of the Relocation Plan in accordance with state and federal requirements. The occupants have also been notified of this item being heard at the April 4, 2023 City Council meeting, and a copy of the Relocation Plan was provided to them for their review. The Draft Relocation Plan was made available for public review for 30 days beginning February 28, 2023. The resolution (Exhibit 2) will approve the Relocation Plan and authorize the City to begin demolition of the existing buildings and development of the water well project. City Council 25 — 1 4/4/2023 Tenant Relocation Plan for 206 and 208 S Flower Street April 4, 2023 Page 2 FISCAL IMPACT There is no fiscal impact associated with this action. EXHIBIT(S) 1. Relocation Plan 2. Resolution Submitted By: Nabil Saba, P.E., Executive Director— Public Works Agency Approved By: Kristine Ridge, City Manager City Council 25 — 2 4/4/2023 EXHIBIT 1 Enhancing Lives Through Infrastructure 206 S. Flower Acquisition and Relocation RELOCATION PLAN Prepared for: City of Santa Ana Santa Ana, CA Prepared by: Overland, Pacific & Cutler, a division of TranSystems, Inc. Long Beach, CA December 2022 City Council 25 — 3 4/4/2023 TABLE OF CONTENTS INTRODUCTION.......................................................................................................................... 1 I. PROJECT DESCRIPTION.....................................................................................................2 A. PROPERTY LOCATION................................................................................................ 2 B. PROJECT SITE LOCATION AND DESCRIPT10N..................................................... 3 C. GENERAL DEMOGRAPHIC AND HOUSING CHARACTERISTICS ....................... 5 II. ASSESSMENT OF RELOCATION NEEDS..................................................................... 6 A. SURVEY METHOD........................................................................................................ 6 B. HOUSEHOLD DATA..................................................................................................... 6 111. RELOCATION RESOURCES............................................................................................ 8 A. METHODOLOGY...........................................................................................................8 B. REPLACEMENT HOUSING AVAILABILITY............................................................ 8 C. RELATED ISSUES......................................................................................................... 9 IV". THE RELOCATION PROGRAM.................................................................................... 10 A. ADVISORY ASSISTANCE.......................................................................................... 10 B. RELOCATION BENEFITS........................................................................................... 12 C. PROGRAM ASSURANCES AND STANDARDS...................................................... 16 D. GENERAL INFORMATION REGARDING THE PAYMENT OF RELOCATION BENEFITS..................................................................................................................... 16 E. LAST RESORT HOUSING........................................................................................... 17 F. RELOCATION TAX CONSEQUENCES..................................................................... 17 V. ADMINISTRATIVE PROVISIONS................................................................................. 18 A. NOTICES.......................................................................................................................18 B. PRIVACY OF RECORDS............................................................................................. 19 C. GRIEVANCE PROCEDURES......................................................................................19 D. EVICTION POLICY...................................................................................................... 19 E. CITIZEN PARTICIPATION......................................................................................... 20 F. PROJECTED DATE OF DISPLACEMENT................................................................. 20 G. ESTIMATED RELOCATION COSTS......................................................................... 20 EXHIBIT A: HUD INCOME LIMITS — ORANGE COUNTY .................................................. 23 EXHIBIT B: NOTICES AND RESIDENTIAL INFORMATIONAL BROCHURE .................. 24 EXHIBIT C: PUBLIC COMMENTS & RESPONSES................................................................ 39 City Council 25 — 4 4/4/2023 206 S. Flower Acquisition and Relocation Relocation Plan INTRODUCTION The City of Santa. Ana ("City") plans to acquire one parcel containing a duplex building and demolish the existing residential units in order to facilitate the installation of a new ground water well at the site (`Project"). The addresses of the residential units are 206 and 208 South Flower Street, Santa Ana, CA 92703 (`Properties" or "Site"). Both of the residential units are tenant - occupied and are one -bedroom, one -bath units. The two households occupying the Properties will be permanently displaced as a result of the acquisition and proposed Project. The occupied Properties and the displaced occupants are the subject of this Relocation Plan (`Plan"). All existing occupants will be permanently relocated to facilitate the proposed Project. The City has retained Overland, Pacific & Cutler, a division of TranSystems, Inc. ("OPC") to prepare the Relocation Plan and to provide relocation assistance to the households to be displaced. The City is utilizing local funds from the City of Santa Ana Water Services Department. The use of local funds from the City of Santa Ana triggers the requirements of the California Relocation Assistance Law, Government Code Section 7260, et seq. ("CRAL") and the Relocation Assistance and Real Property Acquisition Guidelines adopted by the Department of Housing and Community Development as in Title 25, California Code of Regulations Section 6000, et seq. (`Guidelines"). This Plan conforms to both the CRAL and the Guidelines. As of the date of this Plan, the Project is expected to cause the permanent displacement of two tenant -occupant households that are eligible for relocation assistance. The needs and characteristics of the permanent displacees and the City's program to provide assistance to each affected person are general subjects of this Relocation Plan (Plan). This Plan is organized in five sections: Project description (SECTION 1); Assessment of the relocation needs of persons subject to displacement (SECTION 11); Assessment of available replacement housing units within proximity to the Project site (SECTION III); Description of the City's relocation program (SECTION IV); Description of the City's outreach efforts, Project timeline and budget (SECTION V). City Council - 25 — 5 4/4/2023 206 S. Flower Acquisition and Relocation Relocation Plan 1. PROJECT DESCRIPTION A. PROPERTY LOCATION The Project site is located in Santa Ana, CA within Orange County. The Properties are located southeast of Interstate Highway 5 in Santa Ana, approximately 4 miles south of Orange. Nearby communities include Tustin, Orange, Fountain Valley, Anaheim, Garden Grove, Costa Mesa, and Trvine (Figure 1 — Project Location). �, OLD iOWNE The outlets at Orange♦ $ ss ® � � us Main © e If Lodge Water "mvzon Are © 4Campus-Orange y A n nern Calitornla sta acam 1"U A°e cl. vwe Ava e vhodse _ g -\ Hart Park A.ar,a . z— ,I � FNmkvennvA s v - � s — al River View Golf Course® z wsenmcare Ave rs.m.cl.m a, Bowers Museum Target9 a 3 wenmmneave / Santa Anal? wlmm& = TargetQ College v z Iu-N-Out Burger _ g ARTESIA FEAR QOld Orange County Courthouse zws.oumewa tams r.in.o wm. eLa K.,i •S Flower St, San ® wFlm sl fla9 'w wrne Santa Ana, Flower 9270 3 Elnsr 3 q P Santa aCa Z__ Tustin 1YiInloY wk, n Wais�ovn n "I[' LYON STREET'' _ w ucr.aam A.e McTaaem nve merawe�nve 9 Roger Dunn Golf Shope. Mater Den High School 4 Q Centennial Regmnal Park taboo Ave 0 Trop.san no Dispeosaryq Wye and Weed Delivery QMlcro Center G a Heritage Museum Marconi Auto -v It � of avenge county Google Musev r. u4ean.9m220eogl. u� d. a T new A,Wf a W,k 2woxu Figure l: Project Location City Council — 25 — 6 4/4/2023 206 S. Flower Acquisition and Relocation Relocation Plan B. PROJECT SITE LOCATION AND DESCRIPTION The Project Site is located near the intersection of South Flower Street and West First Street, directly across the street from Santa Ana High School. (Figure 2: Project Site Location). The Site is located less than a mile west of the Downtown Santa Ana Historic District, in a primarily residential area, with commercial uses located along West First Street. Other nearby points of interest include Angels Community Park, City Hall of Santa Ana, Santa Ana Courthouse, Orange County Healthcare Agency, Santa Ana Public Library, and Birch Park. The Properties are served by Orange County Transit Authority bus routes 64 and 150, with stops for routes 53, 55, 57, and 553 located within a one -mile radius of the site. Both units are occupied with households eligible for relocation assistance. Figure 2: Project Site Location City Council - 25 — 7 4/4/2023 206 S. Flower Acquisition and Relocation Relocation Plan Figure 3: Property Photos (Left: 206 S. Flower St., Right: 208 S. Flower St.) City Council 25 — 8 4/4/2023 206 S. Flower Acquisition and Relocation Relocation Plan C. GENERAL DEMOGRAPHIC AND HOUSING CHARACTERISTICS According to the U.S, Census Bureau American Community Survey (ACS) 2021 5-Year Estimates, the population of Orange County is approximately 3,182,923 and the population of Santa Ana is 313,818 (see Table 1). Corresponding ACS data concerning race and ethnicity is shown in Table 1, and ACS housing data is shown in Table 2. TABLE 1: 2021 ACS 5 Year Estimate Po ulation Data — City of Santa Ana and Orange County Population Santa Ana % Orange County % Total Population 313,818 100.0% 3 182 923 100.0% White not Hispanic or Latino 29,664 9.5% 1,242,725 39.0% Black or African American (not Hispanic or Latino) 2,673 0.9% 50,161 1.6% American Indian or Alaska Native 350 0.1 % 4,423 0.1'%o Asian 37,056 11.8% 672,015 21.1% Native Hawaiian or Other Pacific islander 501 0.2% 8,073 0.3% Some Other Race 377 0.1% 9,744 0.3% Two or More Races 2,428 0.8% 112,689 3.5% Hispanic or Latino of Any Race) 240,769 76.7% 1,083,923 34.1% Source: U.S. Census Bureau, American Community Survey 5-Year Estimates Table DP05: 2021 TABLE 2: 2021 ACS 5 Year Estimate Housing Data — City of Santa Ana and Orange Count, Type Santa Ana % Orange Count % Total Housing Units 79,179 100.0% 1,121,753 100.0% Total Occupied Units 76,624 96.8% 1,057,592 94.3% Owner -Occupied 35,029 45.7% 602,440 57.0% Renter- Occupied 41,595 54.3% 455,152 43.0% Vacant Housing Units 2,555 3.2% 64,161 5.7`Yo Source: U.S. Census Bureau, American Community Survey 5-Year Estimates Table DP04: 2021 City Council - 25 — 9 4/4/2023 206 S. Flower Acquisition and Relocation Relocation Plan 11. ASSESSMENT OF RELOCATION NEEDS A. SURVEY METHOD Individual interviews with the affected households were conducted by OPC staff in October 2022. Both households have been interviewed. Inquiries made of the residential occupants interviewed concerned household size and composition, income, existing mortgages on the property, length of occupancy, ethnicity, home language, physical disabilities, special relocation needs, and replacement housing preferences. B. HOUSEHOLD DATA Current Occupants There are two tenant -occupant households to be permanently relocated for the Project that may be eligible for relocation assistance and are the subjects of this Plan. The households consist of 6 adults and 1 child (17 years or younger) on -site for a total of 7 persons. 2. Replacement Housing Needs Replacement housing needs, as expressed in this plan, are defined by the total number of required replacement units and distribution of those units by bedroom size. The projected number of required units by bedroom size is calculated by comparing current data for household size with the City's replacement housing occupancy standards. These standards, generally, allow for up to one person in a studio unit, two persons in a one -bedroom unit, four persons in a two -bedroom unit, six persons in a three -bedroom unit and nine or more persons in a four -bedroom unit. Based on available household data, both of the units is overcrowded. The replacement units required for the current population include two two -bedroom low -density residential unit for rent. A low -density residential unit includes single-family homes, duplexes, triplexes, and foutplexes, along with duplex -style residential communities. 3. Income Verbal income data was provided by four of the interviewed households. According to HUD income standards for Orange County (Exhibit A) adjusted for family size, both households qualify as Very Low income (31 % - 50% of AMI). 4. Ethnicity/Language Both of the interviewed households are made up of Hispanic or Latino/a occupants. Both households communicate primarily in Spanish and will require translation. City Council - 25 — 10 4/4/2023 206 S. Flower Acquisition and Relocation Relocation Plan 5. Senior/Handicapped Households One of the households has a senior occupant aged 62 or older. No households reported having an occupant with a disability, but the senior occupant does have a health condition that may require accommodation in the relocation process. Appropriate steps will be taken to accommodate mobility challenges when considering potential replacement housing options. 6. Preferred Relocation Area All of the interviewed households indicated a desire to stay in Santa Ana or the surrounding area. City Council 25 —11 4/4/2023 206 S. Flower Acquisition and Relocation Relocation Plan 111. RELOCATION RESOURCES A. METHODOLOGY For residential housing, a resource survey was conducted using Apartments.com, Craigslist, and similar online resources to identify comparable units for rent near the Properties. B. REPLACEMENT HOUSING AVAILABILITY 1. Residential Replacement Housing The replacement housing survey considered available two -bedroom units for rent in Santa Ana and expanding to surrounding communities within Orange County as of the date of this Plan. The survey identified 22 two -bedroom homes within 5 miles of the Properties. This data is summarized in Table 3 below. Table 3: AN -ail bility and Cost of Replacement Housing 2 Bedroom # Found 22 Rent Range $2,293-$3,200 Median Rent $2,600 The median listing amount shown in the table is among the figures used to make benefit and budget projections for the Plan. This amount is, naturally, subject to change according to the market rates prevailing at the time of displacement. Listings identified are located in Santa Ana and neighboring cities within 5 miles of the Site in the surrounding communities of Tustin, Orange, and Fountain Valley. 2. Summary Considering the above -described availability of replacement housing resources gathered, it appears there should be an adequate number of comparable replacement units for the residential occupants, and the households should be able to remain within Santa Ana. Adequate replacement resources exist for the households, but the comparable units are priced significantly higher than the Properties, primarily due to the age and condition of the Properties. The current rent being charged for the Properties ranges from $810 to $830 and comparable rents do not exist in the area or surrounding communities. Due to the higher price of the comparable units compared to the appraised values, it is expected that Last Resort Housing payments will be necessary, as the rental assistance differential payments required will be greater than $5,250 (See Section 1V, E). City Council v 25 — 12 4/4/2023 206 S. Flower Acquisition and Relocation Relocation Plan C. RELATED ISSUES 1. Concurrent Residential Displacement There are no known public projects anticipated in the Project area that will cause significant displacements during the timeframe of anticipated Project displacements. No residential displacee will be required to move without both adequate notice and access to available, comparable, affordable, decent, safe and sanitary housing. City Council - 25 — 13 4/4/2023 206 S. Flower Acquisition and Relocation Relocation Plan IV. THE RELOCATION PROGRAM The City's Relocation Program is designed to minimize hardship, be responsive to unique Project circumstances, emphasize maintaining personal contact with all affected individuals, consistently apply all regulatory criteria to formulate eligibility and benefit determinations and conform to all applicable requirements. The relocation program to be implemented by the City will conform with the standards and provisions of the Law and Guidelines identified previously. The City has retained OPC, an experienced consulting firm, to administer the Relocation Program for the permanent displacees. OPC has worked on more than 50,000 public acquisition and relocation projects for 40 years. Experienced City staff will monitor the performance of OPC and be responsible to approve or disapprove OPC recommendations concerning eligibility and benefit determinations and interpretations of City's policy. OPC staff will be available to assist any relocated person and/or household with questions about the relocation process, relocation counseling and/or assistance in relocating. Relocation staff can be contacted at (562) 354-2451 or toll -free at (800) 400-7356 from 8:00 am to 5:00 pm Monday through Friday and are available via voicemail and/or cellular phones after hours. The Relocation Office is located at 5000 Airport Plaza Dr. Suite 250. Long Beach, CA 90815. Eligible individuals, who need to permanently move from their existing home, will receive relocation assistance. The relocation program consists of two principal components: advisory assistance and financial assistance (Relocation Benefits). A. ADVISORY ASSISTANCE Advisory assistance services are intended to: • Inform displacees about the relocation program; • Help in the process of finding appropriate replacement accommodations; • Facilitate claims processing; • Maintain a communication link with the City; • Coordinate the involvement of outside service providers, To follow through on the advisory assistance component of the relocation program and assure that the City meets its obligations under the law, OPC staff will perform the following functions: Distribute appropriate written information concerning the City's relocation program; Inform eligible project occupants of the nature of, and procedures for, obtaining available relocation assistance and benefits (See Exhibit B); Determine the needs of each displacee eligible for assistance; City Council - 25 — 14 4/4/2023 206 S. Flower Acquisition and Relocation Relocation Plan 4. Provide the residential displacees with at least three referrals to comparable replacement housing within a reasonable time prior to displacement. Generally, a comparable replacement dwelling must satisfy the following criteria: (a) The unit is decent, safe and sanitary - electrical, plumbing and heating systems are in good repair - no major, observable hazards or defects. The unit is adequate in size and is comparable to the acquired dwelling with respect to number of rooms, habitable living space and type and quality of construction, but not lesser in rooms or living space as necessary to accommodate the displaced person. The unit is functionally equivalent, including principle features. (b) The unit is located in an area not subjected to unreasonable adverse environmental conditions front either natural, or man-made sources, and not generally less desirable with respect to public utilities, transportation, public and commercial facilities, including schools and municipal services and reasonably accessible to the displaced person's place ofemployment. (c) The unit is available both on the private market and to all persons regardless of race, color, sex, marital status, religion or, national origin. (d) The property is within the financial means of the displaced residential household. 5. Maintain an updated database of available housing resources, and distribute referral information to displacees for the duration of the Project; 6. Provide transportation to the residential displacee, if necessary, to inspect replacement sites within the local area•, 7. Inspect replacement housing to assure it meets decent, safe and sanitary standards as described in State Relocation Regulations; 9. Supply information concerning federal and state programs and other governmental programs providing assistance to displaced persons; 9. Assist eligible occupants in the preparation, and submission, of relocation assistance claims; 10. Provide additional reasonable services necessary to successfully relocate occupants; 11. Make benefit determinations and payments in accordance with applicable law and the City's adopted relocation guidelines; City Council -- 25— 15 4/4/2023 206 S. Flower Acquisition and Relocation Relocation Plan 12. Assure that no occupant is required to move without a minimum of 90 days written notice to vacate; 13. lnforrn all persons subject to displacement of the City's policies with regard to eviction and property management; 14. Establish and maintain a formal grievance procedure for use by displaced persons seeking administrative review of the City's decisions with respect to relocation assistance; and 15. Provide assistance that does not result in different or separate treatment based on or due to an individual's sex, marital status, race, color, religion, ancestry, national origin, physical handicap, sexual orientation, and domestic partnership status. B. RELOCATION BENEFITS Specific eligibility requirements and benefit plans will be detailed on an individual basis with all displacees. In the course of personal follow-up visits, each displaces will be counseled as to available options and the consequences of any choice with respect to financial assistance. Relocation benefits will be provided in accordance with the provisions ofthe applicable Relocation Law and Guidelines and City rules, regulations and procedures pertaining thereto. Benefits will be paid to eligible displaced persons upon submission of required claim forms and documentation in accordance with the City's normal administrative procedures. In the case that a household chooses to rent a replacement dwelling, the City will process advance payment requests to mitigate hardships for households who do not have access to sufficient funds to pay move -in costs such as first month's rent and/or security deposits. Approved requests will be processed expeditiously to help avoid the loss of desirable, appropriate replacement housing. 1. Residential Moving Expense Payments All eligible residential occupants to be permanently relocated will be eligible to receive a payment for moving expenses. Moving expense payments will be made based upon the actual cost of a professional move or a fixed payment based on a room -count schedule. a. Actual Cost (Professional Move) Displacees may elect to have a licensed professional mover perform the move. The actual cost of the moving services, based on at least two acceptable bids, will be compensated by the City in the form of a direct payment to the moving company upon presentation of an invoice. Transportation costs are limited to a distance of 50 miles in either case. In addition to the actual move, costs associated with utility re- connections (i.e., gas, water, electricity, telephone, and cable, if any), are eligible for reimbursement. City Council - 25 — 16 4/4/2023 206 S. Flower Acquisition and Relocation Relocation Plan b. Fixed Payment (based on Room Count Schedule) An occupant may elect to receive a fixed payment for moving expenses which is based on the number of rooms occupied in the displacement dwelling or ancillary structures on the property. In this case, the person to be relocated takes full responsibility for the move. The fixed payment includes all utility connections as described in (a), above. The current schedule for fixed moving payments is set forth in Table 4 below: TABLE 4: Schedule of Fixed Moving Payments, State of California (effective as of 2021 Unfurnished Dwelling One room $780 Two rooms $1,000 Three rooms $1,250 Four rooms $1,475 Five rooms $1,790 Six rooms $2,065 Seven rooms $2,380 Eight rooms $2,690 each additional room $285 Furnished Dwelling First Room $510 Each additional room $100 City Council -- 25 — 17 4/4/2023 206 S. Flower Acquisition and Relocation Relocation Plan 1. Rental Assistance for Tenant -Occupants Who Choose to Rent To be eligible to receive the rental assistance benefits, the displaced tenant household Must rent or purchase and occupy a decent, safe, and sanitary replacement dwelling within one year from the date they move from the displacement dwelling. Based upon the available data regarding Project displacees, the displaced households may qualify for, and may be eligible to apply for, relocation benefits under the State Regulations, including rental assistance. Except in the case of Last Resort Housing situations, payments to households under the State Regulations will be payable over a 42-month period and limited to a maximum of $5,250 as stated under State guidelines. The assistance to be offered within this program is explained in detail in the informational brochure that will be provided to each household (Exhibit A). Table 5 portrays an example of a benefits determination under State Regulations: TABLE 5: Example Computation of Rental Assistance Payments 1. Old Rent $650 Old Rent and Utilities or 2. Ability to Pay $700 30% of the Adjusted, Monthly, Gross Household Income* 3. Lesser of lines 1 or 2 $650 Base Monthly Rental Subtracted From: 4. Actual New Rent $750 Actual New Rent and Utilities or 5. Comparable Rent $775 Dcte rnined by City (includes utilities) 6. Lesser of lines 4 or 5 $750 7. Yields Monthly Need: $100 Subtract line 3 from line 6 Rental Assistance $4,200 Multiply line 7 by 42 months *Gross adjusted income means the total amount of annual income of a household less the following: (1) a deduction for each dependent in excess of three; (2) a deduction of 10% of total income for the elderly or disabled head of household; (3) a deduction for recurring extraordinary medical expenses defined for this purpose to mean medical expenses in excess of 3% of total income, where not compensated for, or covered by insurance or other sources; (4) a deduction of reasonable amounts paid for the care of children or sick or incapacitate family members when determined to be necessary to employment of head of household or spouse, except that the amount shall not exceed the amount of income City Council - . 25 — 18 4/4/2023 206 S. Flower Acquisition and Relocation Relocation Plan received by the person who would not otherwise be able to seek employment in the absence of such care. Rental Assistance payment amounts are equal to 42 times the difference between the base monthly rent and the lesser of: (i) The monthly rent and estimated average monthly cost of utilities for a comparable replacement dwelling; or (ii) The monthly rent and estimated average monthly cost of utilities for the decent, safe, and sanitary replacement dwelling actually occupied by the displaced person. The base monthly rent for the displacement dwelling is the lesser of: (i) The average monthly cost for rent and utilities at the displacement dwelling for a reasonable period prior to displacement, as determined by the City; or (ii) Thirty, percent (30%) of the displaced person's average, monthly gross household income. If a displacee refuses to provide appropriate evidence of income or is a dependent, the base monthly rent shall be determined to be the average monthly cost for rent and utilities at the displacement dwelling; or (iii) The total of the amount designated for shelter and utilities if receiving a welfare assistance payment from a program that designated the amounts for shelter and utilities 3. Downpayment Assistance to Tenants Who Choose to Purchase The displaced household may opt to apply the entire benefit amount for which they are eligible under State Regulations toward the purchase of a replacement unit. Residential tenants, who are otherwise eligible to receive the Rental Assistance Payment described above, may choose to receive a lump sum payment equal to forty-two months of rental subsidy (including Last Resort Housing benefits) to purchase a new home. A displaced household, who chooses to utilize up to the full amount of their rental assistance eligibility (including any Last Resort benefits) to purchase a home, will have the funds deposited in an open escrow account, provided that the entire amount is used for the downpayment and eligible, incidental costs associated with the purchase of a decent, safe, and sanitary replacement home. A provision shall be made in the escrow arrangements for the prompt return of the City funds, in the event escrow should fail to close within a reasonable period of time. Final determination about the type of relocation benefits and assistance for which the household is eligible will be determined upon verification of the household's occupants, ages, length of occupancy and income. City Council -- 25 — 19 4/4/2023 206 S. Flower Acquisition and Relocation Relocation Plan C. PROGRAM ASSURANCES AND STANDARDS Adequate funds are available to relocate all displaced households. Relocation assistance set -vices will be provided to ensure that displacement does not result in different or separate treatment of households based on race, nationality, color, religion, national origin, sex, marital status, familial status, disability or any other basis protected by the federal Fair Housing Amendments Act, the Americans with Disabilities Act, Title VI of the Civil Rights Act of 1964, Title VIII of the Civil Rights Act of 1968, the California Fair Employment & Housing Act, and the Unruh Act, as well as any other arbitrary or unlawful discrimination. D. GENERAL INFORMATION REGARDING THE PAYMENT OF RELOCATION BENEFITS Claims and supporting documentation for relocation benefits must be filed with the City no later than 18 months from one of the following dates, whichever is later: • The date the household receives final payment for the displacement dwelling, or, in the case of condemnation, the date the full amount of estimated just compensation is deposited in court; or • The date the household moves from the displacement dwelling. The procedure for the preparation and filing of claims and the processing and delivery of payments will be as follows: 1. Claimant(s) will provide all necessary documentation to substantiate eligibility for assistance; 2. OPC and City staff will review all necessary documentation including, but not limited to, scopes -of -service, invoices, lease documents and escrow material before reaching a determination as to which expenses are eligible for compensation; 3. Required claim forms will be prepared by OPC staff and presented to the claimant for review. Signed claims and supporting documentation will be returned to relocation staff and submitted to the City; 4. The City will review and approve claims for payment, or request additional information; 5. The City will issue benefit checks to be disbursed to the claimants via personal delivery; 6. Final payments to residential displacees will be issued after confirmation that the Project premises have been completely vacated, and actual residency at the replacement unit is verified; City Council -- 25— 20 4/4/2023 206 S. Flower Acquisition and Relocation Relocation Plan 7. Receipts of payment and all claim material will be maintained in the relocation case file. E. LAST RESORT HOUSING Based on data derived from the Project site occupants and costs of replacement housing resources, it is anticipated that Last Resort Housing will be required in both cases as part of this Project due to the high cost of housing in the area and low incomes of the households. Last Resort Housing is required when "comparable replacement housing" may not be available as required for the households. Specifically, for tenants, when the computed replacement housing assistance eligibility exceeds $5,250.00, Last Resort Housing will have to be provided. Therefore, if the Project is to go forward, the City will authorize its funds or funds authorized for the Project to provide housing of last resort. Funds will be used to make payments in excess of the monetary limit specified in the statute ($5,250.00); hence, satisfying the requirement that "comparable replacement housing" is available. A displaced tenant -occupant household will be entitled to consideration for supplementary benefits in the form of Last Resort Housing assistance when the computed replacement housing assistance eligibility exceeds $5,250.00 or when a tenant fails to meet the 90-day occupancy requirement and comparable replacement housing is not available within the displaced person's financial means. F. RELOCATION TAX CONSEQUENCES In general, relocation payments are not considered income for the purpose of Division 2 of the Internal Revenue Code of 1954, which has been redesignated as the Internal Revenue Code of 1986 (Title 26, U. S. Code), or for the purpose of determining the eligibility or the extent of eligibility of any person for assistance under the Social Security Act (42 U. S. Code 301 et seq.) or the Personal Income Tax Law, Part 10 (commencing with Section 17001) of the Revenue and Taxation Code, or the Bank and Corporation Tax Law, Part 1I (commencing with Section 23001) of Division 2 of the Revenue and Taxation Code. The above statement on tax consequences is not intended as tax advice by the City or OPC. Displacees are responsible for consulting with their own tax advisors concerning the tax consequences of relocation payments. City Council - 25 — 21 4/4/2023 206 S. Flower Acquisition and Relocation Relocation Plan V. ADMINISTRATIVE PROVISIONS A. NOTICES Each notice, which the City is required to provide to a Project site occupant, shall be personally delivered or sent by certified or registered first-class mail, return receipt requested and documented in the case file. Each notice will be written in plain, understandable language. Each notice will indicate the name and telephone number of a person who may be contacted for answers to questions or other needed help. There are three principal notices to be issued under the State Relocation Regulations: 1) Information Statement 2) Notice of Relocation Eligibility 3) Notice to Vacate The informational Statement is intended to provide potential relocatees with a general written description of the City's relocation program and basic information concerning benefits, conditions of eligibility, noticing requirements and appeal rights (Exhibit B). A Notice of Relocation Eligibility (NOE) wilt be distributed to each residential relocatee. The NOE to the residential relocatee contains a determination of eligibility for relocation assistance and a computation of maximum entitlements based on information provided by the affected household and the analysis of comparable replacement properties identified by relocation staff. No lawful occupant will be required to move without having received at least 90 days advance written notice of the earliest date by which the move will be necessary. The 90-day vacate notice will either state a specific date as the earliest date by which the occupant may be required to move or state that the occupant will receive a further notice indicating, at least 60 days in advance, the specific date of the required move. The 90-day notice will not be issued to any residential displacee before a comparable replacement dwelling has been made available. In addition to the three principal notices, OPC staff will issue timely written notification in the form of a Reminder Notice, which discusses the possible loss of rights and sets the expiration date for the loss of benefits to those persons who: I) are eligible for monetary benefits, 2) have moved from the acquired property, and 3) have not filed a claim for benefits. A Reminder Notice will be issued to all non -responsive relocatees no later than within the last six months prior to the filing expiration date. City Council __ 25— 22 4/4/2023 206 S. Flower Acquisition and Relocation Relocation Plan B. PRIVACY OF RECORDS All information obtained from displacees is considered confidential and will not be shared without the consent of the displacee or the City. City staff will comply with federal regulations concerning the safeguarding of relocation files and their contents. C. GRIEVANCE PROCEDURES A person who is dissatisfied with a determination as to eligibility for benefits, a payment amount, the failure to provide comparable housing, or the City's property management practices may file a Relocation Assistance Appeal Form or any other written form of appeal with the City and have the right of administrative review. The City's appeal policies will follow the standards described in Article 5, Section 6150 et seq., Title 25, Chapter 6, State of California, Department of Housing and Community Development Program guidelines. Requests for administrative review and informal hearings will be directed to Armando Fernandez, Senior Civil Engineer. All requests for review will receive written responses from the City within three weeks of their receipt. If an informal appeal is denied, appellants will be entitled to file a written request for a formal hearing before an impartial and independent hearing officer. The appellant does not have to exhaust administrative remedies first; the appeal grievance can either go directly to the City or directly to the Court. Any person and/or organization directly affected by the relocation plan may petition the Department of Housing and Community Development (HCD), located at 2020 West El Camino Ave., Sacramento, CA 95833 to review the relocation plan. More detail concerning the appeals process will he provided upon request. Appellants will retain their appeal rights for up to 18 months following the date of displacement from the Project premises or receipt of final payment for relocation benefits, whichever is later. D. EVICTION POLICY Eviction may cause the forfeiture of a displacee's right to relocation assistance or benefits. Relocation records will be documented to reflect the specific circumstances surrounding any eviction action. Eviction may be undertaken for one, or more of the following reasons, including tinder the circumstance of the displacee renting the home back from the City after the close of escrow: (a) Failure to pay rent, except in those cases where the failure to pay is due to the City's failure to keep the premises in habitable condition; is the result of harassment or retaliatory action; or, is the result of discontinuation, or a substantial interruption of services; (b) Performance of a dangerous, and/or illegal act in the unit; City Council _- 25 — 23 4/4/2023 206 S. Flower Acquisition and Relocation Relocation Plan (c) A material breach of the rental agreement, and failure upon notification to correct said breach within 30 days of Notice; (d) Maintenance of a nuisance, and failure to abate such nuisance upon notification within a reasonable time following Notice; (e) Refusal to accept one of a reasonable number of offers of replacement dwellings; and/or, (t) A requirement under State, or local law or emergency circumstances that cannot be prevented by reasonable efforts on the part of the City. E. CITIZEN PARTICIPATION As the process for considering the Project moves forward, the City will observe the following protocol: 1. Provide affected households with full and timely access to documents relevant to the relocation program; 2. Encourage meaningful participation in reviewing the relocation plan and monitoring the relocation assistance program; including the Project area occupants, neighborhood groups and community organizations forming a relocation committee, if applicable; 3. Provide technical assistance necessary to interpret elements of the Relocation Plan and other pertinent materials; 4. Issue a general notice concerning the availability of the Plan for public review, as required, 30 days prior to its proposed approval; and 5. Include written or oral comments concerning the Plan as an attachment (Exhibit C) when it is forwarded to the City of Santa Ana for approval. F. PROJECTED DATE OF DISPLACEMENT The City anticipates that escrow will close in late January 2023, and the 90 Day Vacate Notices will be issued to the Project occupants at that time. The 90 Day Vacate Notices are anticipated to expire in late April 2023. G. ESTIMATED RELOCATION COSTS The total budget estimate for relocation -related payments for this Project, including a 20% contingency, is $172,000.00. This is based on all households qualifying for and receiving Last Resort Housing payments. City Council 25 — 24 4/4/2023 206 S. Flower Acquisition and Relocation Relocation Plan The estimated relocation budget does not include any payments related to property acquisition. In addition, the budget does not consider the cost of any services necessary to implement the Plan and complete the relocation element of the Project. If the Project is implemented, and circumstances arise that should change either the number of residential occupants and/or the amount of relocation benefits' entitlements estimated, the City will authorize any additional funds that may need to be appropriated. The City pledges to appropriate, on a timely basis, the funds necessary to ensure the successful completion of the Project, including funds necessary for LRH as indicated in Section IV, E, of this Plan to meet its obligation under the relocation regulations City Council -- 25 — 25 4/4/2023 EXHIBIT A: HUD INCOME LIMITS - ORANGE COUNTY The following figures are approved by the U. S. Department of Housing and Urban Development (HUD) and published by HCD for use in Orange County to define and determine housing eligibility by income level. Area Median Income: $119,100 (Based on 4 Persons) 2 Persons 3 Persons 4 Persons 5 Persons Extremely 32,550 36,600 40,650 43,950 Low Very Low 54,200 61,000 67,750 73,200 Low Income 86,750 97,600 108,400 117,100 Median 95,300 107,200 119,100 128,650 Income Moderate 114,300 128,600 142,900 154,350 Income Figures are per the Department of Housing and Urban Development (California), updated in April 2022. City Council 25 — 26 4/4/2023 EXHIBIT B: NOTICES AND RESIDENTIAL INFORMATIONAL BROCHURE City Council 25 — 27 4/4/2023 Relocation Assistance Informational Statement for Families and Individuals (CA State) Displacing Agency City of Santa Ana Project Name: 206 S. Flower Acquisition and Relocation Displacing Agency Representative: Overland, Pacific & Cutler, LLC 2750 Schaufele Ave. Suite 150 Long Beach, CA 90808 949-307-1323 Informational Statement Content: 1. General Information 2. Assistance In Locating A Replacement Dwelling 3. Moving Benefits 4. Replacement Housing Payment - Tenants And Certain Others 5. Section 8 Tenants 6. Replacement Housing Payment — Homeowners 7. Qualification For And Filing Of Relocation Claims 8. Last Resort Housing Assistance 9. Rental Agreement 10. Evictions 11. Appeal Procedures — Grievance 12. Tax Status of Relocation Benefits 13. Non -Discrimination and Fair Housing 14. Additional Information And Assistance Available Spanish speaking agents are available. Si necesita esta informaciSn en espanol, por favor (lame a su agente. City Council 25 — 28 4/4/2023 Informational Statement for Families and Individuals 'CA State) 1. GENERAL INFORMATION The dwelling in which you now live is in a project area to be improved by, or financed through, the Displacing Agency using state and/or local funds. If and when the project proceeds, and it is necessary for you to move from your dwelling, you may be eligible for certain benefits. You will be notified in a timely manner as to the date by which you must move. Please read this information, as it will be helpful to you in determining your eligibility and the amount of the relocation benefits you may receive under the state law. You will need to provide adequate and timely information to determine your relocation benefits. The information is voluntary, but if you don't provide it, you may not receive the benefits, or it may take longer to pay you. We suggest you save this informational statement for reference. The Displacing Agency has retained the professional firm of Overland, Pacific & Cutler, LLC (OPC) to provide relocation assistance to you. The firm is available to explain the program and benefits. Their address and telephone number are listed on the cover. PLEASE DO NOT MOVE PREMATURELY. THIS IS NOT A NOTICE TO VACATE YOUR DWELLING. However, if you desire to move sooner than required, you must contact your agent at OPC, so you will not jeopardize any benefits. This is a general informational brochure only and is not intended to give a detailed description of either the law or regulations pertaining to the Displacing Agency's relocation assistance program. Please continue to pay your rent to your current landlord, otherwise you may be evicted and jeopardize the relocation benefits to which you may be entitled to receive. Once the Displacing Agency acquires the property, you will also be required to pay rent to the Displacing Agency. 2. ASSISTANCE IN LOCATING A REPLACEMENT DWELLING The Displacing Agency, through its representatives, will assist you in locating a comparable replacement dwelling by providing referrals to appropriate and available housing units. You are encouraged to actively seek such housing yourself. When a suitable replacement dwelling unit has been found, your relocation agent will carry out an inspection and advise you as to whether the dwelling unit meets decent, safe and sanitary housing requirements. A decent, safe and sanitary housing unit provides adequate space for its occupants, proper weatherproofing and sound heating, electrical and plumbing systems. Your new dwelling must pass inspection before relocation assistance payments can be authorized. 3. MOVING BENEFITS If you must move as a result of displacement by the Displacing Agency, you will receive a payment to assist in moving your personal property. The actual, reasonable and necessary expenses for moving your household belongings may be determined based on the following methods: A Fixed Moving Payment based on the number of rooms you occupy (see below); or A payment for your Actual Reasonable Moving and Related Expenses based on at least two written estimates and receipted bills; or A combination of both (in some cases) City Council 25 — 29 4/4/2023 For example, you may choose a Self -Move, receiving a payment based on the Fixed Residential Moving Cost Schedule shown below, plus contract with a professional mover to transport your grand piano and /or other items that require special handling. In this case, there may be an adjustment in the number of rooms which qualify under the Fixed Residential Moving Cost Schedule. A. Fixed Moving Payment (Self -Move) A Fixed Moving Payment is based upon the number of rooms you occupy and whether or not you own your own furniture. The payment is based upon a schedule approved by the Displacing Agency, and ranges, for example, from $475.00 for one furnished room to $2,505.00 for eight rooms in an unfurnished dwelling. (For details see the table). Your relocation agent will inform you of the amount you are eligible to receive, if you choose this type of payment. If you select a fixed payment, you will be responsible for arranging for your own move, and the Displacing Agency will assume no liability for any loss or damage of your personal property. A fixed payment also includes utility hook-ups and other related moving fees. Fixed Moving Schedule CALIFORNIA Effective 2021 Occupant Owns Furniture: 1 room $780 2 rooms $1,000 3 rooms $1,250 4 rooms $1,475 5 rooms $1,790 6 rooms $2,065 7 rooms $2,380 8 rooms $2,690 Each additional room 285 Occupant does NOT Own Furniture: 1 room $510 Each additional room $100 B. Actual Moving Expense (Professional Move) If you wish to engage the services of a licensed commercial mover and have the Displacing Agency pay the bill, you may claim the ACTUAL cost of moving your personal property up to 50 miles. Your relocation agent will inform you of the number of competitive moving bids (if any) which may be required and assist you in developing a "mover" scope of services for Displacing Agency approval. 4. REPLACEMENT HOUSING PAYMENT - TENANTS AND CERTAIN OTHERS You may be eligible for a payment of up to $5,250.00 to assist you in renting or purchasing a comparable replacement dwelling. In order to qualify, you must either be a tenant who has occupied the present dwelling for at least 90 days prior to the initiation of negotiations or an owner who has occupied the present dwelling between 90 and 180 days prior to the initiation of negotiations. A. Rental Assistance. If you qualify, and wish to rent your replacement dwelling, your maximum rental assistance benefits will be based upon the difference over a forty-two (42) month period between the rent you must pay for a comparable replacement dwelling and the lesser of your current rent and estimated utilities or thirty percent (30%) of your gross monthly household income. You will be required to provide your relocation agent with monthly rent and household income verification prior to the determination of your eligibility for this payment. -OR- B. Down -payment Assistance. If you qualify and wish to purchase a home as a replacement dwelling, you can apply up to the total amount of your rental assistance payment towards the down -payment and non -recurring incidental expenses. Your relocation agent will clarify procedures necessary to apply for this payment. City Council 25 — 30 4/4/2023 Where a tenant is sharing a dwelling with an owner -occupant and paying the owner -occupant rent for the privilege, the tenant shall not be entitled to more than one-half of the rental assistance otherwise payable. 5. SECTION 8 TENANTS When you do move, you may be eligible to transfer your Section 8 eligibility to a replacement site. In such cases, a comparable replacement dwelling will be determined based on your family composition at the time of displacement and the current housing program criteria. This may not be the size of the unit you currently occupy. Your relocation agent will provide counseling and other advisory services along with moving benefits. 6. REPLACEMENT HOUSING PAYMENT - HOMEOWNERS 7.If you own and occupy a dwelling to be purchased by the Displacing Agency for at least 180 days prior to the initiation of negotiations, you may be eligible to receive a payment of up to $22,500.00 to assist you in purchasing a comparable replacement unit. This payment is intended to cover the following items: 1. Purchase Price Differential - An amount which, when added to the amount for which the Displacing Agency purchased your property, equals the lesser of the actual cost of your replacement dwelling; or the amount determined by the Displacing Agency as necessary to purchase a comparable replacement dwelling. Your relocation agent will explain both methods to you. 2. Mortgage Interest Differential - The amount which covers the increased interest costs, if any, required to finance a replacement dwelling. Your relocation agent will explain limiting conditions. 3. Incidental Expenses - Those one-time incidental costs related to purchasing a replacement unit, such as escrow fees, recording fees, and credit report fees. Recurring expenses such as prepaid taxes and insurance premiums are not compensable. B. Rental Assistance Option - If you are an owner -occupant and choose to rent rather than purchase a replacement dwelling, you may be eligible for a rental assistance payment of up to the amount that you could have received under the Purchase Price Differential, explained above. The payment will be based on the difference between an economic rent of the dwelling you occupy and the rent you must pay for a comparable replacement dwelling. If you receive a rental assistance payment, as described above, and later decide to purchase a replacement dwelling, you may apply for a payment equal to the amount you would have received if you had initially purchased a comparable replacement dwelling, less the amount you have already received as a rental assistance payment. 7. QUALIFICATION FOR, AND FILING OF, RELOCATION CLAIMS To qualify for a Replacement Housing Payment, you must rent or purchase and occupy a comparable replacement unit within one year from the following: For a tenant, the date you move from the displacement dwelling. For an owner -occupant, the latter of: a. The date you receive final payment for the displacement dwelling, or, in the case of City Council 25 — 31 4/4/2023 condemnation, the date the full amount of estimated just compensation is deposited in court; or b. The date you move from the displacement dwelling. All claims for relocation benefits must be filed with the Displacing Agency within eighteen (18) months from the date on which you receive final payment for your property, or the date on which you move, whichever is later. 8. LAST RESORT HOUSING ASSISTANCE If comparable replacement dwellings are not available when you are required to move, or if replacement housing is not available within the monetary limits described above, the Displacing Agency will provide Last Resort Housing assistance to enable you to rent or purchase a replacement dwelling on a timely basis. Last Resort Housing assistance is based on the individual circumstances of the displaced person. Your relocation agent will explain the process for determining whether or not you qualify for Last Resort assistance. If you are a tenant, and you choose to purchase rather than rent a comparable replacement dwelling, the entire amount of your rental assistance and Last Resort eligibility must be applied toward the down -payment and eligible incidental expenses of the home you intend to purchase. 9. RENTAL AGREEMENT As a result of the Displacing Agency's action to purchase the property where you live, you may become a tenant of the Displacing Agency. If this occurs, you will be asked to sign a rental agreement which will specify the monthly rent to be paid, when rent payments are due, where they are to be paid and other pertinent information. 10. EVICTIONS Any person, who occupies the real property and is not in unlawful occupancy, is presumed to be entitled to relocation benefits. Except for the causes of eviction set forth below, no person lawfully occupying property to be purchased by the Agency will be required to move without having been provided with at least 90 days written notice from the Agency. Eviction will be undertaken only in the event of one or more of the following reasons: • Failure to pay rent; except in those cases where the failure to pay is due to the lessor's failure to keep the premises in habitable condition, is the result of harassment or retaliatory action or is the result of discontinuation or substantial interruption of services; • Performance of dangerous illegal act in the unit; • Material breach of the rental agreement and failure to correct breach within the legally prescribed notice period; • Maintenance of a nuisance and failure to abate within a reasonable time following notice; • Refusal to accept one of a reasonable number of offers of replacement dwellings; or • The eviction is required by State or local law and cannot be prevented by reasonable efforts on the part of the public entity. 11. APPEAL PROCEDURES - GRIEVANCE Any person aggrieved by a determination as to eligibility for, or the amount of, a payment authorized by the Displacing Agency's Relocation Assistance Program may have the appeal application reviewed City Council 25 — 32 4/4/2023 by the Displacing Agency in accordance with its appeals procedure. Complete details on appeal procedures are available upon request from the Displacing Agency. 12. TAX STATUS OF RELOCATION BENEFITS California Government Code Section 7269 indicates no relocation payment received shall be considered as income for the purposes of the Personal Income Tax Law, Part 10 (commencing with Section 170 O1) of Division 2 of the Revenue and Taxation Code, or the Bank and Corporation Tax law, Part 11 (commencing with Section 23001) of Division 2 of the Revenue and Taxation Code. Furthermore, federal regulations (49 CFR Part 24, Section 24.209) also indicate that no payment received under this part (Part 24) shall be considered as income for the purpose of the Internal Revenue Code of 1954, which has been redesignated as the Internal Revenue Code of 1986. No federal dollars are anticipated for this project. Therefore, federal regulations may not apply, and the IRS may consider relocation payments as income. The preceding statement is not tendered as legal advice in regard to tax consequences, and displacees should consult with their own tax advisor or legal counsel to determine the current status of such payments. (IRS Circular 230 disclosure: To ensure compliance with requirements imposed by the IRS, we inform you that any tax advice contained in this communication (including any attachments) was not intended or written to be used, and cannot be used, for the purpose of (/) a voiding tax -related penalt/es under the Internal Revenue Code or (//) promot/ng marketing or recommend/ng to another party any matters addressed herein) 13. NON-DISCRIMINATION AND FAIR HOUSING No person shall on the grounds of race, color, national origin or sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under the Displacing Agency's relocation assistance program pursuant to Title VI of the Civil Rights Act of 1964, Title VIII of the Civil Rights Act of 1968, and other applicable state and federal anti -discrimination and fair housing laws. You may file a complaint if you believe you have been subjected to discrimination. For details contact the Displacing Agency. 14. ADDITIONAL INFORMATION AND ASSISTANCE AVAILABLE Those responsible for providing you with relocation assistance hope to assist you in every way possible to minimize the hardships involved in relocating to a new home. Your cooperation will be helpful and greatly appreciated. If you have any questions at any time during the process, please do not hesitate to contact your relocation agent at CPC. City Council 25 — 33 4/4/2023 OPC <<DATE>> Residential 90-Day Notice to Vacate «HEAD -OF -HOUSEHOLD» and All Other Occupants <<MAILING ADDRESS>> <<CITY, STATE ZIP>> Dear Occupants: Your OPC Relocation Agent Name: <<AGENT NAME>> Phone: <<OFFICE PHONE>> Case <<CASE ID>> ID: On «PURCHASE DATE» the City of Santa Ana (called here the "Displacing Agency' acquired the property which you occupy at <<SITE ADDRESS>> (called here the "Premises'. The Displacing Agency has now determined that it will be necessary for you to vacate the Premises. Notice is hereby given that the Displacing Agency elects to terminate your occupancy in ninety (90) days beginning <<90DAY START>> and ending <<90DAY END>> and you are hereby to quit and deliver up possession of the property you occupy on or before <<90DAY END>>. If you do not vacate the Premises by that date, the Displacing Agency will initiate legal proceedings to recover possession of the Premises, along with any rents and damages. During this period, Overland, Pacific & Cutler, LLC will be available to provide assistance with referrals to replacement sites, coordination with movers and other vendors, the processing of relocation benefit claim forms, and other tasks to help facilitate your relocation. Please contact your relocation agent listed below if you have any questions regarding this notice or the relocation process. Upon vacating your unit, you are responsible for removing all of your personal property, delivering the Premises in satisfactory condition and turning in the keys to your relocation agent. Sincerely, <<AGENT NAME>> <<AGENT TITLE>> Overland, Pacific & Cutler, LLC <<OFFICE ADDRESS>> Phone <<OFFICE PHONE>> City Council 25 — 34 4/4/2023 Delivered on/by: / Received by X Posted on/by: / Recipient's Signature Date Mailed/receipt received on: �. City Council 25 — 35 4/4/2023 OPC «DATE>> <<ALL ELIGIBLE ADULTS>> <<MAILING ADDRESS>> <<CITY, STATE ZIP>> Dear Occupants: Notice of Eligibility and Conditional Entitlement �0-day Tenant -Occupant (CA State) Your OPC Relocation Agent Name: <<AGENT NAME>> I Phone: I <<OFFICE PHONE>> I Your Case ID: <<CASE ID>> The City of Santa Ana (called here the "Displacing Agency") is proceeding with the project known as «PROJECT NAME>>. To carry out this project, it will be necessary for you to relocate from your dwelling at <<SITE ADDRESS>>. You will not be required to move without at least 90 days advance written notice of the day by which you must vacate. However, you can contact us at any time for assistance with your move and to receive the benefits for which you are eligible. This is a notice of eligibility for relocation assistance. The effective date of your eligibility, known as the "initiation of negotiations", is <<INIT OF NEGOTIATIONS DATE>>. You are eligible for relocation assistance and benefits under the Displacing Agency's Relocation Assistance Program. Additional information about your benefits was previously provided to you in the Informational Statement. You are eligible to receive the following benefits: RELOCATION ADVISORY ASSISTANCE provided by Overland, Pacific & Cutler, LLC (OPC), a professional firm hired by the Displacing Agency to provide relocation assistance to you, such as referrals to replacement housing and help with filing for benefits. 2. MOVING EXPENSES: You will receive a payment to assist in moving your personal property. You may select one of the following payments: A. A Fixed Moving Payment based on the number of rooms you occupy (from Informational Statement). Your entitlement under this option for <<ROOM COUNT>> rooms is $<<FIXED MOVING AMOUNT>>; or B. A payment for your Actual Reasonable Moving and Related Expenses based on at least two written estimates and receipted bills; or C. A combination of both (in some cases). 3. REPLACEMENT HOUSING ASSISTANCE: You may receive the following financial assistance to purchase or to rent replacement housing: A. If you RENT replacement housing, you may file a claim for a RENTAL ASSISTANCE payment, equal to the difference between the monthly rent and utilities necessary to rent a comparable replacement dwelling (as determined by the Displacing Agency) and the base monthly rent, City Council 25 — 36 4/4/2023 multiplied by 42 months. (See table below) A study was completed to determine the cost of a comparable replacement dwelling most nearly representative of your current dwelling. The study indicated that The dwelling located at «COMP ADDRESS>>, with a monthly rent and estimated utilities of $«COMP AMT» (rent of $«COMP RENT AMT» and utilities of $«COMP UTIL AMT>>) was the most representative of your current dwelling. Base monthly rent is defined as the lesser of: 1) $«DISPL AMT>>, which represents the average monthly rent ($«DISPL RENT AMT>>) and average monthly utilities ($«DISPL UTIL AMT>>) at your displacement dwelling (if you are paying little or no rent, the amount is based on the economic rental value of your dwelling); or 2) $<<INCOME30 AMT>>, which represents thirty (30) percent of your adjusted gross monthly household income. (If "N/A", income was not used in the calculation because the income information provided was insufficient evidence of income.) Based on the above, your base monthly rent amount is $<<BASE RENT AMT>>, and your maximum rental assistance payment is calculated as follows: Maximum Rental Assistance Payment Calculation 1 Comparable Dwelling Cost $0.00 2 Base Monthly Rent $0.00 3 Monthly Difference (Line 1 minus Line 2) $0.00 4 Maximum payment (difference times 42 months) $0.00 Your actual payment depends on the cost of the replacement dwelling you decide to rent. If you rent and occupy a replacement dwelling that rents for less than the comparable dwelling, your rental assistance payment will be based on the actual cost of your replacement dwelling. If you rent and occupy a replacement dwelling that rents for more than the comparable dwelling, your rental assistance payment will be limited by the cost of the comparable dwelling. Please find attached a listing of other available comparable replacement dwellings that you may want to consider renting. If you need any assistance or transportation to inspect these referrals, please contact the relocation agent identified below. B. If you BUY replacement housing, you may file a claim for DOWNPAYMENT ASSISTANCE payment. You may then use the full amount of your rental assistance payment, as calculated above ($<<MAX RENTAL AMT>>), for a down payment and incidental expenses (typically known as "closing costs' associated with the purchase of a replacement dwelling. All amounts used as a down -payment and incidental expenses must be applied to the purchase of the replacement dwelling. Any payments you may have received as rental assistance will be deducted from your down payment assistance. Let us know if you prefer to buy a replacement home, and we will help you find such housing. City Council 25 — 37 4/4/2023 To be eligible for a replacement housing payment described above, you must rent or purchase and occupy a decent, safe and sanitary replacement dwelling within 12 months, as well as file claims for replacement housing or moving payments within 18 months from the date you move from your displacement dwelling. Failure to occupy the replacement dwelling or to submit claims within the above time limits could result in loss of moving and/or replacement housing benefits. You do not have to accept any dwelling referred to you by the Displacing Agency. You may choose your own replacement, but to qualify for relocation assistance payments it must first be inspected to assure that it meets the "decent, safe and sanitary" standards. For this reason, DO NOT MOVE from your home and DO NOT CONTRACT to rent or purchase a replacement dwelling without first contacting your relocation agent. The "decent, safe and sanitary" inspection is not a substitute for a professional housing inspection. If you remain in occupancy of your present dwelling after the Displacing Agency has completed the purchase, you must continue to pay your rent to the Displacing Agency for the period of your tenancy, as well as meet all other conditions stated in your lease or rental agreement. Failure to pay rent may reduce the replacement housing payment which you are eligible to receive. The Relocation Assistance Program is very complex. It is important that you carefully read and understand the matters explained in this notice and in the Informational Statement which was provided to you. Any person aggrieved by a determination as to eligibility for, or the amount of, a payment authorized by the Displacing Agency's Relocation Assistance Program may have the appeal application reviewed by the Displacing Agency in accordance with its appeals procedure. Complete details on appeal procedures are available upon request from the Displacing Agency. If at any time you have questions or need assistance, please contact your OPC relocation agent: <<AGENT NAME>> «AGENT TITLE» Overland, Pacific & Cutler, LLC <<OFFICE ADDRESS>> Phone <<OFFICE PHONE>> Sincerely, <<MANAGER NAME>> <<MANAGER TITLE>> Overland, Pacific & Cutler, LLC [[IF REQUIRED: Carbon Copy To: <<CC NAME>> «CC ADDRESS>>]] Attachment (referrals) City Council 25 — 38 4/4/2023 ACKNOWLEDGMENT BY OCCUPANTS I was personally contacted by the Relocation Agent for the Displacing Agency. I have been given a copy of this notice and I have had the available services and entitlements explained to me. I have been advised that the Relocation Agent will be available to assist me if any questions arise or assistance is needed. Name: Signature: Date: City Council 25 — 39 4/4/2023 EXHIBIT C: PUBLIC COMMENTS & RESPONSES City Council 25 — 40 4/4/2023 EXHIBIT 2 RESOLUTION NO. 2023-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE RELOCATION PLAN FOR THE DEVELOPMENT OF A NEW WATER WELL SITE (206 AND 208 SOUTH FLOWER STREET) BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana ("City") hereby finds, determines, and declares as follows: A. On October 4, 2022, the City Council approved the acquisition of real property located at 206 and 208 South Flower Street for the development of a new water well site. B. Pursuant to California Government Code section 7260 et seq., a public entity is required to adopt a relocation plan, by resolution, whenever it enters into an agreement for acquisition of real property or an agreement for the disposition and development of property that would lead to displacement of people from their homes. C. Section 6002 and 6038 of the California Code of Regulations, Title 25, Chapter 6, et seq., requires the adoption of a Relocation Plan due to the displacement of residential and business occupants. D. A relocation plan has been prepared in conformance with applicable provisions of the California Government Code section 7260 et seq., and the Relocation Guidelines, California Code of Regulations, Title 25, Chapter 6, and has been made available for public review since April 4, 2023. Each potential displaced occupant was given written notification regarding the plan's availability and an opportunity to submit questions or comments. E. The primary purpose of the Relocation Plan is to outline the requirements for moving and re-establishing the displaced residential and business occupants, and to demonstrate the level of advisory and financial assistance that will be provided. F. Based on occupant interviews, needs analyses, and searches for appropriate replacement sites, the City estimates relocation costs to be approximately $172,000. Section 2. The City Council hereby approves the Relocation Plan for the acquisition activities for the development of a new water well site (206 and 208 South Flower Street). A copy of the plan will be available in the City's Public Works Agency. Resolution No. 2023-XXX Page 1 of 3 City Council 25 — 41 4/4/2023 Section 3. The City Manager or the Executive Director of the Public Works Agency or their designee, is hereby authorized and directed to take all necessary and appropriate actions to implement the Relocation Plan. Section 4. This Resolution shall take effect immediately upon its adoption by the City Council, and the City Clerk shall attest to and certify the vote adopting this Resolution. ADOPTED this day of APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: �'Il Jose Montoya Assistant City Attorney AYES: Councilmembers: NOES: Councilmembers: ABSTAI N 1►I:•���:»yarr� Councilmembers: Councilmembers: Valerie Amezcua Mayor 2023. Resolution No. 2023-XXX Page 2 of 3 City Council 25 — 42 4/4/2023 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Jennifer Hall, City Clerk, do hereby attest to and certify that the attached Resolution No. 2023-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on 2023. Date: City Clerk City of Santa Ana Resolution No. 2023-XXX Page 3of3 City Council 25 — 43 4/4/2023 Finance and Management Services www.santa-ana.org/finance Item # 26 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report April 4, 2023 TOPIC: Fiscal Year 2022-23 Mid -Year Appropriation Requests AGENDA TITLE Fiscal Year 2022-23 Mid -Year Appropriation Requests RECOMMENDED ACTION 1. Approve the recommended Appropriation Adjustments. (Requires five affirmative votes) EXECUTIVE SUMMARY On February 21, 2023, the City Council received the Mid -Year Budget Update presentation. On March 21, 2023, the City Council received and filed the report, adopted resolutions to effect workforce changes, and continued consideration of the recommended appropriation adjustments to the April 4 agenda. A summary of the General Fund budget follows: FY22-23 Budget Updated with First Quarter Report on November 15, 2022 Proposed Mid -Year Adjustments Updated Estimate Beginning Balance at July 1,2022 $113,509,544 $0 $113,509,544 Revenue Estimate $391,552,940 $7,200,000 $398,752,940 Appropriated Spending $406,880,124 4,079,260 $410,959,384 Pension Trust Set -Aside $7,748,811 $0 $7,748,811 Estimated Ending Balance at June 30,2023 $90,433,549 $3,120,740 $93,554,289 Less 18% Reserve 70,479,529 1,296,000 $71,775,529 Estimated Spendable Balance 19,954,020 1,824,740 $21,778,760 DISCUSSION The Mid -Year report is an opportunity for staff to present updated revenue estimates and recommendations for appropriation adjustments, based on information received after the City Council adopted the budget in June 2022. The City's budget ledger already includes the increased revenue estimates presented on February 21, as no City Council action was required. City Council 26 — 1 4/4/2023 Fiscal Year 2022-23 Mid -Year Budget Appropriation Requests April 4, 2023 Page 2 The purpose of this report is to continue the staff recommendation for appropriation adjustments for further City Council consideration. General Fund Expenditures Recommended appropriation adjustments to General Fund expenditures follow. Finance Staff Retirements Two long-term Finance employees (36 years and 39 years) filed for retirement in December 2022. During budget preparation, staff did not know they would retire during FY 2022-23. The accrued leave -time cash -outs totaled $201,260. The Finance department budget cannot absorb the significant additional expenditure that was compliant with labor agreements, and staff requests a budget increase accordingly. Santa Ana Zoo's Giant River Otter/Primate Trails Staff requests $1.3 million for additional zoo improvements to utilize the contractor already onsite for the giant river otter habitat. The additional improvements will relocate three primate species from the north end of the zoo and remove the antiquated habitats for the upcoming primate forest project. Both improvements are part of the Master Plan. The requested funding will also address the lighting deficiency in the area. Debt Service for 800 MHz Communication System During FY 2022-23 budget preparation, staff inadvertently omitted a $23,000 principal payment for the 800 MHz communication system used by multiple departments in the City. Staff requests an adjustment to correct the error. Museum Building Capital Repairs The FY 2022-23 budget includes funding to reimburse Bowers Museum for capital repairs to the City -owned building, as allowed by the City's agreement with the museum. The final request from Bowers, based on documented support for the reimbursement, necessitates another $25,000 of funding. Staff recommends an appropriation adjustment accordingly. Orange County Pride Parade & Festival Sponsorship The City received a donation request for the Orange County Pride Parade & Festival held in Santa Ana in June. Staff requests an appropriation of $30,000 to sponsor the event. Backfill for Gas Tax Revenue Loss The state imposes Gas Tax on a cents -per -gallon basis and allocates a portion to the city. Gas Tax is not a percentage of sales. Therefore, when gas prices escalate and drivers purchase fewer gallons of gas, the City's Gas Tax revenue decreases. The most recent Gas Tax estimates from the League of California Cities Fiscal Policy Advisor indicate the City's share will approximate $14.7 million. The FY 2022-23 budgeted City Council 26 — 2 4/4/2023 Fiscal Year 2022-23 Mid -Year Budget Appropriation Requests April 4, 2023 Page 3 revenue estimate was $17.2 million, based on previous League information, which supports decreasing the budget estimate by $2.5 million. To ensure the City's right-of-way maintenance services are not impacted, staff recommends a $2.5 million General Fund appropriation to cover the shortfall. If approved, expenditures for the Fairview Bridge & Street Improvements, Traffic Signal Maintenance, Median Landscaping, and Roadway Maintenance expenditures will move to the General Fund. Increasing General Fund spending for right-of-way maintenance improves the City's ability to comply with the Orange County Transportation Authority Maintenance of Effort for Measure M2 funding. Other Funds Cannabis Public Benefit Fund The FY 2021-22 Cannabis Public Benefit Fund budget included $1,287,990 for the Newhope Library Renovation, and the FY 2022-23 budget included $1,110,730. Due to project scope enhancements, the Library requests an additional $1,150,000 of one-time money from this fund for the Newhope Library Renovation, including replacement of existing end -of -life HVAC systems and units, critical upgrades to electrical systems and cabling, and modern technology improvements in the new Media Lab and existing large meeting room that will help bridge the digital divide. The City expects to solicit construction bids in June for a target completion date of May 2024. After absorbing the potential revenue shortfall reported to City Council on October 4, 2022 due to Cannabis tax rate changes, the estimated fund balance is approximately $2.8 million, which is sufficient to cover the recommended $1,150,000 appropriation adjustment. Restricted Fund Adjustments The City receives updated information after the beginning of the fiscal year for various restricted funding sources. Examples include the Civic Center Authority adopting the budget after June, and update to federal monies available for various programs. Staff recommends a series of adjustments to resize restricted -money appropriations to available balances and authorizations. The details of these adjustments are included in Exhibit 1. FISCAL IMPACT The General Fund fiscal impact appears at the beginning of this report. Exhibit 1 includes the line -item changes to revenue estimates and recommended appropriation adjustments. Exhibit 2 includes the estimated June 30, 2023 fund balance for all funds, including the revenue impacts and recommendations covered in this report. EXHIBIT(S) 1. Line Item Changes to Revenue Estimates and Recommended Adjustments 2. Updated FY 2022-23 Fund Balance Summary for All Funds City Council 26 — 3 4/4/2023 Fiscal Year 2022-23 Mid -Year Budget Appropriation Requests April 4, 2023 Page 4 Submitted By: Kathryn Downs, FMSA Executive Director Approved By: Kristine Ridge, City Manager City Council 26 — 4 4/4/2023 EXHIBIT 1 Line Item Changes to Revenue Estimates and Recommended Appropriation Adjustments Description Account Revenue Spending Utility Users Tax (UUT) - Natural Gas 01102002-50032 $ 1,000,000 Utility Users Tax (UUT) - Electricity 01102002-50031 $ 2,000,000 Building Plan Check 01116002-53600 $ 2,000,000 Investment Earnings 01102002-58000 $ 2,200,000 Finance Staff Retirements 01110130-61010 $ 135,800 Finance Staff Retirements 01110131-61010 $ 65,460 Debt Service for 800MHz Communication System 01116500-67200 $ 23,000 Museum Building Capital Repairs 01112030-69135 $ 25,000 Right-of-way maintenance to cover Gas Tax revenue reduction 01117XXX-6XXXX $ 2,500,000 Santa Ana Zoo improvements for Giant River Otter/Primate Trails 01113220-66XXX $ 1,300,000 Orange County Pride Parade & Festival - June 2023 01105015-62300 $ 30,000 General Fund Totals $ 7,200,000 $ 4,079,260 Cannabis Public Benefit Fund - Newhope Library 01211020-66200 $ 1,150,000 Gas Tax expenditure reduction 02917XXX-6XXXX $ (2,500,000) Other Restricted Fund Adjustments: Bristol Street Improvements - update funding source 02917660-66220 $ (4,000,000) Bristol Street Improvements - update funding source 05917663-66220 $ 4,000,000 Clean Air money available for 3 charging stations D3117101-66400 $ 100,000 Project fees for project monitoring 05317021-62340 $ 150,000 NPDES fees for settlement & Fairview/Sunflower storm drain 05717640-62300 $ 420,000 New street impact fee from refuse hauler - move account OS917660-66220 $ 2,666,666 New street impact fee from refuse hauler - move account 06917019-66220 $ (2,666,666) Re -appropriate Facilities Condition Assessment 07317100-62300 $ 300,000 Move & adjust Civic Center Authority budget to match adopted 07414400-6XXXX $ (603,446) Move & adjust Civic Center Authority budget to match adopted 07417655-6XXXX $ 537,970 Move the accounting for CNG operations 07517100-63301 $ (40,000) Move the accounting for CNG operations 07617102-63301 $ 40,000 Reduce past -years set -aside training budget to remaining available 08809050-62300 $ (11,573) Federal money adjustment for WORK center 12318752-6XXXX $ 39,972 Federal money adjustment for WORK center 12318753-6XXXX $ 515,309 Federal money adjustment for WORK center 12318754-6XXXX $ 550,772 Federal money adjustment for WORK center 12318756-6XXXX $ (93,972) Federal money adjustment for WORK center 12318763-6XXXX $ 116,317 Federal money available for emergency services 12514407-6XXXX $ 2,047,580 Federal money available for emergency services 12514491-61XXX $ 168,561 Adjust public safety grant spending to amount available 12714406-61040 $ (6,789) Adjust public safety grant spending to amount available 12714409-61000 $ (19,016) Federal money available for restricted law enforcement 12814409-6XXXX $ 103,807 Federal money available for restricted law enforcement 12814417-61040 $ 20,039 Federal money available for housing assistance 13618760-69158 $ 17,610 Appropriate remaining federal COVID money for housing 15718760-62300 $ 428 Adjust planning grants spending to amounts available 15816500-6XXXX $ (172,170) Adjust federal traffic safety spending to the amount available 16514414-61040 $ (32,697) Asset seizure money available for spending 16614450-6XXXX $ 242,170 Move developer fee spending for new Harbor Specific Plan 31113260-66220 $ (2,383,974) Move developer fee spending for new Harbor Specific Plan 31413260-66220 $ (528,039) Move developer fee spending for new Harbor Specific Plan 31513260-66220 $ 2,912,013 Inclusionary housing fees available for affordable housing svcs 41718820-62300 $ 283,020 City Council 26 — 5 4/4/2023 N E § x w ........... ��\\\...}{...\{............ 3/}}((y /q ■}//}/(\////((/(((i((\}/g \�� /\� / \\\\\\�\\\\\j{\\\\\(}\}\ /.../.....! �.......................... oR �)\} {}}\}}\\\,Im „ ■ j 4 \ \ s I u ■ j 4 s ---------------------- ■ j 4 I s City Clerk's Office www.santa-ana.org/departments/city-clerks-office Item # 27 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report April 4, 2023 TOPIC: Regional Board Appointments AGENDA TITLE: Nominate and Appoint Representatives and Alternates to the Santa Ana River Flood Protection Agency (SARFPA), the Southern California Association of Governments (SCAG), and the Orange County Council of Governments (OCCOG) RECOMMENDED ACTION 1. Nominate and appoint a representative and alternate to the Santa Ana River Flood Protection Agency (SARFPA). 2. Nominate and appoint a representative to the Southern California Association of Governments (SCAG) and the Orange County Council of Governments (OCCOG) and nominate and appoint an alternate to OCCOG. 3. Nominate and appoint an alternate for purposes of the SCAG Regional Conference and General Assembly Business Meeting only. 4. Direct the City Clerk to update and post the Fair Political Practices Commission (FPPC) Form 806 (Agency Report of Public Official Appointments) on the City's website. DISCUSSION The City Council represents the City's interests in regional issues by serving on a number of regional boards/agencies which make public policy decisions in the areas of transportation, water resources, fire services, and government facilities. At its meeting of December 20, 2022, the City Council made appointments to several regional boards. At that time, the Santa Ana River Flood Protection Agency (SARFPA) was inadvertently left off the list of appointments. Therefore, appointment of a representative and alternate are needed. The SARFPA bylaws require the representative to be a member of the City Council but the alternate position can be filled by staff, if desired. On December 20, 2022, the City Council appointed Councilmember Vazquez to serve as the City's representative to the Southern California Association of Governments City Council 27 — 1 4/4/2023 Regional Board Appointments April 4, 2023 Page 2 (SCAG) and the Orange County Council of Governments (OCCOG). Councilmember Vazquez has resigned from these positions due to scheduling issues. Therefore, a new appointment is required. The SCAG bylaws do not allow for an alternate, but OCCOG does. No alternate was appointed on December 20, 2022. SCAG does have an upcoming Regional Conference and General Assembly Business Meeting in Palm Desert May 4-5, 2023 for which they recommend providing an alternate in the event that the delegate cannot attend. The City has complied with FPPC Regulation 18702.5, which requires posting those certain paid positions in which member have self -appointment authority. As such, the City Council may vote on all appointments. FISCAL IMPACT There is no financial impact association with this action. EXHIBIT(S) 1. Description of Regional Boards/Agencies 2. List of Current Regional Board Members Submitted By: Jennifer L. Hall, City Clerk Approved By: Kristine Ridge, City Manager City Council 27 — 2 4/4/2023 REGIONAL BOARDS/AGENCIES DESCRIPTIONS SANTA ANA RIVER FLOOD PROTECTION AGENCY (SARFPA) The SARFPA was formed on November 25, 974 to support the Santa Ana River Mainstream Project. As a joint powers agency, SARFPA's primary function is to seek congressional authorization and appropriations for the Santa Ana River Mainstream Project. The agency provides Orange County residents with information on the Santa Ana River flood threat and supports, on their behalf, the need for flood control improvements. Membership: Council Member Compensation: None Term Limits: None Meeting Location: Orange County Water District, 18700 Ward Street, Fountain Valley [and recently by Zoom] Meeting Date/Time: 4th Thursday of each odd month at 4:00 P.M. Alternate: Yes SOUTHERN CALIFORNIA ASSOCIATION OF GOVERNMENTS (SCAG), DISTRICT 16 SCAG is an association representing six (6) counties (Imperial, Los Angeles, Orange, Riverside, San Bernardino, and Ventura) that works to develop regional plans for transportation, growth management, housing development, air quality, and other issues of regional significance. SCAG's 86 Regional Council Members have the key responsibility for representing the Southern California region on issues such as transportation investments, growth strategies, and the allocation of future housing needs. Regional Council Members have an important voice in short and long-term planning and greater influence in legislation and access to the knowledge and insight provided on ongoing activities affecting your constituency throughout the state. Membership: Council Member Compensation: $120 per diem stipend for attendance at SCAG-sponsored meetings or events; maximum of six (6) per diem stipends per month; mileage reimbursement or public transit expenses Term Limits: 2 year term, no maximum Meeting Location: SCAG Main Office, 900 Wilshire Blvd., Suite 1700, Los Angeles, CA 90017 [and recently by Zoom] Meeting Date/Time: Monthly; 1st Thursday of each month; 12:00 P.M. — 2:00 P.M. Alternate: No City Council 27-3 1 of 2 REGIONAL BOARDS/AGENCIES DESCRIPTIONS ORANGE COUNTY COUNCIL OF GOVERNMENTS (OCCOG) OCCOG serves as a forum for the consideration, study, and recommendation to member entities on a range of area -wide and regional issues including transportation, housing, livable communities, exploring practical avenues for intergovernmental cooperation, and coordination. OCCCOG is also responsible for adopting Orange County's demographic projections for population, employment, and housing. OCCOG representatives also serve on SCAG committees and Regional Council to make sure Orange County's voice is heard when regional policy -making takes place. OCCOG is governed by an 18-member Board of Directors. As the subregional planning agency for Orange County, OCCOG is also responsible for conducting the elections for SCAG representatives for Orange County and selects Orange County's 12 SCAG committee representatives. Membership: Must be the same as SCAG representative Compensation: None Term Limits: None Meeting Location: City of Irvine, City Hall, 1 Civic Center Plaza, Irvine [and recently by Zoom] Meeting Date/Time: Monthly; 41h Thursday of each month; 10:30 A.M. — 12:30 P.M. Alternate: Yes City Council 27-4 2of2 CITY OF SANTA ANA 2023-24 REGIONAL BOARD AND SUBCOMMITTEE MEMBERS BOARD CURRENT POSITION MEETINGS COMPENSATION / TERM MEMBER REMUNERATION EXPIRES Board Mtgs 2nd Tues of Mileage Metropolitan Water District Thai Viet mo. @ 12:30 with Cmte Board (MWD) Phan Rep mtgs at 8 a.m.; Cmte Mtgs reimbursement 4th Tues all day from MWD Nabil Saba, Quarterly the 3rd Newport Bay Watershed Executive Wednesday from 1:30-3:00 Executive Committee Director, Rep. at Irvine Ranch Water None Public Works District, 15600 Sand Canyon Ave, Irvine, 92618 Orange County Fire $100 per mtg.; max Requires AuthorityOFCA * Phil Bacerra Rep. Every Month at 6:30 p.m. $300 Resolution Orange County Housing Jessie Lopez Rep. Every two months or as None Finance Trust called OC Sanitation District * Johnathan Ryan Rep. Meets once a month on the $212.50/Mtg. Max Hernandez 4th Wednesday at 6 p.m. 6/Mo. Plus mileage OC Sanitation District * Benjamin Alt. Meets once a month on the $212.50/Mtg. Max Vazquez 4th Wed. at 6 p.m. 6/Mo. Plus mileage OC Vector Control District Nelida Rep. Meets on 3rd Thursday at 3 $100/Mtg. 1/2024 Mendoza 1 st & 3rd Wednesday at 5:30 p.m., 18700 Ward St., $221.12/ Day Max Orange County Water Valerie Rep. Fountain Valley, CA— 10 mtgs./Mo. Plus District* Amezcua Committees at various mileage $0.50 times / dates Southern California District 16 - Meets 1st $120/Mtg. Max Association of Vacant (was Rep. Thursday of each month, 6/Mo. Plus mileage Governments SCAG * Benjamin Vazquez) 10 a.m. — 1:30 p.m. from City Hall Orange County Council of Vacant (was Meets once a month on the Governments Board of Benjamin Vazquez) Rep 4th Thurs. at 11 a.m. None Directors OCCOG * Orange County Council of Governments Board of Vacant Alt. Meets once a month on the None Directors OCCOG 4th Thurs. at 11 a.m. Santa Ana River Flood Protection Agency Vacant Rep. Meets odd months on the None SARFPA 11 4 Thurs. at 4:00 p.m. David $120/Mtg. Max Transportation Corridor pl enaoza Rep. Meets on the 2nd Thursday 6/Mo.; Ad Hoc Agencies (TCA) at 9:30 am Cmts $120 plus Mileage Valerie $120/Mtg. Max Transportation Corridor Alt. Meets on the 2nd Thursday 6/Mo.; Ad Hoc Agencies (TCA) * Amezcua at 9:30 am Cmts $120 plus Mileage *Required to file a FPPC Statement of Economic Interests (Form 700) City Council 27 — 5 4/4/2023 Revised 312023 City Clerk's Office www.santa-ana.org/city-clerks-office Item # 28 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report April 4, 2023 TOPIC: Police Oversight Commissioner AGENDA TITLE: Hear From and Consider Appointing Fernando Delgado Nominated by Councilmember Hernandez as the Ward 5 Representative to the Police Oversight Commission for a Full -Term Expiring December 10, 2024 RECOMMENDED ACTION 1. Hear from Fernando Delgado, applicant and nominee to the Police Oversight Commission, Ward 5 Representative. 2. Consider appointing Fernando Delgado to the Police Oversight Commission as the Ward 5 representative, and if appointed, administer the Oath of Office. (Requires five affirmative votes.) DISCUSSION Councilmember Hernandez has nominated Fernando Delgado to serve as the Ward 5 representative to the Police Oversight Commission. At its meeting of March 21, 2023, the City Council continued consideration of Mr. Delgado's appointment and expressed desire to hear from Mr. Delgado at the next City Council meeting. Mr. Delgado resides in Ward 3. Pursuant to Santa Ana Municipal Code 2-326, a two-thirds (2/3) vote is required to approve this nomination. City boards and commissions perform a valuable service to the City by providing a means by which the City Council can obtain the advice, opinions, and recommendations of City residents and other members of the community. The Police Oversight Commission's purpose is to improve transparency, increase the accountability of and public confidence in the Santa Ana Police Department, and to provide for an Independent Oversight Director. Each member is directly nominated by, and serves a term concurrent with, the nominating elected official, which is ratified by an affirmative majority vote of the City Council. City Council 28 — 1 4/4/2023 Police Oversight Commissioner April 4, 2023 Page 2 FISCAL IMPACT There is no fiscal impact association with this action. EXHIBIT(S) 1. Fernando Delgado Application (redacted) 2. Santa Ana Municipal Code Chapter 2, Article IV, Division 16 Submitted By: Jennifer L. Hall, City Clerk Approved By: Kristine Ridge, City Manager City Council 28 — 2 4/4/2023 317123, 9:27 AM Entries - Gravity Farms r City of Santa Ana— Word Press * View Site Q Service Center ® Dashboard Pages Departments Documents A Issues Locations Meetings ® Answers ® Payments 'w, Contacts 1® News in Events i� Job Listings Forms Forms New Form Entries Import/Fxport Hel p in Media / Customize Menus an Settings Yeast SLO H Police Oversight Comm!... v Edit Settings Entries Welcome to Gravity Forms 2.51 Learn more about all the new features and updates included in this version. Police oversight Commission Application: Entry showempty # 7669 fields Title: C', "-, What are your Pronouns: He/Him First Name: Femando Last Name: Delgado Home Address: Zip code: 92705 Primaryphone: In which Ward do you Ilve In? 3 Email: Employer: Preview 0 Entry 14 of 17 r Entry n v Entry Id:7669 Submitted an: 2023102/06 at 1:34 am User IP:_ Embed Uri: ,,,(police-oversinhLmmmicsion. 31211l rai tiion Movetc Trash l Mark as Spam Edit Notifications s� v Admin Notification Eesend Print entry A v I ndude Notes print City Council 28 — 3 4/4/2023 https:J/www.santa-ana.orgfwp-adminladmin.php?page-gt entries&view-entry&id-7f&lid-7669&order-ASC&filter&paged-l&pos-13&fiald_id&operator 1/4 317123, 9:27 AM Entries - Gravity Farms c City at Santa Ana— Ward Press Police Oversight Commission Application: Entry show empty 97669 fields OCCORD occupation: Campaigns Manager Work Address: 150517th St Suite 122 City: Santa Ana Work Zip code: 92705 Work phone: (714)621-0919 Driver's license No: Cale of Birth: Years LivedfWorked in Santa Ana: e language(.) Spoken: English and Spanish Organizations (Professional, Community, Service or other): I am currently serving as the rampalgns manager for OCCORO, a nonprofit organization dedicated to building the power of historically marginalized communities in Orange County. Prior to this, I served as a middle school teacher for 5 years. The subjects I taught were English, History, and Media/Journalism. I am also a member of the mutual aid collective Abolition how. Our members provide resources and support to people as they are released from Theo Lary Jail in the city of Orange. Qualifications, Experience, Education: City Council 28 — 4 4/4/2023 https:l/www.santa-ana.orglwp-adminladmin.php?page-gP entries&view-entry&id-71&lid-766B&order-ASC&filter&paged-l&pos-13&tiald_id&operator 2/4 3/7123. 9:27 AM Entries - Gravity Forms < City of Santa Ana — WorclPress Police Oversight Commission Application : Entry show empty # 7669 fields Since 2020, 1 have spent countless hours researching and reporting on our country's system of policing. I have studied the evolution of police throughout our country's history. I have learned about the current practices and methodologies of police. I have been in conversation with individuals who serve/have served on the police department here in Santa Ana and elsewhere to learn about their experiences with the department. And I have been a very vocal proponent of police accountability and the need for alternative approaches to public safety that don't solely rely on criminalization and incarceration. My educational background includes a Bachelor of Arts in Psychology and a Multiple Subject Teaching Credential from California State University, Fullerton. Remarks (attach resume if available): The establishment of a Police Oversight Commission in the city of Santa Ana is an historic achievement. In a community like ours where trust in government institutions is scarce and the typical perception of police is that of an occupying force, police oversight is a crucial first step to restoring the people's trust. It shows the community that the city is committed to accountability and that our voices do matter. I would consider it a great honor to take part in the development of this historic first step. My goal will be to make sure that the police in our city operate in the best interest of the people and that they are held accountable should they act against the best interest of the people. I AGREE THAT ALL INFORMATION IS VALID AND ACCURATE: 10 I agree. By signing below, I hereby acknowledge that I have completely read and fully understand the provisions of the Code of Ethics and Conduct( wwwsanta-ana.org/documents/code-of-ethia-and- conduct) for members of appointed boards and commissions. 10e I agree. Notes n v Bulk action Apply i-1 O Admin Notification (ID: 63d4611f8ec40) l—� added February 6, 2023 at 1:34 am WordPress successfully passed the notification email to the sending server. City Council 28 — 5 4/4/2023 https:/Aw .santa-ana.org/wp-admin/admin.php?page=gf entries&view=entry&id=71&lid=7669&order—ASC&filter&paged=1&pos=13&field_id&operator 3/4 3/7123. 9:27 AM Entries - Gravity Forms < City of Santa Ana — WordPress Add Note City Council 28 — 6 4/4/2023 https:/Aw .santa-ana.org/wp-admin/admin.php?page=gf entries&view=entry&id=71&lid=7669&order—ASC&filter&paged=1&pos=13&feld_id&operator 4/4 3/27123, 11:47 AM DIVISION 16. - POLICE OVERSIGHT COMMISSION Santa Ana, CA Code of Ordinances Sec. 2-660. - Establishment and purpose. There is hereby established a Police Oversight Commission (hereinafter referred to as the "Commission"). The purpose of the Commission shall be to improve transparency, increase the accountability of and public confidence in the Santa Ana Police Department and to provide for an Independent Oversight Director. The purpose of the Commission is to act through the Independent Oversight Director to provide the Chief of Police, City Manager, and City Council independent investigations of, analysis, and recommendations on police practices, police misconduct, officer -involved shootings, and other serious uses of force. ( Ord. No. NS-3029 , § 1, 11-15-22) Sec. 2-661. - Police oversight commission membership and term. The Commission shall consist of seven (7) members to be appointed by the city council from the residents of the city. The city council shall strive to appoint members who are fair and impartial, and who represent diverse social, economic, and political interests. The city council shall consider the career and life experiences of Commission applicants and appoint those who are representative of the diversity of the Santa Ana community and whose knowledge and experiences will most benefit the Commission's ability to carry out its duties and responsibilities and build trust with the community. The City Council will strive to appoint applicants with knowledge and/or experience in the fields of human resources practices, management, policy development, auditing, law, investigations, social services, civil rights, and civil liberties. The Clerk of the Council shall prepare application forms requiring applicants to provide information demonstrating that they meet qualification requirements set forth in Section 2-662. ( Ord. No. NS-3029 , § 1, 11-15-22) Sec. 2-662. - Qualifications of commissioners. (a) All members of the Commission shall reside in the City of Santa Ana. (b) Elected or appointed officers and employees serving the City shall not be eligible for appointment to the Commission. (c) Retired peace officers or peace officers who have separated from public service shall not be eligible for appointment to the Commission unless at least five (5) years has passed from the date of their separation from the governmental entity with which they were previously employed. Only City Council about: blank 28 — 7 4/4/2023 1/10 3/27123, 11:47 AM Santa Ana, CA Code of Ordinances one former or retired peace officer, who is appointed first in time, may serve on the Commission at any given time. "Peace officer" as used herein shall have the same meaning and definition as set forth in California Penal Code section 830 etseq. (d) Practicing attorneys who handle, or are members of firms or entities that currently handle, criminal or civil matters involving the Santa Ana Police Department are ineligible to serve on the Commission. (Ord, No. NS-3029 , § 1, 11-15-22) Sec. 2-663. - Commissioner confidentiality and training. (a) Prior to attending their first Commission meeting, each Commissioner shall take an oath and execute a confidentiality agreement stating that they will not divulge or disseminate confidential information, including identities of witnesses and contents of confidential testimony and documents, either during their term of office or thereafter to ensure that confidential personnel information and other information subject to state law protections is not released or shared. (b) No later than ninety (90) days after appointment, each member shall: 1. Receive training in relevant subject matters, including, but not limited to, the Police Department's operations, policies, practices, procedures related to the following: internal affairs investigations; authorized uses of force, including the use of deadly force, control devices, and techniques; uses of conducted energy device; handcuffing and restraints; detention and arrest of persons; search and seizure of persons and property; the department's established focus of de-escalation tactics, vehicle pursuits, and the duties, responsibilities, procedures, and requirements associated with all ranks and assignments facilitated by the Independent Oversight Director. 2. All training shall be predominantly obtained from independent, third -party bodies or institutions that have experience with internal affairs of police departments and civilian review investigations and audits. 3. Attend training sessions sponsored by the National Association for Civilian Oversight of Law Enforcement or similar entities, or through presentations provided on topics including, at a minimum, constitutional rights and civil liberties, fundamentals of procedure, evidence, and due process, procedural rights and confidentialities afforded to police officers by California law (including, but not limited to, Government Code Section 3300 etseq., Penal Code Sections 832.7 and 832.8, and Evidence Code Sections 1040-1043), state use of force standards, police union contracts, labor rights, in -person implicit bias training, and best practices for conducting investigations. (c) Members of the Commission, may, but are not required to, participate in a ride -along with the Santa Ana Police Department. City Council about: blank 28 — 8 4/4/2023 2/10 3/27123, 11:47 AM Santa Ana, CA Code of Ordinances ( Ord. No. NS-3029, § 1, 11-15-22) Sec. 2-664. - Meetings. The Commission shall hold its first meeting when there are a sufficient number of appointed Commissioners to constitute a quorum. At such meeting, the Commission shall fix the time and place of regularly scheduled meetings which shall not meet less than once each month. The City Manager or their designee shall attend all regular and special meetings of the Commission and provide regular staff support to the Commission. The Police Chief or their designee shall also attend such meetings as requested by the Commission. ( Ord. No. NS-3029, § 1, 11-15-22) Sec. 2-665. - Powers and duties of the police oversight commission. To effectuate its purpose, the Commission shall: (a) Review, evaluate and make recommendations to the Chief of Police and City Council regarding the Police Department's policies, practices, and procedures, develop programs and strategies to promote positive police -community relations, and make appropriate recommendations to the City Manager and the City Council. Within thirty (30) days after receiving such recommendations, the City Manager shall submit a response to the Commission. If the Commission is dissatisfied with the response, the Commission may submit its recommendations to the City Council. The City Manager may extend for an additional thirty (30) days the time periods in which they are required to submit their responses to the Commission by giving the Commission written notice of such extension. (b) Receive, hear, and review misconduct complaints, tort claims, or lawsuits made against on - duty Santa Ana Police Officers which allege Santa Ana Police Officers have engaged in the following conduct: (1) officer -involved shootings -discharge of a firearm at a person by a Santa Ana peace officer that results in death; (2) in -custody deaths; (3) uses of force that result in great bodily injury of a person; (4) prejudice or discrimination involving a protected class; (5) dishonesty; (6) sexual assault; (7) unlawful arrest or unlawful search; (8) unreasonable or excessive force; 28 — 9 4/4/2023 about: blank 3/10 3/27123, 11:47 AM Santa Ana, CA Code of Ordinances failure to intervene against another officer using force that is clearly unreasonable/excessive; or (10) unlawful activities/conduct that interferes with First Amendment assemblies. (c) All complaints to be reviewed by the Commission must be in writing on forms supplied by the Department or the Commission. Anonymous complaints will be accepted. The Commission will not be authorized to retroactively conduct investigations of complaints. (1) A copy of each complaint, tort claim, and/or lawsuit that alleges misconduct as set forth in section 2-665(b), regardless of where or how it is filed or submitted, shall immediately be forwarded to the members of the Commission, the Independent Oversight Director, the City Manager and the Chief of Police. (2) No complaint shall be accepted, reviewed, or investigated by the Commission or the Independent Oversight Director if it is not filed/submitted within one (1) year after the alleged misconduct by a Santa Ana Police Officer. (3) All Commission discussions with the Independent Oversight Director concerning alleged misconduct by any Santa Ana Police Officer shall be held in closed session. At least ten (10) days' advance written notice of the date of the meeting in which a specific officer will be discussed in closed session shall be provided to the complainant and the named police officer and their legal counsel, if known to the Commission. (d) Receive and discuss reports from the Independent Oversight Director on all incidents involving the following types of alleged misconduct by Santa Ana Police Officers: (1) officer -involved shootings -discharge of a firearm at a person by a Santa Ana peace officer that results in death; (2) in -custody deaths; (3) uses of force that result in great bodily injury of a person; (4) prejudice or discrimination involving a protected class; (5) dishonesty; (6) sexual assault; (7) unlawful arrest or unlawful search; (8) unreasonable or excessive force; (9) failure to intervene against another officer using force that is clearly unreasonable/excessive; or (10) unlawful activities/conduct that interferes with First Amendment assemblies. (e) Direct the Independent Oversight Director to independently review and investigate citizen complaints, tort claims, or lawsuits alleging the types of police misconduct as identified in section 2-665(b) or when the City Council provides authorization pursuant to Santa Ana City n 3300 et City Counc—ir— 28 — 10 4/4/2023 about: blank 4/10 3/27123, 11:47 AM Santa Ana, CA Code of Ordinances seq., California Penal Code Sections 832.5, 832.7 and 832.8, Evidence Code Sections 1043 through 1046, the Santa Ana Charter and Municipal Code, the MOU that applies to the impacted member, and Santa Ana Police Department's policies and procedures. (f) The Independent Oversight Director shall review and investigate timely filed/submitted complaints as soon as possible. Pursuant to Santa Ana City Charter Section 1100. the City Council hereby authorizes the Independent Oversight Director to subpoena witnesses, administer oaths and compel the production of evidence for their independent investigation. At the conclusion of the investigation, the Independent Oversight Director shall submit a report with findings and recommendations, orally and in writing, to the Commission. (1) Upon receipt of the Independent Oversight Director's report, the Commission may: (1) Direct the Independent Oversight Director to investigate the complaint further; (ii) Forward the Commission's findings and recommendations concerning the complaint to the City Manager based upon the Independent Oversight Director's report; and (iii) Make disciplinary recommendations to the Police Chief and/or the City Manager, when a complaint of misconduct has been sustained against a Santa Ana Police Officer subject to the restrictions set forth in Government Code Section 3300 etseq., California Penal Code Sections 832.5, 832.7 and 832.8, Evidence Code Sections 1043 through 1046, the Santa Ana Charter and Municipal Code, the MOU that applies to the impacted member, and the Police Department's policies and procedures. This subdivision does not, however, provide the Commission or the Independent Oversight Director the authority to impose any discipline on any member of the Police Department. All discipline ultimately imposed on any peace officer must comply with all federal, state and local laws, including, but not limited to, Government Code Section 3303, et seq., Penal Code Sections 832.5, 832.7 and 832.8, Evidence Code Sections 1043 through 1046, Chapter 9, Article V of the Santa Ana Municipal Code, the MOU that applies to the impacted member, and the Police Department's policies and procedures. Unless extended by the Commission, within sixty (60) days after receiving such recommendations, the Police Chief or City Manager shall submit a response to the Commission. If the Commission is dissatisfied with the response, the commission may submit its recommendations to the City Council. The Police Chief and/or City Manager may extend for an additional thirty (30) days the time periods in which they are required to submit their responses to the Commission by giving the Commission written notice of such extension. (g) Authorize the Independent Oversight Director to audit complaint files and review policies to ensure best practices are implemented. (h) City Council about: blank 28 —11 4/4/2023 5/10 3/27123, 11:47 AM Santa Ana, CA Code of Ordinances Advise the Mayor, City Council, City Manager and Police Chief on community relations issues involving the Police Department. (i) Review any Memorandum of Understanding (MOU) between the City and the Santa Ana Police Officers Association or the City and the Santa Ana Police Management Association, and provide suggestions and recommendations concerning negotiations to the City Manager and the City Council. (j) Conduct public meetings to educate the community on the purpose of the Police Oversight Commission and provide a forum for discussions about police policies, practices, and procedures. (k) Prepare and submit an annual report to the City Council concerning the Commission's activities, findings and recommendations. The annual report shall include, at a minimum, the following: The number of investigations initiated during the annual reporting period and data summarizing the nature of the alleged or actual underlying conduct; The number of investigations concluded during the reporting period, and, of those investigations, the number that took more than six (6) months to conclude and data summarizing the nature of the alleged or actual underlying conduct; The number of investigations pending as of the end of the reporting period and data summarizing the nature of the alleged or actual underlying conduct; The number of complaints not sustained during the reporting period and data summarizing the nature of the alleged or actual underlying conduct; The number of complaints sustained during the reporting period and data summarizing the nature of the alleged or actual underlying conduct; The number of complaints filed against each police officer during the reporting and data summarizing the nature of the alleged or actual underlying conduct; The number of disciplinary recommendations issued to the Police Chief and City Manager, as well as the number of recommendations accepted and rejected; The number of complaints referred to other agencies during the reporting period and the identity of such other agencies and data regarding summarizing the nature of the alleged or actual underlying conduct; The reports or recommendations submitted to the City Council, Police Chief, and City Manager concerning Commission regulations, legislation, or budgetary allocation and Police about: blank 6/10 3/27123, 11:47 AM Santa Ana, CA Code of Ordinances programs, and training, as well as the appropriate party's response to such reports or recommendations. (1) Perform such other duties as requested by the City Council. All staff work must comply with all federal, state and local laws, including, but not limited to, Government Code Section 3303, etseq., Penal Code Sections 832.5, 832.7 and 832.8, Evidence Code Sections 1043 through 1046, Chapter 9, Article V of the Santa Ana Municipal Code, the MOU that applies to the impacted member and Santa Ana Police Department's policies and procedures. (m) References to Santa Ana Police Department's policies and procedures in this Division shall mean all current policies and procedures in place that apply to administrative/internal affairs investigations. Those policies and procedures shall not be amended in any way that may conflict with this article, unless otherwise required by law. ( Ord. No. NS-3029, § 1, 11-15-22) Sec. 2-666. -Appointment and role of an independent oversight director. (a) The City Council does hereby authorize the appointment of an Independent Oversight Director, pursuant to City Charter Section 1100 and in accordance with this Section 1100 shall appoint the Independent Oversight Director. The Independent Oversight Director may be engaged through a professional services agreement or may be hired as an exempt at -will City employee who will serve at the will and pleasure of the City Council and will be subject to removal by majority vote of the City Council. (b) In addition to regular staff support provided to the Commission, the Independent Oversight Director shall assist the Commission in performing its duties and exercising its powers. (c) After receiving a complaint, tort claim, or lawsuit and when directed by the Commission, the Independent Oversight Director shall, in accordance with this division, conduct investigations of allegations of on -duty Santa Ana Police Officers who have engaged in the following conduct: (1) officer -involved shootings -discharge of a firearm at a person by a Santa Ana peace officer that results in death; (2) in -custody deaths; (3) uses of force that resulted in great bodily injury of a person; (4) prejudice or discrimination involving a protected class; (5) dishonesty; (6) sexual assault; (7) unlawful arrest or unlawful search; (8) unreasonable or excessive force; City Council about: blank 28 — 13 4/4/2023 7/10 3/27123, 11:47 AM Santa Ana, CA Code of Ordinances failure to intervene against another officer using force that is clearly unreasonable/excessive; or (10) unlawful activities/conduct that interferes with First Amendment assemblies. In addition to conducting investigations of complaints, tort claims, and/or lawsuits alleging the type of misconduct set forth in section 2-665(b), the Independent Oversight Director shall also have the independent authority to periodically request and review citizen complaints and "use of force" reports or other pertinent documents maintained by, or available to, the Chief of Police to determine whether death or great bodily injury was caused by direct police action. No investigations shall be commenced on any incidents that occurred prior to the effective date of the Ordinance enacting this Division. Any review of historical data or incidents must comply with all federal, state and local laws, including, but not limited to, Government Code Section 3303, etseq., Penal Code Sections 832.5, 832.7 and 832.8, Evidence Code Sections 1043 through 1046, Chapter 9, Article V of the Santa Ana Municipal Code, the MOU that applies to the impacted member and Santa Ana Police Department's policies and procedures. (d) The Independent Oversight Director shall conduct all audits and investigations in a fair, objective, impartial, and ethical manner, and shall comply with the Public Safety Officers Procedural Bill of Rights (Government Code Section 3300, etseq.) in interviewing police officers. The Independent Oversight Director shall prepare a written report of each investigation that will constitute the public record and may discuss confidential or privileged information with the Commission in a properly notice closed session. The report shall comply with the provisions of Penal Code Sections 832.5, 832.7 and 832.8 and Evidence Code Sections 1043 through 1046. After review by the Commission, the public record of the investigation shall be posted on the public website for the Commission within thirty (30) days. All disclosures of investigations conducted by the Independent Oversight Director shall comply with California Penal Code Sections 832.5, 832.7 and 832.8 and California Evidence Code Sections 1043 through 1046, as amended from time to time. The Independent Oversight Director may discuss findings with the Commission and/or the public in strict compliance with California Penal Code Sections 832.5, 832.7 and 832.8 and California Government Code Sections 3300, et seq. (e) The City Manager or their designee shall assist with advertising the position of Independent Oversight Director and shall prepare the necessary documents to engage the Independent Oversight Director. The City Council shall review all qualifying applications and select no more than three (3) applicants to interview for the role of Oversight Director. The Commission shall be permitted the opportunity to review the top three (3) applicants and recommend a candidate to the City Council. The Independent Oversight Director shall be authorized by the City Council under Charter Section 1100 to report directly to the City Council. ( Ord. No. NS-3029, § 1, 11-15-22) Sec. 2-667. - Budget and support for commission and oversight director. City Council about: blank 28 — 14 4/4/2023 8/10 3/27123, 11:47 AM Santa Ana, CA Code of Ordinances The City Manager shall make a recommendation to the city council, as part of the annual City budget, to fund the Commission and any additional labor, consulting, equipment, training, or materials necessary for the Commission and the Independent Oversight Director to carry out the duties and exercise the powers set forth in this Division. ( Ord. No. NS-3029 , § 1, 11-15-22) Sec. 2-668 - Access to police department records, data and reports. To effectuate meaningful oversight and accountability, the Commission and the Independent Oversight Director shall have complete and prompt access to all police department records, information, and data, including, but not limited to, audio and video recordings, photographs, police reports, dispatch logs, and other records related to the underlying incident to assist the Commission and the Independent Oversight Director in effectively discharging their respective duties, subject to all federal, state and local laws including any and all restrictions set forth in the Santa Ana Charter, Municipal Code and the Public Safety Officers Procedural Bill of Rights (Government Code Section 3300, etseq.). The Police Department shall designate staff who will timely receive and process requests for records made by the Commission and/or the Independent Oversight Director. To increase transparency, all data including, but not limited to, stop, detention, arrest, and use of force data, including Racial and Identity Profiling Act ("RIPA") data and reports, that are legally disclosed to the Department of justice and/or any other federal or state law enforcement agency, shall, at the time of disclosure of that data, be concurrently provided to the Commission and the Independent Oversight Director. ( Ord. No. NS-3029, § 1, 11-15-22) Sec. 2-669. - Rules and records. The Commission shall, in consultation with the Independent Oversight Director and the City Manager, develop rules for the transaction of business of the Commission, which rules shall, among other things, include the manner of calling and giving notice of special meetings and hearings, and the appointment and powers of ad hoc and standing subcommittees. Said subcommittees may be formed to work on various topics within the scope of police activities. The city council shall adopt the rules for the transaction of business of the Commission. The Commission shall also keep records of its resolutions, rules, transactions, motions, orders, findings, recommendations and determinations. Except for those items made confidential by California Penal Code Sections 832.5, 832.7 and 832.8, or by any other applicable privileges under the law, the records of the Commission shall be open to the public. Commission reports shall be posted on the City's website and open to public inspection, except that information contained therein that is confidential and prohi i y ounce — 4/4/2023 about: blank 9/10 3/27123, 11:47 AM Santa Ana, CA Code of Ordinances ( Ord. No. NS-3029, § 1, 11-15-22) Sec. 2-670. - Severability. Should any provision of this division, or its application to any person or circumstance, be determined by a court of competent jurisdiction to be unlawful, unenforceable or otherwise void, that determination shall have no effect on any other provision of this division or Chapter or the application of this Division or Chapter to any other person or circumstance and, to that end, the provisions hereof are severable. ( Ord. No. NS-3029, § 1, 11-15-22) Secs. 2-671-2-699 - Reserved. City Council about: blank 28 — 16 4/4/2023 10/10 TOPIC Police Management Promotion Freeze TITLE Police Management Promotion Freeze to Affect Right -Sizing Police Staffing and Personnel Budget RECOMMENDED ACTION Discuss and direct the City Manager to direct staff to implement a temporary promotion freeze for police management until at least 90 percent of the current vacant police officer positions are filled. DISCUSSION Background From 2016 to present, criminal activity within the City has increased, resulting in the need to increase the number of Santa Ana Police Department (SAPD) patrol officers to discourage such activity and improve call for service times. Members of the City Council have addressed these concerns and authorized an increase in the SAPID budget to add more patrol officers serving the community. Often, the SAPID has continued to operate with a fluctuating deficit of police officers due to unfilled vacancies as a result of increasing transfers, retirements, and promotions from patrol. As of today, there are 31 funded vacancies for police officer. Increasing Vacancies A recent list of potential candidates for promotion to Sergeant was compiled, of which two of the candidates were promptly promoted. One patrol officer was recently promoted from an already depleted pool of employees who are required to respond to calls for service and provide direct services to our citizens. Waiting to promote officers until vacancies are filled would have been the more prudent course of action to ensure that the City would not experience any further impact on service time and criminal activity. Unused Fundina For years, the surplus of General Fund monies programmed for police officers have been used for overtime costs resulting from the high number of police officer vacancies. While such a practice may benefit the bottom line of City finances, it occurs at the expense (and reduced security) of our residents, business owners, and visitors. Tax dollars should be invested appropriately as budgeted and where it has the most visible impact in our city. Public safety starts with community policing and prioritizing the staffing of police officers, not in-house management roles. Proposed Freeze on Promotions The City acknowledges the efforts that the Police Department and the City have done so far to recruit new officers, such as through recruitment fairs, hiring bonuses, and City Council 29 — 1 4/4/2023 marketing. The current vacancies are still relatively staggering for a city that has the geographic size and population density of Santa Ana. Priority should be given to filling vacant police officer positions prior to processing any other internal promotions. To promote officers at this time further exacerbates the vacancies within the rank and file. It is proposed that SAPID cease any promotions until at least 90 percent of the current sworn officer vacancies are filled. It is also recommended that the City perform an analysis to determine the appropriate ratio of command staff to rank and file. EXHIBITS 1. Santa Ana Police Department Organizational Chart (Effective April 1, 2023) 2. List of Currently Assigned Patrol Sergeants and Police Commanders Submitted By: Mayor Amezcua City Council 29 — 2 4/4/2023 � z LU 15 � � � a 0 z � � � 0 a z « � z � ai I � \�E�\ \tB - - )�\\}}\»\ 2\:aa{ ■ Or 0 { -jK }�� _ ` _ 2 - §/ \ m \ ± s Current List of Sergeants and Commanders — March 2023 SERGEANTS Patrol Sergeants 23 Training Sergeant 1 Human Resources Sergeant 1 Internal Affairs Sergeants 3 Homicide Sergeant 1 Burglary Sergeant 1 Robbery Sergeant 1 Sex Crimes Sergeant 1 MET Sergeant 1 Gang Sergeant 1 CCU Sergeant 1 UASI Sergeant 1 Chief of Staff Sergeant 1 PIO Sergeant 1 QOLT Sergeant 1 Cannabis Team / Vice Sergeant 1 Traffic Sergeants 2 K9 Sergeant 1 POA Sergeant 1 TOTAL 44 COMMANDERS Patrol Watch Commanders 4 Training / HR Commander 1 CAP / Special Investigations Commander 1 Metropolitan Division Commander 1 UASI Commander 1 Executive Officer / IA Commander 1 CID Commander 1 Community Engagement Commander 1 North Area Commander 1 South Area Commander 1 Traffic Commander 1 TOTAL 14 City Council 29 — 4 4/4/2023 Housing Authority santa-ana.org/community-development Item # 2 City of Santa Ana 20 Civic Center Plaza, Santa Ana, CA 92701 Staff Report April 4, 2023 TOPIC: Housing Authority Annual Plan AGENDA TITLE: Public Hearing: Approve the Housing Authority Annual Plan RECOMMENDED ACTION 1. Conduct a public hearing in consideration of the approval and submission of the Housing Authority Annual Plan to the United States Department of Housing and Urban Development. 2. Adopt a resolution approving the Housing Authority Annual Plan and authorize the Executive Director of the Housing Authority to submit the Annual Plan to the United States Department of Housing and Urban Development. DISCUSSION The United States Department of Housing and Urban Development (HUD) requires housing authorities that administer a Housing Choice Voucher (HCV) program to have an Annual Plan for the management and operation of the program. The general purpose of the Annual Plan is to advise HUD, program participants, applicants, and members of the public on the Housing Authority's policies, programs, operations, and strategies for meeting local housing needs and goals. Specifically, the Annual Plan (Exhibit 1) provides information on the following topics: (1) new activities to be undertaken by the Housing Authority in the next year; (2) findings from the most recent Fiscal Year audit; and (3) annual progress the Housing Authority has made in meeting the goals and objectives described in the Five -Year Plan for FY 2020-2025. This Annual Plan is for the fourth year of the Five Year Plan for FY 2020-2025. As required by HUD, three ad hoc Resident Advisory Board meetings were held on February 16, 2023 with HCV participants who receive housing assistance from the Housing Authority. The meetings were conducted in three languages: English, Spanish, and Vietnamese. All active participants in the HCV Program were mailed an invitation to participate on the Resident Advisory Board and the Board provided input for the development of the Annual Plan. The comments from the Resident Advisory Board were incorporated into the Annual Plan. The Santa Ana Housing Authority (SAHA) also conducted a survey of all HCV participants. The survey was mailed to all active HCV participants to complete. City Council 2-1 4/4/2023 Housing Authority Annual Plan April 4, 2023 Page 2 Staff analyzed all of the recommendations from the Resident Advisory Board and survey responses by doing the following: (1) considering the feasibility of each recommendation; (2) discussing as a team the opportunity for the SAHA to implement each recommendation; and (3) making a determination on which recommendation(s) could be implemented or considered for future implementation. All of the recommendations were taken into consideration by staff and incorporated into the Annual Plan. On February 16, 2023, a legal notice was published in the Orange County Register, Nguoi Viet and La Opinion advising the public that a draft of the Annual Plan was available for public review and comment and a public hearing would be held on April 4, 2023. The Annual Plan was also made available on the Housing Authority's website and in the Housing Authority lobby. HUD federal regulations requires a 45-day public comment period and the public comment period ends on April 1, 2023. All public comments received will be included in the Annual Plan submitted to HUD. FISCAL IMPACT There is no fiscal impact associated with this action EXHIBIT(S) 1. Housing Authority Annual Plan 2. Resolution Submitted By: Michael L. Garcia, Executive Director of Community Development Approved By: Kristine Ridge, City Manager City Council 2-2 4/4/2023 EXHIBIT 1 Streamlined Annual U.S. Department of Housing and Urban Development OMB No. 2577-0226 PHA Plan Office of Public and Indian Housing Expires 03/31/2024 (HCV Only PHAS) Purpose. The 5-Year and Annual PHA Plans provide a ready source for interested parties to locate basic PHA politics, rules, and requirements concerning the PHA's operations, programs, and services, including change,, to these policies, and informs HUD, Families served by the PHA, and members of the public of the PHA's mission, goals and objectives for serving the needs of low- income, very low- income,. and extremely low- income families. Applicability. The Form HUD-50075-HCV is to be completed annually by HCV-Only PHAs. PHAS that meet the definition of a Standard PHA, Troubled PHA, High Performer PHA, SmallPHA, or Qualified PHA do not need to submit this form. Where applicable, separate Annual PHA Plan forms are available for each of these types of PHAS. Definitions. (1) High -Performer PHA— A PHA that owns or manages more than 550 combined public housing units and housing choice vouchers, and was designated as a high performer on both the moss recent Public Housing Assessment System (PHAS) and Section Eight Management Assessment Program (SEMAP) assessments if administe, ng both programs, or PHAS if only administering public housing. (2) Small PHA- A PHA that is not designated as PHAS or SEMAP troubled, that owns or manages less than 250 public housing units and any number of voutliers where the total combined units exceed 550, (3) Housing Choice Voucher (HCV) Only PHA - A PHA that administers more than 550 HCV%, was not designated as troubled in its most recent SEMAP assessment and does not own or manage public housing. (4) Srundmrd PHA - A PI IA that owns or manages 250 or more public housing units and any number of vouchers where the total combined units exceed 550, and that was designated as a standard performer in the most recent PHAS and SEMAP assessment%. (5) Troubled PHA- A PHA that achieves an overall PHAS or SE -MAP score of less than 60 percent. (6) QualifedPHA - A PI IA with 550 or fewer pubic housing dwdling units and'or housing choice vouchers combined and is not Pl l AS or ShMA P troubled. A. PHA Information. AA PHA Name: Housing Authorityof the City of Santa Ana PHA Code: CA093 PHA Plan for Fiscal Year Beginning: (MMNVYY): 07t2023 PHA Inventory (Based on Amaral Coultibutions Contract (ACC) units at time of FY beginning above) Number of Housing Choice Vouchers (HCVs) 3,088 PHA Plan Submission Type: ® Annual Submission ❑Revised Pointed Submission Availabilib, of information. In addition to the items listed in this form, PHAS must have the elements listed below readily available to the public. A PHA must identify the specific location(s) whero the proposed PI LA Plan, PHA Plan Elements, and all information relevant to the public hearing and proposed PHA Plan are available for inspection by the public. Additionally, the PHA must prm ide information on howthe public may reasonably (,bruin additional information of the PHA policies contained in the standard Annual Plan but excluded from their streamlined submissions. At a minimum, PHAS must post PHA Plans, including updates, at the main office or central office of the PHA. PHAS are strongly encouraged to post complete PHA Plans on their official website ❑ PHA Consortia: (Check box if submitting a joint Plan and complete table helow Participating PHAS PHA Code Programs) in the Consortia Programs) not in the Consortia No. of Units in Each Program Lead 11A: City Council 2-3 4/4/2023 page 7 of form HUD-50075-HCV (03131 /2024) EXHIBIT 1 B. i Plan Elements. B.1 I Revision of Existing YHA Plan Elements. a) Have the following PHA Plan elements beets revised by the PHA since its last Annual Plan Submission? Y N ❑ ® Statement of Housing Needs and Strategy for Addressing Housing Needs. ❑ ® Deconcentration and Other Policies that Govern Eligibility, Selection, and Admissions. ❑ ® Financial Resources. ❑ ® Rent Dcicrminalton. ❑ ® Operation and Management. ❑ ® Informal Review and Hearing Procedures. ❑ ® Homeownership Programs. ❑ ® Self Sufficiency Programs and Treatment of Income Changes Resulting from Welfarc Program Requircmcros. ❑ ® Substantial Deviation. ❑ ® Significant Amendment Modification. (b) if the PHA answered yes fnt any element, describe the revisions for each element(s): B.2 i New Activities. —Not Applicable City Council 2-4 4/4/2023 Page 2 of 7 form Ht7D-50075-HCV (03/31 /2024) EXHIBIT 1 11.3 Progress Report. Provide a description of the PHA's progress in meeting its Mission and Urals described in its 5-Year PHA Plan. Goal # 1: Fully utilize all funding provided by HUD and apply for additional funding to serve the most vulnerable members of our community. Objective # 1: Ctilize 100% of the Annual Budget Authority provided by HUI) for each CY. SAHA utilized 103%ofcmr Annual Budget Authority proeided by HUD for CY 2022. Objective # 2: Apply for new funding oppormnitics for additional vouchers. In September 2022, SAHA received an award of thirty -nano (39) new Housing Choice Vouchers awarded under the Consolidated Appropriations Act 2022 (P.L. 117-103). In September 2022, SAHA received an award of twenty-five (25) new Foster Youth to Independence vouchers awarded under the requirements of Notice PIH 2O20-28, amended by Notice PIH 2021-26. • In July 2022, SAHA received an award of $115,500 in Extraordinary Administrative Fec Funding to Lease -up Mainstream Program vouchers. Goal # 2: Expand participation in the Family Self -Sufficiency Program for families to use as a platform to obtain self-sufficiency and independence from our assistance. Objective # 1: Expand the number of active participants in the Fanrity Sclf-Sufficiency Program. • The number of active participants in die Family Self -Sufficiency Program decreased from 106 families enrolled in January 2022 to 93 families enrolled in January 2023. This is because in December 2022 twelve (12) new families completed their Contracts of Participation and graduated from the Program. These twelve graduates received the money they each saved in their escrow accounts mud a total of $200.877.41 was awarded in escrow savings. The number of mandatory slots for SAI I A decreased from 59 total mandatory slots to 52. In addition, the percent of families enrolled Liver mandatory slots is equal to 179%, and 77% of families have an escrow account balance in the program. • SA I I A sent a monthly electronic Family Self -Sufficiency Program newsletter to our participants who have provided us with their c-mail addresses. Each newsletter features a Story of Success for a family who is participating in the program. In addition, SAHA also provided an ammat calendar to att of owparticipants with a Story of Success for each month. Objective 2: Assist Family Self -Sufficiency Program participants to become self-sufficient and graduate from the program. • During this Fiscal Year, twelve (12) participants graduated from the Family Self-Suiiicumey Program. Goal # 3: Ensure the accuracy, integrity and compliance of all voucher program operations. Objective I: Retain High Performer SEMAP storms. • SAHA was certified as a High Performer for FY 21-22. The final SEMAP score for the fiscal year ending 6a30/2022 is 100. SAHA audited a total of 372 files wrdet SEMAP Indicator # 3, even though the mhrimunr sample size required by HUD was only 35 files. This is equal to tan times the number of files required to be audited by I IUD. For SEMAP Indicator # S, S A I lA conducted a total of 69 qualityeonttoI inspections even though the minimum sample size required by HUD was only 34 quality control inspections. This is two times the number of inspections required to be audited by I IUD. Goal # 4: increase assisted housing choices by providing quality customer service to existing landlords and conducting outreach to new landlords. Objective # 1: Communicate on a regular basis with active Imidlords by providing infomwtion on key program updates. • SAHA sent a monthly electronic Landlord Newsletter to our active landlords. Each neaystetter provided key program updates and information for landlords. Objective # 2: Maintain active participation in the Orange County Apartment Association and attend local events to promote participation in the program. • SAHA renewed on membership with the Orange County Apartment Association. Goal # 5: Provide equal opportunity, affirmatively further fair housing and provide regular training on fair housing for staff, owners and participants. Objective # 1: Provide an mount mandatory training for att Housing Authority staff. On August 18, 2022, SAHA held ai annual Fair Housing Training for all Housing Division employees. This annual training is required for att employees. Objective # 2: Provide information on fair housing to owners and participants. • SAHA provided information on fair housing to oomers and participants. Goal # 6: Provide information on the Violence against Women act (VAWA) of 2013 to active participants and owners to ensure protection for Victims of Domestic Violence, Dating Violence, Sexual Assault, or Stalking. • SAHA provided information in VAWA to all program applicants, participants and landlords. B.4 Capia]Improvements. — Not Applicable City Council 2-5 4/4/2023 Page 3 of 7 form Ht7D-50075-HCV (03/31 /2024) EXHIBIT 1 B.5 I Most Recent Fiscal Year Audit. (a) is ere there any findings in the most recwit FY Audit? Y N N/A ❑®❑ (b) if yes, please describe: C. I Other Document and/or Certification Requirements. CA I Resident Advisory Board (RAB) Comments. (a) Did theRAB(s) have comments to the PHA Plan? Io ■ (b) If yes, comments must he submitted by the PHA as an attachment to the PHA Plan. PHAs must also include a narrative describing their analvsis of the RAH recommendations and the decisions made on those teconvnendations. Three Resident Advisory Board meetings were held on February 16, 2023. The meetings were conducted in [knee tangs ages: English, Spartish, and Vietnamese. All active participants were mailed an invitation to participate on the Resident Advismy Board and the Board members who attended provided input for the development of die Annual Plan. Please see attachment for RAB Continents. SAHA also conducted a survey of all active HCV participants. The survey was mailed and c-maited to all active HCV participants with a link to the survey. Staff analyzed all of the recommendations and comments from the Resident Advisory Board and survey responses by: I considering the feasibility of each recommendation; 2) discussing as a team the opportunity for SAHA to implement each recommendation; and 3) making a determination on which recommendation(s) could be implemented or considered for future implementation. AB of the recommendations were taken into consideration by the Housing Authority. C.2 i Certification by State or Local Officials. Tom 11UD 50077-SL, Certila ution by State orLocal Ojjicial% gfPHA Plans Consistency with the Cwrsolidated Plmr, must be submitted by the C.3 Civil Rights Certification/ Certification Listing Policies and Programs that the PILA has Revised since Submission of its Last Annual Plan. Fomt llUD-50077-ST-11CV-11P, PHA C'ertifiatttoru' uf'Compliance with PHAPIan. Ciril Rights, aml Related Lmrs and Regulations Including PHA Plan Elements that Have Changed. must he suhmitted by the PHA as an electronic attachment to the PHA Plan. Challenged Elements. if any clement of the P11A Plan is challenged, a P11A must include such information as an attachment with a description of CA any challenges to Plan elements, the source of the challenge, and the PHA', response to the public. (a) Did the public challenge miy etemeuts of the Plau? S' N El 0 If vcs. inchule Challenged Elements. D. Affirmatively Furthering Fair Housing (AFFH). AMIr7or DA Affirmatively Furthering Fair Housing (AFFH). Provide a statement of the PHA's strategies and actions to achieve fair housing goals outlined in an accepted Assessment of Fair Housing (AFH) consistent with 24 CFR § 5.154(d)(5). Use the chart provided below. (PHAs should add as many goals as necessary to overcome fair housing issues and contributing factors.) Until such time as the PHA is required to submit an AFH, the PHA is not obligated to complete this chart The PHA will fulfill, nevertheless, the requirements at 24 CFR § 903.7(o) enacted prior to August 17, 2015. Sec Instructions for further detail on completing this item. City Council 2-6 4/4/2023 Page 4 of 7 form Ht7D-50075-HCV (03/31 /2024) EXHIBIT 1 Fair Housing Goal: Describe fair housine strateeies and actions to achieve the eoal Fair Housing Goal: Describe fair housine strategies and actions to achieve the eoa! Fair Housing Goal: Describe fair housine strategies and acfions to achieve the load Instructions for Preparation of Form HUD-50075-HCV Annual PHA Plan for HCV-Only PHAs A. PHA Information. All PHAs musi complete this section. (24 CFR §903.4) A.1 include the full PHA Name, PHA Code, PHA Type, PHA Fiscal Year Beginning (MMiV V V V), Number of Housing Choice Vouchers (HCVs). PHA Plan Submission Type, and the Availability of Information, specific location(s) of all information relevant to the public hearing and proposed PHA Plan. PHA Consortia: Check box if submitting a Joint PHA Plan and complete the table. (24 CFR &943.138(a)) City Council 2-7 4/4/2023 Pa.,c 5 of 7 form Ht7D-50075-HCV (03/31 /2024) EXHIBIT 1 B. Plan Elements. All PHAs must complete this section. (24 CFR §903 11(c)(3 )) 13.1 Revision of Existing PHA Plan Elements. PHAs must: Identity specifically which plan elements listed below that have been revised by the PHA. To specify which elements have been revised, mark the "yes" box. if an clement has not bcen revised, mark "no." ❑ Statement of Housing Needs and Strategy for Addressing Housing Needs. Provide a statement addressing the housing needs of tow-hsomc, very low-income and extremely low-income families and a brief description of the PHA's strategy for addressing the housing needs of families who reside in the jurisdiction served by the PHA and other families who are on the Section S tenant -based assistance waiting lists. The statement must identify the housing needs of families with incomes below 30 percent of area median income (extremely low-income); (ii) elderly families (iii) households with individuals with disabilities, and households of various races and ethnic groups residing in thejuris'diction or on the public housing and Section R tenant - based assistance waiting lists. The statement of housing needs shall be based on information providedby the applicable Consolidated Plan, information provided by HUD, and generally available data. The identification of housing needs must address issues of affordability, supply, quality, accessibility, size of units, and location. Once the PHA has submitted an Assessment of Pau Housing (AIPH), which includes an assessment of disproportionate housing needs in accordance with 24 CFR 5.154(d)(2)(iv), information on households with individuals with disabilities and households ofvarious races and ethnic groups residing in the jurisdiction or on the wailing lists no longer needs to be included in the Statement of Housing Needs and Strategy for Addressing Housing Needs. (24 CFIi § 903.7(a)). The identification of housing needs must address issues ofaffardabi Inv, supply, quality, accessibility, size of units, and location. (24 CFR §903.7(af 2Fi)) Provide a desinTrion ofthe ways in which the PHA intends, to the maximum extent practicable, to address those housing needs in the upcoming year and the PHA's reasons for choosing its strategy. (24 CFIZ §903.7(af 2)(ii)) ❑ Deconcentration and Other Policies that Govern Eligibility, Selection, and Admissions. A statement of the PHA's policies that govern resident or tenant eligibility, selection and admission including admission preferences for HCV. (24 CFR §903.7(b)) ❑ Financial Resources. A statement of financial resources, including a listing by general categories, of the PHA's anticipated resources, such as PH.A HCV funding and other anticipated Federal resources available to the PHA, as welt as tenant rents and other income available to support tenant -haled assistance. The statement also should include the non -Federal sources of funds supporting each Federal program, and state the planned use for dry resources.(21 CFR 6903.7(c)) ❑ Rent Determination. A statenrentof the policies of the PHA goveming rental contributions of families receiving tenant -based assistance, discretionary minimum tenant rents, and payment standard policies. (24 CFR 5903.7(dlI ❑ Operation and Management A statement that iucludcs a descriptiun of PHA management organization, and a listung ofthe programs admiuisteied by the PHA. (24 CFR §911�e )). ❑ Informal Review and Hearing Procedures. A. description ofthc informal hearing and review procedures that the PI IA makes available to its applicants (24 CFR 6903 7(fl) ❑ Homeownership Programs. A statement describing any homeownership programs(including project numher and unit count) administered by the agency under section Sy of the 1937 Act, or for which the P11A has applied or hill apply for approval. (24 CFR §903.7(k)) ❑ Self Sufficiency Programs and Treatment of Income Changes Resulting from Welfare Program Requirements. A description of any PHA programs relating to services and amenities coordinated, promoted, orprovided bvthe PHA for assisted families, including Those resulting From the PHA's partnership with other entities, fur the enhancement ofthe economic and social self-sufficiency of assisted families, including programs provided or offered as a result of the P11A's parincrships with olh�7 entities, and activities subject to Section 3 of the Housing and Community Development Act of 1968 (24 CFR Part 135) and under requirements for the Family Self-Sufircieucy Program and others. Include the prognm's size (including required and actual size of the FSS program) and means of altocaling assistance to households. (24 CFR 90$ 3 7(l (i)) Describe how the P11A will comply ieilh the requirements of section 12(c) and oh of the 1937 Act that relate to treatment of income changes resulting from welfare program requirements. (24 CFR .903 7(1)(in)). ❑ Substantial Deviation. PHA must provide its criteria for determining a "substantial deviation" to its 5-Year Plan. (24 CFR §903 7(rl(2)(il) ❑ Significant Amendment/Modification. PHA must provide its criteria for determining a "Significant Amendment or Modification" to its s-year and Annual Plan. If any boxes are marked "yes", describe ilia revisions) to those clew cnt(s) in the space provided. B.2 New Activities. This section refers to new capital activities which is not applicable for HCV-Only PHAs. B.3 Progress Report. For all Annual Plans following submission of the first Annual Plan, a PHA must include a brief statement of the PHA's progress in meeting the mission and goals described in the 5-Year P11A Plan. (24 CFR §903. Ll(cl(31, 24 CFR §903 "(r)(1)) BA Capital Improvements. This section refers to PIIAs that receive funding from the Capital Fund Program (CFP) which is not applicable for I1CV-Only PHAs 11.5 Most Recent Fiscal Year Audit. If the results of the most: recent fiscal vemaudit for the PHA included any findings, mark "yes" and describe those findings in the space provided. (24 CFR §903.7(p)) C. Other Document and/or Certification Requirements. City Council 2-8 4/4/2023 Page 6 of 7 form Ht7D-50075-HCV (03/31 /2024) EXHIBIT 1 CA Resident Advisory Board (RAB) comments. If the KAH had comments on the annual plan, mark `yes," submit the comments as an attachment to the Plan and describe the analysis of the continents and the PHA's decision made on these recommendations. (24 CFR §903 13(cl, 24 CFR §903 19) C.2 Certification by State of Local Officials. Form HUD-50077-SL, Certification by State or Local OlficiaLr ofPFL9 Plans Con.sirtency with the Consolidated Plan, must be submitted by the PHA as an electronic attachment to the PHA Plan. (24 CFF. 90�. Note: A PHA may request to change its fiscal year to better coordinate its planning with planning done under the Consolidated Plan process by State or local officials as applicable. C3 Civil Rights Certification/ Certification Listing Policies and Programs that the PHA has Revised since Submission of its Last Annual Plan. Provide a cerificalon that the following platy elements have been revised, provided to the RA13 for comment before implementation, approved by the PHA board, and made available for review and inspection by the public. This requirement is satisfied by completing and submitting form H U D-50077 ST-HCV-H P, PHA Certifications of Compliance with P11d Plan, Co it Rights, and Related Laves and Regulations Including PLLI Phan Elements thatllave Changer!. form H UI}50077-ST-HCV-HP, PHA Certifications of Compliunce with PHA Plan, (if it Rights, and Related l un, and Regnelaalc n lot testing PHA Plan Elements that Have Changed must be submitted by the PHA as an electronic attachment to the PHA Plan. This includes all certifications relatingm Civil Rights and related regulations. A PHA will be considered in compliance with the certification requirement to affirmatively further fair housing tribe PHA fulfills the requirements of §§ 903.7(0)(1) and 903.15(d) and: fif examines its programs or proposed programs; (b) identities any fair housing issues and contributing factors within those programs, fitaccordance widi 24 CPR 5A54; or 24 CPR 5.160(a)(3) as applicable Hit) specifics actions and strategies designed to address contributing factors, related fair housing issues, and goals in the applicable Assessment of Fair Housing consistent with 24 CPR 5.154 in a reasonable manner in viev of the resources available; (us ) works with jurisdictions to implement any of the urisdicliou's initatfves to affirmatively further fair housing that require the PH Vs involvement; (v) operates programs in a manner consistent with any applicable consolidated plan under 24 CFR part 91, and with any order or agreement, to comply with the authorities specffrcd m paragraph (0)(1) of this section; (vi) complies with any contribution or consultation requirement with respect to any applicable AFH, in accordance with 24 CFR 5.150 through 5.I80; (vii) maintains records reflecting these analyses, actions, and the results of these actions', and (vni) takes steps acceptable to HUD to remedy known fair housing or civil rights violations. impediments to fair housing choice within those programs; addresses those impediments iliareasonable fashion in view ofthc resources available; works with the local jurisdiction to implement any of the jurisdiction's initiatives to affimatively further fair housing; and assures that die annual plan is consistent with any applicable Consolidated Plan for its jurisdiction. (24 CFR §903.7(0)). CA Challenged Elements. If any element of the Annual PHA Plan or 5-Year PHA Plan is challenged, a PHA must include such information as all attaclunent to the Annual PHA Plan or 5-Pear PHA Plan with a desci ption of any challenges to Plan elements, the source of the challenge, and the PHA's response to the public. D. Affirmatively Furthering Fair Housing (AFFH). D.I Affirmatively Furthering Fair Housing. The PHA will rise the ansnver blocks in item D.I in provide a statement of its Strategies and actions to implement each fair housing goal outlined in its accepted Assessment of Fair Ilousing (AI 11) consistent with 24 CFR § 5. 154(d)(5) that states, in relevant part: "To implement goals and priorities in an AFH, strategies and actions shall he included in program participants' ... PHA Plans (including any plans incorporated therein) .... Strategies and actions must affirmatively £tither fair housing ...... Use the chart provided to specify each fair housing goal from the PHA's AM for which the PHA is the responsible program participant —whether the AM was prepared solely by the PI A,jointly with one or more other PH As, or in collaboration with a state or local jurisdiction — and specify the fair housing strategies and actions to be implemented by die PEA during tnc period covered by this PI1A Plan. Ifthcrc are more than three fair housing goals, add answer blocks as necessary. Until such time as the PI IA is required to submit an Aft I, the PI IA will not have to complete section D., nevertheless, the PI IA will address its obligation to affirmatively fiurther fair housing in part by fulfilling the requirements at 24 CFR 903.7(0)(3) enacted prior to August 17. 2015, which means that it examines it, own programs or proposed programs; identifies any impediments to fair housing choice within those programs; addresses those impediments in a reasonable fashion in view of the resources available; works with local jurisdictions to implement any of the jurisdiction's initiatives to affirmatively further fair housing that require the PHA's involvement; and maintain records reflecting these analyses and actions. Furthermore, under Section 5A(d)(15) of the U.S. Housing Act of 1937, as amended, a PHA must submit a civil rights certification with its Annual PHA Plan, which is described at 24 CFR 903.7(0)(1) except for qualified PHAs who submit the Form HUD-50077-CR as a starduteae document. This information collection is authorized by Section 511 of the Quality Housing and Win k Responsibility Act which added a new section SA to the U.S. Housing Act of 1937, as amended, which introduced the Annual PHA Plan. The Annual PHA Plan provides a ready source for interested parties to locate basic PHA policies, rules, and requirements concerning the PHA's operations, programs, and services, and Informs HUll, families served by the PHA, and members of lire public for serving the needs of low income, very low- income, and extremely low- income families. Public reporting burden for this information collection is estimated to average 6.02 hour per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining die data needed, and completing and reviewing the collection of information. HIID may not collect this Information, and respondents are not required to complete this form, unless it displays a currently valid OMB Control Number. Privacy Act Notice. The United States Department m Housing and Urban Development is authorized to solicit the information requested in this form byvirtue of Title 12, U.S. Code, Section 1701 et seq., and regulations promulgated thereunder it Title 12, Code of Federal Regulations. Responses to the collection of information are required to obtain a benefit or to retain a benefit. The information requested does not lend itselfto confidentiality City Council 2-9 4/4/2023 Page 7 of 7 form Ht7D-50075-HCV (03/31 /2024) EXHIBIT 1 Santa Ana Housing Authority Annual Plan'" The Housing Authority of the City of Santa Ana is preparing our Annual Plan for FY 2023-2024 to submit to the U.S. Department of Housing and Urban Development. Housing Choice Voucher Program participants are invited to attend a Resident Advisory Board Meeting and/or complete a brief survey (see QR Code or link below) to assist and make recommendations regarding the development of the Annual Plan. Resident Advisory Board Meetings Date: Thursday, February 16th, 2023 Time: 2:OOPM — 3:OOPM Location: Santa Ana Housing Authority 20 Civic Center Plaza Santa Ana, CA 92701 IF YOU WOULD LIKE TO PARTICIPATE IN THIS MEETING PLEASE RSVP BY CALLING (714) 667-2269_ THIS MEETING WILL BE IN -PERSON - Take A Survey! an the QR Code to the right or go to: is://www.surveymonkey.com/ r/5HBG3TN I City Council 2-10 4/4/2023 EXHIBIT 1 f Autoridad de Vivienda de Santa Ana 11 Plan Anual La Autoridad de Vivienda de la Ciudad de Santa Ana esta preparando nuestro Plan Anual para el ano fiscal 2023-2024 para presentarlo al Departamento de Vivienda y Desarrollo Urbano de EE.UU. Se invita a los participantes del Programa de Vales de Eleccion de Vivienda a asistir a una Reunion del Consejo Asesor de Residentes ylo completar una breve encuesta (ver Codigo QR o enlace mas abajo) para ayudar y hacer recomendaciones con respecto al desarrollo del Plan Anual. Reuniones del Conseio Asesor de Residentes Fecha: Jueves, 16 de febrero del 2023 Hora: 2:OOPM a 3:OOPM Lugar: Autoridad de Vivienda de Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 S) QU/S/ERA PARTMIPAR EN ESTA REUNION. FAVOR DE RESERVAR AL TELEFONO (714) 667-2269_ ESTA REuN)ON SERA EN PERSONA. Fome una encuesta! Escanee el Codigo QR a la derecha o visite: is://www.surveymonkey-com/ r/SHBG3TN I City Council 2-11 4/4/2023 EXHIBIT 1 Ca Quan Quan Ly' Nha G Santa Ana Ke Hoach Hang Nam Ca Quan Quan Ly Nha & Thanh Pho Santa Ana dang chuan bi Ke Hoach Hang Nam cho nam tai chanh 2023-2024 de Winh len Bo Phat Trien Nha va D6 Thi Hoa Ky. Nhupng nguai tham gia Chuang trinh Phieu Chon Nha duac mai tham dw Cuoc Hop cua Ban Co Van Cu Dan va/hoac hoan thanh mot cuoc khao sat ngan (xem Ma QR hoac lien ket ben duai) de ho tro, va dua ra cac de nghi lien quan den viec phat trien Ke Hoach Hang Nam. Cac Cuoc Hop cua Ban Co Van Cu' Dan Ngay: Thin Nam, ngay 16 thung 2, 2023 Gia: 2:00 chieu — 3:00 chieu Dia diem: Cop Quan Quan Ly Nha O' Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 NEU QUY VI MOON THAM GIA CUOC HOP NAY, XIN VUI LONG TRA L&I BANG CACH GOI SO (714) 667-2269. DAY SE LA MOT CUOC HOP TRVC TIEP I Tham Gia Khao Sat ! Xin hay quet ma QR ben phai hoac truy cap: https:/twww.surveymonkey.com/ r/5H BG3TN City Council 2 - 12 4/4/2023 .m ' O O ' L c *' N= O O -O .� •O O p •L c " a N L (a N j U E .> U ra O aJ Q N 0 0 p i) Cl E O ro N J ;� O '� O Y LL T O N 0 0 aq C c E coo Q o U O c O O p (n _ -O i' c �p O- U U U ro = Q 7 ca ro o > a > v 'O is v 0 p , -0 > co ca ,Oo c d U O v3i v O '0-a`ro = -O ca co o w o •in Yv a L E p c N m L .t a v 6 i ra c a`o a L p Y "O O m O L 7 T c L a.m., OL v c a) c c c v 'o o 0- a) p .� 'o Q ro L — O > coo c u <a O E a _0 i w 'v O a)U O O .p a)am+ W r6 '� `O iJ c N r6 O c O i in U 'o a)O ro p co C N N O CO L1 O 0 u Q W fL6 � fL6 U qA N (D N ro ca L ca O O c N O ro J a QZ:) Q_0 -0 E T T U • O "O -O U) c L C V Q NO CoO N-0 0- U')- � c Co O 01 (D O O O i (6 N '� O Q c6 .- C U) •- VI al co � In >, Q c O �C\JM —0��EmM" U) . � O O s a O O@ E .� - E m U o E o a `! 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O Q O a) co o w Z— m mN �— �.o L m� O w H}�ZJ c a cu 0) cn in co (b a� 0 = O Q m Lu CO co O O U�—>,N O Z F daw iL > a U o m a c° �� co E °' Z NON aN~(9Hui O WEB Qoi wJ �� a>> m 0� a�i 0 wco O Woxzv Lu �JNW�Q - r p- 0?a) C N C O E N .> Q a }MZUz LU zwJ a� OV o IQUQ-0(00WQ cCO E aIn o— 0 o E E 0O waaF�� �����Q a. QQ m N0 ao ca � H HN�NN �Lu O - c O .� n3 0 '— O z �0 aa) o o Paz �@ w z 3cl) Ww N 0) in U �+� C cQ E w O Nzw— = N H = = m_0 U :3 C: C) T LU OHJJO a�� a) a)� N U+ HWU } QJZ M �� o� �, o oso LL U3< a _0 M N O v v V I N U C 0 U Y AN EXHIBIT 1 CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza • P.O. Box 22030 Santa Ana, California 92702 (714)667-2200 www.santa-ana.org Resident Advisory Board Meeting Agenda February 16, 2023 I. Welcome and Introductions II. Explanation of the Purpose and Function of the Resident Advisory Board (24 CFR 903.13) III. Explanation of the Housing Authority Annual Plan (24 CFR 903.3) a. Explanation of the Housing Choice Voucher Program Administrative Plan Update and how it relates to the Annual Plan Recommendations by the Resident Advisory Board on Items in the Santa Ana Housing Authority Annual Plan: (24 CFR 903.7) b. Housing Needs and Strategy for Addressing Housing Needs c. Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures City Council 2 — 15 4/4/2023 EXHIBIT 1 d. Rent Determination Policies e. Operation and Management f. Grievance Procedures g. Housing Plus Program h. Progress in Meeting Mission and Goals i. Other Recommendations Not Listed Above City Council 2 — 16 4/4/2023 EXHIBIT 1 CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza • P.O. Box 22030 Santa Ana, California 92702 (714)667-2200 www.santa-ana.org Resident Advisory Board Meeting Agenda February 16, 2023 I. Welcome and Introductions II. Explanation of the Purpose and Function of the Resident Advisory Board (24 CFR 903.13) III. Explanation of the Housing Authority Annual Plan (24 CFR 903.3) a. Explanation of the Housing Choice Voucher Program Administrative Plan Update and how it relates to the Annual Plan Recommendations by the Resident Advisory Board on Items in the Santa Ana Housing Authority Annual Plan: (24 CFR 903.7) b. Housing Needs and Strategy for Addressing Housing Needs (Necesidades de vivienda y estrategia para abordar las necesidades de vivienda) c. Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures (Politicas de elegibilidad, seleccion y admision, incluidos los procedimientos de desconcentracion y lista de espera) City Council 2 — 17 4/4/2023 EXHIBIT 1 d. Rent Determination Policies (Politicas de determinacion de renta) e. Operation and Management (Operacidn y Administracion) f. Grievance Procedures (Procedimientos de quejas) g. Housing Plus Program (Programs Housing Plus) h. Progress in Meeting Mission and Goals (Progreso en el cumplimiento de la mision y los objetivos) City Council 2 — 18 4/4/2023 EXHIBIT 1 Other Recommendations Not Listed Above (Otras recomendaciones no mencionadas arriba) City Council 2 — 19 4/4/2023 EXHIBIT 1 CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza • P.O. Box 22030 Santa Ana, California 92702 (714) 667-2200 www.santa-ana.oro Resident Advisory Board Meeting Agenda February 16, 2023 Welcome and Introductions II. Explanation of the Purpose and Function of the Resident Advisory Board (24 CFR 903.13) III. Explanation of the Housing Authority Annual Plan (24 CFR 903.3) a. Explanation of the Housing Choice Voucher Program Administrative Plan Update and how it relates to the Annual Plan Recommendations by the Resident Advisory Board on Items in the Santa Ana Housing Authority Annual Plan: (24 CFR 903.7) b. Housing Needs and Strategy for Addressing Housing Needs Nhu cau nha & va chitin hrgc giai quy& nhu-ng nhu cau nay c. Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures Tinh D{t Dieu Kien, Chinh Stich Lua Chon vA Chap Nhan, bao gom Thu Tuc Gi6i T6n va Danh SACh Chi? City Council 2 — 20 4/4/2023 EXHIBIT 1 d. Rent Determination Policies Qui 1e ve each xhc Binh tien thue nha e. Operation and Management Hoat Hong va Quan Ly f. Grievance Procedures Thn tuc khieu nai g. Housing Plus Program Chuang Trinh Housing Plus h. Progress in Meeting Mission and Goals Nhung dieu dat ctugc trong viec thyc hien Cac Nhiem vu va Muc tieu City Council 2 — 21 4/4/2023 EXHIBIT 1 X*liiTM: - ..Z�7i1i.Tail:FiiC:7.��►C.Si i�:IG1.g o Z_ Nhung Y Kien kh'ac khong duac neu Or tren City Council 2 — 22 4/4/2023 EXHIBIT 1 CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza • P.O. Box 22030 Santa Ana, California 92702 (714) 667-2200 www.santa-ana.oro Questions for Resident Advisory Board Meeting Questions to Guide Recommendations/Discussion by the Resident Advisory Board on Items in the Santa Ana Housing Authority Annual Plan: (24 CFR 903.7) I. Housing Needs and Strategy for Addressing Housing Needs a. What are your housing needs and what would you rank as your top three housing needs? b. What recommendations do you have to more effectively address your housing needs? c. As the largest housing assistance provider in our community, what do you think SAHA should do to address the housing needs in our community? d. What other strategies do you recommend to address your housing needs? II. Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures a. What recommendations do you have to change or improve our Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures? III. Rent Determination Policies a. What recommendations do you have to change or improve our Rent Determination Policies? b. We currently use AffordableHousing.com to determine the rent reasonableness of our contract rent requests. Do you think this system is working well for our community? IV. Operation and Management a. What recommendations do you have to change or improve our Operation and Management? b. In November 2015, we established a new Quality Control Program where we review 6 files per Housing Specialist and 6 inspections per Housing Inspector City Council 2 — 23 4/4/2023 EXHIBIT 1 on a monthly basis in order to identify common errors in our casework and inspections, provide training and support to reduce errors, and generally improve the accuracy and integrity of the administration of our assistance. How is this Quality Control Program working for you? c. In November 2015, we also began e-mailing a monthly landlord newsletter to ourlandlords to improve communication and customerservice for ourlandlords in order to encourage more landlords to make their units available for our program. We also send a monthly Housing Plus Program newsletter. What do you think of this change? Would you be interested in receiving a monthly electronic newsletter by e-mail? d. What else can we do to improve our Operation and Management? V. Grievance Procedures a. What recommendations do you have to change or improve our Grievance Procedures? b. How can we support more of our assisted -families to abide by their family obligations? VI. Housing Plus Program (aka Family Self -Sufficiency Program) a. What recommendations do you have to change or improve our Housing Plus Program (also known as the Family Self -Sufficiency Program)? b. What recommendations do you have to get more families to join the Housing Plus Program? c. What recommendations do you have to encourage more assisted -families to use our assistance as a platform to obtain self-sufficiency? VII.Progress in Meeting Mission and Goals a. Are we making progress in meeting our mission and goals? b. How can we improve our progress to fulfill our mission? Vill. Other Recommendations Not Listed Above a. Do you have any other recommendations to improve ourprogram and services for you, our landlords, and our community? City Council 2 — 24 4/4/2023 EXHIBIT 1 CITY OF SANTAANA SANTAANA HOUSING AUTHORITY 20 Civic Center Raza • P.O. Box 22030 Santa Ana, California 92702 www.santa-ana.ora Questions for Resident Advisory Board M Questions to Guide Recommendations/Discussion by the Resident Advisory Board on Items in the Santa Ana Housing Authority Annual Plan: (24 CFR 903.7) I. Housing Needs and Strategy for Addressing Housing Needs (Necesidades de vivienda y estrategia para abordar las necesidades de vivienda) a. What are your housing needs and what viould you rank as your top three housing needs? (,�Cuales son sus necesidades de vivienda y cuales calificaria como sus tres necesidades principales de vivienda?) b. What recommendations do you have to more effectively address your housing needs? (�Que recomendaciones tiene para abordar con mayor eficiencia sus necesidades de vivienda?) c. As the largest housing assistance provider in our community, what do you think SAHA should do to address the housing needs in our community? (Como el mayor proveedor de asistencia de vivienda en nuestra comunidad, �que tree que deberia hater SAHA para abordar las necesidades de vivienda en nuestra comunidad?) d. What other strategies do you recommend to address your housing needs? (� Que otras estrategias recomienda para abordar sus necesidades de vivienda?) 11. Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures (Politicas de elegibilidad, selection y admision, incluidos los procedimientos de desconcentracion y lista de espera) a. What recommendations do you have to change or improve our Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures? (ZQue recomendaciones tiene para cambiar o mejorar nuestras po/dicas de elegibilidad, seleccidn y admisidn incluidos los procedimientos de desconcentracion ylista de espera?) City Council 2 — 25 4/4/2023 EXHIBIT 1 III. Rent Determination Policies (Politicas de determinaci6n de renta) a. What recommendations do you have to change or improve our Rent Determination Policies? (�Que recomendaciones tiene para cambiar o mejorar nuestras politicas de determinaci6n de renta?) b. We currently use AffordableHousing.com to determine the rent reasonableness of our contract rent requests. Do you think this system is working well for our community? (Actualmente utilizamos AffordableHousing.com pare determiner la razonabilidad de la renta de nuestras solicitudes de renta por contrato. �Cree que este sistema esta funcionando bien para nuestra comunidad?) IV. Operation and Management (Operacion y Administraci6n) a. What recommendations do you have to change or improve our Operation and Management? (�Que recomendaciones tiene para cambiar o mejorar nuestra Operacion y Administraci6n?) b. In November 2015, we established a new Quality Control Program where we review 6 files per Housing Specialist and 6 inspections per Housing Inspector on a monthly basis in order to identify common errors in our casework and inspections, provide training and support to reduce errors, and generally improve the accuracy and integrity of the administration of our assistance. How is this Quality Control Program working for you? (En noviembre del 2015, establecimos un nuevo programa de control de calidad en el que revisamos 6 archivos por especialista en vivienda y 6 inspecciones por inspector de vivienda mensualmente para identificar errores comunes en nuestros archivos e inspeccio- nes, proporcionar entrenamiento y apoyo para reducir errores, y mejorar general- mente la exactitud e integridad de la administraci6n de nuestra asistencia. �Cbmo ha resultado este programa de control de calidad para usted?) c. In November 2015, we also began e-mailing a monthly landlord newsletter to our landlords to improve communication and customer service for our landlords in order to encourage more landlords to make theirunits available forour program. We also send a monthly Housing Plus Program newsletter. What do you think of this change? Would you be interested in receiving a monthly electronic newsletter by e-mail? (En noviembre del 2015, tambien comenzamos a enviar un boletin mensua/ de propietarios a los propietarios para mejorar la comunicaci6n y el servicio de los propietarios con el fin de alentar a mas propietarios a poner sus unidades a disposici6n para nuestro programa. Tambien enviamos un boletin mensua/ del programa Housing Plus, que le parece este cambio? �Estaria interesado/a en recibir un boletin electronico mensual por correo electronico?) d. What else can we do to improve our Operation and Management? (�Que m5s podemos hacer para mejorar nuestras operaciones y administraci6n?) City Council 2 — 26 4/4/2023 EXHIBIT 1 V. Grievance Procedures (Procedimientos de quejas) a. What recommendations do you have to change or improve our Grievance Procedures? (,�Que recomendaciones tiene para cambiar o mejorar nuestros procedimientos de quejas?) b. How can we support more of our assisted -families to abide by their family obligations? (Como podemos apoyar a mas de nuestras familias asistidas para que cumplan con sus obligaciones familiares? M. Housing Plus Program (aka Family Self -Sufficiency Program) (Programs Housing Plus, conocido como el Programa de Autosuficiencia Familiar) a. What recommendations do you have to change or improve our Housing Plus Program (also known as the Family Self -Sufficiency Program)? (�Que recomendaciones tiene para cambiar o mejorar nuestro Programa Housing Plus, conocido como Programa de Autosuficiencia Familiar?) b. What recommendations do you have to get more families to join the Housing Plus Program? (�Que recomendaciones tiene para que mas familias participen en el programa Housing Plus?) C. What recommendations do you have to encourage more assisted -families to use our assistance as a platform to obtain self-sufficiency? (�Que recomenda- ciones tiene para alentar a mas familias asistidas a utilizar nuestra asistencia como plataforma para obtener su autosuficiencia?) W. Progress in Meeting Mission and Goals (Progreso en el cumplimiento de la mision y los objetivos) a. Are ne making progress in meeting our mission and goals? (�Estamos progresando an el cumplimiento de nuestra mision y objetivos?) b. How can we improve our progress to fulfill our mission? (Como podemos mejorar nuestro progreso para cumplir nuestra mision?) %All. Other Recommendations Not Listed Above (Otras recomendaciones no mencionadas arriba) a. Do you have any other recommendations to improve our program and services for you, our landlords, and our community? (�Tiene a/guna otra recomendacion pare mejorar nuestro programa y servicios para usted, Jos propietarios y nuestra comunidad?) City Council 2 — 27 4/4/2023 EXHIBIT 1 CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza • P.O. Box 22030 Santa Ana, California 92702 (714)667-2200 www.santa-ana.org Questions for Resident Advisory Board Questions to Guide Recommendations/Discussion by the Resident Advisory Board on Items in the Santa Ana Housing Authority Annual Plan: (24 CFR 903.7) I. Housing Needs and Strategy for Addressing Housing Needs a. What are your housing needs and what would you rank as your top three housing needs? Hdy cho biet nhu cau nhd a caa quy vi vd xep hang 3 nhu cau quan trong nhdt d6i v&i quy vi2 b. What recommendations do you have to more effectively address your housing needs? Quy vi c6 y kien gi de giai quyet nhu cau nhd a cua minh hieu qua han khong? c. As the largest housing assistance provider in our community, what do you think SAHA should do to address the housing needs in our community? Ld nhd cung cap hd tra, nhd a lo•n nha"t trongg tong dong cua chung ta, quy vi nghCSAHA nen l6m,gi Mgiai quyet nhCrn,g nhu cau nhd a trongg cong d6ng cua chung ta? d. What other strategies do you recommend to address your housing needs? Quy vi co nhfrng y kien ndo khac,giap dap ten,g nhu cau nhd a cua quy vi? II. Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures a. What recommendations do you have to change or improve our Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures? Quy vi c6 nhirng y kien ndo de thay ddi hoac cai tien Tinh Dd Dieu Kien, vd Chinh Sach Ltra Chon vi Chap Nhan, bao gom Thu Tuc Danh Sach Cha vd Gidi Tan? III. Rent Determination Policies a. What recommendations do you have to change or improve our Rent Determination Policies? Quy vi c6 nhirng y kie"n ndo de thay ddi hoac cai tien Chinh Sach ve C6ch Xac Dinh Tien Thue Nhd? City Council 2 — 28 4/4/2023 EXHIBIT 1 b. We currently use AffordableHousing.com to determine the rent reasonableness of our contract rent requests. Do you think this system is working well for our community? Chung toi hien dang sir dung AffordableHousing. com de xac dinh,gia hap ly cua cac hap d6ng thue nha. Quy vi nghi he tho'ng nay co hieu qua' cho cong d6ng minh hay khong? IV. Operation and Management a. What recommendations do you have to change or improve our Operation and Management? Quy vi co nhCrng y kien gi de thay doi hoac cai tien ve Hoat Dong va Quoin Ly khong? b. In November 2015, we established a new Quality Control Program where we review 6 files per Housing Specialist and 6 inspections per Housing Inspector on a monthly basis in order to identify common errors in our casework and inspections, provide training and support to reduce errors, and generally improve the accuracy and integrity of the administration of our assistance. Vao thong 11, 2015, van phdng chung t6i da thie"t lap Chuang Trinh Kiem Tra Pha"m Chat m6i. Chung toi xet 6 ho sa cho moi Nhan Vien Nhd & va kie"m tra 6 can nha doi vbi moi Thanh Tra Vien Nha (3 hang thong de tim ra nhCrng loi thuang xay ra trong gua trinh lap ho so, vi thanh tra, cung cd"p huan luyen va ho tra de'giam so ho sa bi loi vd not chung la de'tdng do chfnh xac vo chinh trirc trong viec ho tra. How is this Quality Control Program working for you? Quy vi cam tha-y Chu'ang Trinh Kiem Tra Pha'm Chat naygiup ich the"nao cho quy vi? c. November 2015, we also began e-mailing a monthly landlord newsletter to our landlords to improve communication and customer service for our landlords in order to encourage more landlords to make their units available for our program. We also send a monthly Housing Plus Program newsletter. What do you think of this change? Would you be interested in receiving a monthly electronic newsletter by e-mail? Thong 11, 2015, chung toi hat dau giri tha dien ta'/ e-mail ban tin chu' nhd hang thong de' cai thien giao tiep va dich vu cho chu' nha, dung th&i khuyen khfch nhieu chu' nha tang them so can ho tham gia chuang trinh cua cluing toi. Chung toi cung giri thong tin hang thong cho chuang trinh Housing Plus. Quy vi say nghf gi ve su thay ddi nay? Quy vi co muon nhan ban tin dien tir hang thong qua e-mail khong? d. What else can we do to improve our Operation and Management? Chung toi co the'Idm them dieu gi de'cai ties ve" Hoat Dong va Quan Ly khong? V. Grievance Procedures a. What recommendations do you have to change or improve our Grievance Procedures? Quy vi co nhCrag y kien gi de thay d6i hoac cai tien ve Thu Tuc Khieu Nai? City Council 2 — 29 4/4/2023 EXHIBIT 1 b. How can we support more of our assisted -families to abide by their family obligations? Lam cach nao degiup db nhieu han nu•a nha•ng gia dinh duac ho tra cua chung to tuan theo bon phLin gia dinh cua ho? VI. Housing Plus Program (aka Family Self -Sufficiency Program) a. What recommendations do you have to change or improve our Housing Plus Program (also known as the Family Self -Sufficiency Program)? Quy vi co nhirng y kie"n gi de thay doi hoac cai tie"n chaang trinh Housing Plus (con duac bi& Mn (d chaang trinh Family Self Sufficiency - Gia Dinh Tu T(tc)? b. What recommendations do you have to get more families to join the Housing Plus Program? Quy vi c6 nhu•ng y kie"n gi de'tang so-gia dinh tham gia vao Chuang trinh Housing Plus C. What recommendations do you have to encourage more assisted -families to use our assistance as a platform to obtain self-sufficiency? Quy vi co nhCrng y kie"n gi &khuyen khich them nhirng gia dinh Bang c6 tra cap xir dung tra cap giup ho c6 the tu• Luc? VII. Progress in Meeting Mission and Goals a. Are we making progress in meeting our mission and goals? Chung t6i co dat duac tier b6 trong vine dot duac C6c Nhiem Vu vd Muc Tieu khong? b. How can we improve our progress to fulfill our mission? Chung t6i lam the ndo de" tie"n hq han nCra nhnm hodn thdnh nhiem vu cua chung t6i? Vill. Other Recommendations Not Listed Above a. Do you have any other recommendations to improve our program and services for you, our landlords, and our community? Qny vi c6 y kie"n ndo khkc de cai thien chaang trinh vd dich vu cua chung t6i d6i v6i quy vi, chu nhd W cong dong cua chung to khong? City Council 2 — 30 4/4/2023 EXHIBIT 1 2023 RESIDENT ADVISORY BOARD MEETING RESERVATION LIST NAME PHONE LANGUAGE PREFERRED SIGN LIRE #PERSON ATTENDING 1 LANVTRUONG lanvtru0n9avahoo. com VIET 2 2 MARIBELRODRIGUEZ m ro d ri . ma r. Ru ez P a m a i I. c o m ENGLISH 2 3 JASON MERCADO chefia son m 2018 Cd#ma i I. co m ENGLISH 2 4 LESBIA MORALES 562-302-7485 SPANISH r 1 5 JULIA RECINOS 714-451-9031 SPANISH �01`L? C 2 6 HUONGTRAN dieuhuonz57@vahoo.com VIET 1 7 ALICIA FLORES ARRANDA 714-805-5410 SPANISH 1 8 MINH VAN TRAN ENGLISH 1 9 JESSICA CARTER (804) 937-6141 ENGLISH 1 10 MICHELLE KERNS (562) 569-1772 ENGLISH 1 11 EDITH RICO (657)282-1186 SPANISH n 7 1 12 CELSA SAMANIEGO 714-797-1296 SPANISH e l Sa g�n2a �� 1 13 YEN CHANG 657)318-9386 VIET 1 14 JOHN LE 714-603-6560 VIET 1 is Algtl tj X Z 7/ —3 — / VSEr 16 0 17 `a A/ `91�'1'So1$ UQer l 18 19A7 Nlci�/r 6-6s8�oyy>� 1 19 1 (fin/' 20 21 SOn7GE �a d� d h l J i, City Council 2 — 31 4/4/2023 EXHIBIT 1 �A+tIF-N ..E�4vE F N DRDF TJF� GAF ;;I VEX CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza • P.O. Box 22030 Santa Ana, California 92702 (714) 667-2200 vmv Santa-ana. oro Resident Advisory Board Meeting Agenda February 16, 2023 I. Welcome and Introductions IL Explanation of the Purpose and Function of the Resident Advisory Board (24 CFR 903.13) III. Explanation of the Housing Authority Annual Plan (24 CFR 903.3) a. Explanation of the Housing Choice Voucher Program Administrative Plan Update and how it relates to the Annual Plan Recommendations by the Resident Advisory Board on Items in the Santa Ana Housing Authority Annual Plan: (24 CFR 903.7) b. Housing Needs and Strategy for Addressing Housing Needs O THEy SHOULD eE Gio4b am FsZaEt` (Gy VVo rit er-,s �Ttc1 RES SAME PF-aPLE Off( SAME CORTAER - Eligibility, Selection and Waiting List Procedures s PECA AU sT -� sT TfVfF STRESS t/ f - M \►�1 v 1 L.r-- r r • yr ,.r ,.. ,.,✓ N F�% AR(NU YOLAR MOVE FROM ONE ?:-)5Ar4T4ANA is AC-L -TW3 AF-W ftO451r(� PUT h 6T- p-EQ U l R t NG 74f� I t DFRS 10 WA I tJTR I 7RE Th F-W '8UIL_D1N6?6 W (TH TRA5++ C�R�F {%► TTI ,Erc city cbaffcll ' " ' — " ,, ''—' 2 '' �-OCAT 10 N) G(_F-A N L_ t N AND kMEtAtTl Es, msTRic-T EXHIBIT 1 d. Rent Determination Policies GUf?RENT POLIGY 15 Flt4t-�. QNLy AD.JLL�TMEKT 5HOUL-2 80 MkDF. IS oty NEW wNsrRuc,-riorl 050ALAsV, Y0r4 MAY ►SOT I+Nd5- COMPARA OL-F, e. Operation and Management PA V59WORK 1K TH-F_ I C97AV YOU 9t-%U1D f. Grievance Procedures L'Pk: C-:0 IN(Et< A RFCL--fa` I lJ ►W:�f<e- ,%OULD B1 I ViA\/E WAD A HORRIB-£ EXPEEZ(EricE HOus►NG g. Housing Plus Program NOT EAM I L-A R WITH- PR(DaRAM , h. Progress in Meeting, Mission and. Goals i. AceoI�NT�6l�r►y � AND TRK"CKIIN� 3F DOOL ME.t�s = !RAT ARE - DROPP 6-oFF- IN LOBBY. . (' Jt?(pPSOJ(. `C Other Recommendations Not Listed Above IPAY► NCB :I, PUNK CaRW. UL . e +fnlnf't^'\fr't? I WelllL I1`I�YEC FOR. -Fti YH& GOM z'10f= , � . TO OF,: L Willi CU ERTO IN FFFM L=AC44 E) �foosw( OFFI CEF, OF -rtF, VA-Y. 5ANTA NORK ' Tft5RF-, Irls�,rl�oR . i.uN �/o.fzy:i'EOPI. AS Ht 0 IS T o Vv.NF-:R _GaDA. MON � _% (. "fH�l<.rv.{cGt�1R1. - 3MY,. V'OUGH'ER/42'p�V1D�� EXHIBIT 1 CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza • P.O. Box 22030 Santa Ana, California 92702 (714)667-2200 u .santa-ana.ora Resident Advisory Board Meeting Agenda February 16, 2023 I. Welcome and Introductions II. Explanation of the Purpose and Function of the Resident Advisory Board (24 CFR 903.13) III. Explanation of the Housing Authority Annual Plan (24 CFR 903.3) a. Explanation of the Housing Choice Voucher Program Administrative Plan Update and how it relates to the Annual Plan Recommendations by the Resident Advisory Board on Items in the Santa Ana Housing Authority Annual Plan: (24 CFR 903.7) b. Housing Needs and Strategy for Addressing Housing Needs 7• r • , � > .utL r• C • c. Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures r.■4• •. ..a.a 4 1, x ..a ■. . City Council 2 — 34 4/4/2023 EXHIBIT 1 d. Rent Determination Policies (nk?-DEN GROVC "U5wh Ayn"fa)T,11F pot'S PDT M+*fW �.t,y t 61�tS YM -VO CdLEASK2 6 -n wl *gW -nW FIR W y�ra s nTL k.ol oeww e. Operation and Management -rqjz C. 'SLl • • ' ■ Wft•. • r a. ► .J' a " 7' aw .. AVV kt.f' 'l U2,77 ] ' - A - MY) it ll ! f. Grievance Procedures P,,�to_v_FM-i V le% Y t'!il?h UcAV%Ba,,!=W'CL-Y �4 R E�1i�►n iN�'T1a7V g. Housing Plus Program �"!N%1" fLESt PENCir 'h. Progress)h Meeting Mission and Goals ' t� i. Other Recommendations Not Listed A136ve 1► JI yr . lld � � • TIKL i+1 /r 9 1r ' l City Council 2 — 35 4/4/2023 EXHIBIT 1 CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza • P.O. Box 22030 Santa Ana, California 92702 (714) 667-2200 w .santa-ana. orc Resident Advisory Board Meeting Agenda February 16, 2023 I. Welcome and Introductions II. Explanation of the Purpose and Function of the Resident Advisory Board (24 CFR 903.13) Ill. Explanation of the Housing Authority Annual Plan (24 CFR 903.3) a. Explanation of the Housing Choice Voucher Program Administrative Plan Update and how it relates to the Annual Plan Recommendations by the Resident Advisory Board on Items in the Santa Ana Housing Authority Annual Plan: (24 CFR 903.7) b. Housing Needs and Strategy for Addressing Housing Needs _ lite- IN" c. Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures s(Pa.1569. /7'7,�7- City Council 2 — 36 4/4/2023 EXHIBIT 1 d. Rent Determination Policies 0 1 e. Operation and Management l�a.r�—!_ � ��. ✓Lii , . _ �L! � .,'tom � 9 � FrGrievance Proce i. Other Recommendations Not Listed Above City Council 2 — 37 4/4/2023 EXHIBIT 1 CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza . P.O. Box 22030 Santa Ana, California 92702 (714)667-2200 w .sanla-ana.ora Resident Advisory Board Meeting Agenda February 16, 2023 I. Welcome and Introductions II. Explanation of the Purpose and Function of the Resident Advisory Board (24 CFR 903.13) III. Explanation of the Housing Authority Annual Plan (24 CFR 903.3) a. Explanation of the Housing Choice Voucher Program Administrative Plan Update and how it relates to the Annual Plan Recommendations by the Resident Advisory Board on Items in the Santa Ana Housing Authority Annual Plan: (24 CFR 903.7) b. Housing Needs and Strategy for Addressing Housing Needs `kAbtk "5-At d Ik'.ke a VmA SIi vnA Q t ck , wVW-e I�w1nk%�o1 c. Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures ►,/twr,,Qd �iYe 1i�c �voc�SS tz+ 61uNlu yr hAz lo,-�I teu. ii r eld�, lw d i f�e�, c -, d %knkt- Ai t-S -K:1 -Nke cr �n W rn�P d 1 ikt C" AI JAy d1acP lit e . City Council 2 — 38 4/4/2023 EXHIBIT 1 d. Rent Determination Policies v A u . u.J e ► W " V • / u �. • Operatione. I f. Grievance Procedures g. Housing Plus Program w i M ' LV .Y)'r 4w S i ^*rl wv^l F,^ 1-0 h. Progress in Meeting Mission and Goals t.A 1 S } a.YC S'A'h S Fi e d • Swvi t. VAI-k i. Other Recommendations Not Listed Above kAWe inSQfGT S r;l� pir-1 it live 1— -;�Uy aCC-e4?� V&+o� �-. 1(4 k1 d i na i n uru +-) 'I'D be +a rn..,,, Ub a:(Ya✓c.,.,is V9#Ann/-?I1 It,n.1k- /P 1 City Council 2 — 39 4/4/2023 EXHIBIT 1 CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza • P.O. Box 22030 Santa Ana, California 92702 (714) 667-2200 www.santa-ana.ora Resident Advisory Board Meeting Agenda February 16, 2023 I. Welcome and Introductions II. Explanation of the Purpose and Function of the Resident Advisory Board (24 CFR 903.13) III. Explanation of the Housing Authority Annual Plan (24 CFR 903.3) a. Explanation of the Housing Choice Voucher Program Administrative Plan Update and how it relates to the Annual Plan Recommendations by the Resident Advisory Board on Items in the Santa Ana Housing Authority Annual Plan: (24 CFR 903.7) b. Housing Needs and Strategy for Addressing Housing Needs f-l- c. Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures City Council 2 — 40 4/4/2023 EXHIBIT 1 d. Rent Determination Policies e�Tn, ag�,�brnN e. Operation and Management / I ,i Q � /) I �� / i Ci I Q LQ a C0 `-i P// L Grievance Procedures g. Housing Plus Program h. Progress in Meeting Mission and Goals i. Other Recommendations Not Listed Above City Council 2 — 41 4/4/2023 \ EXHIBIT 1 'J CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza • P.O. Box 22030 Santa Ma, California 92702 (714) 667-2200 www.santa-ana.ara Resident Advisory Board Meeting Agenda February 16, 2023 I. Welcome and Introductions II. Explanation of the Purpose and Function of the Resident Advisory Board (24 CFR 903.13) III. Explanation of the Housing Authority Annual Plan (24 CFR 903.3) a. Explanation of the Housing Choice Voucher Program Administrative Plan Update and how it relates to the Annual Plan Recommendations by the Resident Advisory Board on Items in the Santa Ana Housing Authority Annual Plan: (24 CFR 903.7) b. Housing Needs and Strategy for Addressing Housing Needs IL c. Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures N City Council 2 — 42 4/4/2023 EXHIBIT 1 d. Rent Determination Policies e. Operation and Management AMc ,—re 1,1f, Ii hlem T YI A-rvA i f. Grievance Procedures :Por-&)2-Re-lWUY bey "kilts a-ZA9z1F - g. Housing Plus Program -T`S ,v7 c/ V IS Cr42-kLv S'ct v-,&-tZ h. Progress in Meeting Mission and Goals 5 A btu ��QG 4-As PARR e i. Other Recommendations Not Listed Above Aei se,5 y City Council 2 — 43 4/4/2023 EXHIBIT 1 CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza • P.O. Box 22030 Santa Ana, California 92702 (714) 667-2200 v .santa-ana.om Resident Advisory Board Meeting Agenda February 16, 2023 I. Welcome and Introductions II. Explanation of the Purpose and Function of the Resident Advisory Board (24 CFR 903.13) III. Explanation of the Housing Authority Annual Plan (24 CFR 903.3) a. Explanation of the Housing Choice Voucher Program Administrative Plan Update and how it relates to the Annual Plan Recommendations by the Resident Advisory Board on Items in the Santa Ana Housing Authority Annual Plan: (24 CFR 903.7) b. Housing Needs and Strategy for Addressing Housing Needs nv�- 0 C9?T� IS HOd Si 0 C c. Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures L�: -\) ea yga: F ILe i' cl A- la LO S' rocQ Qo(WV' '-)sSA ROJ—TP DA S City Council 2 — 44 4/4/2023 EXHIBIT 1 d. Rent Determination Policies N E-Co CJf4 0 W C o C W LDS e. Operation and Management f. Grievance Procedures rr_2n- T-�0 cr�� 0 A, g. Housing Plus Program MRS -6r)0 � h. Progress in Meeting Mission and Goals (a �,j (n fast A T C so D A dS 2,Eccff SoS i. Other Recommendations Not Listed Above -EF-" 2 s s �V'� -tfI-A rR A P 1)6 2A C-� F-S City Council 2 — 45 4/4/2023 EXHIBIT 1 CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza . P.O. Box 22030 Santa Ana, California 92702 (714) 667-2200 www.santa-ana.arg Resident Advisory Board Meeting Agenda February 16, 2023 I. Welcome and Introductions II. Explanation of the Purpose and Function of the Resident Advisory Board (24 CFR 903.13) III. Explanation of the Housing Authority Annual Plan (24 CFR 903.3) a. Explanation of the Housing Choice Voucher Program Administrative Plan Update and how it relates to the Annual Plan Recommendations by the Resident Advisory Board on Items in the Santa Ana Housing Authority Annual Plan: (24 CFR 903.7) b. Housing Needs and Strategy for Addressing Housing Needs Graf/al mar o(trrd,tic _T`scis /ems byrrdig� QSS�Y des /7</l/'05 c. Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures City Council 2 — 46 4/4/2023 EXHIBIT 1 d. Rent Determination Policies e. Operation and Management �U IU&/P/ /S �!i'72o/ /yC�f �i? �� olU 11 f. Grievance Procedures g. Housing Plus Program Z`s/q/gr h. Progress in Meeting Mission and Goals ,di i. Other Recommendations Not Listed Above 4 . L/�� City Council 2 — 47 4/4/2023 ` EXHIBIT 1 CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza • P.O. Box 22030 Santa Ana, California 92702 (714)667-2200 wnnv.santa-ana.org Resident Advisory Board Meeting Agenda February 16, 2023 I. Welcome and Introductions II. Explanation of the Purpose and Function of the Resident Advisory Board (24 CFR 903.13) III. Explanation of the Housing Authority Annual Plan (24 CFR 903.3) a. Explanation of the Housing Choice Voucher Program Administrative Plan Update and how it relates to the Annual Plan Recommendations by the Resident Advisory Board on Items in the Santa Ana Housing Authority Annual Plan: (24 CFR 903.7) b. Housing Needs and Strategy for Addressing Housing Needs c. Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures -Acojcr d City Council 2 — 48 4/4/2023 EXHIBIT 1 d. Rent Determination Policies i ,...fD �'�,.. r-✓ nl ,.Dr. r�Vll7 tYI VP ST e. Operation and Management oe— r\CJS C(Ch'12n CsjQndO QS AQJI UYlO i'vl.e.n s G f f. Grievance IP--rocedures of �-o- rlJ ID(er-Q fi�Pr G�� �Crfse g. Housing Plus Program yyxc3 iatqL,rmcLQr,n h. Progress in Meeting Mission and Goals ,(-YA,i y %r -Q-r1 i. Other Recommendations Not Listed Above City Council 2 — 49 4/4/2023 EXHIBIT 1 CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza • P.O. Box 22030 Santa Ana, California 92702 (714) 667-2200 wmv.santa-ana.om Resident Advisory Board Meeting Agenda February 16, 2023 1. Welcome and Introductions II. Explanation of the Purpose and Function of the Resident Advisory Board (24 CFR 903.13) III. Explanation of the Housing Authority Annual Plan (24 CFR 903.3) a. Explanation of the Housing Choice Voucher Program Administrative Plan Update and how it relates to the Annual Plan Recommendations by the Resident Advisory Board on Items in the Santa Ana Housing Authority Annual Plan: (24 CFR 903.7) b. Housing Needs and Strategy for Addressing Housing Needs - - umeyiAar v1tv�er`ca8 c. Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures City Council 2 — 50 4/4/2023 EXHIBIT 1 d. Rent Determination Policies ..c nnv mrwC n�aJ� V0 5 e. Operatibn and Management } 6,3r1 k n(1t[L ,Vvn%- �ormUlO.YtOs mnhvri ('� f. Grievance Procedures Cnv ia`t en cues - g. Housing Plus Program h. Progress in Meeting Mission and Goals i. Other Recommendations Not Listed Above 1 Inwno_G In't'l City Council 2 — 51 4/4/2023 EXHIBIT 1 CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza • P.O. Box 22030 Santa Ana. California 92702 (714)667-2200 w .santa-ana.ora Resident Advisory Board Meeting Agenda February 16, 2023 I. Welcome and Introductions II. Explanation of the Purpose and Function of the Resident Advisory Board (24 CFR 903.13) III. Explanation of the Housing Authority Annual Plan (24 CFR 903.3) a. Explanation of the Housing Choice Voucher Program Administrative Plan Update and how it relates to the Annual Plan Recommendations by the Resident Advisory Board on Items in the Santa Ana Housing Authority Annual Plan: (24 CFR 903.7) b. Housing Needs and Strategy for Addressing Ho c. Eligibility, Selection and Admissions Policies, including Deconcentration and City Council 2 — 52 4/4/2023 EXHIBIT 1 d. Rt Determination Policies I �J�14'Y P f�YD P P3 US e. Operation and Management g. Housing Plus Program h. Progress in Meeting Mission and Goals SazL fa]A" City Council 2 — 53 4/4/2023 EXHIBIT 1 CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza . P.O. Box 22030 Santa Ana, California 92702 (714)667-2200 www.santa-ana.ora Resident Advisory Board Meeting Agenda February 16, 2023 I. Welcome and Introductions II. Explanation of the Purpose and Function of the Resident Advisory Board (24 CFR 903,13) III. Explanation of the Housing Authority Annual Plan (24 CFR 903.3) a. Explanation of the Housing Choice Voucher Program Administrative Plan Update and how it relates to the Annual Plan Recommendations by the Resident Advisory Board on Items in the Santa Ana Housing Authority Annual Plan: (24 CFR 903.7) b. Housing Needs and Strategy for Addressing Housing Needs Nhu cau [n/hi/{a_ v, i cchiie^nnlluac giiii gquyet nhrmg nhu cau nky c. Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures Tinh Du Dieu Ki4n, Chinh Sich Ltra Chgn va Chap Nh$n, bao gom Thu Tuc Giii Tan vi Danh Sich ,.,_ .. City Council 2 — 54 4/4/2023 EXHIBIT 1 d. Rent Determination Policies Qui le ve cach xac Binh tien thue nha e. Operation and Management f. Grievance Procedures g. Housing Plus Program Chuong Trinh Ho sing Plus h. Progress in Meeting Mission and Goals Nhung dieu dat duac trong vigc thuc hien Cie Nhiem vu va Muc tieu City Council 2 — 55 4/4/2023 EXHIBIT 1 i. Other Recommendations Not Listed Above City Council 2 — 56 4/4/2023 EXHIBIT 1 CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza • P.O. Box 22030 Santa Ana, California 92702 (714)667-2200 w santa-ana ora Resident Advisory Board Meeting Agenda February 16, 2023 I. Welcome and Introductions II. Explanation of the Purpose and Function of the Resident Advisory Board (24 CFR 903.13) III. Explanation of the Housing Authority Annual Plan (24 CFR 903.3) a. Explanation of the Housing Choice Voucher Program Administrative Plan Update and how it relates to the Annual Plan Recommendations by the Resident Advisory Board on Items in the Santa Ana Housing Authority Annual Plan: (24 CFR 903.7) b. Housing Needs and Strategy for Addressing Housing Needs Nhu cau nhi a vi chitin luac giii quyit nhimg nhu ciu nay c. Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures Tinh flu Dieu Kien, Chinh Sach Lira Chon va Chap Nhan, bao gom Th6 Tuc Giai Tan vi Danh Sach Ch� City Council 2 — 57 4/4/2023 EXHIBIT 1 d. Rent Determination Policies Qui le ve cach xac Binh tien thue nha e. Operation and Management Hoat Hong va Quan Ly 0 f. Grievance Procedures Thu tuc khieu nai g. Housing Plus Program Chuang Trinh Housing Plus mat!—, . —t lk-aafa, xt 4 i iP. kF C�4 h. Progress in Meeting Mission and Goals Nhimg lieu at duac trong viec thtrc hien Cac Nhiem vu va Muc tieu .• a u 41 City Council 2 — 58 4/4/2023 EXHIBIT 1 i. Other Recommendations Not Listed Above Nhimg Y Kien khac khong dugc neu a tren City Council 2 — 59 4/4/2023 EXHIBIT 1 CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza • P.O. Box 22030 Santa Ana, California 92702 (714)667-2200 v .santa-ana.om Resident Advisory Board Meeting Agenda February 16, 2023 I. Welcome and Introductions II. Explanation of the Purpose and Function of the Resident Advisory Board (24 CFR 903.13) III. Explanation of the Housing Authority Annual Plan (24 CFR 903.3) a. Explanation of the Housing Choice Voucher Program Administrative Plan Update and how it relates to the Annual Plan Recommendations by the Resident Advisory Board on Items in the Santa Ana Housing Authority Annual Plan: (24 CFR 903.7) b. Housing Needs and Strategy for Addressing Housing Needs Nhu cau nha o vA chien Iuac giai quyet nhimg nhu cau nay �AA 1 IAf- iP L <eA 41 S 2 � — Il 11 ) V1.D� c. Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures Tinh D6 Dieu Kien, Chinh SAch Lua Chon vA Chap Nhan, bao gom Thu Tye GIAi Tan vA Danh SAch Cha City Council 2 — 60 4/4/2023 EXHIBIT 1 d. Rent Determination Policies Qui le ve cich xic Binh tien thud nhi e. Operation and Management Hoat Dong vi Quin Ly (A CA8 a —A& U �e c v v► �a i f. Grievance Procedures Thu tV f khieu nui i ! a 4 (gin �� �? L eU I�4tweikov g. Housing Plus Program Chuong Trinh Housing Plus h. Progress in Meeting Mission and Goals Nhung dieu dot duac trong vidc thtrc hien Cic Nhiem vu vi Muc tieu _ City Council 2 — 61 4/4/2023 EXHIBIT 1 i. Other Recommendations Not Listed Above (� Nh mg $ Kien khic kh6ng dugc neu v tren ►A?W� rD, v' 1Llet ors=IAQV5��9A 1�n ray. City Council 2 — 62 4/4/2023 (z� z --7 �7 CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza • P.O. Box 22030 Santa Ana, California 92702 (714)667-2200 v v Santa-ana.org Resident Advisory Board Meeting Agenda February 16, 2023 Welcome and Introductions II. Explanation of the Purpose and Function of the Resident Advisory Board (24 CFR 903.13) III. Explanation of the Housing Authority Annual Plan (24 CFR 903.3) a. Explanation of the Housing Choice Voucher Program Administrative Plan Update and how it relates to the Annual Plan Recommendations by the Resident Advisory Board on Items in the Santa Ana Housing Authority Annual Plan: (24 CFR 903.7) b. Housing Needs and Strategy for Addressing Housing Needs Nhu cau nha b va chitin Iugc giai quyet nhvng nhu cau nay p ` /_ C7 c. Eligibility, Selection and Admissions Policies. including Deconcentration and Waiting List Procedures Tinh Du Dieu Kign, Chinh Sach Lua Chqn va Chap Nhan, bao gom Thu Tuc Giai Tan va Danh Sach Chb City Council 2 — 63 4/4/2023 EXHIBIT 1 d. Rent Determination Policies Qui le ve each xac Binh tien thue nha tir2 ^\Coy f" If l9r. kV— e. Operation and Management Hoat Don¢ va Ouan U . f. Grievance Procedures Thu tuc khieu nai g. Housing Plus Program Chuang Trinh Housing Plus CJ n pp ��uS [ cTtt 9d/J h. Progress in Meeting Mission and Goals Nhimg lieu dat duac trong viec that hien Cac Nhiem vu va Muc tieu 0 City Council 2 — 64 4/4/2023 EXHIBIT 1 I. Other Recommendations Not Listed Above Nhfm Y Kien khdc kh6n drrac n@u a tren i i .J Jam' • I � I ,C.J' � t � Y /.L _ Li I��.I J [1L • �.� I City Council 2 — 65 4/4/2023 EXHIBIT 1 CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza • P.O. Box 22030 Santa Ana, California 92702 (714) 667-2200 w .santa-ana.ora Resident Advisory Board Meeting Agenda February 16. 2023 I. Welcome and Introductions II. Explanation of the Purpose and Function of the Resident Advisory Board (24 CFR 903.13) III. Explanation of the Housing Authority Annual Plan (24 CFR 903.3) a. Explanation of the Housing Choice Voucher Program Administrative Plan Update and how it relates to the Annual Plan Recommendations by the Resident Advisory Board on Items in the Santa Ana Housing Authority Annual Plan: (24 CFR 903.7) b. Housing Needs and Strategy for Addressing Housing Needs Nhu cau nha o va chitin Iugc giai quyet nhung nhu cau nay c. Eligibility, Selection and Admissions Policies, including Deooncentration and Waiting List Procedures Tinh Du Dieu Kign, Chinh Ssch Ltra Ch9n va Chap NNn, bao gom Thu Tuc GiAi Tan va Danh Sfich Cho ; City Council 2 — 66 4/4/2023 EXHIBIT 1 d. Rent Determination Policies Qui 18 ve cach xac Binh tien thue nha e. Operation and Management Hoat D6ng va Quan Ly f. Grievance Procedures Thu tuc khieu nai g. Housing Plus Program Chuong Trinh Housing Plus I I A, .,nA . ,i,A h. Progress in Meeting Mission and Goals Nhimg dieu dat dugc trong viec thuc hien Cac Nhiem vu va Muc tieu , r, City Council 2 — 67 4/4/2023 EXHIBIT 1 i. Other Recommendations Not Listed Above Nhung Y Kien khic khong dugc neu & tren ,A* . n /�- i_ .e r n / City Council 2 — 68 4/4/2023 EXHIBIT 1 CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza . P.O. Box 22030 Santa Ana, California 92702 (714)667-2200 ~v.sanla-ana.oro Resident Advisory Board Meeting Agenda February 16, 2023 I. Welcome and Introductions II. Explanation of the Purpose and Function of the Resident Advisory Board (24 CFR 903.13) III. Explanation of the Housing Authority Annual Plan (24 CFR 903.3) a. Explanation of the Housing Choice Voucher Program Administrative Plan Update and how it relates to the Annual Plan Recommendations by the Resident Advisory Board on Items in the Santa Ana Housing Authority Annual Plan: (24 CFR 903.7) b. Housing Needs and Strategy for Addressing Housing Needs Nhu cau nhi o vi c//hien luoc giii quyet nhfmmg nhu cau nay c. Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures Tinh D4 Dieu Kien Chinh Sich Lira Chon vi Chap Nhan, bao gom Thu Tuc Giii Tan vi Danh Sich r1,n City Council 2 — 69 4/4/2023 EXHIBIT 1 d. Rent Determination Policies Qui le ve cich xic Binh tien thue nhi J,,t- L. e. Operation and Management Hoat Dong vi Quin Ly f. Grievance Procedures Thu tuc khieu nai g. Housing Plus Program Chuang Trinh Housing Plus . 0 A h. Progress in Meeting Mission and Goals Nhimg dieu dat 8ugc trong viec thirc hien Cic Nhiem vu vi Muc tieu M City Council 2 — 70 4/4/2023 EXHIBIT 1 L Other Recommendations Not Listed Above Nh%eng '' Kien khac khong dugc neu & tren City Council 2 — 71 4/4/2023 EXHIBIT 1 CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza • P.O. Box 22030 Santa Ana, California 92702 (714) 667-2200 www. sanla-ana.ora Resident Advisory Board Meeting Agenda February 16, 2023 I. Welcome and Introductions II. Explanation of the Purpose and Function of the Resident Advisory Board (24 CFR 903.13) III. Explanation of the Housing Authority Annual Plan (24 CFR 903.3) a. Explanation of the Housing Choice Voucher Program Administrative Plan Update and how it relates to the Annual Plan Recommendations by the Resident Advisory Board on Items in the Santa Ana Housing Authority Annual Plan: (24 CFR 903.7) b. Housing Needs and Strategy for Addressing Housing Needs Nhu ca_u nha o vi chien luac giai quyet nhimlg�nhu cau n' ti C-f6ewv4k UI-t'Ll Al C_�1GWN Jll( c. Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures Tinh Du Dieu Kil n, Chinh Sach Lira Chon vi Chap Nhan, bao gom Thu Tuc Giii Tan vi Danh Sach Ch& i 4 S n C C 1. ( C1.4.1 Tit; -tLtc rjt�� -L.Z� City Council 2 — 72 4/4/2023 EXHIBIT 1 d. Rent Determination Policies Qui le ve cich xic dinh tien thue nhi _ e. Operation and Management Hoat Dong vi Quin Ly r —i , 1 G1-0 i f. Grievance Procedures Thu tuc khieu nai I U L `n g. Housing Plus Program Chtrong Trinh Housing Plus h. Progress in Meeting Mission and Goals Nhimg dieu dat dtrgc trong viec thtrc hien Cic Nhiem vu vi Muc tieu Jc ILlbl� e City Council 2 — 73 4/4/2023 EXHIBIT 1 i. Other Recommendations Not Listed Above Nhimg 1' Kien Bic kh6ng duac neu a tr8n - , . " n City Council 2 — 74 4/4/2023 EXHIBIT 1 CITY OF SANTA ANA SANTA ANA HOUSING AUTHORITY 20 Civic Center Plaza • P-O. Box 22030 Santa Ana, California 92702 (714)667-2200 w san(a-ana oro Resident Advisory Board Meeting Agenda February 16, 2023 I. Welcome and Introductions Il. Explanation of the Purpose and Function of the Resident Advisory Board (24 CFR 903.13) III. Explanation of the Housing Authority Annual Plan (24 CFR 903.3) a. Explanation of the Housing Choice Voucher Program Administrative Plan Update and how it relates to the Annual Plan Recommendations by the Resident Advisory Board on Items in the Santa Ana Housin Authority Annual Plan: (24 CFR 903.7) b. Housing Needs and Strategy for Addressing Housing Needs Nhu cau nha & vi chien luge giai quyet nh mg nhu au nay c. Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures Tinh flu Dieu Kign, Chinh Sach Lira Chpn vi Chap Nhan, bao gom Thu Tµc Gidi T'en va Danh Sfich City Council 2 — 75 4/4/2023 EXHIBIT 1 d. Rent Determination Policies Qui It ve cich xic Binh tien thue nhi e. Operation and Management Hoat Do, ng vi Quin Ly J f. Grievance Procedures Thu t4c khieu nai g. Housing Plus Program Chuomg Trinh Housing Plus h. Progress in Meeting Mission and Goals Nhfmgpdieu da�t�d�ugc trong viec thuc hien Cic Nhiem v4 vi Mpc tieu P, f -f- —%. Tl u D -t+ i T» rA f, -il -r I City Council 2 - 76 4/4/2023 EXHIBIT 1 i. Other Recommendations Not Listed Above NhCmg 1' K4n Bic khong dugc neu 8 tr@n City Council 2 — 77 4/4/2023 2/16/23, 2:33 PM Santa Ana Housing Authority Annual Plan Survey- FY 2023-2024 EXHIBIT 1 Santa Ana Housing Authority Annual Plan Survey - FY 2023-2024 The Housing Authority of the City of Santa Ana is preparing our Annual Plan for FY 2023-2024 to submit to the U.S. Department of Housing and Urban Development. We want your input and feedback to help us develop our Annual Plan. Your response to this survey will assist us with your recommendations regarding the development of the Annual Plan on your behalf. City Council 2 — 78 4/4/2023 https://w .suweymonkey.com/r/5HBG3TN 1/7 2/16/23, 2:33 PM Santa Ana Housing Authority Annual Plan Survey- FY 2023-2024 EXHIBIT 1 * 1. What are your housing needs and what would you rank as your top three housing needs? * 2. What recommendations do you have to more effectively address your housing needs? City Council 2 — 79 4/4/2023 https://w .suweymonkey.com/r/5HBG3TN 2/7 2/16/23, 2:33 PM Santa Ana Housing Authority Annual Plan Survey- FY 2023-2024 EXHIBIT 1 * 3. As the largest housing assistance provider in our community, what do you think the Santa Ana Housing Authority should do to address the housing needs in our community? * 4. What recommendations do you have to change or improve our Eligibility, Selection and Admissions Policies, including Deconcentration and Waiting List Procedures? City Council 2 — 80 4/4/2023 https://w .suweymonkey.com/r/5HBG3TN 3/7 2/16/23, 2:33 PM Santa Ana Housing Authority Annual Plan Survey- FY 2023-2024 EXHIBIT 1 * 5. What recommendations do you have to change or improve our RE Determination Policies? * 6. What recommendations do you have to change or improve our Operation and Management? City Council 2 — 81 4/4/2023 https://w .suweymonkey.com/r/5HBG3TN 4/7 2/16/23, 2:33 PM Santa Ana Housing Authority Annual Plan Survey- FY 2023-2024 EXHIBIT 1 * 7. What recommendations do you have to change or improve our Housing Plus Program (aka our Family Self -Sufficiency Program)? * 8. What recommendations do you have to encourage more assisted - families to use our assistance as a platform to obtain self-sufficiency? City Council 2 — 82 4/4/2023 https://w .suweymonkey.com/r/5HBG3TN 5/7 2/16/23, 2:33 PM Santa Ana Housing Authority Annual Plan Survey- FY 2023-2024 EXHIBIT 1 * 9. How can we improve our progress to fulfill our mission and goals' * 10. Do you have any other recommendations to improve our program and services for you, our landlords, and our community? Done Powered by SurveyMonkey, See how easy it is to create a survey. City Council 2 — 83 4/4/2023 https://www.suweymonkey.com/r/5HBG3TN 6/7 2/16/23, 2:33 PM Santa Ana Housing Authority Annual Plan Survey- FY 2023-2024 EXHIBIT 1 Privacy & Cookie Notice City Council 2 — 84 4/4/2023 https://w .suweymonkey.com/r/5HBG3TN 7/7 2/16/23, 2:43 PM SurveyMonkey Analyze -Santa Ana Housing Authority Annual Plan Survey-FY 2023-EXHIBIT 1 Santa Ana Housing Authority Annual Plan Survey - FY 2023-2024 SUMMARY � DESIGNSURVEY -4 PREVIEW&SCORE -4 COLLECT RESPONSES � ANALYZERESULTS 4 PRESENTRESULTS 7 EXPORTS A RESPONDENTS: 5 of 5 Q> PAID FEATURE Export your survey data in . PDF, .XLS, .CSV, QUESTION SUMMARIES INSIGHTS AND DATA TRENDS .PPTX, or SPSS format. Upgrade Learn more n Pagel CO Q1 q t Aummate data exports by connecting you r favorite tools. q Learn More What are your housing needs and what would ) housing needs? Answered:5 Skipped:0 RESPONSES (5) 8 WORD CLOUD 8TAGS (0) CZ Search Responses OShu Ning5 responses L1. Easier tenant escalation method for LL unresolved issues. 2.Improved renta vacancies going un-rented and we have a huge waitlist 13. More affordable anc mandates per the PIT count. 2/14/2023 05:31 PM GThe housing need's is that to create strong, sustainable, inclusive communitie 2/10/202311:28 AM Affordable rent, safe environment, efficient management 2/10/2023 08:55 AM Affordability, cleanliness, and functioning appliances and security. 2/9/2023 05:29 PM 1 Q2 What recommendations do you have to more e housing needs? Answered:5 Skipped:0 RESPONSES (5) 8 WORD CLOUD STAGS (0) City Council rZ;___ 4/4/2023 rch Responses https://www.suweymonkey.com/analyze/vbcwzT6JWEJrOlcKZeJQVVFO8dnegA_2BD8jN_2Fdg2tWno_3D?tab_clicke&l 115 2/16/23, 2:43 PM SurveyMonkey Analyze -Santa Ana Housing Authority Annual Plan Survey-FY 2023-EXHIBIT 1 ShoNing5 responses I would like to seethe SA Housing Authority improve their first -line point of cc service and voice prompts need attention. Call yourselves and see. 2/14/2023 05:31 PM The type of locks on windows or doors should be safe and secure 2/10/202311:26 AM My housing needs are being met. 2/10/2023 08:55 AM You need more affordable housing for 1 bedroom vouchers or upgrade to 2 bec 2/9/2023 05:29 PM no Q3 As the largest housing assistance provider in o think the Santa Ana Housing Authority should needs in our community? Ansvmred:5 Skipped:0 RESPONSES(5) 8WORD CLOUD BTAGS (0) Q Search Responses ID ShoNing5 responses Develop a system or process to keep the LL/ Building Owners more accountab frightening the Flower Terrace seniors, so they don't complain!) Maybe an 80C sized counties/ cities and ask how they operate? 2/14/2023 05:31 PM The location of electric outlets and light fixtures. The condition ofthe paint ai condition ofthe floor, is it scratched and worn? 2/101202311:28 AM Increase your staff. My original paperwork was lost. 2/10/2023 08:55 AM Talk with the tenants not just landlords. We get taken advantage of be cause t repairs are being made. Q4 City Council 2 — 86 . 4/4/2023 littps://www.suweymonkey.com/analyze/vbcwzT6JWEJrOlcKZeJQVVF08dnegA_2BD8jN_2Fdg2tWno_3D?tab_clicke&l 215 2/16/23, 2:43 PM SurveyMonkey Analyze -Santa Ana Housing Authority Annual Plan Survey-FY 2023-EXHIBIT 1 What recommendations do you have to chang( Selection and Admissions Policies, including D List Procedures? Answered:5 Skipped:0 RESPONSES(5) SWORD CLOUD BTAGS(0) Q Search Responses Showings responses 1. Treat people w Love and respect, notjust a number. 2. Process and Efficiene, agency need? Can we combine and send to multiple -agencies, reducing paper the arrow points both ways for communication. Having a knowledge managen- city/county might be helpful. 211 is not what I'm talking about, I'm referringto we tie the access to individual members, confirming veaitlist interest. Increase written, phone, internet, of course authorized by member, prior to removing fir 2/14/2023 05:31 PM Ensure that at units in the Section 8 Certificate Program and the Housing Von 2/10/2023 11:28 AM Increase your staff. 2/10/2023 08:55 AM DThere are very many people in need of housing from many backgrounds. hoeve Q5 What recommendations do you have to chang( Determination Policies? Anewered:5 Skipped:0 RESPONSES(5) 8WORD CLOUD 8TAGS (0) Q Search Responses Showing5 responses Rent Increase, why is it that the amt. cannot be over a certain % for resident,, HUD, which is my Tax Dollars? Please explain/summarize this process. 2/14/2023 05:31 PM Inspect unit in response to Request for Lease Approval. Inform potential tenai 2/10/2023 11:28 AM Survey affordable housing units rents semi-annuaty and adjust accordingly 2/10/2023 08:55 AM n 4 able for seniors on Limited income, N?�7d�" cal, increase in day City Council 2- r�.. littps://www.suweymonkey.com/analyze/vbcwzT6JWEJrOlcKZeJQVVF08dnegA_2BD8jN_2Fdg2tWno_3D?tab_slicked=1 315 2/16/23, 2:43 PM SurveyMonkey Analyze -Santa Ana Housing Authority Annual Plan Survey-FY 2023-EXHIBIT 1 "IyJayaIum 2/9/2023 05:29 PM M What recommendations do you have to changE Management? Ansvmred:5 Skipped:0 RESPONSES (5) 8WORD CLOUD 8TAGS (0) Q Search Responses Showing S responses See above, Customer Service and Response improvements needed. 2/14/2023 05:31 PM Encourage tenants and owners to maintain units up to standards. Make an ua the housing quality standards. 2/10/202311:28 AM Hire more staff. 2/10/2023 03:55 AM If these Landlords want these increases in rent, there should be stricter rules very important, when owners show lack of interest tenants don't care. 2/9/2023 05:29 PM Q7 What recommendations do you have to changE Program (aka our Family Self -Sufficiency Progr Answered:5 Skipped:0 RESPONSES (5) 8 WORD CLOUD STAGS (0) Q Search Responses UShowing 5 responses N/A 2/14/2023 05:31 PM n No dangerous places, spaces, or things in the neighborhood suen as: Nearby b City Council 2 �28&2311:28 AM 4/4/2023 littps://www.suweymonkey.com/analyze/vbcwzT6JWEJrOlcKZeJQVVF08dnegA_2BD8jN_2Fdg2tWno_3D?tab_clicked=1 415 2/16/23, 2:43 PM SurveyMonkey Analyze -Santa Ana Housing Authority Annual Plan Survey-FY 2023-EXHIBIT 1 J NA 2/10/2023 08:55 AM n I love this program and seen so many able to own or rent their 1 house. I think encouragement to everyone to have continue success. 2/9/2023 05:29 PM no Q8 What recommendations do you have to encoul use our assistance as a platform to obtain self - Ana .. red 5 Skipped:0 RESPONSES(5) 8WORDCLOUD 8TAGS (0) Q Search Responses Sho sing responses Vold maer base/Advocacy group of Current families in process and those uvh0 the system, like a buddy system for outreach and engagement? 2/14/2023 05:31 PM Services in the neighborhood: Stores nearby, schools nearby, hospitals nearby 2/10/2023 11:28 AM NA 2/10/2023 08:55 AM Have contest, or awards that will keep their interest an their goals. 2/9/2023 05:29 PM no Wn ENGLISN ❑ About Momentive • Careers • Developers • Privacy Notice • California Privacy Notice • Email Opt -In • Help • Cookies Notice • Copyright©1999-2023 Momentive Do not sell or share my personal data Q TrustedSite° CERTIFIED SECURE City Council 2 — 89 4/4/2023 littps://www.suweymonkey.com/analyze/vbcwzT6JWEJrOlcKZeJQVVF08dnegA_2BD8jN_2Fdg2tWno_3D?tab_dicke&l 515 EXHIBIT 2 RESOLUTION NO. 2023-XXX A RESOLUTION OF THE HOUSING AUTHORITY OF THE CITY OF SANTA ANA APPROVING THE SUBMISSION OF THE ANNUAL PLAN FOR FISCAL YEAR 2023-2024 BE IT RESOLVED BY THE MEMBERS OF THE HOUSING AUTHORITY OF THE CITY OF SANTA ANA, AS FOLLOWS: Section 1. The Housing Authority of the City of Santa Ana conclusively finds, determines and declares as follows: A. The Housing Authority of the City of Santa Ana (the "Authority") is required by the U.S. Department of Housing and Urban Development ("HUD") to have an Annual Plan due to the fact that the Authority administers a Housing Choice Voucher ("HCV") Rental Assistance Program. B. The purpose of the Authority's Annual Plan is to advise HUD, program participants and members of the public of its mission and strategy to serve the needs of very low-income families. It provides information about the current operations of the Authority, including programs, participants, services for the upcoming year, and any operational or tenant concerns. C. The Authority is required to review its operations and needs for the Annual Plan with input from HCV participants. Three (3) Resident Advisory Board Meetings were held on February 16, 2023, with responses incorporated into the Annual Plan, as required by HUD regulations. D. HUD regulations require a forty-five (45) day public comment period. On February 16, 2023, a legal notice was published in the Orange County Register, Nguoi Viet and La Opinion advising the public that a draft of the Annual Plan was available for public review and comment and a public hearing would be held on April 4, 2023. The public comment period ended on April 1, 2023. Further, a public hearing was held by the Housing Authority on April 4, 2023, and all comments received at the hearing are included in the final documents to be submitted to HUD. Section 2. The Annual Plan for Fiscal Year 2023-2024 of the Housing Authority of the City of Santa Ana is hereby approved and adopted. Said Annual Plan shall be submitted by the Authority to HUD. Section 3. This Resolution shall take effect immediately upon its adoption by the Authority Board, and the Recording Secretary for the Authority shall attest to and certify the vote adopting this Resolution. Resolution 2023-XXX Page 1 of 2 City Council 2 — 90 4/4/2023 EXHIBIT 2 ADOPTED this day of 12023. Valerie Amezcua Chair APPROVED AS TO FORM: Sonia R. Carvalho, General Counsel l By. G 4A4 u -� Andrea Garcia -Miller Assistant Counsel AYES: Boardmembers: NOES: Boardmembers: ABSTAIN: Boardmembers: NOT PRESENT: Boardmembers: CERTIFICATION OF ATTESTATION AND ORIGINALITY I, JENNIFER L. HALL, Recording Secretary to the Housing Authority, do hereby attest to and certify the attached Resolution No. 2023-_ to be the original resolution adopted by the Housing Authority of the City of Santa Ana on April 4, 2023. Date: Jennifer L. Hall, Recording Secretary Resolution 2023-XXX Page 2 of 2 City Council 2 — 91 4/4/2023