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FULL PACKET_2010-09-07
MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA AUGUST 16, 2010 CLOSED SESSION MEETING CALLED TO ORDER YOST THEATER 307 N. SPURGEON STREET SANTA ANA, CA 5:06 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor CLAUDIA ALVAREZ, Mayor Pro Tern P. DAVID BENAVIDES (5:15 p.m.) CARLOS BUSTAMANTE MICHELE MARTINEZ VINCENT F. SARMIENTO SAL TINAJERO ABSENT: NONE STAFF Present: DAVID N. REAM, City Manager JOSEPH FLETCHER, City Attorney MARIA D. HUIZAR, Clerk of the Council PUBLIC COMMENTS - None CLOSED SESSION ITEMS 1A CONFERENCE WITH REAL PROPERTY NEGOTIATOR pursuant to Government Code Section 54956.8 Agency Negotiators: Personnel Services Executive Director, Kathie Gonzalez Employee Organizations: Service Employees International Union (SEIU) Santa Ana Management Association Santa Ana Firemen's Benevolent Association Santa Ana Police Officer's Association Santa Ana Police Management Association CITY COUNCIL MINUTES AUGUST 16, 2010 1 0A-1 Santa Ana Fire Management Association Confidential Association of Santa Ana 1B 1C 1D PUBLIC EMPLOYEE APPOINTMENT pursuant to Government Code Section 54957 Fire Chief PUBLIC EMPLOYEE PERFORMANCE EVALUATION pursuant to Government Code Section 54957 Title: City Attorney PUBLIC EMPLOYEE PERFORMANCE EVALUATION pursuant to Government Code Section 54957 Title: Clerk of the Council ADJOURNED 5:40 P.M. CITY COUNCIL MINUTES 2 AUGUST 16, 2010 1 0A-2 REGULAR CITY COUNCIL MEETING CALLED TO ORDER ATTENDANCE YOST THEATER 307 N. SPURGEON STREET SANTA ANA, CA 5:50 P.M. COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor CLAUDIA ALVAREZ, Mayor Pro Tern CARLOS BUSTAMANTE P. DAVID BENAVIDES MICHELE MARTINEZ VINCENT F. SARMIENTO SAL TINAJERO ABSENT: NONE STAFF Present: DAVID N. REAM, City Manager JOSEPH FLETCHER, City Attorney MARIA D. HUIZAR, Clerk of the Council PLEDGE OF ALLEGIANCE Mayor Pulido CLOSED SESSION REPORT - See Agenda Item 19A for report. PUBLIC COMMENTS • Chris Prevatt, commented on public speaker matter from August 2, 2001 meeting; opined that public speaker restricted due to comments being critical of council; should allow public to speak and be heard. • Claudio Gallegos, not supportive of Item 13C; opined that Mayor Pro Tern and Mayor have changed support of former commissioner who is known Minuteman; support freedom of speech. • Christine Schaefer, representing Alzheimer's Association, provided overview of services and upcoming fundraising events. • William Fitzgerald, spokesperson for HOME (Home Owners Maintaining our Environment), opposed to abuse of taxation and 1St Amendment right violations. • Jeff Dickman, requested Item 13C on Consent Calendar be pulled for discussion and council to reconsider recommended action. • Francisco Barragan, perceived violation of free speech of Mr. Albert Castillo at the August 2, 2010 meeting; requested mediated measures. CITY COUNCIL MINUTES 3 AUGUST 16, 2010 1 0A-3 • George Collins, believed that only routine items were to be considered at Work Study Session meetings. (Mayor Pulido noted that meetings are now televised and any item may be considered by the Council.) • Sean Mills, supports Item 13C. • Tefere Gebre, thanked council for support of Item 55B. • Mauricio Cardenaz, presented soccer proposal for kids. • Alex Vega, (addressed the Council in Spanish) spoke on past personal experiences with personal attacks and other violations. • Art Pedroza, supports Item 13C; continued enforcement of City's Code of Conduct and Ethics; and requested Student Representative on Board of Parks and Recreation have voting rights. • Rob Cook, requested clarification of Measure D - Council term limits. • Ruben Alvarez, did not speak, but raised papers that read "I have the right to be heard. You cannot censor me." Mayor Pro Tern Alvarez motioned to allow Mr. Castillo to finish his comments from the August 2, 2010 meeting. Council discussion ensued. Councilmember Benavides apologized to Mr. Albert Castillo. Councilmember Sarmiento noted that Public Comments are broadly protected speech and may be regulated since it's a limited public forum; must limit comments to official business of the City; and the Request to Speak form has been revised to better address these issues. MOTION: Allow Mr. Albert Castillo the microphone to finish his public comments from the August 2, 2010 Council meeting. MOTION: Alvarez SECOND: Martinez VOTE: AYES: Alvarez, Benavides, Bustamante, Pulido, Martinez Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) Mr. Castillo did not address the Council. CONSENT CALENDAR MOTION: Approve staff recommendations with the following modifications on the Consent Calendar Items 10A through 31A: • Mayor Pro Tern Alvarez pulled item 23B for separate discussion. • Continue consideration of item 23C to September 7, 2010. CITY COUNCIL MINUTES 4 AUGUST 16, 2010 1 0A-4 • Councilmember Benavides pulled item 13C for separate discussion. MOTION: Martinez VOTE: AYES: NOES: ABSTAIN: ABSENT: MINUTES 10A 10B SECOND: Tinajero Alvarez, Benavides, Bustamante, Pulido, Martinez Sarmiento, Tinajero (7) None (0) None (0) None (0) ADMINISTRATIVE MATTERS MINUTES OF REGULAR MEETING OF JULY 19, 2010 - Clerk of the Council Office MOTION: Approve Minutes as corrected. MINUTES OF REGULAR MEETING OF AUGUST 2, 2010 - Clerk of the Council Office MOTION: Approve Minutes. BOARDS / COMMISSIONS / COMMITTEES 13A APPOINTMENT TO THE ORANGE COUNTY-CITY HAZARDOUS MATERIALS EMERGENCY RESPONSE AUTHORITY BOARD OF DIRECTORS - Santa Ana Fire Department MOTION: Appoint Hazardous Materials Disclosure Inspector, Chris Ciraulo, as Santa Ana's Alternative Board Member to the Orange County-City Hazardous Materials Emergency Response Authority (OCCHMERA) Board of Directors. 13B COUNCIL COMMITTEE REPORTS Committee Name Date Parks, Recreation, Education & Youth 04/03/2008 Parks, Recreation, Education & Youth 11/10/2009 CITY COUNCIL MINUTES 5 AUGUST 16, 2010 1 0A-5 Public Safety 07/27/2010 13C REMOVAL OF WARD 2 COMMISSION MEMBER FROM THE BOARD OF RECREATION AND PARKS Pursuant to Santa Ana Charter Section 901, a board or commission member may be removed by the City Council by the affirmative votes of a majority of the Council. Council discussion ensued. Noted that board/commission members serve at the pleasure of the City Council and may be removed by a majority vote. MOTION: Remove the Ward 2 representative from the Board of Recreation and Parks. MOTION: Martinez VOTE: AYES: NOES: ABSTAIN: ABSENT: SECOND: Tinajero Alvarez, Bustamante, Sarmiento, Tinajero (6) Pulido, Martinez Benavides (1) None (0) None (0) MISCELLANEOUS ADMINISTRATION 19A 19B 19C CLOSED SESSION REPORT - City Attorney's Office MOTION: Confirm appointment of Fire Chief Dave Thomas. EXCUSED ABSENCES - None REQUEST FOR PROPOSALS FOR FIRE HYDRANT MAINTENANCE SERVICES - Public Works Agency MOTION: Authorize the Public Works Agency to send the attached Request for Proposals to qualified firms to provide maintenance services for the City's public fire hydrants CITY COUNCIL MINUTES 6 AUGUST 16, 2010 1 0A-6 19D RESPONSE TO ORANGE COUNTY GRAND JURY REPORT - City Manager's Office MOTION: Authorize the Mayor to execute a letter responding to the Grand Jury Report "Santa Ana Street Car Project." BUDGETARY MATTERS APPROPRIATION ADJUSTMENTS 20A APPROPRIATION ADJUSTMENT - ENVIRONMENTAL REVIEW FOR FIRST STREET BRIDGE REPLACEMENT PROJECT - Public Works Agency MOTION: 1. Approve and adopt the Mitigated Negative Declaration Environmental Report No. 2010-108 for the replacement of the First Street Bridge over the Santa Ana River. 2. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2011-036 - Accepting funds in the amount of $9,147,083 from the California Department of Transportation into the Federal Highway Bridge Replacement Program Fund and appropriating funds to the Select Street Construction Fund. PROJECTS / CHANGE ORDERS 23A CONTRACT AWARD FOR RIVERVIEW NEIGHBORHOOD WATER MAIN IMPROVEMENTS (PROJECT NO. 093214) - Public Works Agency MOTION: 1. Award a contract to J. Desigio Construction, Inc., the lowest responsible bidder, in accordance with unit bid prices for the base bid in the estimated amount of $1,598,092 for construction of Riverview Neighborhood Water Main Improvements. 2. Approve a Funding Analysis with a total estimated construction cost of $1,997,500. CITY COUNCIL MINUTES 7 AUGUST 16, 2010 1 0A-7 23B CONTRACT AWARD FOR SR55/MACARTHUR BOULEVARD RAMPS WIDENING (PROJECT NO. 072503) - Public Works Agency Continued from the August 2, 2010 City Council meeting by a vote of 7-0. Item pulled 2 weeks ago; Mayor Pro Tem Alvarez requested staff continue to work with Santa Ana based businesses. MOTION: 1. Award a contract to Peterson-Chase General Engineering Construction, Inc., the lowest responsible bidder, in accordance with unit bid prices in the estimated amount of $1,126,850.64 for construction of SR-55/MacArthur Boulevard Ramps Widening. 2. Approve a Funding Analysis with a total estimated construction cost of $1,577,000. 3. AGMT NO. 2010-136- Direct the City Manager and Clerk of the Council to execute the attached Construction Cooperative Agreement with Caltrans for the State Route 55/MacArthur Boulevard Ramps widening project. MOTION: Alvarez SECOND: Tinajero VOTE: AYES: Alvarez, Benavides, Bustamante, Pulido, Martinez Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) 23C REJECTION OF BIDS FOR RESIDENTIAL STREET REPAIR PHASE 14 (PROJECT NO. 106730) - Public Works Agency MOTION: Continue consideration of matter to September 7, 2010. AGREEMENTS MOTION: Authorize the City Manager and Clerk of the Council to execute the following agreements, subject to non-substantive changes approved by the City Manager and City Attorney. (Item 25A through 25C) CITY COUNCIL MINUTES g AUGUST 16, 2010 1 0A-8 25A AGMT NO. 2010-155 - COMPREHENSIVE PHYSICAL EVALUATIONS AND HEALTH SCREENING - Execute an amendment with Pulmonary Consultants and Primary Care Physicians Medical Group, Inc., in an amount not to exceed $30,000 - Fire and Police Departments 25B AGMT NO. 2010-156 - DOWNTOWN SANTA ANA COMMUNITY MANAGEMENT DISTRICT AND BUSINESS IMPROVEMENT DISTRICT ANNUAL REPORTS AND AGREEMENT WITH DOWNTOWN INC. - Community Development Agency 1. Approve the 2010 Downtown Santa Ana Community Management District annual report. 2. Approve the 2010 Downtown Santa Ana Business Improvement District annual report. 3. Direct the City Attorney to prepare and authorize the City Manager and Clerk of the Council to execute an agreement with Downtown Inc., a non-profit corporation, in the amount of $1,294.37 to expend the remaining funds towards the "Clean and Safe" Program benefitting the BID area. 25C AGMT NO. 2010-157 - NEWPORT WATERSHED COOPERATIVE AGREEMENT - Execute an amendment to the cooperative agreement with the County of Orange to extend the term of the agreement to June 30, 2012 and authorize an annual payment amount of not to exceed $400,000 - Public Works Agency LAND USE MATTERS CONDITIONAL USE PERMIT/ VARIANCES 31A VARIANCE NO. 2010-03 TO INSTALL A NEW FREESTANDING SIGN THAT EXCEEDS THE NUMBER OF SIGNS ALLOWED WITHIN AN INTEGRATED DEVELOPMENT SITE AT 2130 EAST SEVENTEENTH STREET - ICI DEVELOPMENT COMPANY, APPLICANT - Planning and Building Agency On July 26, 2010, the Planning Commission adopted a resolution approving Variance No. 2010-03 as conditioned by a vote of 7-0 MOTION: Receive and file the staff report approving Variance No. 2010-03 as conditioned. CITY COUNCIL MINUTES AUGUST 16, 2010 1 0A-9 **END OF CONSENT CALENDAR** BUSINESS CALENDAR ORDINANCES / FIRST READING 50A ORDINANCE AMENDING CHAPTER 16 OF THE MUNICIPAL CODE ESTABLISHING STANDARDS FOR RETENTION OF WORKERS -- Public Works Agency MOTION: Place ordinance on first reading and authorize publication of title. ORDINANCE NO. NS-2807 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADDING SECTIONS 16-40 THROUGH 16- 42 TO ARTICLE II OF CHAPTER 16 OF THE SANTA ANA MUNICIPAL CODE RELATED TO SOLID WASTE COLLECTION REGULATIONS. MOTION: Sarmiento VOTE: AYES: SECOND: Bustamante Alvarez, Benavides, Bustamante, Pulido, Martinez Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) RESOLUTIONS 55A RESOLUTION APPROVING RELOCATION PLAN FOR AGENCY ACQUISITIONS IN THE STATION DISTRICT - Community Development Agency MOTION: Continue consideration of item for 2 weeks at the request of staff. MOTION: Bustamante SECOND: Benavides VOTE: AYES: Alvarez, Benavides, Bustamante, Pulido, Martinez Sarmiento, Tinajero (7) CITY COUNCIL MINUTES 10 AUGUST 16, 2010 1 0A-10 NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) 55B ADOPT RESOLUTIONS AUTHORIZING APPLICATIONS FOR STATE AND FEDERAL PLANNING AND TRANSPORTATION GRANTS - Planning & Building Agency MOTION: Adopt resolutions. RESOLUTION NO. 2010-040 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE CITY'S GRANT APPLICATION FOR THE CALIFORNIA PROPOSITION 84 (SUSTAINABLE COMMUNITIES PLANNING GRANT AND INCENTIVES PROGRAM UNDER THE SAFE DRINKING WATER, WATER QUALITY AND SUPPLY, FLOOD CONTROL, RIVER AND COASTAL PROTECTION BOND ACT OF 2006) AND AUTHORIZING THE CITY MANAGER TO EXECUTE ALL NECESSARY DOCUMENTS IN FURTHERANCE THEREOF. RESOLUTION NO. 2010-041 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING A GRANT APPLICATION FOR A SUSTAINABLE COMMUNITIES REGIONAL PLANNING GRANT UNDER THE U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT AND AUTHORIZING THE CITY MANAGER TO EXECUTE ALL NECESSARY DOCUMENTS IN FURTHERANCE THEREOF. MOTION: Benavides SECOND: Bustamante VOTE: AYES: Alvarez, Benavides, Bustamante, Pulido, Martinez Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) CITY COUNCIL MINUTES 11 AUGUST 16, 2010 1 0A-11 COUNCIL RECESSED TO THE COMMUNITY REDEVELOPMENT AGENCY AT 6:40 P.M., AND RECONVENED AT 6:41 P.M. WITH SAME MEMBERS PRESENT WORK STUDY SESSION WSA DOWNTOWN INC. ANNUAL REPORT - Community Development Agency Vicky Baxter, Executive Director of Downtown Inc. introduced Bob Steward, President of Downtown Inc. who presented 2009-2010 Annual Report and overview of Organization. o Year 1 Overview and Financials o Committee established include: Physical Enhancements, Marketing and Promotions, Outreach and Associations, Economic Enhancements, and Focused on the Future. o The Mission of the Downtown Inc. is to facilitate the enhancement of downtown Santa Ana as a vibrant shopping, entertainment, business and cultural destination for all. o Area includes 66 square blocks o Financials 2009-2010 ¦ Maintenance and Landscaping, $220k ¦ Marketing and Promotions, $373k ¦ Ambassador Program, $183k ¦ Physical Enhancements, $49k ¦ Administration and Operations, $125k o Financials 2010-2011 ¦ Maintenance and Landscaping, $231 k ¦ Marketing and Promotions, $393k ¦ Ambassador Program, $184k ¦ Physical Enhancements, $49k ¦ Administration and Operations, $120k Physical Enhancements Committee Chair, Ryan Chase, presented the following: o Clean and Safe ¦ Safety and Security ¦ Litter Maintenance ¦ Power Washing 0 4t" Street Tree Lighting o Bike Racks o Trolley as a pilot program Marking and Promotions Committee Chair, Joe Duffy, presented the following: o Brand Promise: Downtown Santa Ana is the eclectic, urban experience where the independent lives and thrive CITY COUNCIL MINUTES 12 AUGUST 16, 2010 1 0A-12 o Brand Voice: Progressive, confident, stimulating, inviting, unexpected o Website is: www.Downtown-SantaAna.com o Events hosted include: Dia de los Muertos, Cinco de Mayo, Fiestas Patrias, International Music Festival, World Cup, Posse on Broadway, Block Party-Handmade Brigade, Holiday Light Show, Film Series, Calle Cuatro, Cookies with Santa, and Valentines Celebration. Outreach and Associations Committee Chair, the following: o Hosted mixers in March and May o Merchants Association o Restaurant Association o Hosted "The Ladies of Jewelia" o "Downtown Divas" Teresa Saldivar, presented Economic Enhancements Committee Chair, Gil Marrero, presented the following: o New businesses/projections - Yost Theater renovations, new 4,000 square foot restaurant at Broadway and Td Street, improvements on 4th and Spurgeon Irving Chase discussed future of Downtown Inc. as well as new businesses and projections for a safe environment, event permitting, tenant attraction and parking. Public speaker Adolfo, suggested downtown merchants revamp business facades to be consistent with forthcoming improvements at Fiesta Marketplace. *Councilmember Tinajero left the meeting at 7:45 p.m. COMMENTS 90A CITY MANAGER'S COMMENTS - None 90B CITY COUNCILMEMBER COMMENTS Mayor Pro Tern Alvarez: • Congratulated newly appointed Fire Chief Dave Thomas. Councilmember Martinez: CITY COUNCIL MINUTES 13 AUGUST 16, 2010 1 0A-13 • Commented on the upcoming 1 year anniversary of the passing of her mentor Mark Press and talked about moving forward even through difficult times. Councilmember Benavides: • Echoed message of Mayor Pro Tern Alvarez and welcomed new Fire Chief Thomas; • Will continue to work with staff on transparencies, including compensation, and post on City's website; and • Request staff bring back resolution in support of Lou Correa's Assembly Bill on Taxpayer's Right to Know. Mayor Pulido: • Adjourn in Memory of Jenifer Sundara Bravo at the request of Councilmember Tinajero. ADJOURNED- 8:17 P.M. - The next meeting of the City Council is scheduled for Tuesday, September 7, 2010 at 5:00 p.m. for the Closed Session Meeting immediately followed by the Regular Business Meeting in the Council Chamber, 22 Civic Center Plaza, Santa Ana, California. Adjourn in Memory of Jenifer Sundara Bravo Maria D. Huizar, Clerk of the Council CITY COUNCIL MINUTES 14 AUGUST 16, 2010 1 0A-14 JWF (8/12/10) ORDINANCE NO. NS-XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ADDING SECTIONS 16-40 THROUGH 16-42 TO ARTICLE II OF CHAPTER 16 OF THE SANTA ANA MUNICIPAL CODE RELATED TO SOLID WASTE COLLECTION REGULATIONS THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. The California Legislature, by enactment of the California Integrated Waste Management Act of 1989 ("AB 939") established a solid waste management process that requires cities and other local jurisdictions to implement source reduction, reuse, and recycling as integrated waste management practices. B. AB 939 authorizes and requires local agencies to make adequate provisions for solid waste handling within their jurisdictions. C. The City is obligated to protect the public health and safety of its residents, and must ensure that waste disposal occurs in a manner that protects public health and safety. D. The City Council has determined that the most effective and efficient way to provide integrated waste management services to its residents and to meet its multiple statutory obligations related to waste management is through an agreements with experienced private waste disposal services providers. E. In the event of a change in the contracted waste disposal services provider, or a change in ownership or control of such provider, the retention of experienced waste disposal workers is an important component in assuring the continued safe, efficient and effective delivery of City waste disposal services. F. The purpose of this ordinance is to establish standards to help ensure the retention of experienced workers during the transition to new ownership or change in contracted waste disposal services. Ordinance No. NS-XXX Page 1 of 6 11 A-1 Section 2. Section 16-40 is added to Chapter 16 of the Santa Ana Municipal Code to read in full as follows: Sec. 16-40. General Application and Definitions (a) Sections 16-40 through 16-42 shall apply to any corporation, company, partnership, trust, estate, association, joint venture or other legal or commercial entity operating within the City that employs workers to perform Waste Disposal Services. (b) "Change in Contract" shall mean any change by the City of any Waste Services Provider with whom the City contracts to provide Waste Disposal Services. (c) "Change in Control" shall mean any sale, assignment, transfer, contribution or other disposition of all or substantially all of the assets or a controlling interest (including by consolidation, merger, or reorganization) of the Incumbent Operator, or any Person who controls such Incumbent Operator, in a Waste Services Provider, to a New Operator. (d) "City" shall mean the City of Santa Ana. (e) "Incumbent Operator" shall mean the Person who owns, controls, and/or operates a Waste Services Provider prior to a Change in Control or Change in Contract. (f) "New Operator" shall mean the Person who owns, controls and/or operates a Waste Services Provider following a Change in Control or Change in Contract. (g) "Person" shall mean an individual, corporation, partnership, limited partnership, trust, estate, association, joint venture, agency, instrumentality, or any other legal or commercial entity, whether domestic or foreign. (h) "Qualified Displaced Worker" shall mean any person employed by an Incumbent Operator or any subcontractor of a Incumbent Operator of a Waste Services Provider who: (i) is not an "exempt" employee under the Fair Labor Standards Act (FLSA); and, (ii) has been employed at the Establishment by the Incumbent Operator or any subcontractor of the Incumbent Operator for at least 30 calendar days prior to the execution of the Transfer Document. (i) "Transfer Document" shall mean the document effecting a Change in Control or Change in Contract. Ordinance No. NS-XXX Page 2 of 6 11 A-2 0) "Waste Disposal Services" shall mean the collection, transfer, transport, recycling, processing and/or disposal of residential, and commercial, industrial solid waste and solid waste generated at temporary construction and demolition sites under contract to the City through a franchise or other exclusive or non-exclusive agreement. (k) "Waste Services Provider" shall mean any entity identified in Section 16- 40 of this Article and any subcontractor of such an entity providing Waste Disposal Services. Section 3. Section 16-41 is added to Chapter 16 of the Santa Ana Municipal Code to read in full as follows: Sec. 16-41. Employee Retention/Preferential Hiring/Wage Maintenance (a) Within ten (10) days of the execution of a Transfer Document, an Incumbent Operator shall provide to the New Operator and the Executive Director of Public Works a list of all of the employees of the Incumbent Operator of a Waste Services Provider, including each employee's name, last know address, date of hire and job classification at the time of the transfer. The New Operator shall offer employment at an Establishment to all Qualified Displaced Workers. (b) All New Operator work hours performed by a Waste Services Provider must be performed, to the extent feasible, by Qualified Displaced Workers. Nothing herein shall be construed as requiring the New Operator to create additional positions that the New Operator does not need. However, prior to reducing the amount of work hours or positions utilized to perform waste disposal services at an Establishment, a New Operator must obtain written approval from the Executive Director of Public Works. (c) A New Operator shall not discharge any Qualified Displaced Worker, except for cause, for at least one-hundred-eighty (180) days from the effective date of a Transfer Document, or the date on which the New Operator actually begins operating the Waste Services Provider, whichever is later. (d) At the end of such 180-day period, the New Operator (or subcontractor, where applicable) shall perform a written performance evaluation for each employee retained pursuant to this ordinance. If the employee's performance during such 180-day period is satisfactory, the New Operator (or subcontractor) shall offer the employee continued employment. (e) In the event that, during the one-hundred-eighty (180) day transition period described in Section 16-42 above, the New Operator determines that fewer positions are needed to deliver and maintain the contracted service, the New Operator shall retain Qualified Displaced Workers by seniority. Seniority shall be determined by reference to the collective bargaining agreement covering the Ordinance No. NS-XXX 1 1A-3 Page 3 of 6 Qualified Displaced Workers, if one exists, or, if no such agreement exists, then by reference to the initial hire date with the Incumbent Operator of each Qualified Displaced Worker. Any Qualified Displaced Workers not retained by the New Operator shall be placed on a preferential hiring list and considered by the New Operator for any job openings that may arise. (f) Each New Operator must provide all employees of a Waste Services Provider with wages in an amount and benefits at a value of not less than the greater of those (a) in effect at the point of execution of the Transfer Document or (b) in any collective bargaining agreement, whether effective or expired, between an Incumbent Operator and such employees. For purposes of this Article, "wages and benefits "includes all wages or compensation referenced in the existing collective bargaining agreement including provisions addressing how overtime shall be calculated, employer and employee contributions for medical insurance and retirement benefits, any tool, shoe or uniform allowance, sick leave, vacation time and personal or family leave. Section4. Section 16-42 is added to Chapter 16 of the Santa Ana Municipal Code to read in full as follows: Sec. 16-42. Retaliation and Discrimination Barred; No Waiver of Rights; Enforcement (a) No Incumbent Operator or New Operator shall discharge or otherwise discriminate against anyone for making a complaint, participating in any City proceeding, or using any civil remedy to enforce his or her rights, or for otherwise asserting his or her rights under this ordinance. (b) Any waiver by a Qualified Displaced Worker of any or all of the provisions of this ordinance shall be deemed contrary to public policy and shall be void and unenforceable, except where such waiver occurs in a bona fide collective bargaining agreement. Any attempt by an Incumbent Operator or New Operator to have a waste or recycling worker waive rights given by this ordinance shall constitute a willful violation of this ordinance. (c) In addition to any rights and remedies which an employee might have, under any federal or state statute or regulation or municipal ordinance or regulation or at common law, any employee claiming a violation of this ordinance may bring an action against an Incumbent Operator or New Operator in the Superior Court of the State of California, to enforce the provisions of this ordinance, and may seek liquidated damages, back pay, any other actual damages, reinstatement, injunctive relief, punitive damages, and any other legal or equitable relief, as permitted by law. Violations of this ordinance are declared to irreparably harm the public and covered employees generally. Ordinance No. NS-XXX Page 4 of 6 11 A-4 (d) The terms of this ordinance shall be included, by reference, in all future Waste Disposal Services contracts entered into by the City , and all future Waste Services Providers shall include the terms of this ordinance, by reference, in all contracts or subcontracts which the Waste Services Provider may enter into involving Waster Disposal Services. Section 5. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. ADOPTED this day of )2010 Miguel A. Pulido Mayor APPROVED AS TO FORM: Joseph W. Fletcher City Attorney AYES: NOES: Councilmembers Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers 11 A-5 Ordinance No. NS-XXX Page 5 of 6 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS-XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on , and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana Ordinance No. NS-XXX Page 6 of 6 11 A-6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: DESTRUCTION OF OBSOLETE CITY RECORDS CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1St Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER CITY MANAGER RECOMMENDED ACTION Approve the requests for the destruction of obsolete records from various City departments in accordance with the retention schedule outlined in City Council Resolution 2006-045. DISCUSSION On July 3, 2006, the City Council approved a resolution outlining the records retention schedule for the agencies, departments, and offices of the City. City records are governed by the Public Records Act which provides the time in which records need to be kept. The Citywide Records Team compiled the Citywide Records Retention Schedule which sets forth the retention period for a particular record. The Municipal Code requires that the destruction of a City record be approved by the City Attorney. In accordance with Section 513 of the Citywide Records Retention Schedule Resolution, the City Attorney has approved the list of records proposed for destruction from the departments as outlined in the attached documents. FISCAL IMPACT There is no fiscal impact associated with this item. 19C-1 19C-2 MEMORANDUM To: Laura Sheedy, Assistant City Attorney City Attorney's Office From: Mark Lawrence, Executive Assistant to the City Manager Date: September 7, 2010 Re: REQUEST FOR DESTRUCTION OF RECORDS The City Manager's Office requests your consent to destroy city records on the attached listing, in accordance with the retention schedule outlined in City Council Resolution 2006-045. Thank you. Y Vj -E Wd 6 L 5f 'V W U 19C-3 CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE CITY MANAGER'S OFFICE 2010 RECORD RECORD RECORD EXPIRATION CATEGORY SERIES DESCRIPTION DATES Chronological Files Staff Memoranda and Correspondence September 1, 2008 and prior Correspondence/ September 1, Chronological Files Councilmember Self-explanatory 2008 and prior Council Requests Mayor Inquiries processed for Mayor September 1, 2008 and prior Wards 1 through 6 Inquiries processed for Councilmembers September 1, 2008 and prior Correspondence General Correspondence Self-explanatory September 1. 2008 and prior Staff Inquiries processed for Staff September 1, 2008 and prior Monthly Status City Manager Self-explanatory September 1, Reports 2008 and prior Payroll Records Council/Staff Self-explanatory September 1, 2008 and prior September 1, Travel Folders Council/Staff Self-explanatory 2008 and prior APPROVE: 4 " --? - 41 David N. Ream Date City Manager RECORDS DESTROYED: Volume in Cubic Feet Weight in Pounds CONSENT: Aseph W. Flet Date City Attorney AUDITED BY: Mark Lawrence Date Assistant to the City Manager 19C-4 Memorandum Date: July 16, 2010 To: Joseph Fletcher, City Attorney From: Edward Raya, Risk Manager Subject: REQUEST FOR DESTRUCTION OF RECORDS The Risk Management Division requests your consent to destroy the records identified on the attached listing in accordance with the retention schedule outlined in City Resolution 2006-045. Thank you. Edward Raya Risk Manager 19C-5 CITY OF SANTA ANA DESTRUCTION OF RECORDS 2010 RECORD CATEGORY RECORD SERIES RECORD DESCRIPTION RECORD DATE Risk Management Liability Claims Against Non-litigated tort claims December 2006 and prior the City filed against the City for damages to persons or personal property. PREPARED BY: CONSENT: Briza Morales Date Kathie Gonzalez Date Personnel Secretary Executive Director Risk Management Division Personnel Services Agency Records Destroyed: APPROVED BY: -:7 15 Number of boxes J eph Fletcher Date City Attorney 19C-6 City of Santa Ana Liability Claims to be Destroyed Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 99-032 20th Century Insurance (Evans, Ronald) 10/07/1998 APD 03/05/1999 11/30/1999 Police 2001-217 21st Century Ins. Co. (Solliday, Laurie) 07/30/2001 APD 11/30/2001 03/29/2002 Public Works 2001-042 AT&T 04/01/2000 LPD 03/15/2001 06113/2002 Finance 2001-060 Abarca, Hermilo Cruz 02/0812001 ABI 04/09/2001 11/19/2001 Public Works 2002-024 Abrigg; Romeo Reinoso 02/02/2002 ABI 02111/2002 10/31/2002 Police 98-144 Abuali, Mohammad 03/24/1998 LPD 08/28/1998 03/26/1999 Police 2001-216 Acuna, Antonio 11/26/2001 LPD 11/28/2001 07/31/2002 Police 2001-219 Adelabu, Kola 08/15/2001 LPD 12/03/2001 01/30/2003 Police 96-147 Afghani, Steven 07/08/1996 LPD 0811611996 12/31/1997 Finance 2001-009b Afra, Francis H 09/21/2000 ABI 02/09/2001 08/30/2001 Finance 2001-077 Aguilar, Carmen F 04/24/2001 LPD 05/03/2001 06/21/2001 Public Works 98-085 Aguilar, Perla 02/10/1998 ABI 05/15/1998 02/01/1999 Police 2001-071 Aguilar, Ronald J 04/11/2001 LPD 04/26/2001 10/1612001 Police 99-194 Aguilera, Kurt 06/19/1999 LPI 12/15/1999 10/08/2001 Police 96-229 Aguillon, Maria b. 07/17/1996 ABI 12/17/1996 08/29/1997 Police 97-164 Ahmadi, Ahmad 09130/1997 LPD 10/1711997 03/25/1998 Public Works 98-095 Aiello, Tony 05/01/1998 LPD 06/19/1998 02/26/1999 Finance 99-169 Akers, Kathleen 0 9124/1 9 99 LPD 10/20/1999 06120/2000 Police 98-112 Alarcon, Brian 12/26/1997 LBI 06/29/1998 02/26/1999 Wrong Entity 97-207 Aleman, Alejandro 12/11/1997 LPD 12/30/1997 09/30/1998 Public Works 2002-055 Allegrini, Rita 12/11/2001 LPD 04/15/2002 12/18/2002 Public Works ,2000-004 Allen, Anna F 12/08/1999 LBI 01/07/2000 08/29/2000 Public Works 2002-063 Allen, David T 04/06/2002 LPD 04/29/2002 09/18/2002 Public Works 2002-119 Allen, David T 04/05/2002 LPD 08/13/2002 10/03/2002 Public Works 98-149 Allen, Jimmy 06/2411998 APD 07101/1998 08/31/1998. Police 2001-050, Allstate Indemnity (Ayala, Salvador) 01/2912001 APD 03126/2001 11/3012001 Police 2000-130a Allstate Indemnity (McAllister, Tessie) 07/09/2000 APD 10/04/2000 03/07/2001 Police 99-080 Allstate Insurance (Lopez/Hemandez) 0412 9/1 99 9 APD 05/18/1999 02/01/2000 Police 2002-082 Allstate Insurance Co (McMahan, William) 04/23/2002 APD 06120/2002 01/31/2003 Public Works 97-045 Allstate Insurance, (Araoz, Eduardo) 02/07/1997 LPD 03/27/1997 12/31/1997 Police Run Date: 07/16/2010 14:26:10 Run By: BMORALES City of Santa Ana - Confidential Page 1 of 36 19C-7 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 97-151 Allstate Insurance, (Sego, Eugene & 07/23/1997 LPD 10/0111997 02/05/1999 Police 99-065 Alminiana, Jr., Anthony J 11/20/1998 LPD 04/26/1999 01/31/2000 Public Works 2000-002 Alonso, Otoniel 12/03/1999 LPD 01/04/2000 08/29/2000 Public Works 2001-032 Alvarado, Sylvia 02/06/2001 APD 05/17/2001 02/04/2002 Police 98-135 Alvarez (minor), Erik 06/25/1998 LBI 08/12/1998 06/25/1999 Public Works 2001-226 Alvarez, Buddy 12/17/2001 LPD 12/21/2001 01/02/2003 Police 2001-102 Alvarez, Cesar F 05/30/2001 LPD 06/13/2001 06/21/2001 Police 97-203 Alvelais, Robert 12/18/1997 LPD 12/22/1997 09/30/1998 Police 99-070 American Roofing Systems, Inc. 11/02/1998 LPD 04/29/1999 01/31/2000 Public Works 99-099 Ames, Melissa K 06/23/1999 LPD 06/25/1999 02/25/2000 Public Works 97-141 Anaya, Nicolle 03/12/1997 LPD 09/07/1997 05/28/1998 Public Works 2001-165b Angeles, Liborio 03/14/2001 LBI 09/17/2001 03/29/2002 Public Works 2001-128 Antonio, Cruz R 05/03/2001 LPD 08/16/2001 04/30/2002 Public Works 98-167 Antriasian, Paul M. 07/2411998 LPD 10/05/1998 07/30/1999 Police 2001-183 Aquino, Gilberto 08/09/2001 LPD 10/05/2001 07/31/2002 Public Works 98-186 Araiza, Juan 05/19/1998 ABI 11/10/1998 07/23/1999 Fire 98-158 Aranda, Rosa M. 09/17/1998 LPD 09/24/1998 06/25/1999 Parks & Recreation 2001-156 Arevalos, Valentin 03/22/2001 LBI 09/07/2001 05/29/2002 Public Works 2001-040 Arias, Juan 01/27/2001 LPD 03/08/2001 03/21/2002 Public Works 2001-040 Arias, Julia Perez de 01/27/2001 LPD 03/08/2001 12/19/2001 Public Works 2001-180 Arias, Otila E 09/04/2001 LPD 10/02/2001 12/28/2001 Public Works 96-230 ARIZONA PIPELINE CO. 06/11/1996 LPD 12/17/1996 08/29/1997 Wrong Entity 99-100 Armendariz, Alain 05/30/1999 LPD 06/28/1999 05/11/2000 Police 2000-105 Arzate, Gloria 02/02/2000 LBI 08/02/2000 12/20/2002 Public Works 2000-105 Arzate, Jr. (minor), Gloria 02/02/2000 LBI 08/02/2000 12/20/2002 Public Works 99-014 Ashley, Renee 12/02/1998 LPD 01/25/1999 06/25/1999 Public Works 2002-046 Auger, Thomas 02/23/2002 LPD 03/28/2002 12/18/2002 Public Works 2000-062b Auto Club of So Cal (Carson, Edward) 05/02/2000 APD 07/31/2000 09/12/2000 Public Works 2001-206 Auto Club of So Cal (Landon, Phillip) 05/16/2001 APD 11/19/2001 06/04/2003 Planning & Building 2000-040b Auto Club of So Cal (Stark, Patrick) 03/13/2000 LPD 07/31/2000 04/03/2001 Public Works 96-212 Auto Club of So Cal, (Roberto Jr., Joseph) 08/09/1996 LPD 11/18/1996 07/31/1997 Public Works 2001-009a Auto Club of So Cal. (Roshanzamir, 09/21/2000 APD 01/12/2001 09/18/2001 Finance 97-149 Auto Club of So. Cal, (Velarde, Rosalie) 05/06/1997 APD 09/18/1997 05/28/1998 Fire Run Date: 07/16/2010 14:26:10 Run By: BMORALES City of Santa Ana - Confidential Page 2 of 36 19C-8 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 99-207 Avalos, Jose T 02/0811998 OTH 12/29/1999 03/07/2000 Public Works 2000-116 Avila, Larissa 08/29/2000 LPD 09/06/2000 06/29/2001 Public Works 99-056 Ayson-Travis, Dina 04/12/1999 LPD 04/13/1999 06/14/1999 Public Works 99-016 Badillo, Rosario 09/01/1998 LBI 01/26/1999 08/31/1999 Wrong Entity 95-166 Bahena, Gaudencio 08/25/1995 ABI 09/22/1995 07/14/1997 Parks & Recreation 98-156 Baires, Jose Antonio Cruz 04/09/1998 LPD 09/24/1998 02/01/1999 Police 97-179 Ball, Jennifer 05/02/1997 OTH 11/14/1997 07/31/1998 Police 99-055 Banas, Michelle 10/19/1998 LBI 04/13/1999 01/31/2000 Public Works 2001-159 Baneulos, Evelyn 09/11/2000 LPD 09/10/2001 05/30/2002 Public Works 2000-067a Barajas, Ethan 04/20/2000 ABI 05/15/2000 09/21/2000 Police 2000-036 Barazin, Al 01/05/2000 LBI 03/20/2000 08/31/2001 Public Works 97-176 Barnes, C. M. 10/29/1997 ABI 11/12/1997 04/01/1999 Police 97-176 Barnes, Hazel M. 10/29/1997 ABI 11/12/1997 04/01/1999 Police 98-123 Barr, Brian 01/04/1998 LPD 07/07/1998 03/26/1999 Police 2001-228 Barraza, Stacey 12/06/2001 LPD 12/31/2001 09/27/2002 Police 2001-113 Barriga, Everardo 06119/2001 LPD 06/25/2001 03/11/2002 Public Works 2001-082 Barrios, Romeo A 05/03/2001 APD 05/15/2001 06/1512001 Public Works 2000-149 Bausman, Elizabeth 03/21/2000 OTH 11/13/2000 01/08/2001 Parks & Recreation 2001-149 Bedford, Leon Milton 07/20/2001 LPD 08/30/2001 10/05/2001 Community 99-057 Beltran, Jose 03/09/1999 LPD 04/19/1999 07/23/1999 Police 2000-118 Bemus Landscape 08/19/2000 LPD 09/08/2000 05/31/2001 Public Works 97-126 Ben-artzi, Itai 02/01/1997 LPD 07/21/1997 03/25/1998 Public Works 2000-113 Bermejo, Ruben E 07/10/2000 LPD 08/31/2000 10/10/2000 Police 2001-122 Bermudez, Efrain 06/18/2001 LPD 07/0612001 03/11/2002 Public Works 2000-089 Bertman, Amy M 05/03/2000 LPD 06/28/2000 03/30/2001 Public Works 2000-104 Berumen, Maria 1 04/04/2000 LPD 08/02/2000 03/30/2001 Public Works 2001-067 Blanco, Jesse M 11/14/2000 LPD 04/19/2001 06/05/2001 Police 97-167 Blanco, Jesus m. 04/14/1997 OTH 10/28/1997 07/31/1998 Police 99-129 Boaz, Geoffrey C 07/22/1999 APD 08/31/1999 11/03/1999 Police 98-075 Bolden, Billy R. 03/30/1998 LPD 04/30/1998 01/29/1999 Police 98-152 Bond, Joanne 03/1911998 LBI 09/18/1998 06/25/1999 Public Works 96-208 Bonilla, Fabian 10/19/1996 ABI 11/05/1996 07/07/1997 Public Works 99-061 Borboa, Gabriel 12/10/1998 LPD 04/19/1999 01/31/2000 Police Run Date: 07/16/2010 14:26:10 Run By: BMORALES City of Santa Ana - Confidential Page 3 of 36 19C-9 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 2000-031 Borja, Francisco Bailon 02/27/2000 LPD 03/06/2000 05/30/2000 Police 2002-090 Borras, Josephine 04/06/2002 LPD 06/17/2002 07/24/2002 Public Works 98-072 Bottoms, Mark 12/03/1997 LPD 04/17/1998 01/29/1999 Public Works 97-188 Botwin, Ronald m. 08/01/1995 LPD 11/26/1997 06/02/1998 Finance 2001-010 Boyland, Rita M 01/21/2000 OTH 01/19/2001 09/06/2001 Public Works 2000-136 Bozso, Laurel C 09/16/2000 LPD 10/17/2000 01/08/2001 Police 2000-075 Branderfino, Richard 12/01/1999 LPD 05/30/2000 07/25/2000 Police 99-133 Breceda, Ulysses 08/30/1999 LPD 09/09/1999 10/13/1999 Police 99-197 Brimmer, David 11/24/1999 LPD 12/16/1999 09/22/2000 Public Works 2001-108 Briseno, Grace 05/02/2001 APD 06/15/2001 08/22/2001 Public Works 99-113 Britton, Anthony 12/01/1998 OTH 08/01/1999 03/22/2000 Public Works 98-076 Broach, Deborah 11/01/1997 ABI 05/04/1998 02/05/1999 Police 2001-049 Brown, Gilda E. Crone 01/25/2001 LPD 03/22/2001 09/18/2001 Public Works 2001-126 Brown, John & Hazel 07/05/2001 LPD 07/11/2001 11/06/2001 Police 2000-144 Brown, Maria 08/19/2000 LPD 11/01/2000 07/31/2001 Public Works 97-020 Brown, Roberta 11/19/1996 LPD 02/13/1997 10/30/1997 Public Works 97-084 Brown-Reynolds, Dorothy 07/05/1996 OTH 05/08/1997 01/30/1998 Police 2004-094 Brunn, Armand 05/29/2003 OTH 07/14/2004 04/28/2005 Fire 98-081 Bryant, Cheryl Lynn 11/11/1997 LBI 05/08/1998 02/05/1999 Police 2000-009 Brynie, Matthew C 01/17/2000 LPD 01/26/2000 09/22/2000 Public Works 2002-013 Bui, Lewis M 01/14/2002 LPD 01/28/2002 11/27/2002 Public Works 98-063 Burk, Bill 08/25/1993 LPD 04/07/1998 07/23/1998 Finance 2002-064 Burnham, Paul G 01/06/2002 LPD 04/29/2002 12/18/2002 Police 2002-114 Bush, Andrea 06/18/2002 LPD 08/02/2002 09/25/2002 Parks & Recreation 2000-141 Bustamante (minor), Juan Carlos 10/31/1999 LBI 10/30/2000 02/25/2002 Public Works 99-153 Bustamante, Juan 08/12/1999 APD 10/04/1999 12/21/1999 Public Works 2000-141 Bustamante, Susana 10/31/1999 LBI 10/30/2000 02/25/2002 Public Works 2001-091 Byrd, Denise 12/01/2000 LBI 05/24/2001 01/31/2002 Wrong Entity 2000-025 Cabeza, Oscar 08/25/1999 APD 02/24/2000 04/14/2000 Police 2000-059 Caldera, Maria 03/30/2000 LPI 04/2812000 12/20/2000 Police 2002-002 Calderon, Maria 12/05/2001 LPD 01/08/2002 09/27/2002 Public Works 98-018 Callen, Roger d. 09/12/1997 LPD 01/23/1998 10/30/1998 Police 97-132 Calva, Gudelia 08/07/1996 OTH 08/08/1997 02/05/1999 Police Run Date: 07/16/2010 14:26:10 Run By: BMORALES City of Santa Ana - Confidential Page 4 of 36 19C-10 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 99-189 Camarena, Jose 09/01/1998 OTH 12/01/1999 03/22/2000 Police 2000-122 Camarena, Raquel 01/01/1993 LPD 09/25/2000 03/16/2001 Finance 2001-007 Camarillo, Francisco 10/10/2000 LPD 01/10/2001 10/31/2001 Public Works 99-047 Canizares, Elan 03/03/1999 LPD 03/31/1999 05/02/2000 Police 2001-212 Cantillo, Richard 11/13/2001 LPD 11/20/2001 09/03/2002 Public Works 2002-183 Cantoran, Leticia 06/29/2002 LBI 12/26/2002 09/03/2003 Public Works 2003-032 Capiton, Sophie 01/06/2003 LPD 01/30/2003 08/22/2003 Public Works 97-095 Caravana, Inc. (Phelps, George) 06/01/1997 APD 06/12/1997 09/1611997 Police 2000-161 Cardoso, Raul B 11/21/2000 APD 12/13/2000 02/12/2001 Parks & Recreation 2001-083 Carey, Lisa & Patrick 01/05/2001 LPD 05/14/2001 08/22/2001 Public Works 99-206 Caribou Industries, Inc. 11/28/1999 LPD 12/29/1999 09/22/2000 Public Works 2002-034 Carisoza, Arthur D 01/01/2002 LPD 03/05/2002 11/27/2002 Police 2005-025 Carlini, Donna 01/08/2005 LPD 01/21/2005 10/3112005 Public Works 2002-121 Carlson, Raymond Howard 09/26/1994 OTH 08/16/2002 04/30/2003 Police 2000-056 Caro, Amanda 04/12/2000 LBI 04/25/2000 12/20/2000 Public Works 2003-212 Caro, Amelia P 10/27/2003 LBI 11/03/2003 06/22/2004 Parks & Recreation 2003-055 Carota, Carmela M 01/28/2003 LPD 02/14/2003 02/27/2004 Public Works 98-049 Carpenter, Michael a. 12122/1997 APD 03/20/1998 05/12/1998 Parks & Recreation 2003-042 Carranza, Jessica 01/06/2003 LPD 02/06/2003 10/21/2003 Public Works 2003-036 Carrillo, Doris 01/22/2003 APD 02/03/2003 03/31/2003 Police 2000-062a Carson, Edward F 05/02/2000 APD 05/04/2000 09/12/2000 Public Works 2002-159 Carter, Kathy 09/10/2002 LPD 10/31/2002 11/25/2002 Police 2001-135 Carver, Michael 02/06/2001 LPD 08/06/2001 04/30/2002 Public Works 99-037 Castelan, Marcos 03/05/1999 LPD 03/12/1999 01/31/2000 Police 2000-033 Castellanos, Armand M 11/11/1999 LPD 03/16/2000 01/31/2001 Parks & Recreation 2000-101 Castillo, Joey E 12/02/1999 OTH 07/31/2000 03/30/2001 Parks & Recreation 98-038 Castro, Eduardo 05/11/1997 OTH 02/23/1998 10/30/1998 Parks & Recreation 99-204 Castro, Jesus V 11/24/1999 APD 12/22/1999 02/15/2000 Public Works 2002-017 Ceja, Gloria M 07/27/2001 OTH 02/01/2002 09/27/2002 Public Works 2000-014 Celeste, Jeannette 12/31/1999 LPD 02/08/2000 10/27/2000 Public Works 2006-072 Century-National Insurance (Victoria, 02/23/2006 LPD 06/21/2006 09/2612006 Police 2001-127 Cerna, Rosa 06/21/2001 LPD 07/13/2001 08/01/2001 Police 2006-108 Cervantes, Raul 09/04/2006 APD 09/15/2006 12/13/2006 Police Run Date: 07/16/2010 14:26:10 Run By: BMORALES City of Santa Ana - Confidential Page 5 of 36 19C-11 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 2001-131 Chaidez, Ramon 07/22/2001 LPD 08/01/2001 06/14/2002 Public Works 2002-043 Chaires, Laurie 02/18/2002 LPD 03/21/2002 12/18/2002 Public Works 2000-097 Chambers, Luz 05/22/2000 LBI 07/20/2000 02/04/2002 Public Works 98-061 Chamley, Kris 01/03/1998 LPD 04/06/1998 02/05/1999 Public Works 2000-098 Charron, Efrain 08/13/1999 LPD 07/26/2000 05/31/2001 Wrong Entity 99-111 Chief Auto Parts, Inc. and Autozone, Inc. 06/25/1999 IC 07/30/1999 12/14/1999 Public Works 2001-047 Childs, Phillip 1 2/0 912 0 0 0 LBI 03/20/2001 11/30/2001 Wrong Entity 2001-047 Childs, Stephen 1 2/0 912 0 0 0 LBI 03/20/2001 11/30/2001 Wrong Entity 2002-059 Chipps, Sr., James A 04/06/2002 LPD 04/24/2002 09/25/2002 Public Works 98-201 Christensen, Jamie s. 11/18/1998 LPD 11/30/1998 02/01/1999 Finance 98-106 Chubb Group, (Standard Register/Araiza) 05/1 911 9 9 8 APD 06/18/1998 08/31/1998 Fire 2000-026 Church of God of Prophecy 01/30/2000 LPD 02/25/2000 10/27/2000 Public Works 2005-103 Cibrian, Rodrigo N 08/27/2004 OTH 04/04/2005 05/22/2006 Police 2001-119 City of Buena Park 1111012000 APD 06/13/2001 12/28/2001 Police 2006-024 Clark, Jason Thomas 02/10/2006 APD 02/17/2006 04/21/2006 Public Works 2000-112 Clay, Jr., Terry 06/27/2000 LPD 08/31/2000 10/09/2000 Police 2000-022 Coast National Insurance Co. (Reilly, 12/06/1999 APD 02/18/2000 10/27/2000 Police 99-015 Cocherell, Hope 01/13/1999 APD 01/26/1999 08/23/1999 Fire 97-088 Cocking, Charles edward 04/30/1997 LPD 05/16/1997 08/25/1997 Police 98-151 Cocoletzi, Giovanni 08/1 911 9 98 APD 09/16/1998 11/09/1998 Public Works 2002-044 Cohen, Darlene 1 2/0 3120 01 LPD 03/22/2002 11/27/2002 Police 99-008 COMMUNICATIONS WORKERS OF 11/20/1998 LPD 01/08/1999 03/26/1999 Public Works 98-178 Condit, Constance 10/21/1998 LPD 10/28/1998 06/25/1999 Public Works 2006-061 Contreras, Alberto V. 1 0/2 812 0 0 5 APD 05/24/2006 08/16/2006 Police 2000-155 Cooper, Barbara 09/25/2000 LBI 12/04/2000 12/20/2001 Public Works 2005-139 Corbari, Patricia M 05/13/2005 LPD 05/26/2005 02/28/2006 Public Works 2001-094 Corona, Karina 05/21/2001 LPD 05/29/2001 03/11/2002 Public Works 2001-086 Correal, Jimmy 05/17/2001 LPD 05/17/2001 03/11/2002 Public Works 98-125 Cortes, Eusebio Blanca 01/15/1998 LBI 07/15/1998 06/25/1999 Police 2005-183 Cortes, Maria Oliva 06/19/2005 LPD 08/26/2005 05/24/2006 Police 2000-020 Cortez, Francisco 11/30/1999 ABI 02/16/2000 05/10/2000 Public Works 2001-166 Cortez, Oscar 03/26/2001 LBI 09/19/2001 07/03/2003 Police 99-095 Cory, Allison 04/27/1999 LPD 06/11/1999 10/27/2000 Public Works Run Date: 07/16/2010 14:26:10 Run By: BMORALES City of Santa Ana - Confidential Page 6 of 36 19C-12 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 2001-070 County of Orange 10/23/2000 LPD 04/23/2001 05/24/2002 Public Works 2001-184 County of Orange 03/31/2001 APD 10/08/2001 01129/2002 Police 98-032 COUNTY OF ORANGE 09/01/1997 APD 02/19/1998 03/30/1998 Fire 2005-251 County of Orange (Gerstein, Sharon) 08/17/2005 LBI 12/21/2005 11/30/2006 Public Works 2000-023 County of Orange, Public Facilities & 10/31/1999 LPD 02/18/2000 07/21/2000 Public Works 2000-077 County of OrangeNan Tine 03/05/1999 LBI 06/06/2000 01/31/2001 Wrong Entity 98-133 Cresswell, Laura 06/25/1998 LPD 08/04/1998 06/25/1999 Parks & Recreation 2005-219 Crofton, Amber L 09/22/2005 LPD 10/31/2005 07/31/2006 Police 2002-006 Crowell, Raymond F 12/06/2001 LPD 01/14/2002 03/29/2002 Police 98-074 Cruz, Carlos 02/10/1998 ABI 04/21/1998 02/01/1999 Police 98-087 Cruz, Dalila (minor) 02/10/1998 ABI 05/15/1998 02/01/1999 Police 98-086 Cruz, David (minor) 02/10/1998 ABI 05/15/1998 02/01/1999 Police 99-208 Cruz, Iniguez 12/15/1999 LPD 12/29/1999 06/23/2000 Police 97-094 Cruz, Marciano 05/24/1997 LPD 06/10/1997 03/25/1998 Police 2001-125 Cruz, Roberto 06/22/2001 LPD 07/09/2001 11/06/2001 Parks & Recreation 99-103 Cruz, Tom et al 01/06/1999 LPI 07/02/1999 05/02/2000 Police 2001-096 Cruz-Teposte, Janet 12/01/2000 LPI 05131/2001 06/28/2002 Community 96-213 Cuenca, Osvaldo I. 11/19/1996 LPD 11/19/1996 08/29/1997 Public Works 2001-099 Cuevas, Silvia 05/31/2001 LPD 06/11/2001 08122/2001 Public Works 2002-157 Curnutt, Kelly 09/07/2002 LPD 10/25/2002 01/06/2003 Police 2001-143 Cuyetano, Albino 08/13/2001 LPD 08/21/2001 11127/2001 Police 98-115 Dageforde, Lorraine 06/26/1998 APD 06/29/1998 08/10/1998 Fire 99-162 Dalton, Elizabeth A 09/11/1999 LBI 10/08/1999 07/12/2000 Public Works 2002-158 Dames, Margaret 09/21/2002 LPD 10/28/2002 11/25/2002 Police 97-008 Darch, Faye 12/01/1996 LPD 01/21/1997 10/30/1997 Public Works 2000-064 Davila, Ma Consuelo 03/30/2000 APD 05/09/2000 07/10/2000 Police 2000-099 Davis, Helene O 03/22/2000 LPD 07/27/2000 03/29/2002 Public Works 2000-151 Davis, Nicholas 10/25/2000 LPD 11/13/2000 10/31/2001 Police 2005-074 De LaTorre, Isidro 09/28/2004 LPD 03/11/2005 01/31/2006 Public Works 99-038 De Luna, Yesenia 03/06/1999 LPD 03/16/1999 11/30/1999 Public Works 97-097 Dean III, Robert Lee 01/09/1997 APD 06/12/1997 07/28/1997 Police 2005-179 Deaton, Christina H. 02/19/2005 LPD 08/19/2005 04/27/2006 Public Works 2001-087 Deats, Jason 02/21/2001 LPD 05/21/2001 10/05/2001 Police Run Date: 07/16/2010 14:26:10 Run By: BMORALES City of Santa Ana - Confidential Page 7 of 36 19C-13 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 2001-056 Debnam, Janice G 02/26/2001 LPD 04/05/2001 12/28/2001 Public Works 2002-106a Delgado, Elisa 06/25/2002 APD 07/18/2002 09/18/2002 Public Works 2001-072 Delgado, Gonsalo Manra 03/08/2001 LPD 04/27/2001 06/01/2001 Police 97-080 Delgado, Pedro lopez 02/17/1997 ABI 05/05/1997 12/31/1997 Police 2004-137 Deloya, Leonor 04/03/2004 LBI 09/29/2004 04/27/2006 Public Works 2001-137 Delsigne, Mark 06/25/2001 LPI 08/08/2001 04/30/2002 Planning & Building 97-028 Deluna, Mario I. 03/24/1996 OTH 03/03/1997 10/30/1997 Public Works 2001-227 Dennis, Mae 1 12/01/2001 LPD 12/27/2001 03/12/2002 Public Works 2000-085 Denny, Mary E 04/10/2000 LBI 06/20/2000 02/26/2002 Police 2005-113 DeSoto, Coreen 02/03/2005 LPD 04/13/2005 01/31/2006 Public Works 2001-078 Dey, Rosemary A 04/17/2001 LBI 05/08/2001 08/02/2001 Public Works 97-036 Diaz, Daniel 02/24/1997 LBI 03/12/1997 12/31/1997 Police 2005-173 Diaz, Edgar Fernando 04/18/2005 LPD 08/03/2005 04/27/2006 Public Works 2005-146 Diaz, Erica & Edgar 05/30/2005 LPD 06107/2005 05/24/2006 Public Works 99-195 Diaz, Freddy J 11/05/1999 LPD 12/15/1999 08/29/2000 Police 98-100 Diaz, Tomaz 0 311 6/1 99 8 LPD 06/10/1998 03/26/1999 Parks & Recreation 96-131 Dinh, Chau m. 07/03/1996 LPD 08/01/1996 04/29/1997 Public Works 99-040 Discovery Museum of Orange County 12/07/1998 LPD 03/23/1999 02/25/2000 Parks & Recreation 98-071 Dominguez, Ralph 02/2 811 9 9 8 LPD 04/14/1998 03/10/1999 Public Works 2001-075 Duarte, Ismael 1110212000 LBI 05/01/2001 01/29/2003 Police 98-027 Duarte, Jose alcala 11/29/1997 LPD 02/11/1998 10/30/1998 Public Works 2002-023 Duncan, Hattie 02/23/2001 LPD 02/04/2002 10/31/2002 Police 2001-057 Dunkleman, Donald Dba McDonald's 03/03/2001 LPD 04/06/2001 12/19/2001 Public Works 2005-227 Dunseth, George 11/14/2004 OTH 11/29/2005 07/31/2006 Public Works 2000-107 Eaton, Kermit A 10/09/1996 OTH 08/16/2000 06/29/2001 Fire 98-007 EDGEWOOD TENANCY 1 212 8/1 9 9 7 LPD 01/09/1998 10/30/1998 Parks & Recreation 98-169 Eissa, Riad 10/12/1998 LPD 10/12/1998 06/25/1999 Police 99-150 Eldridge III, William W 06/05/1999 LPD 09/27/1999 12/06/1999 Public Works 2005-215 Elias, David 09/21/2005 LPI 10/21/2005 07/31/2006 Police 99-054 Elliott, Katie 01/28/1999 APD 04/13/1999 07/27/1999 Police 98-172 EMC Insurance Co. (Delicias de 09/18/1998 LPD 10/15/1998 01/19/2000 Wrong Entity 98-139 Engel, Janet r. 10/01/1992 LPD 08/19/1998 11/16/1998 Community 96-235 Enrique, Jose 05/30/1996 OTH 12/23/1996 08/29/1997 Public Works Run Date: 07/16/2010 14:26:10 Run By: BMORALES City of Santa Ana - Confidential Page 8 of 36 19C-14 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 96-235 Enrique, Norma 05/30/1996 OTH 12/23/1996 08/29/1997 Public Works 97-077 Enterprise Rent-a-Car (Alcantra/OCRNSP) 04/09/1997 APD 05/02/1997 06/30/1997 Police 99-094 Enterprise Rent-a-Car (Duff/OCRNSP) 05/25/1999 LPD 06/10/1999 08/30/1999 Wrong Entity 98-182 Enterprise Rent-a-Car (Felix/OCRNSP) 10/14/1998 APD 11/09/1998 01/25/1999 Police 99-062 Enterprise Rent-a-Car (Felix/OCRNSP) 04/10/1999 APD 04/21/1999 07/02/1999 Police 2000-081 Enterprise Rent-a-Car (Flores/OCRNSP) 05/31/2000 APD 06/12/2000 07/25/2000 Police 99-051 Enterprise Rent-a-Car 03/30/1990 APD 04/07/1999 06/14/1999 Police 97-150 Enterprise Rent-a-Car (Heim, William) 08/12/1997 APD 09/25/1997 02/13/1998 Police 99-106 Enterprise Rent-a-Car (Masip/OCRNSP) 06/04/1999 LPD 07/12/1999 08/20/1999 Police 99-152 Enterprise Rent-a-Car (Masip/OCRNSP) 09/20/1999 LPD 10/01/1999 11/29/1999 Police 2000-133 Enterprise Rent-a-Car (Masip/OCRNSP) 09/25/2000 LPD 10/10/2000 01/08/2001 Police 2000-008 Enterprise Rent-a-Car (Oliver/OCRNSP) 12/17/1999 LPD 01/19/2000 04/26/2000 Police 99-078 Enterprise Rent-a-car (Oliver/OCRNSP) 04/26/1999 LPD 05/17/1999 07/23/1999 Police 2000-016 Enterprise Rent-a-Car (Sanchez/ OC Meth 01/24/2000 APD 02/10/2000 04/14/2000 Police 2000-003 Enterprise Rent-a-Car (Scheer/OCRNSP) 12/01/1999 LPD 01/06/2000 03/06/2000 Police 2000-018 Enterprise Rent-a-Car / Scheer/ OCRNSP 01/26/2000 APD 02/10/2000 04/14/2000 Police 2000-125 Enterprise Rent-a-Car / Scheer/OCRNSP 09/06/2000 LPD 09/27/2000 01/08/2001 Police 99-053 Enterprise Rent-A-Car/ Felix/OCRNSP 03/01/1999 APD 04/12/1999 06/14/1999 Police 2000-028 Enterprise Rent-a-Car/ Masip/ OCRNSP 01/31/2000 APD 03/01/2000 04/26/2000 Police 99-186 Enterprise Rent-a-Car/Felix/OCRNSP 11/04/1999 LPD 11/16/1999 01/18/2000 Police 99-160 Enterprise Rent-a-Car/Gonzalez/OCRNSP 09/23/1999 APD 10/08/1999 12/06/1999 Police 98-203 Epps, Marilyn 07/01/1998 LPD 12/01/1998 08/31/1999 Public Works C143 ERA Rafferty & Lloyd 01/22/1998 IC 01/28/2000 07/13/2001 Community 97-202 Erbe, Charles 12/01/1996 OTH 12/19/1997 08/31/1998 Public Works 97-202 Erbe, Sharon 12/01/1996 OTH 12/19/1997 08/31/1998 Public Works 2002-033 Escalante, Silvia 12/02/2001 ABI 03/05/2002 01/29/2003 Police 98-121 Escanuela, Louie Enrique 01/04/1998 LBI 07/02/1998 06/25/1999 Public Works 99-144 Esparza, Denise 07/14/1999 APD 09/21/1999 01/04/2000 Police 97-186 Esparza, Mary c. 11/07/1997 LBI 11/20/1997 08/31/1998 Public Works 99-112 Espinoza, Eugenia 06/23/1999 LPD 08/01/1999 05/31/2000 Public Works 97-111 Esquivel, Ana 06/12/1997 LPD 07/03/1997 03/25/1998 Public Works 2001-047 Estate of Margaret White 12/09/2000 LBI 03/20/2001 11/30/2001 Wrong Entity 2000-126 Esteban, Jose Garcia 08/01/2000 ABI 09/29/2000 01/16/2001 Police Run Date: 07/16/2010 14:26:10 Run By: BMORALES City of Santa Ana - Confidential Page 9 of 36 19C-15 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 2006-039 Estrada, Ramon 03/04/2006 LPD 03/27/2006 10/31/2006 Wrong Entity 2002-009 Evangelista, Armando C 09/10/2001 LPD 01/16/2002 10/31/2002 Public Works 2006-106 Everett, Lance Erik 04/20/2006 APD 09/08/2006 12/13/2006 Police 2005-199 Excelente, Francia Ortiz 09/15/2005 LPD 10/05/2005 04/06/2006 Police 97-035 Fabricant, Steven M. 09/12/1996 LBI 03/11/1997 12/31/1997 Police 2001-025 Farber, John 02/08/2001 LPD 02/20/2001 06/12/2001 Public Works 97-098 Farhat, Majid a. 06/12/1997 LPD 06/17/1997 03/25/1998 Public Works 2001-030 Farias, Jose A 12/29/2000 APD 02/21/2001 04/24/2001 Police 2000-045 Faris, Ken 01/27/2000 LPD 04/03/2000 06/20/2000 Police 2002-175 Farivar, Mehrdad 08/05/2002 LPD 12/13/2002 12/26/2002 Parks & Recreation 2000-082b Farmers Insurance (Zavala/Torres) 01/13/2000 APD 09/19/2000 02/12/2001 Police 2000-090b Farmers Insurance Group (Martin, Felipe) 06/21/2000 APD 10/17/2000 03/07/2001 Parks & Recreation 97-190 Farmers Insurance, (Alvarez, Gerardo) 01/19/1997 OTH 12/01/1997 07/31/1998 Police 98-055 Farmers Insurance, (Barnes, CM) 10/29/1997 APD 03/24/1998 04/27/1998 Police 98-140 Farmers Insurance, (Booth/Bruce) 07/03/1998 APD 08/29/1998 11/09/1998 Police 2000-124 Farnsworth, Jeanette 08/25/2000 LPD 09/26/2000 06/29/2001 Public Works 2002-077 Fatu, Fualili Eti 12/09/2001 ABI 05/29/2002 01/31/2003 Police 97-196 Feduska, Christine 12/03/1997 LPD 12/16/1997 03/16/1998 Police 99-114 Feliciano, Ralph 06/16/1999 LPD 08/01/1999 07/12/2000 Wrong Entity 2001-061 Felicijan, Chris 12/01/2000 LBI 04/10/2001 01/31/2002 Wrong Entity 98-096 Fenno, Nancy 01/05/1998 LPD 05/29/1998 02/26/1999 Fire 99-188 Fern, Jeffrey 04/12/1999 OTH 11/30/1999 05/15/2000 Public Works 2001-130 Ferrante, Ann 02/01/2001 LBI 07/31/2001 04/30/2002 Public Works 98-057 Ferrier, jr., Thomas 02/19/1998 APD 03/30/1998 05/11/1998 Planning & Building 98-175 Ferrier, jr., Thomas 09/19/1998 APD 10/23/1998 12/15/1998 Police 2000-165 Figenbaum, Mark 06/26/2000 LPI 12/27/2000 09/06/2001 Police 98-051 Figueroa, Efrain a. 01/08/1998 APD 03/23/1998 06/05/1998 Fire 2005-226 Figueroa, Yesenia 10/28/2005 LPD 11/10/2005 08/25/2006 Public Works 2005-151 Finegold, Judith L 06/04/2005 LBI 06/17/2005 02/28/2006 Public Works 97-070 Fink, Hazel I. 04/05/1997 LBI 04/30/1997 01/30/1998 Public Works 97-166 Fiorillo, Jaime 10/18/1997 LPD 10/24/1997 01/20/1998 Parks & Recreation 98-193 Fitzhugh, Kathy J. 01/01/1989 OTH 11/19/1998 07/30/1999 Public Works 2001-163 Flarida, Robert 08/25/2001 LPD 09/13/2001 10/30/2001 Police Run Date: 07/16/2010 14:26:11 Run By: BMORALES City of Santa Ana - Confidential Page 10 of 36 19C-16 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 2001-213 Fleming, Leo J 11/07/2001 LPD 11/21/2001 02/12/2002 Police 99-017 Flores, Galdina 01/27/1999 LPD 01/29/1999 11/30/1999 Police 2000-094 Flores, Guillermina 04/13/2000 LPD 07/19/2000 03/30/2001 Police 2001-182 Flores, Julia F 08/09/2001 LPD 10/01/2001 07/31/2002 Public Works 98-205 Flores, Ruben 11116/1998 ABI 12/03/1998 08/31/2000 Police 2001-023 Foskette, Steve 12127/2000 LBI 02115/2001 02/26/2002 Public Works 2001-140 Foster, Ronnie 08/15/2001 LPD 08/16/2001 04/30/2002 Police 97-064 Fowler, Brenda J. 04/15/1997 LPD 04/21/1997 12/31/1997 Public Works 2002-032 Fowler, James C 02/09/2002 LPD 02/28/2002 11/27/2002 Public Works 99-021 Franklin Thrift & Loan (Enriquez, Gilberto) 12/27/1998 LPD 02/04/1999 11/30/1999 Police 97-199 Freede, Michael 12/05/1997 LPD 12/17/1997 08/31/1998 Community 99-058 Fregoso, Myriam 12/19/1998 LBI 04/19/1999 01/31/2000 Police 98-202 Friedenreich, Kenneth R. 06/03/1998 LBI 11/30/1998 07/30/1999 Wrong Entity 2002-070 G & F Concrete Cutting 03/07/2002 LPD 05/17/2002 09/25/2002 Finance 97-126 G & G FIRE SPRINKLERS 02/01/1997 LPD 07/21/1997 03/25/1998 Public Works 97-117 Gabriel, Michael G. 07/02/1997 LPD 07/15/1997 09/09/1997 Public Works 2006-046 Galan, Angel 03/23/2006 ABI 04/10/2006 11/01/2006 Public Works 2005-213 Galan, Santa Guadalupe Vergara 08/26/2005 LPD 10/19/2005 07/31/2006 Public Works 97-155 Galindo, Ismael Rodriguez 09/01/1997 LPD 10/08/1997 05/12/1998 Police 98-058 Gallegos, Jose 02/07/1998 LPD 03/31/1998 02/05/1999 Public Works 2006-029 Gallo, Philip 05/28/2003 LPD 03/08/2006 05/10/2006 Police 99-169 Galvan, Heidi 09/24/1999 LPD 10/20/1999 06/20/2000 Police 97-154 Galvan, Macario d. 09/26/1997 LPD 10/06/1997 07/31/1998 Public Works 97-061 Gamboa, Carolina M. 04/03/1997 LBI 04/17/1997 12/31/1997 Public Works 97-109 Gamez, Hien 06/05/1997 LPD 07/01/1997 03/25/1998 Public Works 97-109 Gamez, Jose 06/05/1997 LPD 07/01/1997 03/25/1998 Public Works 99-013 Garcia, Arturo Diaz 12/12/1998 LPD 01/22/1999 08/10/1999 Police 98-138 Garcia, Esther Ieon 07/19/1998 LPD 08/19/1998 10/26/1998 Police 97-205 Garcia, Guillermo diaz 10/08/1997 LPD 12/30/1997 03/23/1998 Police 98-069 Garcia, Jose alberto 03/22/1998 LBI 04/13/1998 02/05/1999 Public Works 2002-086 Garcia, Jose Jesus Villa 04/29/2002 APD 06/07/2002 07/24/2002 Public Works 99-091 Garcia, Juan 05/10/1999 LPD 06/07/1999 08/09/1999 Police 99-049 Garcia, Ofelia 11/10/1998 LBI 04/02/1999 01/31/2000 Public Works Run Date: 07/16/2010 14:26:11 Run By: BMORALES City of Santa Ana - Confidential Page 11 of 36 19C-17 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 2002-087 Garcia, Ronnie 02/20/2002 LPD 06/10/2002 02/27/2003 Police 2001-090 Garcia, Sally 12/01/2000 LBI 05/24/2001 01/31/2002 Wrong Entity 2005-252 Garcia, Sergio A. 11/29/2005 LBI 12/28/2005 09/26/2006 Public Works 2000-162 Garcia, Sergio Olivares 09105/2000 LPD 12/14/2000 08/31/2001 Police 2001-146 Gardner, Richard D 07/27/2001 LPD 08/28/2001 06/28/2002 Public Works 2001-107 Garibay, Jr., Salvador 06/06/2001 LPD 06/15/2001 03/11/2002 Public Works 98-188 Garshnick, Grace Sanders 10/29/1998 LPD 11/12/1998 07/30/1999 Public Works 99-098 Garzon, Eloy 05/08/1999 LPD 06/25/1999 08/03/1999 Police 98-113 Gasco, Melissa 12/26/1997 LBI 06/29/1998 02/26/1999 Wrong Entity 99-077 Gates Mc Donald (Red Cross/Cheryl 11/19/1998 LBI 05/17/1999 05/02/2000 Wrong Entity 2006-083 Geesman, Mary Sandra 07/17/2006 LPD 07/20/2006 09/20/2006 Police 97-178 GEICO (Knapp, Lawrence) 09/30/1997 LPD 11/14/1997 07/31/1998 Public Works 97-169 Gellel, Joanne 08/21/1997 LPD 10/29/1997 07/31/1998 Police 99-020 Ghadimi, Bita 12/06/1998 LPD 02/0411999 11/30/1999 Public Works 2000-110 Gil, Monica 07/26/2000 APD 08/21/2000 10/24/2000 Public Works 99-097 Glover, Michael G 02/14/1999 LPD 06/21/1999 08/02/1999 Police 2006-030 Gloyer, Jessica 09/01/2005 APD 03/08/2006 05/02/2006 Police 2002-010 GMAC Insurance (Mednick, Michael) 11/06/2001 APD 01/17/2002 04/02/2002 Parks & Recreation 2001-006 Godoy, Catherine R 07/05/2000 LPD 01/05/2001 10/31/2001 Public Works 2001-006 Godoy, John P 07/05/2000 LPD 01/05/2001 10/31/2001 Public Works 2005-220 Goebelsmann, Karin 10/05/2005 LPD 10/31/2005 07/31/2006 Wrong Entity 2005-231 Gold Coast Bakery 06107/2005 LPD 11/28/2005 09/26/2006 Public Works 2006-047 Gomez, Guillermo 04/08/2006 LPD 04/14/2006 06/20/2006 Police 97-122 Gomez, Helen h. 06/28/1997 LPD 07/18/1997 10/06/1997 Police 2005-225 Gomez, Lupe V 10/25/2005 LPD 11/09/2005 08/25/2006 Police 99-012 Gomez, Mary barron 12/18/1998 APD 01/21/1999 03/08/1999 Parks & Recreation 97-132 Gomez, Nadia 08/07/1996 OTH 08/08/1997 02/05/1999 Police 99-018 Gomez, Otilio Medina 10/26/1998 LPD 02/02/1999 06/14/1999 Police 98-150 Gonzales, Maria 08/25/1998 LPD 09/16/1998 06/25/1999 Public Works 99-132 Gonzales, Paul A 08/14/1999 LPD 09/07/1999 05/03/2000 Parks & Recreation 2005-203 Gonzalez, Gerardo 10/09/2005 LPD 10/11/2005 07/27/2006 Police 98-083 Gonzalez, Humberto 05/08/1998 LPD 05/11/1998 08/10/1998 Police 99-046 Gonzalez, Jorge 02/16/1999 LPD 03/31/1999 05/02/2000 Police Run Date: 07/16/2010 14:26:11 Run By: BMORALES City of Santa Ana - Confidential Page 12 of 36 19C-18 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 2001-095 Gonzalez, Juan J 12/10/2000 LPD 05/31/2001 03/11/2002 Police 99-154 Gonzalez, Luis 09/11/1999 LPD 10/04/1999 07/12/2000 Public Works 99-183 Gonzalez, Magdalena 02/06/1999 OTH 11/09/1999 03/22/2000 Public Works 99-145 Gonzalez, Medrani M 05/19/1999 ABI 09/23/1999 12/15/1999 Public Works 98-205 Gonzalez, Miguel Angel 11/16/1998 ABI 12/03/1998 08/31/2000 Police 98-215 Gonzalez, Tom 12/06/1998 LPD 12/22/1998 08/31/1999 Public Works 2001-095 Gonzalez, Virginia 12/10/2000 LPD 05/31/2001 03/18/2002 Police 2005-129 Gonzalez, Waldin J 03/11/2005 LPD 05/05/2005 02/28/2006 Public Works 98-132 Gossett, Jeff 03/18/1998 LPD 08102/1998 11/09/1998 Public Works 96-219 Granados, Danny 06/24/1996 LPD 11/27/1996 09/30/1997 Public Works 96-219 Granados, Jeannette 06/24/1996 LPD 11/27/1996 09/30/1997 Public Works 97-136 Granados, Naomi 08/19/1997 ABI 08/20/1997 06/0211998 Parks & Recreation 2001-207 Granillo, Frank 07/22/2001 LPD 11/15/2001 09/03/2002 Public Works 2000-091 Grant, Sheila 05/12/2000 APD 07/12/2000 08/30/2000 Public Works 98-045 Green, Sheilah 02/23/1998 LPD 03/17/1998 02/05/1999 Public Works 97-108 Greenall, Mark a. 01/14/1997 LPD 06/30/1997 02/27/1998 Public Works 2000-168 Greene, Chantyl 12/18/2000 LPD 12/29/2000 08/31/2001 Police 2000-042 Gregory, Eric 01/21/2000 LPD 03/30/2000 12/2012000 Public Works 99-110 Grenesko, Dorothy 06/23/1999 LPD 07/21/1999 09/24/1999 Parks & Recreation 99-156 Griego, Valerie 09/10/1999 LBI 10/06/1999 12/21/1999 Public Works 99-174 Griffin, John A 09/24/1999 LBI 10/27/1999 07/31/2000 Public Works 96-222 Grosso, Constance 08/07/1996 LBI 12/02/1996 07/31/1997 Wrong Entity 99-107 Guerra, Jose L 06/23/1999 LPD 07/16/1999 09/03/1999 Police 97-148 Guerra, Victor m. 09/13/1997 LPD 09/16/1997 08/31/1998 Police 2000-150 Guerra-Payan, Cynthia 10/18/2000 LPD 11/13/2000 01/23/2001 Police 99-166 Guerrero, Barbara 09/01/1998 OTH 10/14/1999 03/22/2000 Police 99-165 Guerrero, David A 09/01/1998 OTH 10/14/1999 03/22/2000 Police 2002-073 Guibord, Chris S 11/24/2001 LPD 05/21/2002 05/31/2002 Police 2002-096 Guillen, Salvador 05/02/2002 APD 06/26/2002 08/22/2002 Public Works 98-141 Gulaya, Krishna 04/01/1987 LPD 08/20/1998 06/25/1999 Finance 98-141 Gulaya, Sunil 04/01/1987 LPD 08/20/1998 06/25/1999 Finance 2001-202 Gutierrez, Isaias 10/19/2001 APD 11/06/2001 03/13/2002 Library 97-041 Guttsen, Michael 08/01/1996 LPD 03/21/1997 12/31/1997 Police Run Date: 07/16/2010 14:26:11 Run By: BMORALES City of Santa Ana - Confidential Page 13 of 36 19C-19 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 99-043 Guzman, Antonin 02/27/1999 LPD 03/31/1999 09/21/1999 Police 2005-237 Guzman, Jaime 10/31/2005 APD 12/05/2005 03/30/2006 Parks & Recreation 97-034 Hachiya, Dale 12/31/1996 LPD 03/11/1997 12/31/1997 Public Works 99-101 Haidl, Donald 05/24/1999 LPI 07/0111999 02/25/2000 Police 2002-154 Haima, Dawn 09/07/2002 LPD 10/22/2002 11/25/2002 Police 2001-038 Haley, Jeffrey P 01/17/2001 LPD 03/06/2001 04/30/2002 Public Works 2001-031 Haliburda, Jr., Thomas 01/16/2001 LPD 02/22/2001 05/28/2004 Police 99-030 Hall, Judith 03/01/1991 LPD 03/02/1999 12/14/1999 Finance 96-226 Halloran, Eugene 08/19/1996 LBI 12/10/1996 08/29/1997 Wrong Entity 2001-136 Ham, David 08/07/2001 APD 08/07/2001 12/11/2001 Police 2001-155 Hamilton, Evelina 03/09/2001 LBI 09/0612001 01/31/2003 Community 2000-029 Han, Yong Taek 01/31/2000 ABI 03/0112000 09/21/2000 Police 2005-207 Hancock III, Larry Dean 08/29/2005 LPD 10/17/2005 07/31/2006 Public Works 2005-211 Hankins, Gene K 06/07/2005 LBI 10/18/2005 08/25/2006 Fire 2005-211 Hankins, Theresa 06/07/2005 LBI 08/25/2006 Fire 2001-201 Hanson, Vivian 10/02/2001 APD 11/05/2001 01/29/2002 Parks & Recreation 2000-128 Hanssen, Ingrid 07/27/2000 LBI 10/02/2000 04/18/2001 Wrong Entity 99-007 Hanvey, Nicole Donette 11/16/1998 LPD 01/08/1999 08/31/1999 Wrong Entity 2000-011 Hardin, Jerry L 11/28/1999 LBI 01/28/2000 09/22/2000 Police 2006-065 Harper, Joey and Sarah 02/22/2006 LPD 06/05/2006 11/01/2006 Police 99-019 Harris, Brian 09/11/1998 LPD 02/04/1999 06/1411999 Parks & Recreation 98-118 Harris, Harriet 05/21/1998 LPD 06/29/1998 09/21/1998 Public Works 98-118 Harris, jr., Willard 05/21/1998 LPD 06/29/1998 09/21/1998 Public Works 99-071 Harris, Randall 01/04/1999 LPI 04/30/1999 01/31/2000 Police 98-199 Hartford (The) (Zimmer, Eleanor) 02/24/1998 OTH 11/29/1998 Public Works S1061 Haskin, Margaret I. 04/2411992 LPI 07/07/1992 01/22/1999 Police 97-106 Hawkins, Debbie ann 01/14/1997 LPD 06/27/1997 02/27/1998 Public Works 2005-093 Hazzard, Justin 09/0112004 OTH 03/25/2005 10/05/2006 Police 2001-103 Hegareda, Pauline 12/12/2000 LBI 06/1212001 09/27/2002 Public Works 97-025 Heiman, Gloria 10/29/1996 LBI 02/24/1997 10/30/1997 Wrong Entity 2005-154 Heitzman, Jerry H 12/26/2004 LBI 06/22/2005 02/28/2006 Police 2005-134 Henderson, Cheryl J 01/09/2005 LPD 05/12/2005 01/31/2006 Public Works 99-027 Hendriks, Aaron 01/28/1999 LPD 02/16/1999 06/14/1999 Wrong Entity Run Date: 07/16/2010 14:26:11 Run By: BMORALES City of Santa Ana - Confidential Page 14 of 36 19C-20 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 2000-147 Henson, Donna L 08/28/2000 LPD 11/08/2000 10/31/2001 Public Works 2000-147 Henson, Robert K 08/28/2000 LPD 11/08/2000 10/31/2001 Public Works 96-225 Heraz, Manuel 11/22/1996 LPD 12/10/1996 09/30/1997 Public Works 98-157 Herbst, Penny d. 08/31/1998 LPD 09/24/1998 11/02/1998 Public Works 2005-117 Hernandez, Adriana 03/23/2005 LPD 04/18/2005 02/28/2006 Police 96-211 Hernandez, Carmen 11/07/1996 LPD 11/18/1996 10/30/1997 Public Works 2000-117 Hernandez, Fernando Amaro 07/27/2000 LPD 09/06/2000 05/31/2001 Police 98-161 Hernandez, Ines 04/10/1998 LBI 09/25/1998 06/25/1999 Wrong Entity 2005-104 Hernandez, Jamie L 03/15/2005 LPD 04/04/2005 02/28/2006 Public Works 99-088 Hernandez, John 05/03/1999 APD 06/07/1999 08102/1999 Police 2001-186 Hernandez, Jose 09/27/2001 LPD 10/10/2001 06128/2002 Public Works 98-070 Hernandez, Maria bertha 04/11/1998 LPD 04/14/1998 02105/1999 Police 2002-050 Hernandez, Rosa M 02/19/2002 LPD 04/10/2002 12/18/2002 Parks & Recreation 99-164 Herrera, Jose A 08/31/1999 LPD 10/14/1999 08/29/2000 Parks & Recreation 97-103 Herrera, Jose a. 11/01/1996 OTH 06/23/1997 03/25/1998 Parks & Recreation 2001-097 Herrera, Richard M 05/22/2001 LPD 06/05/2001 08/22/2001 Police 99-002 HERTZ CORP. 06/18/1998 LPD 12/10/1998 08/31/1999 Wrong Entity 99-190 Hicks, Christine H 11/20/1999 LBI 12/01/1999 08/29/2000 Wrong Entity 2000-049 Higuera, Andres 04/01/2000 LPD 04/07/2000 12/20/2000 Public Works 98-017 Hinshaw, Imogene c. 12/07/1997 LPD 01/21/1998 10/30/1998 Parks & Recreation 98-050 Hoang, Huong n. 02/02/1998 LPD 03/20/1998 06/18/1998 Police 2005-248 Hoiland, John C 11/15/2005 LPD 12/20/2005 09/26/2006 Public Works 2002-069 Holdroyd, Connie 02/28/2002 LPD 05/17/2002 08/07/2002 Public Works 97-147 HOLIDAY MOBILEHOME ESTATE 05/15/1997 LPD 09/1611997 07/31/1998 Wrong Entity 2004-161 Hollins, Paul 10/27/2004 LPD 10/28/2004 01/31/2006 Public Works 2000-109 Hong, Hai A 07/30/2000 LPD 08/16/2000 03/30/2001 Public Works 98-136 Hong, Tieu 08/03/1998 APD 08/14/1998 10/19/1998 Police 2005-181 Hoskins, April 02/22/2005 LBI 08/22/2005 10/05/2006 Parks & Recreation 97-128 Hsia, Jackson 05/24/1997 LPD 07/29/1997 03/25/1998 Police 2001-034 Hubbard, Darren T 11/13/2000 APD 02/26/2001 04/17/2001 Planning & Building 99-072 Huerta, Lucio 04/17/1999 APD 05/03/1999 07/02/1999 Fire 97-142 Hughes, Elaine 08/19/1997 LBI 09/09/1997 05/28/1998 Public Works 99-199 Huiskes, Maureen Dba Fairview Mobile 10/16/1999 LPD 12/17/1999 08/29/2000 Public Works Run Date: 07/16/2010 14:26:11 Run By: BMORALES City of Santa Ana - Confidential Page 15 of 36 19C-21 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 99-200 Huiskes, Maureen Dba Fairview Mobile 11/17/1999 LPD 12/17/1999 08/29/2000 Public Works 99-198 Huiskes, Maureen Dba Fairview Mobile 06/26/1999 LPD 12/17/1999 08/29/2000 Public Works 98-034 Hunter, Daniel I. 02/22/1998 LPD 02/24/1998 10/3011998 Public Works 2005-150 ICM-JAE Investments, Ltd. 05/03/2005 LPD 06/16/2005 04/27/2006 Public Works 2001-019 Iglesias, Laura 01/11/2001 LPD 02/07/2001 10/3112001 Public Works 2001-018 Iglesias, Manuel 0111112001 LPD 02/07/2001 10/31/2001 Public Works 2001-200 Ignalia, Sven 10/18/2001 LPD 11/05/2001 07131/2002 Public Works 2005-212 Infinity Insurance (Alvarez, Francisco) 07/30/2005 APD 10/12/2005 03/22/2006 Police 2001-118 Infinity Insurance company 03/07/2001 APD 07/05/2001 11/30/2001 Police 2005-164 Iniguez-Garcia, Cruz (Fed.Reg.No. 14050- 07/25/1998 OTH 07/11/2005 08/25/2006 Police 2005-158 Isaac, Viviano 03/09/2005 LPD 07/0512005 03/30/2006 Public Works 98-078 Ivy, Lonnie darnell 12/27/1997 LPI 05/06/1998 02/05/1999 Police 2002-001 Jacinto, Alvaro (minor) 07/13/2001 LBI 01/08/2002 06/04/2003 Public Works 2002-001 Jacinto, Araseli (minor) 07/13/2001 LBI 01/0812002 06/04/2003 Public Works 2002-001 Jacinto, Elvia (minor) 07/13/2001 LBI 01/0812002 06/04/2003 Public Works 2002-001 Jacinto, Hermelindo (minor) 07/13/2001 LBI 01/08/2002 06/04/2003 Public Works 2002-001 Jacinto, Saul (minor) 07/13/2001 LBI 01/08/2002 06/04/2003 Public Works 2000-051 Janowsky, Lewis P 03/24/2000 LPD 04/11/2000 05/26/2000 Police 95-075 Jaramillo, Julio 04/18/1995 LPD 04/24/1995 12/29/1995 Police 98-005 Jimenez, Juan lomeli 12/11/1997 LPD 01/09/1998 10/30/1998 Public Works S1061 JJM, INC. 04/24/1992 LPI 07/07/1992 11/0612001 Police 99-092 Joe, Wardell 05/15/1999 LPD 06/07/1999 08/02/1999 Police 99-067 Joel, R. Gerry 12/06/1998 LPD 04/27/1999 07/23/1999 Parks & Recreation 98-116 Johnson, Gary I. 01/09/1998 LPD 06/29/1998 03/26/1999 Public Works 2006-099 Johnson, Mary Jane 08/08/2006 LPD 08/29/2006 11/07/2006 Public Works 2000-137 Johnson, Violette T 10/06/2000 LPD 10/20/2000 08/31/2001 Public Works 2001-047 Jordan, Wendie 12/09/2000 LBI 03/20/2001 11/30/2001 Wrong Entity 98-162 Judy, Joann 08/02/1998 LPD 08/25/1998 11/16/1998 Police 97-165 Juhl, Douglas m. 09/06/1997 LPD 10/21/1997 07/31/1998 Public Works 2002-037 Jurak, Eileen L 02/28/2002 LPI 03/13/2002 11/27/2002 Police 2002-027 Jurak, Eileen Louise 11/2312001 LPD 02/20/2002 11/27/2002 Police 2002-028 Jurak, Eileen Louise 12/06/2001 LBI 02/20/2002 11/27/2002 Police 99-028 Kaghazchi, Mehran 09/01/1998 LPD 02/24/1999 11/30/1999 Public Works Run Date: 07/16/2010 14:26:11 Run By: BMORALES City of Santa Ana - Confidential Page 16 of 36 19C-22 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 97-201 Kalapp, Dawn 12/06/1997 LPD 12/19/1997 08/31/1998 Public Works 97-201 Kalapp, Weldon 12/06/1997 LPD 12/19/1997 08/31/1998 Public Works 2002-065 Kapela, William 12/07/2001 LPD 04/30/2002 12/18/2002 Public Works 98-077 Kastner, Christy 11/03/1997 LPD 05/06/1998 01/29/1999 Public Works 2004-171 Kausrud, Kayleen M 11/01/2004 LBI 11/18/2004 11/30/2006 Parks & Recreation 2005-176 Keet, Robert John 04/17/2005 LBI 08/11/2005 04/27/2006 Wrong Entity 2000-060 Kelly, Thomas A 04/10/2000 LPD 04/28/2000 07/26/2000 Police 2001-003 Kemp, Dennis 12/28/2000 LPD 01/03/2001 03/16/2001 Police 2002-105 Kennedy, Mary V. Trust (William Kennedy 05/11/2002 LBI 07/15/2002 04/30/2003 Public Works 98-146 Khan, Shafiq 03/04/1998 LPD 09/02/1998 10/26/1998 Public Works 2001-069 Kieffer, Leanne & Howard 04/01/1997 LPD 04/20/2001 04/29/2002 Finance 98-168 Kim, Angela 01/01/1986 LPD 10/06/1998 06/25/1999 Finance 98-171 Kim, Angela 09/30/1998 LPD 10/16/1998 06/25/1999 Finance 97-183 Kimble, Sue 11/10/1996 LPD 11/19/1997 08/13/1999 Fire 97-184 Kincer, Donald Ray 11/06/1997 LPI 11/19/1997 12/01/1999 Police 2000-159 Kish, Michael S 11/21/2000 LPD 12/07/2000 08/31/2001 Public Works 2001-044 Knirk, Richard L 03/14/2001 LPD 03/19/2001 05/22/2001 Public Works 2000-095 Kohl, Kenneth W 07/07/2000 LPD 07/21/2000 03/30/2001 Public Works 2002-075 Kono, Akane 05/02/2002 ABI 05/28/2002 09/19/2002 Public Works 2000-123 Korthuis, Patrick (Dba Sir Speedy) 09/20/2000 LPD 09/26/2000 03/07/2001 Police 98-222 Kosakura, Cheryl & Mercury Insurance 12/27/1998 APD 12/30/1998 03/26/1999 Police 2000-087 Kramer, Jonneine L 06/17/2000 LPD 06/23/2000 03/30/2001 Public Works 2001-008 Kurlinkus, Robbie 10/14/2000 APD 01/12/2001 03/07/2001 Police 2000-134 Kwong, Jason 07/20/2000 LPD 10/12/2000 07/31/2001 Public Works 2000-039 Labs, Sr., Dean A 11/03/1999 LBI 03/27/2000 12/20/2000 Police 2004-100 Lamar, Madalene 02/01/2004 LPD 07/29/2004 02/2112006 Public Works 2004-139 Lambert, Ross 08/16/2004 LPD 09/30/2004 02/21/2006 Public Works 2001-084 Landingham, Jennifer 05/04/2001 LPD 05/16/2001 01/31/2002 Public Works 2001-206 Landon, Phillip 05/16/2001 ABI 11/15/2001 06/04/2003 Planning & Building 2005-153 Lara, Gabriel A 06/03/2005 LPD 06/20/2005 02/28/2006 Police 2001-112 Le, Duc Tuan N 06/10/2001 APD 06/25/2001 08/20/2001 Police 2001-133 Le, Tra 06/25/2001 LPD 08/02/2001 04/30/2002 Public Works 2000-006 Leatherman, Kathleen 11/22/1999 LPD 01/10/2000 08/29/2000 Public Works Run Date: 07/16/2010 14:26:11 Run By: BMORALES City of Santa Ana - Confidential Page 17 of 36 19C-23 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 2001-174 Leftige, Ronald 08/24/2001 APD 09/2012001 11/14/2001 Police 99-177 Lerma, Lydia 07/19/1999 LBI 10/27/1999 02/02/2001 Public Works 2000-053 Lewis, George L 03/06/2000 LPD 04/14/2000 09/22/2000 Police 2000-086 Leyva (minor), Edward 05/04/2000 APD 06/23/2000 06/13/2001 Fire 2001-046 Lillard, Mary Francis 08/31/2000 LPI 03/20/2001 11/30/2001 Wrong Entity 2000-135 Linares, Elvia Quintero 06/27/2000 LBI 10/16/2000 10/31/2001 Parks & Recreation 2005-026 Lokker, Natalie 1 212 9/2 0 0 4 LPD 01/21/2005 08/25/2006 Parks & Recreation 2001-185 Loos-Hannifan, Anita 05/21/2001 LPD 10/09/2001 11/19/2001 Public Works 2004-136 Lopez, Abel Garcia 09/21/2004 OTH 09/28/2004 07119/2005 Public Works 2001-063 Lopez, Amancio 03/17/2001 APD 04/11/2001 07/11/2001 Police 2000-163 Lopez, Ana L 1 210 7/2 0 0 0 LPD 12/19/2000 04/13/2001 Police 2001-027 Lopez, Angelina 09/10/2000 LPD 02/21/2001 10/31/2001 Public Works 2000-154 Lopez, Bonnie G 1 1107/2 00 0 LBI 11/27/2000 08/31/2001 Public Works 2001-020 Lopez, Carlos B 02/05/2001 LPD 02/08/2001 10/31/2001 Public Works 2000-007a Lopez, Cesar 11/03/1999 LBI 01/11/2000 10/05/2001 Public Works 2001-142 Lopez, Jose 07/18/2001 LPD 08/22/2001 05/30/2002 Public Works 2004-166 Lopez, Luis Enrique 1 012 3/2 004 LPD 11/08/2004 01/24/2005 Police 2001-203 Lopez, Manuel 10115/2001 LPD 11/06/2001 09/27/2002 Police 2005-222 Lopez, Paulino 10/02/2005 LPD 11102/2005 08/25/2006 Police 2006-080 Lopez, Raul 06/08/2006 APD 07/12/2006 09/14/2006 Fire 2002-039 Lopez, Rosa 09/14/2001 LBI 03/14/2002 06/0312003 Police 2001-028 Lopez, Yolanda 02/13/2001 LPD 02/21/2001 10/31/2001 Public Works 2005-174 Lopezybajo, Jose Luis 02/03/2005 LPD 08/09/2005 04/27/2006 Public Works 2001-199 Loveland, William T 09/20/2001 LPD 11/05/2001 09/03/2002 Police 2000-138 Lovell, Barb J 04/20/2000 LPI 10/20/2000 04/02/2002 Police 2001-205 Lozano, Martha 10/10/2001 ABI 03/07/2002 05/28/2002 Police 2001-111 Lua, Maria Teresa 01/10/2001 LBI 06/21/2001 04/30/2002 Public Works 97-152 MAC ARTHUR VILLAGE H/O 09/17/1997 LPD 10/02/1997 07/31/1998 Finance 98-022 Maceda, Jorge r. 09/19/1997 LPD 01/29/1998 10/19/1998 Public Works 2002-007 Macias, Lilia 11/13/2001 LPD 01/11/2002 10/31/2002 Public Works 2006-017 MacKinnon, Tom (Dba Grand Partners, 01/10/2006 LPD 02/03/2006 11/30/2006 Public Works 2002-042 Madera, Nathaly 09/22/2001 LPI 03/21/2002 11/27/2002 Police 2002-060 Madera, Nathaly 10/27/2001 LPI 04/24/2002 12/18/2002 Police Run Date: 07/16/2010 14:26:11 Run By: BMORALES City of Santa Ana - Confidential Page 18 of 36 19C-24 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 2000-102 Madon, Wilfred J 07/23/2000 LPD 08/02/2000 09/12/2000 Police 98-004 Madrid, Abran f. 04/23/1997 OTH 01/08/1998 10/19/1998 Police 98-128 Madrid, Sr., John Mendoza 06/24/1998 ABI 07/21/1998 10/12/1998 Police 2000-072 Maduena, Jose 04/06/1999 OTH 05/22/2000 06/02/2000 Fire 2001-150 Maffey, Richard 08/27/2001 LPD 08/30/2001 10/11/2001 Finance 2002-067 Magallanez, Christine L 03/27/2002 LPD 05/08/2002 11/19/2002 Public Works 2000-108 Magallon, Alfredo 07/09/2000 APD 08/16/2000 10/19/2000 Police 99-135 Magallon, Pedro Cardenas 03/12/1999 LPI 09/09/1999 09/14/2000 Police 2005-034 Magdaleno, Leticia 12/15/2004 LPD 02/02/2005 01/31/2006 Public Works 2005-192 Maginnis, Stuart 04/14/2005 LPD 09/19/2005 10/03/2006 Public Works 98-037 Malcom, Charlotte d. 02/13/1998 APD 02/23/1998 05/12/1998 Library 2002-137 Malinick, Mary A 09/13/2002 LPD 09/20/2002 10/31/2002 Public Works 99-170 Mallen, Ivonne 10/20/1998 OTH 10/20/1999 08/10/2000 Parks & Recreation 98-048 Mandoki, Doris 02/15/1998 LPD 03/18/1998 02/0511999 Public Works 99-069 Manzo, Hector 02/27/1999 LPD 04/28/1999 08/19/1999 Police 2001-165a Marchan, Pedro 03/1412001 LBI 09/17/2001 03/29/2002 Public Works 98-093 MARCOR ENVIRONMENTAL-WEST 09/21/1997 LPD 05/14/1998 01/29/1999 Public Works 99-079 Margolis, Irving W 04/15/1999 LBI 05/18/1999 01/31/2000 Community 97-198 Marquez, Grady d. 12/11/1997 LPD 12/17/1997 08/31/1998 Fire 2000-119 Marquez, Renel 08/15/2000 LPD 09/11/2000 01/26/2001 Police 2005-130 Martin, Beatriz 01/10/2005 LPD 05/11/2005 02/28/2006 Public Works 2000-090a Martin, Felipe 06/21/2000 ABI 07/05/2000 02123/2001 Parks & Recreation 98-010 Martin, Helen 12/11/1997 LPD 01/15/1998 10/19/1998 Public Works 2001-169 Martin, Yvett C 08/20/2001 APD 09/18/2001 11/06/2001 Police 2001-064 Martinez (minor), Jesse 10/15/2000 LBI 04/11/2001 01/31/2003 Public Works 98-148 Martinez, Carlos 08/22/1998 LPD 09/02/1998 11/02/1998 Police 98-216 Martinez, Claudia 11/28/1998 LPD 12/23/1998 08/31/1999 Public Works 99-124 Martinez, Eduardo 08/18/1999 LPD 08/20/1999 10/04/1999 Police 2006-012 Martinez, Jesus 01/23/2006 LPD 01/24/2006 10/31/2006 Public Works 2001-211 Martinez, Jose Luis 11/14/2001 LPD 11/19/2001 01/29/2002 Police 2000-146 Martinez, Oscar J 06/04/2000 LPD 11/07/2000 01/09/2001 Police 2005-249 Martinez, Uriel 07/08/2005 LPD 12/16/2005 09/26/2006 Police 2000-005 Mata (minor), Carlos 01/06/1999 OTH 01/07/2000 05/02/2000 Police Run Date: 07/16/2010 14:26:11 Run By: BMORALES City of Santa Ana - Confidential Page 19 of 36 19C-25 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 2000-005 Mata (minor), Samantha 01/06/1999 OTH 01/07/2000 05/02/2000 Police 2000-005 Mata (minor), Shavon E 01/06/1999 OTH 01/07/2000 05/02/2000 Police 2000-005 Mata, Doreen 01/06/1999 OTH 01/07/2000 04/18/2000 Police 97-170 Matsui, Melinda lee 10/16/1997 LPD 10/31/1997 02/23/1998 Parks & Recreation 98-110 McAdams, Jeremy 12/26/1997 LBI 06/29/1998 02/26/1999 Wrong Entity 2000-130b McAllister, Tessie R 07/09/2000 ABI 11/17/2000 02/04/2002 Police 2002-056 McBride, Edna R 02/13/2002 LBI 04/17/2002 07/31/2002 Parks & Recreation 99-036 Mc Cauley, Dawn 11/08/1998 LPD 03/11/1999 11/30/1999 Public Works 97-065 Mc Danniel, Judith 04/24/1997 ABI 04/25/1997 04/13/1998 Public Works 2001-029 Mc Donald, Amber 01/05/2001 LPD 02/21/2001 10/31/2001 Public Works 2002-076 Mc Donald, Mary A 03/28/2002 LPD 05/29/2002 06/28/2002 Public Works 2000-063 Mc Ginley, Tim 04/10/2000 LPD 05/08/2000 12/20/2000 Public Works 98-127 Mc Grath, Jean A. 04/30/1998 LPD 07/20/1998 08/24/1998 Police 96-209 Mc Ilvain, Earl E. 10/07/1996 LPD 11/14/1996 10/30/1997 Public Works 2005-152 Mc Leod, Esau L. 05/04/2005 APD 06122/2005 03/30/2006 Police 2002-082 Mc Mahan, William 04/23/2002 APD 06/03/2002 08/22/2002 Public Works 2001-179 Mc Neilly, Echo E 09/12/2001 LPD 09125/2001 06/28/2002 Public Works 2001-189 Mc Pherson, Andrew 01/22/2001 OTH 10/16/2001 05/30/2002 Public Works 99-196 Med Plastics 09/27/1999 LPD 12/16/1999 09/13/2000 Police 2001-101 Medellin, Efren 03/07/2001 LPD 06/11/2001 03/11/2002 Public Works 2000-111 Medina, Manuel 08/16/2000 APD 08/30/2000 10/10/2000 Police 98-185 Medran, Yadira 08/11/1998 LPD 11/10/1998 01/25/1999 Police 2002-061 Meisami-Fard, Hossein 11/30/2001 LPD 04/25/2002 08/21/2002 Public Works 2002-160 Mejia, Antonio 10/29/2002 APD 10/31/2002 12/30/2002 Public Works 97-206 Mejia, Jose c. 12/18/1997 LPD 12/30/1997 08/31/1998 Parks & Recreation 96-238 Melone, Matthew J. 11/14/1996 LPD 12/30/1996 10/30/1997 Public Works 97-127 Mendez, Angelica 04/23/1997 APD 07/23/1997 10/06/1997 Police 2002-015 Mendez, Hector 10/05/2001 LPI 01/31/2002 10/30/2002 Wrong Entity 2000-067a Mendoza, Alejandro 04/20/2000 ABI 05/15/2000 09/21/2000 Police 2005-233 Mendoza, Consuelo 10/06/2005 LPD 11/30/2005 03/08/2006 Parks & Recreation 2000-131 Mendoza, Jose L 09/17/2000 LPD 10/05/2000 06/2912001 Public Works 2001-080 Mendoza, Natalia 11/14/2000 LPD 05/10/2001 07/11/2001 Public Works 2000-114 Mercado, Raul 07/22/2000 LPD 09/01/2000 10124/2000 Parks & Recreation Run Date: 07/16/2010 14:26:11 Run By: BMORALES City of Santa Ana - Confidential Page 20 of 36 19C-26 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 98-221 Mercury Insurance (Alminina, Gamel) 11/20/1998 LBI 12/30/1998 09/29/1999 Public Works 98-183 Mercury Insurance (Arredondo, Olivia) 09/29/1998 LPD 11/09/1998 07/30/1999 Public Works 2006-108 Mercury Insurance (Cervantes, Raul) 09/04/2006 APD 11/16/2006 12/13/2006 Police 98-031 Mercury Insurance (Clay, Johnny) 11/09/1997 LBI 02/17/1998 10/01/1998 Public Works 99-048 Mercury Insurance (Davis, Patricia) 11/20/1998 LPD 04/0211999 11/30/1999 Public Works 99-144 Mercury Insurance (Esparza, Denise) 07/14/1999 APD 09/21/1999 01/04/2000 Police 97-171 Mercury Insurance (Fioriollo, Jaime) 10/18/1997 LPD 11/04/1997 02/02/1998 Parks & Recreation 2005-160 Mercury Insurance (Freudenberg, Elke) 07/1212004 OTH 07/05/2005 02/28/2006 Public Works 2000-061 Mercury Insurance (Garvey, Janet) 12/10/1999 APD 05/01/2000 08/30/2000 Parks & Recreation 2000-080 Mercury Insurance (Hibst, Darrin) 04/20/2000 APD 06/08/2000 11/06/2000 Public Works 2001-209 Mercury Insurance (Hoffman, John) 07/02/2001 APD 11/19/2001 01/28/2002 Police 2001-205 Mercury Insurance (Lozano, Martha) 10/10/2001 APD 11/15/2001 06/28/2002 Police 2005-152 Mercury Insurance (McLeod, Linda) 05/04/2005 APD 06/15/2005 03/30/2006 Police 98-214 Mercury Insurance (Minor, Robert) 09/01/1998 LBI 12/21/1998 09/29/1999 Public Works 98-016 Mercury Insurance (Perez, Jorge) 11/10/1997 APD 01/21/1998 11/30/1998 Parks & Recreation 96-191 Mercury Insurance (Pierda, Moises) 08/07/1996 APD 10/15/1996 07/31/1997 Police 2006-025 Mercury Insurance (Ramirez, Ernesto) 01/02/2006 LPD 02/21/2006 10/31/2006 Public Works 96-081 Mercury Insurance (Rivera, Elsa) 01/30/1996 LPD 05/03/1996 06/25/1999 Public Works 2001-106 Mercury Insurance (Sellars, Richard) 12/27/2000 APD 06/14/2001 10/05/2001 Public Works 2000-160 Mercury Insurance (Tran, Joseph) 10/03/2000 LBI 12/08/2000 10/16/2001 Public Works 2005-206 Mercury Insurance Group (Alcaraz, 08/24/2005 LPD 10/17/2005 07/31/2006 Public Works 2005-026 Mercury Insurance Group (Lokker, Natalie 12/29/2004 LPD 03/08/2005 07/14/2006 Parks & Recreation 99-148 Metzger, Gregory L 04/28/1999 ABI 09127/1999 05/22/2001 Public Works 99-171 Meza, Mary S 09/30/1999 LPD 10/21/1999 07/12/2000 Public Works 2005-088 Meza, Salvador Manuel Soria 01/09/2005 LPD 03/14/2005 01/31/2006 Public Works 97-101 Miles Square Apts 05/17/1997 LPD 05/20/1997 09/16/1997 Police 98-130 MILLER CONSTRUCTION CO. 06/23/1998 LPD 08/01/1998 06/25/1999 Public Works 97-163 Miller, Maggie 08/18/1997 LPD 10/17/1997 07/31/1998 Public Works 97-163 Miller, Mike 08/18/1997 LPD 10/17/1997 07/31/1998 Public Works 2003-057 Mills, Barbara 11/25/2002 LBI 02/18/2003 08/25/2003 Public Works 2001-222 Minjarez, Art 11/26/2001 LPD 12/05/2001 09/27/2002 Public Works 2001-068 Miranda, Nancy 02/06/2001 LPD 04/19/2001 06/12/2001 Police 99-104 Mitchell, Rodney 05/30/1999 LPD 07/07/1999 05/02/2000 Police Run Date: 07/16/2010 14:26:11 Run By: BMORALES City of Santa Ana - Confidential Page 21 of 36 19C-27 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 99-031 Mito, Ann 01/25/1999 LPD 03/02/1999 11/30/1999 Police 99-117 Mitosinka, Dennis 08/02/1999 LPD 08/04/1999 11/12/1999 Public Works 96-148 Mixon, jr., Walter 07/11/1996 LPD 08/16/1996 09/16/1997 Police 2002-146 Mohr, Sandra 10/31/2001 LBI 10/07/2002 10/17/2002 Parks & Recreation 98-126 Molina, Jose ernesto 07/12/1998 LPD 07/20/1998 03/2611999 Public Works 99-076 Monje, Maribel 11/23/1998 LPI 05/11/1999 02/25/2000 Police 2001-187 Montellano, Julio 07/30/2001 LPD 10/11/2001 12/04/2001 Police 98-015 Montoya, Adan 12/14/1997 LPD 01/21/1998 09/30/1998 Wrong Entity 2000-038 Moore Electric, Inc. 11/15/1999 LPD 03/24/2000 01/08/2001 Planning & Building 97-039 Moore, Carol A. 09/19/1996 LPD 03/17/1997 12/31/1997 Public Works 2000-017 Mora, Maria Elena 01/06/2000 LPD 02/11/2000 04/26/2000 Public Works 97-030 Morales, Alfonso I. 02/23/1997 LPD 03/04/1997 10/30/1997 Public Works 2005-169 Morales, Crispin 04/16/2005 APD 07/21/2005 04/27/2006 Public Works 2005-230 Morales, Jessica 11/20/2005 LPD 11/23/2005 08/25/2006 Police 99-201 Morales, Melesio 12/03/1999 LPD 12/17/1999 08/29/2000 Public Works 98-120 Morales, Rogelio o. 05/17/1998 LPD 07/02/1998 02/26/1999 Public Works 2006-028 Morehouse, Scott Judson 09/10/2005 LBI 03/07/2006 1113012006 Public Works 99-155 Moritz, Phyllis M 06/30/1996 OTH 10/04/1999 12/14/1999 Finance 97-195 Moritzky, Sager t. 07/30/1989 OTH 12/05/1997 07/31/1998 Finance 98-067 Morozumi, Mio 12/06/1997 LPD 04/09/1998 02/05/1999 Public Works 2002-014 Morrison, Willis B 08/09/2001 LPI 01/31/2002 12/18/2002 Police 99-1173 Moses, Cheri 01/31/1999 LPI 06/03/1999 05/12/2000 Public Works 2001-196 Munoz, Jose Villasana 10/11/2001 LPD 10/24/2001 09/27/2002 Police 2000-019 Munoz, Maria 08/24/1999 LBI 02/14/2000 09/22/2000 Public Works 98-154 Munoz, Miguel 11/01/1997 OTH 09/23/1998 Public Works 2005-045 Munoz, Teresa 01/27/2005 LPD 02/19/2005 01/31/2006 Police 99-076 Muratella, Elizabeth 11/23/1998 LPI 05/11/1999 02/25/2000 Police 2001-005 Myers, Helen 07/21/2000 LBI 01/04/2001 03/16/2001 Parks & Recreation 2002-126 Najera, Mabel 07/15/2002 LPD 08/21/2002 09/18/2002 Public Works 97-134 Nat'l Railroad Passenger Corp. (AMTRAK) 02/20/1997 LBI 08/15/1997 04/30/1998 Wrong Entity 97-123 National Auto & Casualty (Taylor, Gerald & 06/08/1997 LPD 07/21/1997 02/27/1998 Public Works 2005-224 Nava, David 11/07/2005 LPD 11/09/2005 07/31/2006 Public Works 2002-001 Nava, Rosalina (Mariano) 07/13/2001 LBI 01/08/2002 05/23/2003 Public Works Run Date: 07/16/2010 14:26:11 Run By: BMORALES City of Santa Ana - Confidential Page 22 of 36 19C-28 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 99-203 Navarro, Daniela 06/21/1999 LPI 12/21/1999 09/22/2000 Police 2000-153 Neill, H. Richard 11/03/2000 LPD 11/22/2000 01/16/2001 Public Works 2005-126 Nelson, Cindi 04/26/2005 LPD 05/02/2005 01/31/2006 Public Works 98-163 Neubauer, Alice 04/20/1998 LPD 09/30/1998 11/30/1998 Police 99-172 Neustrom, John J 10/05/1999 APD 10/22/1999 06/30/2000 Police 2005-221 Nevarez, Steve 06/01/2005 LPI 11/02/2005 07/31/2006 Police 99-089 Nguyen, Bao 05/21/1999 LPD 06/07/1999 08/02/1999 Police 2005-119 Nguyen, Hau T 10/20/2004 LPD 04/20/2005 02/01/2006 Public Works 2001-088 Nguyen, Kim T 03/22/2001 LPD 05/21/2001 03/11/2002 Public Works 2000-120 Nguyen, Long D 07/01/2000 LPD 09/18/2000 07/11/2001 Parks & Recreation 97-118 Nguyen, Ru huu 07/02/1985 LPD 07/16/1997 03/25/1998 Finance 2001-178 Nguyen, Sonia H 08/02/2001 APD 09/28/2001 01/07/2002 Police 2002-115 Niedermayer, Stuart W & Betty J. 07/08/2002 LPD 08/05/2002 11/25/2002 Public Works 2001-051 Nieto, Adrian M 03/13/2001 LPD 03/26/2001 05/22/2001 Police 98-084 Niles, Douglas c. 04/15/1998 LPD 05/15/1998 08/24/1998 Public Works 98-191 Nino, Carlos 05/31/1998 LBI 11/16/1998 07/30/1999 Police 97-021 Noel, Michelle a. 12/13/1996 LPD 02/13/1997 12/31/1997 Public Works 2005-253 Nogueira, George 11/02/2005 LPD 12/29/2005 09/26/2006 Police 98-130 NORTHGATE GONZALEZ 06/23/1998 LPD 08/01/1998 06/25/1999 Public Works 98-147 Oakgrove Homeowners Assoc. 08/10/1998 LPD 09/0211998 06/25/1999 Public Works 98-036 Obermeier, Michael g. 12/18/1997 LPD 02/20/1998 05/11/1998 Parks & Recreation 97-079 Ocampo, Anacleto Ybarra 08/03/1996 OTH 05/02/1997 12/31/1997 Police 2001-168 Ocampo, Winona 08/02/2001 LPD 09/17/2001 05/30/2002 Wrong Entity 2000-164 Ochoa, Michael G 10/25/2000 LPD 12/26/2000 10/31/2001 Police 2005-205 ODoardi, Debbie Lee 09/20/2005 LPD 10/14/2005 07/31/2006 Public Works 98-062 Olalde, Porfirio 03/27/1995 APD 04/06/1998 02/05/1999 Police 96-236 Olson, Jeffrey d. 01/01/1996 OTH 12/30/1996 08/29/1997 Public Works 98-029 Orange Coast Plumbing, (James Flynn) 10/30/1996 LPD 02/11/1998 04/30/1998 Community 2002-083 Orange County Association for Mental 05/11/1999 LPD 04/16/2002 06/14/2002 Planning & Building 2000-148 Orange County Deaf Advocacy Center 08/01/2000 LPI 11/12/2000 10/17/2005 Planning & Building 98-043 ORANGE COUNTY TECH CTR 12/17/1997 LPD 03/06/1998 05/20/1998 Public Works 2001-138 Orange County Transportation Authority 06/24/2001 LPD 08/08/2001 04/30/2002 Public Works 2001-188 Ormonde, Michelle 09/23/2001 LPD 10/15/2001 06/28/2002 Police Run Date: 07/16/2010 14:26:11 Run By: BMORALES City of Santa Ana - Confidential Page 23 of 36 19C-29 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 2000-054 Ornelas, Armando 03/30/2000 LPD 04/18/2000 12/20/2000 Public Works 99-059 Ornelas, Hugo 12/10/1998 LBI 04/19/1999 01/31/2000 Police 99-060 Ornelas, Maria 12/10/1998 LBI 04/19/1999 01/31/2000 Police 2002-005 Ortiz, Eloisa M 11/24/2001 LPD 01/11/2002 10/30/2002 Public Works 97-086 Ortiz, J. L. 04/09/1997 LPI 04/15/1997 01/30/1998 Police 2000-142 Ortiz, Jorge L 06/23/2000 LPD 10/30/2000 06/29/2001 Police 2004-043 Ortiz, Jorge L 04/07/2004 LPI 04/07/2004 01/31/2005 Public Works 99-083 Ortiz, Richard S 05/06/1999 LBI 05/25/1999 01/31/2000 Parks & Recreation 2005-187 Ostrow, Jennifer 07/20/2005 LPD 08/30/2005 05/2412006 Public Works 2002-022 Osuna, Violet (a minor) 06/19/2001 ABI 02/04/2002 10/30/2002 Parks & Recreation 97-144 Otis, Danny calvin 07/22/1997 APD 09/10/1997 12/31/1997 Fire 2001-116 Oviedo, Frankie Henry 01/20/2001 LBI 07/03/2001 04/30/2002 Police 98-039 Pace, Arlene 02/24/1998 LPD 02/27/1998 10/30/1998 Public Works 99-157 Pacific Bell 04/15/1999 LPD 10/05/1999 04/09/2001 Public Works 2000-096 Pacific Bell 06/26/2000 LPD 07/20/2000 05/31/2001 Public Works 2002-008 Pacific Bell 09117/2001 LPD 01/15/2002 05/08/2002 Public Works 2002-020 Pacific Bell 08/09/2001 LPD 02/04/2002 10/30/2002 Public Works 2002-021 Pacific Bell 08/04/2001 LPD 02/04/2002 10/30/2002 Public Works 97-085 PACIFIC BELL 04/24/1997 LPD 05/08/1997 07/14/1997 Public Works 98-098 PACIFIC BELL 01/08/1998 LPD 06/08/1998 02126/1999 Public Works 2000-093 Padco Carpet Cushion, Inc. (Nazeri, 02/15/1999 LBI 07/14/2000 02/28/2001 Public Works 2001-037 Padden, Thomas 01/20/2001 LPD 03/01/2001 04/01/2002 Public Works 98-117 Padilla, Francisco 12/12/1997 LPD 06/29/1998 02/26/1999 Public Works 2001-026 Padilla, Jesus 0111012001 LPD 02/20/2001 10/31/2001 Public Works 99-010 Paesano, Fred m. 12/17/1998 LPD 01/12/1999 06/25/1999 Public Works 99-073 Palacios (minor), Yosep 02/15/1999 LBI 05/07/1999 01/31/2000 Parks & Recreation 2005-159 Palomino, Ricardo 05/23/2005 LPD 07/01/2005 02/28/2006 Public Works 97-197 Pantoja, Jose dejesus 12/11/1997 LPD 12/17/1997 08/31/1998 Public Works 2006-058 Paramo, Gabriel 05106/2006 APD 05/16/2006 11/30/2006 Police 2006-058 Paramo, Josue 05/06/2006 LPD 11/02/2006 11/30/2006 Police 96-200 Parker, Jeffery 05110/1996 LPD 10121/1996 12/31/1997 Police 98-206 Parr, Liz 11/18/1998 LPD 12/08/1998 08/31/1999 Police 96-202 Parra, Feliciano 05/05/1996 ABI 10/23/1996 08/19/1997 Police Run Date: 07/16/2010 14:26:11 Run By: BMORALES City of Santa Ana - Confidential Page 24 of 36 19C-30 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 2005-135 Parra, Jose & Connie 03/04/2005 LPD 05/17/2005 02/28/2006 Public Works 97-172 Pastello, David 09/10/1997 LPD 11/04/1997 07/31/1998 Public Works 99-196 Pathmajeyan, Thiraviyam C 09/27/1999 LPD 12/16/1999 09/13/2000 Police 2006-035 Patterson, Eric 03/07/2006 LPD 03/20/2006 11/30/2006 Public Works 2002-031 Peck, Terry L 12/09/2001 LPD 02/27/2002 11/27/2002 Public Works 2000-156 Pena (a minor), Nadia A 06/06/2000 LPI 12/04/2000 08/31/2001 Police 2000-156 Pena, Jr. (a minor), Jorge L 06/06/2000 LPI 12/04/2000 08/31/2001 Police 97-099 Pena, Rafael 06/04/1997 LPD 06120/1997 03/25/1998 Police 2000-156 Pena, Velia Rosa 06/06/2000 LPI 12/04/2000 08/31/2001 Police 2005-064 Pena, Viola 10/19/2004 LPD 03/08/2005 09/15/2006 Public Works 2002-035 Pereyra, Fabiola 02/10/2002 LPD 03/07/2002 07/12/2002 Parks & Recreation 2000-065 Pereyra, Roberto 04/26/2000 LPD 05/10/2000 02/02/2001 Parks & Recreation 2001-058 Perez, Abel 07/2311999 OTH 04/06/2001 10/16/2001 Public Works 2005-144 Perez, Eduardo 05/24/2005 LPD 06/01/2005 01/31/2006 Police 97-014 Perez, Eduardo 01/11/1997 LPD 01/29/1997 10/30/1997 Public Works 2001-153 Perez, Elodia 08/15/2001 LBI 09/05/2001 05/30/2002 Public Works 99-184 Perez, Jesse 08/31/1999 ABI 11/10/1999 05/29/2001 Police 2001-002 Perez, Jonathan 12/04/2000 APD 01/02/2001 02/22/2001 Police 97-189 Perez, Jorge 11/10/1997 ABI 12/01/1997 01/04/1999 Parks & Recreation 97-011 Perez, Juan 01/08/1997 LPD 01/27/1997 07/28/1997 Police 97-177 Perez, Marcos 11/13/1997 LPD 11/13/1997 11/02/1998 Police 2000-052 Perez, Maria C 03/31/2000 LBI 04/13/2000 12/20/2000 Public Works 99-045 Perez, Martina 02/27/1999 LPD 03/31/1999 05/15/2000 Police 99-022 Perez, Monica M. 01/31/1999 LPD 02/04/1999 07/30/1999 Public Works 96-110 Perez, Roberto 06/06/1996 LPD 07/02/1996 05/12/1998 Public Works 99-108 Perez, Salvador 06/28/1999 LPD 07/19/1999 05/02/2000 Police 99-205 Perfino, Irene 09/03/1999 LBI 12/27/1999 07/23/2001 Public Works 2000-057 Peringer, Robert V 02/08/2000 LPD 04/26/2000 12/20/2000 Police 2000-167 Peters, Joseph 05/11/2000 OTH 12/29/2000 08/31/2001 Police 2001-191 Petrillo, Neil A 10/11/2001 LPD 10/17/2001 09/03/2002 Public Works 2001-172 Pham, Chau 08/12/2001 LPD 09/19/2001 07/31/2002 Planning & Building 97-194 Pham, Kim Ngoc 11/25/1997 LPD 12/05/1997 02/23/1998 Police 99-192 Phan, Hien 12/07/1999 LPD 12/14/1999 08/29/2000 Police Run Date: 07/16/2010 14:26:11 Run By: BMORALES City of Santa Ana - Confidential Page 25 of 36 19C-31 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 98-111 Phillips, Wayne 12/26/1997 LBI 06/29/1998 02/26/1999 Wrong Entity 98-198 Piedra, Moises 10/30/1998 LPD 11/23/1998 02/23/1999 Police 2005-229 Pierce, Patrick 12/15/2004 OTH 11/23/2005 07/31/2006 Parks & Recreation 2001-065 Pillado, Teofilo 10/15/2000 LBI 04/16/2001 12/1912001 Wrong Entity 2000-013 Pimentel, Jesus 01/18/2000 ABI 02/04/2000 08/08/2000 Police 97-067 Pina, Roberto 03/10/1997 APD 04/25/1997 08/11/1997 Public Works 2001-224 Pineda, Judi E 09/17/2001 LPD 12/13/2001 09/27/2002 Public Works 99-005 Pinedo, Yesenia 12/17/1998 LPD 01/06/1999 08/31/1999 Public Works 2000-024 Pinkston, Jr., Louis 01/09/2000 LPD 02/18/2000 12/20/2000 Police 98-044 Pitluk, Sheldon b. 02/24/1998 LPD 03/09/1998 04/20/1998 Police 2001-043 Plate, Teresa M 10/25/2000 LPD 03/19/2001 05/15/2001 Police 97-157 Pogosian, Paula 04/26/1997 LBI 10/08/1997 07/31/1998 Public Works 99-024 Ponce, Craig Edward 02/06/1999 LPI 02/09/1999 11/30/1999 Police 98-217 Portante, Letizia 10/12/1998 LPD 12/2811998 08/31/1999 Public Works 2001-124 Prendergast, Patrick 01/30/2001 LBI 07/09/2001 08/01/2001 Police 99-009 Prewett-Gunn, Augusta B. 12/01/1998 LPD 01/11/1999 08/31/1999 Public Works 98-165 Price, Jonathan d. 05/19/1998 LBI 10/02/1998 01/31/1999 Fire 97-068 Price, Patricia Louise 10/30/1996 LPI 04/29/1997 02/27/1998 Police 97-168 Prieto, Victor E. 09/08/1997 LPD 10/29/1997 12/14/1999 Public Works 2006-024 Progressive Insurance (Clark, Jason) 02/10/2006 APD 05/09/2006 07/31/2006 Public Works 99-141 Prudential Overall Supply 01/01/1965 OTH 09/15/1999 06/28/2000 Public Works 97-104 Pudimott, jr., Edward w. 12/30/1996 LBI 06/25/1997 04/30/1998 Wrong Entity 96-003 Pulido, Adriana 12/21/1995 LBI 01/10/1996 10/25/2000 Police 96-003 Pulido, Christina 12/21/1995 LBI 01/10/1996 10/25/2000 Police 96-003 Pulido, Elizabeth (guar 12/21/1995 LBI 01/10/1996 10/2512000 Police 96-003 Pulido, Pedro 12/21/1995 LBI 01/10/1996 10/25/2000 Police 99-168 Quinto, Carlos 01/01/1996 OTH 10/20/1999 12/14/1999 Finance 2001-120 Raffaeilli, Leroy W 02/12/2001 LPI 07/06/2001 12/04/2001 Police 97-057 Ramirez, Celzo D. 02/20/1997 LBI 04/14/1997 12/31/1997 Public Works 97-058 Ramirez, David C. 03/15/1997 LBI 04/14/1997 12/31/1997 Public Works 2001-214 Ramirez, Ernesto 11/12/2001 LPD 11/26/2001 07/31/2002 Public Works 97-076 Ramirez, Gilberto (minor) 03/11/1997 ABI 05/02/1997 01/30/1998 Police 98-065 Ramirez, Guadalupe 04/03/1998 LPD 04/08/1998 01/29/1999 Police Run Date: 07/16/2010 14:26:12 Run By: BMORALES City of Santa Ana - Confidential Page 26 of 36 19C-32 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 97-192 Ramirez, John t. 07/22/1997 LPD 12/02/1997 07/31/1998 Public Works 96-183 Ramirez, Jose 04/03/1996 LPI 10/01/1996 10/30/1997 Police 2005-180 Ramirez, Jr., Luis Estrada 03/28/2005 LBI 08/22/2005 08/25/2006 Police 97-073 Ramirez, Juana 03/11/1997 ABI 05/02/1997 01/30/1998 Police 98-108 Ramirez, Martin mendoza 05/04/1998 ABI 06/25/1998 08/24/1998 Police 97-074 Ramirez, Ramiro (minor) 03/11/1997 ABI 05/02/1997 01/30/1998 Police 97-072 Ramirez, Remedios 03/11/1997 ABI 05/02/1997 01/30/1998 Police 2000-050 Ramirez, Veronica 01/19/2000 LPI 04/07/2000 12/20/2000 Police 98-012 Ramos (minor), Erick 07102/1997 OTH 01/16/1998 09/30/1998 Police 97-083 Ramos, Dolores 04/04/1997 LPD 05/07/1997 06/25/1999 Police 99-173 Ramos, Eric B 09/02/1999 APD 10/25/1999 11/29/1999 Police 2000-084 Ramos, Gustavo 05/20/2000 LPD 06/16/2000 03/30/2001 Public Works 99-003 Ramos, Jorge 12/09/1998 LPD 01/06/1999 08/31/1999 Public Works 98-135 Ramos, Telesforo Alvarez 06/25/1998 LBI 08/12/1998 06/25/1999 Public Works 96-220 Raya, Grace 11/13/1996 LPD 11/27/1996 10/30/1997 Public Works 99-039 Raymond, Ed 02/22/1999 LPD 03/22/1999 12/22/1999 Police 2000-010 Razo, Miguel A 01/24/2000 LPD 01/28/2000 03/22/2000 Police 2001-012 Red Roof Inn 12/26/2000 LPD 01/24/2001 10/31/2001 Community 2005-138 Regents of the University of California 05/30/2004 LBI 05/23/2005 01/31/2006 Wrong Entity 2002-095 Reich, Bruce 05/31/2002 LPD 06/26/2002 08/22/2002 Police 2000-001 Reilly, Joseph S 12/06/1999 APD 01/03/2000 08/29/2000 Police 97-180 Reno, James a. 10/23/1997 LPD 11/14/1997 02/23/1998 Police 2004-168 Resendez, Lupe 05/13/2004 LPD 11/12/2004 05/10/2006 Police 98-192 Resinos, Estela 06/12/1998 LPD 11/17/1998 02/25/2000 Police 2002-040 Reyes, Francisca 02/14/2002 LPD 03/15/2002 11/27/2002 Wrong Entity 99-068 Reyes, Javier 01/31/1999 LPI 04/27/1999 05/31/2001 Parks & Recreation 2000-121 Reyes, Robert R 09/16/2000 LPD 09/19/2000 05/23/2001 Police 2001-110 Reymundo, Stella 04/11/2001 LPD 06/20/2001 07/17/2001 Police 2001-160a Rhinetrade Inc. 09/12/2001 LPD 09/12/2001 07/29/2002 Public Works 2000-055 Riazi, Margaret 02/18/2000 LPD 04/21/2000 01/31/2001 Police 2006-098 Rice, Rowland S. 08/02/2006 LPD 08/22/2006 10/12/2006 Police 97-029 Richey, William I. 02/05/1997 LBI 03/03/1997 12/31/1997 Fire US-115 Ricks, Edward L 11/08/1999 LPI 05/24/2000 02/25/2002 Police Run Date: 07/16/2010 14:26:12 Run By: BMORALES City of Santa Ana - Confidential Page 27 of 36 19C-33 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 2001-066 Rico, Juan 02/06/2001 LPI 04/17/2001 02/04/2002 Police 98-174 Rios, David 09/10/1998 ABI 10/20/1998 06/25/1999 City Manager 98-174 Rios, Mary 09/10/1998 ABI 10/20/1998 06/25/1999 City Manager 2001-066 Rivas, Margarita 02/06/2001 LPI 04/17/2001 02/04/2002 Police 2004-064 Rivero, Marcos Lemos 05/03/2003 LPI 04/29/2004 02/08/2006 Police 2001-036 Roa, Lisa Ann 01/27/2001 LPD 03/01/2001 08/31/2001 Public Works 2000-129 Roberson, Cynthia M 06/22/2000 LBI 10/03/2000 04/03/2001 Wrong Entity 2005-131 Robert, Renald J 04/28/2005 LPD 05/11/2005 01/31/2006 Public Works 98-073 Robledo, Alma 04/06/1998 LBI 04/20/1998 02/05/1999 Public Works 2005-137 Robles, Paul 05/20/2005 LPD 05/20/2005 02/28/2006 Public Works 98-129 Rodriguez, Adan 07/13/1998 LPD 07/29/1998 06/25/1999 Public Works 2006-079 Rodriguez, Antonio 05/17/2006 LPD 07/12/2006 09/12/2006 Police 98-177 Rodriguez, Casimiro 05/04/1998 APD 10/28/1998 02/17/1999 Police 98-197 Rodriguez, Genaro 11/17/1998 LPD 11/23/1998 02/08/1999 Police 97-125 Rodriguez, Graciela 03/31/1997 LPD 07/22/1997 04/30/1998 Wrong Entity 2001-016 Rodriguez, Jorge 01/27/2001 LPD 01/31/2001 03/16/2001 Public Works 2001-190 Rodriguez, Jose Luis 09/29/2001 LPD 10/17/2001 07/31/2002 Public Works 2005-190 Rodriguez, Juan Carlos 08/23/2005 LPD 09/08/2005 05/24/2006 Public Works 99-191 Rodriguez, Luis 12/07/1999 LPD 12/08/1999 01/28/2000 Police 99-105 Rodriguez, Mario 06/09/1999 LPD 07/09/1999 11/05/1999 Police 98-054 Rodriguez, Miguel 03/26/1998 LPD 03/26/1998 02/05/1999 Police 98-041 Rodriguez, Pablo e. 02/17/1998 LPD 03/04/1998 02/05/1999 Police 2000-157 Rodriguez, Reynaldo 06/11/2000 LPI 12/05/2000 10/31/2001 Police 2000-106 Roehm, Richard 05/26/2000 LPI 08/15/2000 06/05/2002 Police 2000-148 Roehm, Richard 08/01/2000 LPI 11/13/2000 08/31/2001 Planning & Building 99-146 Roman Catholic Bishop of Orange, a corp. 08/27/1999 LPD 09/23/1999 05/31/2000 Public Works 2000-067b Romero, Angelica 04/20/2000 ABI 08/16/2000 01/31/2001 Police 2005-201 Romero, Elizabeth Mary 10/03/2005 LPD 10/07/2005 06/30/2006 Public Works 2005-185 Romero, Virginia S 06/08/2005 LPD 08/30/2005 07/31/2006 Police 2005-202 Romo, Carlos J 05/17/2005 LBI 10/11/2005 07/31/2006 Police 96-203 Rosales, Eva 09/28/1996 LPD 10/24/1996 08/29/1997 Parks & Recreation 97-126 Rosenfeld, Rafael 02/01/1997 LPD 07/21/1997 03/25/1998 Public Works 97-140 Rosenthal, Adele 08/22/1997 LBI 09/03/1997 05/28/1998 Public Works Run Date: 07/16/2010 14:26:12 Run By: BMORALES City of Santa Ana - Confidential Page 28 of 36 19C-34 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 2001-221 Ross, Bradley 06/05/2001 LPD 12/04/2001 07/31/2002 Wrong Entity 2002-053 Rowenhorst, Earl E 01128/2002 LPD 04/15/2002 12/18/2002 Public Works 98-145 Rowles, Clarence Edward 07/15/1998 LPI 08/28/1998 06/25/1999 Police 2001-001 Rubert, Joel E 07/10/2000 LPI 01/02/2001 08/31/2001 Police 2000-152 Ruiz, Frank 11/13/2000 LPD 11/21/2000 07/31/2001 Public Works 2006-070 Ruiz, Imelda 05/30/2006 APD 06/12/2006 08/14/2006 Public Works 97-055 Ruiz, Maria Vicenta 03/06/1997 LBI 04/10/1997 01/30/1998 Public Works 99-087 Ruth, Mike 09/08/1998 OTH 05127/1999 01/28/2000 Public Works 2001-193 S & J Transportation, Inc. 07/05/2001 LPD 10/22/2001 01/28/2002 Public Works 97-119 Saavedra, Daniel 07/12/1997 LPD 07/16/1997 06/25/1999 Police 2002-074 Sabunjian, Mihran K 11/15/2001 LPD 05/24/2002 09/25/2002 Police 99-006 SADDLEBACK HIGH SCHOOL 03/04/1998 LPD 01106/1999 04/01/1999 Police 2001-032 Safeco Insurance (Alvarado, Sylvia) 02/06/2001 APD 02/23/2001 10/31/2001 Police 99-126 Sagrero, Maria P 08/16/1999 LPD 08/20/1999 05/31/2000 Parks & Recreation 2001-055 Said, Violla 04/03/2000 LBI 03/30/2001 07/25/2002 Community 98-097 Salazar, Martin 05/26/1998 LPD 06/02/1998 01/31/1999 Public Works 2005-235 Salcedo, Dominique 06/06/2005 LBI 12/02/2005 08/25/2006 Public Works 2005-235 Salcedo, Phillip Alejo 06/06/2005 LBI 12/02/2005 08/25/2006 Public Works 96-189 Salgado, Humberto 08/31/1996 LPD 10/11/1996 07/31/1997 Public Works 2005-165 Salvation Army 02/24/2005 LPD 07/13/2005 03/30/2006 Public Works 2001-147 Samuel, David T 07/14/1982 LPI 06/24/2001 10/05/2001 Wrong Entity 2000-064 Sanchez, Andres 03/30/2000 APD 05/09/2000 07/10/2000 Police 2002-048 Sanchez, Angel 01/30/2002 LPD 04/04/2002 12/18/2002 Public Works 2001-162 Sanchez, Carlos 06/21/2001 LPD 09/13/2001 11/27/2001 Police 2006-007 Sanchez, Jose Perez 07/20/2005 APD 01/19/2006 03/30/2006 Planning & Building 98-137 Sanchez, Leticia 08/03/1998 LPD 08/18/1998 06/25/1999 Public Works 97-010 Sanchez, Lupe 01/23/1997 LPD 01/24/1997 12/31/1997 Police 97-033 Sanchez, Michael S. 12/28/1996 LPD 03/10/1997 10/30/1997 Wrong Entity 2000-041 Sanchez, Rene 12/02/1999 LPD 03/29/2000 11/30/2000 Police 96-079 Sanders, Kimberly 11/06/1995 LPD 04/30/1996 06/24/1996 Fire 2005-217 Sandoval, Esteban 08/25/2005 LPD 10/31/2005 10/31/2006 Community 97-130 Sandoval, Martin 08/01/1997 LPD 08/04/1997 11/17/1997 Police 2001-192 Sandpointe Neighborhood Association 05/31/2001 LPD 10/22/2001 06/05/2002 Community Run Date: 07/16/2010 14:26:12 Run By: BMORALES City of Santa Ana - Confidential Page 29 of 36 19C-35 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 97-022 Sanford, J. Inez 02/04/1997 LBI 02/18/1997 10/30/1997 Public Works 99-123 Santa Ana Federal Credit Union 08/16/1999 APD 08/17/1999 09/24/1999 Fire 2001-218 Santa Ana Travel Inn 11/21/2001 LPD 11/30/2001 08/29/2002 Police 2004-093 Santa Clara Plaza 06/12/2004 LPD 07/09/2004 09/23/2004 Police 98-021 Santana, Eddie 12/18/1997 LPD 01/28/1998 01/29/1999 Police 2001-167 Santander, Delia 08/19/2001 LPD 09/17/2001 05/29/2002 Police 2001-002 Santiago, Joisca 12/04/2000 APD 01/02/2001 02/22/2001 Police 2005-232 Sarmiento, Hugo Vanlid 05/25/2005 LPI 11/30/2005 08/25/2006 Police 2005-223 Savedra, Enrique 03/19/2005 OTH 11/02/2005 06/30/2006 Public Works 2002-011 Sayavong, John B 12/14/2001 LPD 01/22/2002 10/31/2002 Public Works 2001-104 Scarfe, Richard L 03/12/2001 LPI 06/12/2001 03/11/2002 Police 2001-171 Schell, David 07/26/2000 APD 09/18/2001 06/28/2002 Community 2001-176 Schmid, David & Jennifer 08/06/2001 LPD 09/25/2001 06/28/2002 Public Works 96-218 Scott, Daynon 11/25/1996 LPD 11/26/1996 08/29/1997 Public Works 97-187 Scott, Jack o. 02/14/1997 LPD 11/24/1997 08/31/1998 Public Works 2005-140 Scott, LaRonn 01/13/2005 LPD 05/26/2005 01/18/2006 Public Works 2001-210 Seboldt, Brenda M 11/09/2001 APD 11/19/2001 12/05/2001 Police 2001-210 Seboldt, Richard 11/09/2001 APD 11/19/2001 12/05/2001 Police 97-210 Seehr, James P. 12/11/1997 LPD 12/31/1997 10/30/1998 Public Works 97-209 Seehr, James p. 01/01/1996 LPI 12/31/1997 10/30/1998 Planning & Building 98-109 Sego, Eugene W 07/22/1997 LPD 06/25/1998 08/04/1998 Police 2001-106 Sellars, Richard 12/27/2000 APD 06/14/2001 10/22/2001 Public Works 98-195 SELMAN CHEVROLET 08/12/1998 LPD 11/20/1998 02/17/1999 Community 98-196 SELMAN CHEVROLET 08/24/1998 LPD 11/20/1998 02/17/1999 Community 2001-074 Sempra Energy 03/03/2001 LPD 04/30/2001 12/19/2001 Public Works 2001-123 Sempra Energy 05/04/2001 LPD 07/09/2001 04/17/2002 Public Works 2002-051 Sempra Energy 02/25/2002 LPD 04/11/2002 12/18/2002 Public Works 2002-054 Sempra Energy 03/01/2002 LPD 04/15/2002 05/16/2002 Public Works 99-181 Sempra Energy (So Cal Gas) 09/22/1999 LPD 11/01/1999 01/31/2000 Public Works 99-085 Serrano, Adolfo 03/07/1999 LPD 05/26/1999 01/28/2000 Wrong Entity 96-198 Serrano, Lorena g. 10/18/1996 LPD 10/21/1996 07/31/1997 Public Works 2001-093 Serville, Sydney K 01/03/2001 LBI 05/29/2001 03/11/2002 Public Works 2001-225 Shirley, Dwayne M 12/18/2001 LPD 12/19/2001 09/27/2002 Police Run Date: 07/16/2010 14:26:12 Run By: BMORALES City of Santa Ana - Confidential Page 30 of 36 19C-36 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 2001-024 Silva, Martha A 02/13/2001 LPD 02/16/2001 10/31/2001 Public Works 2001-048 Silverthorne, Sean 05/11/2000 LPD 03/20/2001 10/31/2001 Police 2005-072 Simental, Erika 02/24/2005 LPD 03/10/2005 01/31/2006 Public Works 99-122 Simpson, Todd 02/26/1999 LPD 08/17/1999 11/01/1999 Police 2000-158 Skallerud, Scoff 01/26/2000 OTH 12/06/2000 07/31/2001 Police 97-115 Smith, David r. 06/20/1997 APD 07/14/1997 09/12/1997 Finance 2001-121 Smith, E. Gary & Elizabeth 06/26/2001 LPD 07/06/2001 12/11/2001 Public Works 97-066 Smith, Melissa 04/12/1997 APD 04/25/1997 07/14/1997 Fire 2000-015 Smith, Trent B 12/22/1999 LPD 02/08/2000 09/22/2000 Public Works 98-001 Smothers, Ronald h. 08/07/1997 LPD 01/02/1998 03/30/1998 Public Works 2001-017 SO CAL EDISON 12/06/2000 LPD 02/06/2001 11/30/2001 Public Works 2001-035 SO CAL EDISON 01/04/2001 LPD 02/26/2001 10/31/2001 Public Works 2001-052 SO CAL EDISON 01/02/2001 LPD 03/27/2001 11/30/2001 Public Works 2001-092 SO CAL EDISON 12/11/2000 LPD 05/25/2001 01/31/2002 Public Works 97-193 SO CAL EDISON 10/22/1997 APD 12/02/1997 02/23/1998 Public Works 98-149 SO CAL EDISON 08/13/1998 LPD 09/04/1998 03/10/1999 Public Works 97-181 SO CAL GAS CO 10/15/1997 LPD 11/17/1997 02/13/1998 Public Works 98-102 SO CAL GAS CO 05/26/1998 LPD 06/16/1998 08/24/1998 Public Works 98-134 SO CAL GAS CO 07/29/1998 LPD 08/10/1998 10/12/1998 Public Works 2001-041 Sobieski, Tanya 10/30/2000 LBI 03/08/2001 11/02/2001 Public Works 2001-157 Solliday, Laurie 07/30/2001 APD 09/10/2001 11/14/2001 Public Works 98-209 Sommers, Sandra Lynn 12/02/1998 LPD 12/11/1998 06/25/1999 Public Works 97-132 Soqui, Jorge 08/07/1996 OTH 08/08/1997 02/05/1999 Police 97-005 Soria, David C. 01/03/1997 LPD 01/16/1997 09/30/1997 Finance 99-139 Southern California Edison 07/19/1999 LPD 09/13/1999 05/31/2000 Public Works 2002-018 Southern California Edison 11/16/2001 LPD 02/01/2002 10/31/2002 Public Works 2001-134 Southern California Edison Company 03/14/2001 LPD 08/01/2001 01/31/2002 Public Works 99-118 Southern California Gas Co. 06/08/1999 LPD 08/09/1999 09/21/1999 Public Works 2006-031 Southern California Gas Company 08/25/2005 LPD 03/10/2006 12/22/2006 Public Works 2001-148 Spectrum Community Association 07/23/1985 OTH 08/30/2001 09/03/2002 Community 2000-035 Springer, Marlene K 01/05/1998 OTH 03/16/2000 02/05/2001 Wrong Entity 2001-015 St. Peter, Robert 12/02/2000 LBI 01/30/2001 04/12/2002 Public Works 2000-040a Stark, Patrick J 03/13/2000 LPD 03/27/2000 12/20/2000 Public Works Run Date: 07/16/2010 14:26:12 Run By: BMORALES City of Santa Ana - Confidential Page 31 of 36 19C-37 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 97-053 Starnes, Betty 04/02/1997 LBI 04/08/1997 12/31/1997 Public Works 97-069 State Comp. Ins. Fund, (Utility Cost Mgmt) 04/01/1994 LPD 04/28/1997 03/13/1998 Finance 99-015 State Farm Insurance (Cocherell, Hope) 01/13/1999 APD 04/01/1999 08/23/1999 Fire 2001-053 State Farm Insurance (Day, John T.) 02/13/2001 LPD 03/28/2001 11/30/2001 Public Works 2006-038 State Farm Insurance (Goldin, Milton) 11/19/2005 LPD 03/24/2006 11/30/2006 Public Works 2001-013 State Farm Insurance (lams, Young) 08/19/2000 LPD 01/29/2001 10/31/2001 Public Works 99-034 State Farm Insurance (Lowry, Michael) 12/02/1998 LPD 03/08/1999 06/14/1999 Public Works 2001-014b State Farm Insurance (Villegas, Bertha & 01/27/2001 LPD 03/05/2001 06/12/2001 Public Works 98-124 State Farm Insurance, (Madrid Sr., John) 06/24/1998 ABI 07/15/1998 11/09/1998 Police 99-054 State Farm Insurance/Elliott, Ronald 01/2811999 APD 04/21/1999 08/02/1999 Police 97-002 Steed, Cherry C. 09/19/1996 LBI 01/06/1997 10/30/1997 Public Works 2005-107 Steinkraus, David M 03/08/2005 LPD 04/07/2005 02/28/2006 Public Works 98-090 Stelly, Lonniel a. 05/18/1998 LPD 05/19/1998 01/31/1999 Public Works 2001-160b Stephens, James A. 09/12/2001 LPD 09/12/2001 03/29/2002 Public Works 2002-145 Stephens, Sarah 05/21/2002 APD 10/03/2002 12/16/2002 Police 2001-021 Sterik Company 01/04/2001 LBI 02/12/2001 10/31/2001 Public Works 99-153 Sterling Casualty Insurance Co. 08/12/1999 APD 10/29/1999 12/15/1999 Public Works 2002-140 Sternisha, Mark A 08/22/2002 LPD 09/24/2002 11/25/2002 Police 97-071 Stewart, Carl 03/27/1997 LPD 05/01/1997 08/04/1997 Public Works 99-180 Stewart, Raymond R 05/27/1999 ABI 10/27/1999 04/26/2000 Public Works 99-064 Strachan, Kathleen 12/04/1998 LPD 04/26/1999 07/28/1999 Police 2001-223 Streng, Todd W 11/26/2001 LPD 12/06/2001 08/30/2002 Public Works 99-158 Suarez, Octavio 08/04/1999 LPD 10/06/1999 07/12/2000 Public Works 2005-234 Suchy, Theresa 11/15/2005 LPD 12/01/2005 09/26/2006 Police 2001-151 Sutton, Charles W 08/23/2001 LPD 08/31/2001 09/18/2001 Public Works 99-187 Sutton, Michael W 07/21/1999 LBI 11/18/1999 07/31/2001 Public Works 97-143 TA CHEN ENTERPRISES, INC. 07/25/1983 LPD 09/09/1997 05/28/1998 Finance 97-023 Taber, Judy 08/22/1996 LPI 02/21/1997 12/31/1997 Police 2001-073 Taffolla, Eva Martinez 02/02/2001 LBI 04/27/2001 01/31/2002 Police 2001-220 Talamantes, Jason 06/22/2001 LPD 12/03/2001 01/28/2002 Police 2003-077 Tan, Hing Y 07/29/2002 OTH 02/28/2003 10/20/2003 Parks & Recreation 99-159 Tan, Hing Yong 05/14/1999 LPD 10/08/1999 06/23/2000 Police 97-031 Tan, Hing Yong 09/05/1996 LPI 03/05/1997 12/31/1997 Police Run Date: 07/16/2010 14:26:12 Run By: BMORALES City of Santa Ana - Confidential Page 32 of 36 19C-38 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 2005-125 Tang, Edwin 01/30/2005 LPD 04/27/2005 03/30/2006 Public Works 2005-246 Tapia, Alejandro Gaytan 11/27/2005 LPI 12/13/2005 09/26/2006 Police 2006-032 Tapia, Beatriz 01/22/2006 LPD 03/10/2006 12/22/2006 Public Works 2005-128 Tate, Kyle L 02/23/2005 LPD 05/03/2005 01/31/2006 Public Works 98-212 Tavita, Seneuefa 12/09/1998 LPD 12/17/1998 08/31/1999 Public Works 97-096 Taylor, Phyllis 06/0411997 LPD 06/12/1997 03/25/1998 Public Works 99-176 Teissler, Elaine 10/19/1999 LBI 10/27/1999 07/31/2000 Public Works 98-218 TEMPLE BETH SHOLOM 01/01/1995 LPD 12/28/1998 03/26/1999 Finance 2005-115 Terry, Ronald L 02/01/2005 LPD 04/18/2005 01/31/2006 Public Works 98-114 Tesimale, Laura I. 06/01/1998 LPD 06/29/1998 02/26/1999 Wrong Entity 2000-128 Thomas, Justeena (minor) 07/27/2000 LBI 10/02/2000 04/18/2001 Wrong Entity 97-174 Thompson, Anneve michelle 10/12/1997 LPD 11/0611997 08/31/1998 Public Works 2000-078 Thompson, Russell P 05/30/2000 LPD 06/07/2000 03/30/2001 Public Works 96-187 Tinoco, Rafael p. 06/07/1996 LPD 10/04/1996 07/31/1997 Police 2002-030 Tobias, Miriam 02/09/2002 LPD 02/26/2002 11/27/2002 Public Works 2001-195 Tobon, Ivette 09/19/2001 APD 10/23/2001 02/12/2002 Police 2000-068 Tolbert, Bobbie 03/06/2000 LPD 05/17/2000 01/31/2001 Public Works 2005-121 Torres, Adrian V 04/01/2005 LPD 04/21/2005 01/31/2006 Public Works 2000-082a Torres, Alec 01/13/2000 APD 06/14/2000 11/0912000 Police 97-017 Torres, Gerardo 12/19/1996 LPD 02/05/1997 12/31/1997 Public Works 99-096 Torres, Hernando G 05/12/1999 LPD 06/16/1999 05/02/2000 Public Works 2005-186 Torres, Luis Selestino 08/06/2005 APD 08/30/2005 06/30/2006 Police 99-044 Torres, Margarita 02/27/1999 LPD 03/31/1999 05/02/2000 Police 96-210 Torres, Mike 10/18/1996 APD 11/18/1996 12/27/1997 Police 2000-032 Torres, Rosa Orozco 10/12/1999 LBI 03/14/2000 10/05/2001 Police 98-059 Tran, Gerald 12/11/1997 LPD 04/01/1998 02/05/1999 Public Works 2001-141 Tran, Kevin 08/09/2001 LPD 08/17/2001 04/30/2002 Public Works 98-080 Trapps, Robert earl 11/14/1997 LPI 05/07/1998 02/05/1999 Police 2005-209 Trebizo, Gabriella Michelle 09/02/2005 APD 10/17/2005 01/11/2006 Police 2001-076 Trieu, Quoc 04/05/2001 APD 05/01/2001 08/01/2001 Fire 99-121 Truckwork, Inc. 07/22/1999 LPD 08/16/1999 05/02/2000 Public Works 99-128 Truckwork, Inc. 08/22/1999 LPD 08/27/1999 05/02/2000 Public Works 2000-021 Truly Nolen 10/08/1999 LPD 02/17/2000 10/27/2000 Public Works Run Date: 07/16/2010 14:26:12 Run By: BMORALES City of Santa Ana - Confidential Page 33 of 36 19C-39 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 2005-047 Trumbauer, James 01/01/2005 LPD 02/23/2005 02/01/2006 Police 97-009 Tsai, Sam 12/06/1996 LPD 01/22/1997 12/31/1997 Police 2005-195 Tucker, Jerry 08/20/2005 LPD 09/27/2005 06/30/2006 Public Works 99-109 Tucker, Robert 06/16/1999 LPD 07/20/1999 05/02/2000 Finance 2005-184 Turner, James 02/28/2005 LPD 08/29/2005 05/24/2006 Police 2001-198 U.S.P.S. (Monge, Julio) 06/21/2001 ABI 11/02/2001 07/31/2002 Public Works 98-094 Unlimited holdings (Caci, AI) 05/08/1998 LPD 05/22/1998 01/31/1999 Police 99-196 Uppal, Gyan 09/27/1999 LPD 12/16/1999 09/13/2000 Police 99-193 USAA Casualty Insurance (Leatherman, 11/22/1999 LPD 12/14/1999 08/30/2000 Public Works 97-060 USAA Insurance, (Wheeler, Janet) 10/21/1996 LPD 04/16/1997 01/30/1998 Wrong Entity 2006-033 Vaca, Norma 02/27/2006 LPD 03/15/2006 11/30/2006 Public Works 98-099 Valadez, Manuel 12/21/1997 APD 06/09/1998 07/27/1998 Fire 98-204 Valderrama, Doran 06/03/1998 LBI 12/03/1998 07/30/1999 Wrong Entity 98-204 Valderrama, Ismael 06/03/1998 LBI 12/03/1998 07/30/1999 Wrong Entity 97-173 Valdez, Pablo 10/08/1997 LBI 11/04/1997 07/31/1998 Public Works 2005-193 Valenzuela, German 08/20/2005 LBI 09/19/2005 05/24/2006 Wrong Entity 97-089 Valenzuela, Herlinda 05/17/1997 LPD 05/22/1997 07/07/1997 Police 2002-029 Vallejo, Guillermo 01/30/2002 LPD 02/21/2002 05/08/2002 Public Works 2001-152 Van Alstyne, Lance 08/23/2001 LPD 09/04/2001 11/27/2001 Police 98-190 Vanauken, Sandra Sue 05/19/1998 LBI 11/16/1998 06/25/1999 Wrong Entity 2005-245 Vandermolen, Marsha 11/21/2005 LPD 12/13/2005 05/29/2008 Parks & Recreation 96-231 Vanhorn, Michael J. 12/19/1996 LPD 12/19/1996 10/30/1997 Police 98-008 Vara, Armando 11/26/1997 LPD 01/12/1998 09/30/1998 Public Works 96-195 Vargas, Julian 10/03/1996 LPD 10/17/1996 07/31/1997 Public Works 2006-104 Vargas, Manuel 05/02/2006 APD 09/07/2006 11/06/2006 Police 99-143 Vasquez, Alvaro R 11/29/1998 OTH 09/17/1999 Public Works 2000-027 Vasquez, Araceli 08/29/1999 LPD 02/29/2000 10/27/2000 Public Works 2000-141 Vasquez, Eva 10/31/1999 LBI 10/30/2000 02/25/2002 Public Works 2001-154 Vasquez, Jose 07/21/2001 LPD 09/05/2001 05/29/2002 Public Works 96-223 Vazquez, Marisa 11/26/1996 LPD 12/06/1996 10/30/1997 Public Works 2005-157 Vega, Alfred M 06/08/2005 LPD 06/27/2005 03/30/2006 Public Works 99-127 Velarde, Gloria 03/25/1999 LBI 08/26/1999 10/03/2000 Public Works 98-166 Velarde, Maria 09/21/1998 LPD 10/05/1998 11/23/1998 Public Works Run Date: 07/16/2010 14:26:12 Run By: BMORALES City of Santa Ana - Confidential Page 34 of 36 19C-40 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 97-114 Velarde, Rosalie 05/06/1997 APD 07/10/1997 03/25/1998 Fire 99-137 Velasco, Rosie 08/07/1999 LBI 09/13/1999 05/31/2000 Public Works 2000-115 Velazquez, Sacramento 07/22/2000 LPD 09/05/2000 01/08/2001 Police 2001-081 Verduzco, Patricia Z 04/23/2001 LBI 05/14/2001 03/08/2002 Public Works 2000-076 Vergara, Luciano 05/26/2000 APD 06/05/2000 10/20/2000 Public Works 2006-072 Victoria, Ignacio & Maria 02/23/2006 LPD 09/07/2006 11/16/2006 Police 2001-105 Victorian, George 05/20/2001 LPD 06/14/2001 08/20/2001 Police 2001-054 Vidal-Sales, Miguel A 03/22/2001 LPD 04/02/2001 11/30/2001 Public Works 98-006 Vidonovic, Deborah M. 04/01/1997 LPI 01/09/1998 08/31/1998 Public Works 2001-115 Vila, Julio Lujan 06/08/2001 LPD 06/29/2001 04/01/2002 Police 2001-039 Villa, Ernesto 10/25/2000 LPD 03/07/2001 08/30/2001 Public Works 2000-034 Village Nurseries 11/22/1999 LPD 03/16/2000 05/16/2000 Parks & Recreation 99-011 Villalobos, Antonia 12/24/1998 LPD 01/21/1999 04/01/1999 Police 99-035 Villanueva, Alicia 03/04/1999 LPD 03/11/1999 11/30/1999 Police 98-143 Villanueva, Angelica 07/02/1998 LPD 08/26/1998 10/26/1998 Police 2001-014a Villegas, Bertha 01127/2001 LPD 01/29/2001 06/01/2001 Public Works 99-074 Vinh, Hoang 02/18/1999 LPD 05/10/1999 08/09/1999 Police 2005-178 Vizcaino, Claudia 08/02/2005 LPD 08/17/2005 06/30/2006 Public Works 97-204 Wallace, Penelope 12/06/1997 LPD 12/24/1997 08/31/1998 Public Works 2002-111 Walters, Don (Dba Newport Awning 07/21/2002 LPD 07/26/2002 09/18/2002 Public Works 2006-050 Walters, Lavonne & Donald 03121/2006 LPD 04/25/2006 08/25/2006 Public Works 2000-145b Walthier, Maryann 05/10/2000 LBI 11/09/2000 01/07/2002 Parks & Recreation 99-050 Wamboldt, Edwin M 01/0311999 APD 04/07/1999 06/15/1999 Fire 95-166 Warner Insurance (Bahena, Gaudencio) 08/25/1995 ABI 09/22/1995 07/14/1997 Parks & Recreation 2001-022 Warno, Henryk 12/0112000 LPD 02/12/2001 12/19/2001 Police 99-063 Watson, Jim 08/19/1998 OTH 04/23/1999 01/28/2000 Police 97-062 Weaver, Gregg David 04/11/1997 LPD 04/21/1997 12/31/1997 Public Works 97-153 WESTWIND COMMUNITY ASSOC. 07/03/1997 LPD 10/02/1997 07/31/1998 Public Works 98-105 White, Greg 01/21/1998 ABI 06/15/1998 07/12/2000 Police 2001-047 White, John 12/09/2000 LBI 03/20/2001 11/30/2001 Wrong Entity 2000-132 White, Michelle D 06/21/2000 ABI 10/10/2000 12/11/2001 Parks & Recreation US-113 Whittaker, Tony R 03/31/1999 LPI 03/24/2000 05/09/2002 Police 2002-062 Wiebe, Darren & Douglas 12/29/2000 LBI 04/25/2002 12/18/2002 Wrong Entity Run Date: 07/16/2010 14:26:12 Run By: BMORALES City of Santa Ana - Confidential Page 35 of 36 19C-41 Claim Number Claimant Injury Date Type Filed Date Closed Date Organization 2001-181 Wiggins, Bettie A 05/29/2001 LBI 10/01/2001 11/27/2002 Public Works 2000-100 Wilbur, Alice J 02/22/2000 APD 07/27/2000 03/30/2001 Police 2002-004 Wilson, Ralph 10/21/2001 LPD 01/10/2002 05/16/2002 Police 2002-052 Wilson-Hill, Emma 03/28/2002 LPD 04/12/2002 07/17/2002 Public Works 2000-143 Winocur, Joseph 10/14/2000 APD 10/31/2000 01/08/2001 Police 99-052 Winterberg, William 05/28/1998 OTH 04/09/1999 11/30/1999 Community 2002-036 Wisener, Rhonda 09/08/2001 LPI 03/08/2002 11/27/2002 Wrong Entity 98-211 Wong, Kevin 08/16/1998 APD 12/16/1998 06/14/1999 Fire 2001-114 Wood, Barbara A 06/08/2001 LPD 06/28/2001 04/30/2002 Public Works 99-084 Woodside-Madsen Leasing 03/06/1999 LPD 05/2511999 01/28/2000 Police 2000-071 Workman, Laurie 12/23/1999 LBI 05129/2000 02/21/2001 Public Works 99-001 WORLD TRAVEL 12/07/1998 LPD 01/04/1999 06/25/1999 Public Works 2000-088 Wycliffe Plaza 06/13/2000 LPD 06/28/2000 09/13/2000 Fire 2001-059 Yang, Barnabas 03/07/2001 LPD 04/09/2001 12/19/2001 Finance 2004-138 Yescas, Esther 08/16/2004 LPD 09/30/2004 02/21/2006 Public Works 2002-091 Young, Jr., Theo 05/11/2002 APD 06/17/2002 08/16/2002 Police 2005-191 Youngerbrock, Michelle Christine 04/0112005 LBI 09/15/2005 06/30/2006 Public Works 97-082 Yun, Pok man 03/29/1997 LPI 05/07/1997 01/30/1998 Police 2001-173 Zamora, Armando Landaverde 08/22/2001 LPD 09/19/2001 04/03/2002 Parks & Recreation 98-179 Zapata, Rodolfo 09/15/1998 APD 11/03/1998 03/26/1999 Parks & Recreation 98-207 Zarrabi, Sara 12/02/1998 LPD 12/10/1998 06/25/1999 Public Works 99-147 Zavala, Maria 08/19/1999 LPD 09/24/1999 05/31/2000 Public Works 98-014 Zentner, Bob 12/11/1997 LPD 01/20/1998 10/30/1998 Public Works 2000-005 Zungia, Frank 01/06/1999 OTH 01/07/2000 05/02/2000 Police 96-217 Zuniga, Martha I. 11/22/1996 LPD 11/26/1996 08/29/1997 Public Works 99-102 Zych, Jeffrey 01/04/1999 LPI 07/02/1999 05/02/2000 Police File 1178 Grand Total: 1178 Run Date: 07/16/2010 14:26:12 Run By: BMORALES City of Santa Ana - Confidential Page 36 of 36 19C-42 MEMORANDUM C-) To: Joseph Straka, Assistant City Attorney City Attorney's Office From: Kathie S. Gonzalez, Executive Director -o i Personnel Services Department, M24 Date: August 5, 2010 Re: REQUEST FOR DESTRUCTION OF RECORDS The Personnel Services Department requests your consent to destroy city records on the attached list, in accordance with the retention schedule outlined in City Council Resolution 2006-045. Thank you. L -z- N, zv-?- 19C-43 CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE PERSONNEL SERVICES DEPARTMENT 2006 PERSONNEL SERVICES DEPARTMENT RECORD RECORD RECORD RECORD CATEGORY SERIES DESCRIPTION DATES ENROLLMENT Dental Insurance Employee dental insurance enrollment EE Separated August FORMS forms** 2005 and prior (OFFICIAL) Flexible Enrollment forms for flexible spending EE Separated August Spending, program** 2005 and prior Section 125 Life Insurance Employee life insurance enrollment forms** EE Separated August 2005 and prior Long-Term Employee Long-Term Disability Insurance EE Separated August Disability enrollment forms** 2005 and prior Insurance Medical Employee medical insurance enrollment EE Separated August Insurance forms** 2005 and prior EQUAL Employment and Personnel and employment records, EE Separated August EMPLOYMENT personnel including application forms, records 2005 and prior OPPORTUNITY records pertaining to promotions**, layoffs**, COMMISSION terminations**, salaries** and training* (EEOC) Involuntary Personnel records of terminated employee** EE Separated August termination 2005 and prior OFFICIAL Certification/ Request for Certification and/or EE Separated August PERSONNEL Reassignment reassignment forms which document and 2005 and prior FILES Forms authorize hiring, reassignment, or other employee actions.** Certificates of Certificates issued to EE which show EE Separated August Training completion date of training class(es).* 2005 and prior Commendation Letters of commendation and/or other EE Separated August Letters congratulatory documents received by and/or 2005 and prior issued to EE.* Disciplinary Memorandums, letters, or other records of EE Separated August Actions proposed and/or implemented disciplinary 2005 and prior action(s).** Doctor's Notes/ Notes/medical release forms, etc., submitted EE Separated August Medical regarding employee's medical condition.** 2005 and prior Releases Drug Screen Pre-placement and drug screening EE Separated August Test authorization and acknowledgement form(s) 2005 and prior and results of drug screening.** 19C-44 PERSONNEL SERVICES DEPARTMENT RECORD RECORD RECORD RECORD CATEGORY SERIES DESCRIPTION DATES OFFICIAL Family and Basic employee data (name, address, class EE Separated August PERSONNEL Medical Leave title, pay rate, hours worked per pay period; 2005 and prior FILES (FML) additions to or deductions from wages). Dates (or hours) FML designated/ taken; FML notices given to employer by employee; documents from employer describing FML policies; records of premium payments of employee benefits; records of any disputed confidential files: records/documents relating to medical certifications.** Job Application Applications for employment and resumes (if EE Separated August any) for hired employees.* 2005 and prior Medical Leave of Leave of Absence forms used in the EE Separated August Absences** documentation of medical leave (including 2005 and prior pregnancy leave and Family and Medical Leave).** Miscellaneous Documents not specifically mentioned but EE Separated August Documents kept in official personnel file.*** 2005 and prior Notice of Form completed by employee and/or EE Separated August Separation department indicating effective date of 2005 and prior separation, last day on the job, reason for separation, etc.** Oath of Office Form completed and signed by employee EE Separated August affirming allegiance to the Constitution of the 2005 and prior United States and the Constitution of the State of California.' Outside Form submitted by employee for approval for EE Separated August Employment employee to be engaged in outside 2005 and prior employment.* Performance Employee performance evaluation forms EE Separated August Evaluations completed by supervisory personnel re 2005 and prior employees' accomplishment of their assigned duties and responsibilities, etc.* PERS Forms to enroll employees in the Public EE Separated August Enrollment Employees' Retirement System (PERS)** 2005 and prior Pre-Employment Forms completed by employee and medical EE Separated August Medical clinic to assess physical capability of 2005 and prior employee prior to hiring.** Security Check Form completed by Personnel Svcs to EE Separated August Form request Police Dept to conduct security 2005 and prior check on employee prior to hiring.* Special Licenses Special licenses issued to employees from EE Separated August DMV, accredited schools, etc., verifying 2005 and prior employee meets certain job-related requirements.* Tuition Copies of applications for training and EE Separated August Reimbursement educational assistance which show EE 2005 and prior Request request, department head approval, and final disposition of request.* 19C-45 PERSONNEL SERVICES DEPARTMENT RECORD RECORD RECORD RECORD CATEGORY SERIES DESCRIPTION DATES OFFICIAL Union Bank Form signed by employee authorizing leave EE Separated August PERSONNEL Donation Form hours be donated to the Union Business 2005 and prior FILES Leave Bank to be used by union leaders for Union Business.* W-4 form Employee's Withholding Allowance EE Separated August Certificate completed by EE authorizing 2005 and prior employer to withhold Federal income tax from employee's pay and/or for indicating exemption.** Please see attached spreadsheet, dated August 5, 2010, listing personnel files to be purged/digitally imaged. * Will be purged ** Will be digitally imaged *** If non-medical records, will be purged; if medical records, will be digitally imaged. PREPARED BY: ?,- & ??= 14-j Susan Wathen for Date Kathie S. Gonzalez Executive Director of Personnel Services RECORDS DESTROYED: Number of Boxes CONSENT BY: Kathie S. Gonzalez Date Executive Director of Personnel Services APPROVED BY: `J Iz ?? a?G/C J eph Fletcher Date City Attorney 19C-46 o• o• ? ? ? o• ar ? ? ? o• o• o_ x x x x x x x x x x x x ar c c c c c c = ° c c c E c c 0 a 0 a 0 a 0 s = 0 a = 0 ,_, 0 a 0 s 0 a 0 s 0 a 0 a 0 s .? 0 a 0 0 0 0 0 o 0 0 0 0 0 o o °' o Z Z Z Z a Z z z Z Z z Z Z c . z Q E a V U U V V i v d U > V] C c > (n = = C > C/? > C/? c C o = = c > v) c > V) > V] = > V] > V? = > C/] C > C/n > C/n O > [n = 'C O 'fl O b O O O 'D 'O O O c O O O b C 2 'O 'G 2 O b 2 „ O., id id ° iC iC iG O id ,u., N i R O i N i R O i R „O, „D, ,u, cC ro a C C R C c c R R C c iC c c ? cd C R d c 3 0 c d C R R ` c` c V 59 a SP ?g ?a .5p 5p CL X. a cn x N x a cn N x N x rx to 4 J v) N rx N x a w N w N w d 1: y v, V? a. u x VD v) GJ x u V? w V? N x N vn N x v v) W 0 v Cn u 0L 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 C O 10 12? oo O ?n N O ?n 2 N V Q C, n r 00 'o 00 7 O O o, ?n N O 'D ?n a, ?n O N O N O N - N O N M N N M N N N N N N N N N O oo r- w t-- t- = w o0 w = r- = = 00 = r t- t- o0 w ? o0 w oo r- o0 = w w w w t-- o0 L o 0 0 0 0 Cl o 0 0 0 0 o 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 R a bA F F FU-? F? F-? E- [? H F- F- F-? H [-? E-? E-? (--? E-' F- F-' E-' F? E-' [•? E-' H E-? E- E-? F-? F-' F-? E? F-' F? F? E-? E~ E- w w w a w a a w a cz. w a a a w w a w a a w a w w a a ?. a a w a a a a a w a a. b s ? va ? - o -- o E Ca °??° E 0 t = a ° a? D = U = Q Q ° m ° N c ° a > = c 0 Q a v o _ R Z Q op " d > rz > c _ `" N °' ° g 3 a c ` ai a i U c a i = a i Q O > . Q . ` O o s.. U - R C d vi V1 to c ` C R O i` . R O op O U E b U N ? y N L>' ' V] u a O N U 9 c 0 U ' Q v c C N A a? a v q U u ?-. N to E N c R a c N .., O a Q r = E E O cG U ? ° E a = o E c y ??,, C ° y t. c bA ` y 1., y R ? c R N R oA 7 € °- .= E _ O .N 2 on .2 E ` O by .C? t0 ._ .b bA . 1 y a i OD .c N U ° _ ° ` ° ` ° ° ` ? a? U w x U Q a a d w a o Q a a ¢ w U U a a . a m a U a w Cn a ci 0 o d O O p 10 r- O o, N t` c, O rn 7 1D ] .0 V o, t` M rn N 00 00 M O N I r- M M M O ?D V N V M 7 7 M 7 7 00 r- -It N N N V 7 N O Z c, o r 0 O O 0 o0 0 O --? 0 0 00 0 0 w 0 0 M 0 O rn 0 7 Q ? L Q w O x L-0 R Q U E co r _ W N 'O - R b°A = U a ?n ?J Ci H ti R > C c O R >i _ s o > c °0 - ? = nn R N p w > y E o > o n 3 a cC Y Q Q p > t N y R R N vRi '_' C'7 C cd .SC „_' y R 0 ° O N CC t Q 0 G (/] N R E > t o R Y ? L a ca o =o ° y R E 0 ° R d o ° E r c v k o 0 3 a `a ^ Q F z W a f? u w W S a s a a a r 4 V? a i V) to > > . . .. . 19C-47 CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE PERSONNEL SERVICES DEPARTMENT 2006 PERSON NEL SERVICES DEPARTMENT RECORD RECORD RECORD RECORD CATEGORY SERIES DESCRIPTION DATES RECRUITMENTS Background Materials used in the preparation/ August 2007 and Materials implementation of recruitments.** prior Bilingual Forms certifying bilingual capabilities€er August 2007 and Certification employe .. - biliRgual pay for prior Forms applicants for recruitments which require bilingual capabiliity.* Ethnicity Stubs From employment applications submitted at August 2007 and recruitment time, are kept for outreach prior purposes.* Examination Examination answer sheets completed by August 2007 and Answer Sheets applicants during testing process and other prior testing materials.* Official Eligible Eligible lists signed by City Manager. Lists of August 2007 and Lists individuals placed on an eligible list card for prior hiring purposes (copies only- original signed eligible lists are with recruitment file folder (according to classification title)).** See attached spreadsheet, dated August 5, 2010, with recruitment files to be purged/digitally imaged. * Will be purged ** Will be digitally imaged PREPARED BY: Susan Wathen for Date Kathie S. Gonzalez Executive Director of Personnel Services RECORDS DESTROYED: Number of Boxes CONSENT BY: Kathie S. Gonzalez Date Executive Director of Personnel Services APPROVED BY: ? 4J eph Fletcher Date City Attorney 19C-48 70 a? o ? ? r` ti ti ti ti r` ? ?= 0 0 0 0 0 0 0 r rz- rn 4 M O M N I? N O Cl) W ? I` 0o r-- ti N Q ? ccc 0 0 0 0 0 I- O ? .U J ti ti ti ? ti ti ti ? 0 0 0 0 0 0 0 N N M .- 00 O O C O r- O r- N co ti Z o 0 ? 0 M 0 0 0 0 0 ? o 0 o ti ? ti ti ? a) a) 0 0 0 0 0 0 0 N 00 O O N •- N Q O (L o N O O N Lo 0 I- N U-) N M N ?- O O O O O O C U) J a) C a) L ? U ? U) E C QO Q O U) U (6 ? O C 03 O U C2 U 75- ED O U L +. C ? cm C O N L N Fn U - = m ca cu N m - N ? Q j ? Q '- O •- a) U) C c . tQ O 0 0 = Q U Q O O N C O 0 U i O U U L O L O CZ) r= l m U a) m U) o Q n o/ I..L O U L CU L CU L ° C ) u a) a Lo Lo Y U U =3 (n E •- - c - c 0 0 0 6 d U ) ? N N Q U ) U L Q N a) S_ E c a) 2 -O I- o ao ] E o 0 0o 4 0 ? ? ? ? rn aD 19C-49 19C-50 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: CONSOLIDATED ANNUAL PERFORMANCE AND EVALUATION REPORT CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1St Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize submittal of the Consolidated Annual Performance and Evaluation Report to the U. S. Department of Housing and Urban Development. COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION ACTION At its regular meeting on August 17, 2010, by a vote of 4:0, (Verino absent), the Community Redevelopment and Housing Commission recommended: (1) to receive public comment on the Consolidated Annual Performance and Evaluation Report for fiscal year 2009-10 and (2) that City Council authorize submittal of the Consolidated Annual Performance and Evaluation Report to the U. S. Department of Housing and Urban Development. DISCUSSION The Consolidated Five Year Plan (Plan) is a comprehensive planning and application document that covers the four entitlement grants that the City receives each year from the U. S. Department of Housing and Urban Development (HUD). The Plan outlines a strategy for using four federal programs and other resources to meet those needs. Those programs are Community Development Block Grant (CDBG), Emergency Shelter Grant (ESG), HOME Investment Partnership (HOME), and Housing Opportunities for Persons with AIDS (HOPWA). The Plan also identifies five-year numeric goals for meeting the needs that the jurisdiction will seek to achieve during the period covered by the Plan. As part of the Consolidated Plan process, the City is required to submit annually a Consolidated Annual Performance and Evaluation Report (CAPER), Exhibit 1. The CAPER describes the activities and accomplishments for these federal programs during fiscal year 2009-2010, and the City's success in achieving the five-year objectives that were established in the Consolidated Five Year Plan. Fiscal year 2009-2010 is the fifth and final year covered by the Consolidated Five Year Plan for 2005-09. The following table summarizes in broad categories the accomplishments in meeting the identified objectives during the five years. The details for each category can be found in Exhibit 4 of the CAPER. 19D-1 CAPER September 7, 2010 Page 2 Objective 5 Yr Goal FY FY FY FY FY 5 Yr Percent FY 05-09 05-06 06-07 07-08 08-09 09-10 Total Achieved Homeless Objectives 14,253 4,072 3,519 4,102 2,715 3,915 18,325 128.6% Special Needs Objectives 1,310 386 232 214 325 842 1,999 152.6% Rental Housing 12,888 3,309 3,514 3,817 3,635 4,200 18,475 143.3% Owner Housing 13,068 3,074 3,618 3,338 5,020 3,509 18,559 142.0% Infrastructure 10 6 0 0 3 1 10 100.0% Public Facilities 10 4 1 1 1 1 8 80.0% Public Services * 76,625 25,946 24,489 18,853 20,394 4,798 94,480 123.396 * Excludes estimated 275,476 residents served each year by helicopter scrutiny program. During the five-year planning cycle, the four programs provided more than $53 million in federal funds to activities that benefitted city residents. The following identifies total expenditures for each program over the five years. Program TOTALS CDBG $31,917,491 ESG $ 1,643,563 HOME $11,990,492 HOPWA $ 7,866,036 $53,408,582 HUD regulations require that the CAPER be available for a 15-day public review period prior to being submitted to them. On August 1, 2010, a public notice was published in the Orange County Register, La Opinion, and Nguoi Viet News indicating that the draft report would be available for review beginning August 2, 2010. The draft CAPER was also available for public review on the City's website. All comments received will be included in the final document submitted to HUD, which is due no later than September 30, 2010. 19D-2 CAPER September 7, 2010 Page 3 FISCAL IMPACT There is no fiscal impact associated with this item. 4%?9246_ Cynthia J. Nelson Deputy City Manager for Development Services Community Development Agency CJN/SLB/mlr Exhibit: 1. Consolidated Annual Performance and Evaluation Report 19D-3 19D-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: APPROPRIATION ADJUSTMENT - WORKFORCE INVESTMENT ACT INCENTIVE FUNDS i CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 151 Reading ? Ordinance on 2"d Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER Approve an appropriation adjustment recognizing revenues from the State of California in the amount of $13,442 in 15% (ARRA) Incentive Award funds for the Workforce Investment Act programs. DISCUSSION The State of California has awarded two Incentive Awards to the Santa Ana Workforce Investment Board (WIB) for exceeding performance goals in Program Year 2007-08 and 2008-09. Although the funds are from the American Recovery and Reinvestment Act (ARRA) and must comply with ARRA regulations, they are not limited to use in the ARRA program. These funds will be used to cover miscellaneous expenses for the WIB. FISCAL IMPACT Upon approval of the appropriation adjustment, funds will be available in the ARRA Admin - Professional Contractual Services account (no. 12318758-62300). APPROVED AS TO FUNDS AND ACCOUNTS: Cynthia J. Nelson Deputy City Manager for Development Services Community Development Agency CJN/NTE/LM/mlr Francisco Gutierrez Executive Director Finance & Management Services Agency /1110? 20A-1 20A-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: APPROPRIATION ADJUSTMENT FROM FBI - CONTRACT AWARD FOR ELECTRONIC COMMUNICATIONS INTERCEPT ROOM UPGRADE (SPEC. NO. 10-032) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 151 Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER Approve an appropriation adjustment accepting the Federal Bureau of Investigation (FBI) funding in the amount of $73,000 into the Police Machine & Equipment account (no. 02414425 63001) to enforce crimes in Orange County. 2. Award a contract to JSI Telecom for the purchase of electronic communications intercept room equipment upgrades in an amount not exceed $73,000. DISCUSSION The Police Department's electronic communications intercept room (Wire Room) provides the capability to conduct approved telephone intercepts. The Wire Room is one of only a few in Orange County and is an integral part of the City's Gang Task Force efforts with the Federal Bureau of Investigation (FBI). As such, other municipal and federal agencies also rely on its intercept capabilities. The Wire Room is currently equipped with the Voice Box III 3.6 software version and equipment. On August 3, 2009 City Council awarded a contract to JSI Telecom for the upgrade of equipment to the intercept room. In order for the Wire Room to remain operational, hardware upgrades are essential to ensure effective on-going use and maintain the level of standard. Funds from the Federal Bureau of Investigation (FBI) will be used to upgrade the equipment in the wire room to conduct approved telephone intercepts. This project will enhance the Police Department's performance as well as local municipal and federal agencies. 20B-1 Contract Award for Electronic Communications Intercept Room Equipment Upgrade and AA from FBI September 7, 2010 Page 2 FISCAL IMPACT Funds for this purchase are contingent on the approved appropriation and receipt of funds from the FBI reimbursement account (no. 02414002 57000) into the Police Machine & Equipment account (no. 02414425-63001) for a total amount of $73,000. Paul M. Walters Chief of Police Police Department Francisco Gutierrez Executive Director Finance & Mgmt. Services Agency EG 20B-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: CONTRACT RENEWAL FOR DIESEL FUEL (SPEC. NO. 08-004) CI MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1s' Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER Renew the contract with SC Fuels for the purchase of diesel fuel and petroleum products for a one- year period in an annual amount not to exceed $250,000. DISCUSSION The Fleet Division of the Finance and Management Services Agency provides diesel fuel at the City's Corporate Yard for all City diesel-operated vehicles. In addition to the underground fuel storage tanks at the Corporate Yard, tanks are located at the police facility, and various Fire Stations. On February 4, 2008, the City Council awarded a contract to SC Fuels for a one-year period, with provisions for four one-year renewals. The vendor has performed satisfactorily during the past contract period and has agreed to renew the contract at the same rate structure. Staff recommends the second renewal of the contract. Over the past year there has been a general reduction in the consumption of diesel fuel as a result of decrease use of diesel vehicles. Staff is evaluating the current diesel fleet for potential downsizing. FISCAL IMPACT Funds are available in the Equipment Maintenance Garage Operation Gas & Diesel account (no. 07510100-63300). t, Q? ?, Francisco Gutierrez Executive Director Finance and Management Services Agency KM 22A-1 22A-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: CONTRACT RENEWAL FOR REPROGRAPHICS PAPERS AND ENVELOPES (SPEC. NO. 09-008) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1st Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER Renew the contract with Unisource Worldwide Inc. for reprographic papers and envelopes for a one- year period in an annual amount not to exceed $80,000. DISCUSSION The Finance and Management Services Agency's Central Services division stocks copier, laser and specialty papers for in-house duplicating services for departments throughout the City. In addition, the Police Department's Central Distribution Center stocks copy paper for various divisions and the Holding Facility. On April 6, 2009, the City Council awarded a contract to Unisource Worldwide Inc. for a one-year period, with provisions for two one-year renewals. The vendor has performed satisfactorily during the past contract period and has agreed to renew the contract without an increase in pricing except to pass on announced paper mill increases. Staff recommends the first renewal of the contract. Paper expenditures are reducing with on-going transition to web-based communication including the Council agenda documents, Parks & Recreations activity announcements, Police reports, and Agency communications. The annual amount has been adjusted down by 27 percent based upon staff's projection for the next year. FISCAL IMPACT Funds are available in the Finance & Management Central Services account (no. 07110100-63001), and the Police Property & Facilities account (no. 01114450-63001). Pau Walters Chief of Police KM APPROVED AS TO FUNDS AND ACCOUNTS: "T al.&Z ?% P A 1 11 , .?? .4--k Francisco Gutierrez Executive Director Finance & Management Services Agency 22B-1 22B-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: CONTRACT AWARD FOR WEED AND DEBRIS REMOVAL (SPEC. NO. 10-028) n TY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 151 Reading ? Ordinance on 2°d Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER Award a contract to Pestmaster Services for weed and debris removal for a one-year period, with provision for three, one-year renewals in the annual amount not to exceed $252,000. DISCUSSION The Public Works Agency's Maintenance Services Division is responsible for maintaining over 200 vacant lots, easements, and storm drain channels. In order to do so, a contract for weed and debris removal from both public and private properties is required. Removing the weeds and debris will enhance the safety and visual appearance of the areas maintained by the Public Works Agency. The notice inviting bids was advertised on July 19, 2010 and bids were solicited. A summary of the bid invitations and bids received is as follows: 10 Invitations For Bid mailed 2 Invitations For Bid mailed to Santa Ana vendors 3 Bids received Bids were received, opened on August 13, 2010, and evaluated (Exhibit 1). To evaluate costs, vendors provided quotations for representative projects that included various quantities and specifications. The annual amount is based on staff's projection for the next year. The bid received from Pestmaster Services is responsive to the specification. 22C-1 Contract Award for Weed and Debris Removal September 7, 2010 Page 2 FISCAL IMPACT Funds are available in the Sanitation Enterprise, the Federal Clean Water Protection Enterprise, Community Development Agency - Downtown Development and the Merged Housing Capital Projects Funds (account nos. 05717640-62300, 06817640-62300, 40718842-62300 and 50718830-66220). APPROVED AS TO FUNDS AND ACCOUNT: v= Raul Godine II Executive Director Public Works Agency Francisco Gutierrez Executive Director Finance & Mgmt. Services Agency &Z222? Cynthia J. Nelson Deputy City Manager for Development Services Community Development Agency BP 22C-2 ABSTRACT OF BIDS CONTRACT AWARD FOR WEED & DEBRIS REMOVAL (SPEC 10-028) Vendor Pestmaster Phillips & Naranjo Services Jordan Landscape Location Bishop Redlands Orange Total Cost $ 148,515.00 $ 165,727.00 $ 175,350.00 To evaluate costs, vendors provided quotations for representative projects that included various quantities and specifications Exhibit 1 22C-3 22C-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: CONTRACT AWARD FOR AMMUNITION (SPEC. NO. 10-029) d CIT MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 15' Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER Award a contract for the purchase of ammunition for a total aggregate amount not to exceed $110,000 with the following vendors: Proforce Law Enforcements Adamson Police Products San Diego Police Equipment Dooley Enterprises, Inc. DISCUSSION The Santa Ana Police Department provides ammunition to its sworn officers, primarily for use during training and range qualification testing. Officers are required to re-qualify regularly to maintain proficiency in the use of firearms. The contract for ammunition is designed to provide quality products at a significant savings based on quantity pricing. The notice inviting bids was advertised on August 4, 2010, and bids were solicited. A summary of the bid invitations and bids received is as follows: 6 Invitations For Bid mailed 4 Bids received Bids were received and opened August 13, 2010 (Exhibit 1). Vendors were provided the opportunity to bid on 31 types of ammunition. None of the respondents bid on all 31 items contained in the invitation. The bids received from Proforce Law Enforcement, San Diego Police Equipment, Adamson Police Products and Dooley Enterprises, Inc. is responsive to the specifications and meets the Police Department's requirements. 22D-1 Contracts Award for Ammunition September 7, 2010 Page 2 FISCAL IMPACT Funds for this purchase are available in the Police Training Services Operating Materials & Supplies account (no. 01114410-63001). LL- Paul M. Walters Chief of Police Police Department Francisco Gutierrez Executive Director Finance & Mgmt. Services Agency 22D-2 ABSTRACT OF BIDS CONTRACT AWARD FOR AMMUNITION SPEC 10-029 Vendor Proforce Law San Diego Police Enforcement Equipment Location Prescott, AZ San Diego, CA Delivery 120-150 Days 60 Days Number of items offered of 31 items 18 13 Requested Items awarded 7 10 Total Value $14,220.80 $16,049.15 Adamson Vendor Police Dooley Products Enterprises Location Los Alamitos, Anaheim, CA Delivery 30 Days 10-150 Days Number of items offered of 31 items 10 16 Requested Items awarded 3 11 Total Value $5,978.68 $64,434.50 Exhibit 1 22D-3 22D-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED CONTRACT AWARD FOR RESIDENTIAL ? As Recommended STREET REPAIR PHASE 14 ? As Amended PROJECT NO.106730 AND El Ordinance on Ist Reading ? Ordinance on 2 n d Reading COOPERATIVE AGREEMENT ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO CITY ANAGER FILE NUMBER RECOMMENDED ACTION Award a contract to R.J. Noble Company, the lowest responsible bidder, in accordance with unit bid prices in the estimated amount of $5,047,312 for construction of Residential Street Repair Phase 14. 2. Approve a Funding Analysis with a total estimated construction cost of $6,052,100. 3. Authorize the City Manager and the Clerk of the Council to execute the attached Cooperative Agreement with the Community Redevelopment Agency of the City of Santa Ana (Agency) in the amount of $351,100, subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION This is last phase of the City's Residential Street Repair program to rebuild neighborhood streets throughout the City. Segments of local streets located in citywide neighborhoods have been identified as a high priority for rehabilitation in the City's pavement management system (Exhibit 1). The pavement is deteriorating due to weather, age and heavy usage. Additionally, some of the adjacent curbs, gutters, sidewalks, cross gutters and curb ramps are in various states of disrepair and require replacement. The project utilizes the most cost-effective, innovative, and environmentally sound technologies, including recycling of existing asphalt pavement with Cold-In-Place recycle (CIR) and Cold Central Plan Recycling (CCPR) process, and cement treated base (CTB) reconstruction process. The project provides for reconstruction asphalt pavement and replacement of damaged concrete curbs, gutters, sidewalks, cross gutters and curb ramps. Once completed, these improvements will enhance the ride quality, surface drainage, and visual appearance of the neighborhoods. 23A-1 Contract Award For Residential Street Repair Phase 14 and Cooperative Agreement September 7, 2010 Page 2 The Notice Inviting Bids was advertised on July 7 and 9, 2010, and bids were opened on July 28, 2010. A summary of the bid invitations mailed, the bids received, and the bid results follows. Santa Ana Contractors receiving notices: 1 Contractors requesting bidding documents: 12 Bids received: 4 Bids received from Santa Ana Contractors: 1 NAME OF RESPONSIVE BIDDER CITY BID AMOUNT 1. R.J. Noble Company Orange $5,047,312 2. All American Asphalt Corona $5,069,069 3. Excel Paving Company Long Beach $5,179,402 4. Hardy & Harper, Inc. Santa Ana $5,333,000 A total of four bids were received and all were responsive. The lowest bid was submitted by R.J. Noble Company, for $5,047,312, which is below the Engineer's estimate of $5,624,800. The cooperative agreement provides for the Redevelopment Agency to fund a portion of the costs for the construction and rehabilitation of public improvements within the Merged Project Area. ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the proposed project is exempt from future review. Categorical Exemption Environmental Review No. 2010-73 will be filed for the project. FISCAL IMPACT The funding analysis shows a total estimated construction cost of $6,052,100 for the project (Exhibit 2). Funds are available in the Public Works Account for Residential Street Repair (accounting unit 05817661-66220) and in the South Main Tax Allocation Bond Series 2003A Capital Projects (accounting unit 55218830-66220). APPROVED AS TO FUNDS AND ACCOUNTS: 00, Raul Godin II Executive Director Public Works Agency - I A_.?- ?? . , F-6 Francisco Gutierrez Executive Director Finance & Mgmt. Services Agency 23A-2 Contract Award For Residential Street Repair Phase 14 and Cooperative Agreement September 7, 2010 Page 3 ,/ & 7o7, "; Z21 Cynthi J. Nelso Deputy City Manager for Development Services Community Development Agency RG/ET Exhibits: 1. Project Location Map 2. Funding Analysis 3. Cooperative Agreement 23A-3 FUNDING ANALYSIS PROJECT NO. 106730 RESIDENTIAL STREET REPAIR PHASE 14 Construction Contract $5,047,312 Contract Administration $135,975 Inspection and Testing $249,895 Survey Staking $114,187 Contingencies $504,731 TOTAL ESTIMATED CONSTRUCTION COSTS $6,052,100 Exhibit 2 23A-4 m .£NORY LN 4 .Ir IOM ?,_. l ICI ?L y 6 ] 4 n m ooaaoooo?oooo? DOE] 10 IC EN R ?r0 $ t??o DD5T H ? ? ???® 15T 5T m ?Oa ®?e ?? ®® SCHOOL D O? FAppEN AV gFMM ' f' , E LEGEND PROPOSED IMPROVEMENTS SANTA ANA CITY COUNCIL P W A AGENDA DATE: SEPTEMBER 7. 2010 PUBLIC WKS AGENCY S/0 MCFADDEN AV. E/O BRISTOL ST AAFARTHU R BLVD1 b6 SAKWINYE k EXHIBIT 1 S `1 CONTRACT AWARD FOR RESIDENTIAL STREET REPAIR PHASE 14 (`PROJECT NO. 106730) FUNDING ANALYSIS PROJECT NO. 106730 RESIDENTIAL STREET REPAIR PHASE 14 Construction Contract $5,047,312 Contract Administration $135,975 Inspection and Testing $249,895 Survey Staking $114,187 Contingencies $504,731 TOTAL ESTIMATED CONSTRUCTION COSTS 15.,-052,100 Exhibit 2 23A-6 COOPERATIVE AGREEMENT FOR STREET REHABILITATION PROJECT (PHASE 14) THIS COOPERATIVE AGREEMENT is entered into this _ day of September, 2010, by and between the COMMUNITY REDEVELOPMENT AGENCY OF THE CITY OF SANTA ANA, a public body corporate and politic (the "Agency"), and the CITY OF SANTA ANA, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California (the "City"). WITNESSETH A. The Agency is undertaking certain activities necessary for the execution of the City of Santa Ana redevelopment projects (the "Projects") under the provisions of the California Community Redevelopment Law (Health and Safety Code Section 33000 et seq.) and pursuant to the redevelopment plans for the Projects. B. The Agency desires to contract with the City for the City to provide for the construction and rehabilitation of public improvements projects which, in this case, will consist of the street resurfacing and curb, gutter and/or sidewalk rehabilitation of the following streets within the Merged Project Area: 3rd Street from Garfield Street to Breeden Street and Breeden Street from 3' Street to 4' Street, as well as Hutton Centre Drive from Sandpointe Avenue to Hutton Centre Drive (included within Phase 14) Street Improvements (Project No. 106730). Such work will be referred to hereinafter as "Publicly Owned Improvements" in connection with the Agency's redevelopment activities within the Merged Project Area C. The Agency is willing in connection with the provision of such Publicly Owned Improvements by the City, to pay for a portion of the total rehabilitation costs of such Publicly Owned Improvements. D. The City has initially paid or will initially pay for said Publicly Owned Improvements on the condition that the Agency contribute to the costs of such rehabilitation work on the Publicly Owned Improvements. NOW, THEREFORE, the parties hereto do mutually agree as follows: SCOPE OF WORK The City will be contracting with the lowest and best bidder to perform Phase 14 of the Street Improvements pursuant to plans and specifications to be prepared by the City. Phase 14 of Project 106730 includes reconstruction of asphalt pavement and replacement of damaged concrete 1 23A-7 curbs, gutter, sidewalks, cross gutters, and curb ramps on Streets referenced above in Recital B (the Publicly Owned Improvements). The Agency shall contribute to the rehabilitation of the Publicly Owned Improvements in an amount not to exceed Three Hundred Fifty One Thousand One Hundred Dollars ($351,100.00), with the breakdown of project costs as shown in Exhibit A attached hereto and incorporated herein. 2. COMPENSATION AND METHOD OF PAYMENT The Agency shall pay the City the actual cost incurred by the City for the Publicly Owned Improvement rehabilitation work set forth in Section 1. The amount to be paid by the Agency hereunder shall be paid in the same fiscal year as the year in which the debts are incurred by the city. 3. LIABILITY AND INDEMNIFICATION In contemplation of the provisions of Section 895.2 of the Government Code of the State of California imposing certain tort liability jointly upon public entities solely by reason of such entities being parties to an agreement as defined by Section 895 of said Code, the parties hereto, as between themselves, pursuant to the authorization contained in Section 895.4 and 895.6 of said Code, will each assume the full liability imposed upon it, or any of its officers, agents or employees by law for injury caused by negligent or wrongful act or omission occurring in the performance of this Agreement to the same extent that such liability would be imposed in the absence of Section 895.2 of said Code. To achieve the above-stated purpose each party indemnifies and holds harmless the other party for any loss, costs or expense that may be imposed upon such other party solely by virtue of said Section 895.2. The provisions of Section 2778 of the California Civil Code are made a part hereof as if fully set forth herein. 4. EFFECTIVE DATE OF AGREEMENT This Agreement shall take effect from and after the date of adoption and approval by the City and the Agency pursuant to official action of the governing bodies thereof and shall be effective for a duration not to exceed the time necessary for the City to complete the work and for the Agency to pay the City in full. This Agreement shall apply to all activities carried out by the City as set forth in Section 1 hereto. 2 23A-8 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: Maria D. Huizar Clerk of the Council CITY OF SANTA ANA By David N. Ream City Manager ATTEST: Maria D. Huizar Secretary APPROVED AS TO FORM: Joseph W. Fletcher City Attorney/Agency General Counsel By: Lisa E. Storck Assistant City Attorney/Assistant Counsel COMMUNITY REDEVELOPMENT AGENCY OF THE CITY OF SANTA ANA By: Cynthia J. Nelson Executive Director 3 23A-9 23A-10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED CONTRACT AWARD FOR LYON ? As Recommended STREET REHABILITATION BETWEEN ? As Amended ? Ordinance on 1st Reading EDINGER AND CHESTNUT AVENUES ? Ordinance on 2nd Reading (PROJECT NO. 116733) ? Implementing Resolution ? Set Public Hearing For CONTINUED TO CITY MANAGER FILE NUMBER RECOMMENDED ACTION 1. Award a contract to All American Asphalt, the lowest responsible bidder, in accordance with unit bid prices for bid alternate "A" in the estimated amount of $642,387 for construction of Lyon Street Rehabilitation between Edinger and Chestnut Avenues. 2. Approve a Funding Analysis with a total estimated construction cost of $794,900. DISCUSSION Lyon Street between Edinger and Chestnut Avenues has been identified as a high priority on the City's Pavement Management System (Exhibit 1). The pavement is deteriorating due to weather, age and heavy usage. Some of the adjacent curbs, gutters, sidewalks, driveway approaches and curb ramps are also in various states of disrepair and require replacement. This project provides for construction of new street pavement, and replacement of damaged curbs, gutters, sidewalks, driveway approaches, and curb ramps. Once completed, these improvements will enhance the ride quality, surface drainage and visual appearance of the streets. The Notice Inviting Bids was advertised on July 9 and 12, 2010, and bids were opened on August 9, 2010. A summary of the bid invitations mailed, the bids received, and the bid results follows. Santa Ana Contractors receiving notices: 12 Contractors requesting bidding documents: 15 Bids received: 8 Bids received from Santa Ana Contractors: 1 While the City made outreach efforts to Santa Ana contractors regarding the Notice Inviting Bids, only one of the 12 Santa Ana contractors submitted a bid as a prime contractor, Hardy and Harper. The other 11 Santa Ana contractors did not submit a bid because they are not capable of performing this type of work, the project is too large, they are unable to obtain insurance, or they work as a subcontractor to certain prime contractors. 23B-1 Contract Award For Lyon Street Rehabilitation September 7, 2010 Page 2 NAME OF RESPONSIVE BIDDER CITY Bid Alternate "A" 1. All American Asphalt Corona $642,387.00 2. R. J. Noble Company Orange $683,389.00 3. Hardy and Harper Santa Ana $699,000.00 4. Lee & Stires Montclair $705,416.50 5. Elite Bobcat Service Corona $707,585.00 6. Excel Paving Long Beach $766,880.00 7. Sully-Miller Contracting Brea $783,158.00 8. ICE Engineering City of Industry $831,360.00 A total of eight bids were received and all were responsive. The lowest bid Alternate "A" was submitted by All American Asphalt for $642,387, which is above the Engineer's estimate of $640,702. ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended action is exempt from further review. Categorical Exemption Environmental Review No. 2009-182 has been filed for the project. FISCAL IMPACT The funding analysis shows a total estimated construction cost of $794,900 for the project (Exhibit 2). Funds are available in the American Recovery and Reinvestment Act Fund (accounting unit 05917662-66220) and the Measure M Turnback Fund (accounting unit 03217660-66220). APPROVED AS TO FUNDS AND ACCOUNTS: Raul Godinez II Francisco Gutierrez Executive Director Executive Director Public Works Agency Finance & Mgmt. Services Agency RGNVA Exhibit 1: Project Location Map 2: Funding Analysis 23B-2 23B-3 FUNDING ANALYSIS PROJECT NO. 116733 LYON STREET REHABILITATION BETWEEN EDINGER AND CHESTNUT AVENUES Construction Contract $642,387 Contract Administration $18,274 Inspection and Testing $45,000 Survey Staking $25,000 Contingencies $64,239 TOTAL ESTIMATED CONSTRUCTION COSTS 794 900 Exhibit 2 23B-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2010-09 FOR THE PROPERTY LOCATED AT 2022 NORTH ROSS STREET i CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1ST Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached agreement with Donald Walter and Joanne Doreen Payne, property owners, for the structure located at 2022 North Ross Street subject to non-substantive changes approved by the City Manager and City Attorney. HISTORIC RESOURCES COMMISSION ACTION Recommended that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Donald Walter and Joanne Doreen Payne, property owners, for the structure located at 2022 North Ross Street subject to non-substantive changes approved by the City Manager and City Attorney at its August 12, 2010 meeting by a vote of 5:0 (Bustamante absent). DISCUSSION After the public hearing on August 12, 2010, the Historic Resources Commission reviewed the proposed Historic Property Preservation Agreement (Mills Act Contract) and concluded that the resulting potential property tax savings would encourage the owner to reinvest the tax savings in the maintenance of their historic property, and would benefit both the owner and the community (Exhibit A). Additionally, the agreement prevents inappropriate alterations. 25A-1 HPP Agreement No. 2010-09 September 7, 2010 Page 2 FISCAL IMPACT The Historic Property Preservation Agreement will reduce the property tax revenue to the City by an estimated $98.90 to $494.49 annually, for a period of not less than ten years. APPROVED AS TO FUNDS AND ACCOUNTS: Jay Trevino Executive Director Planning & Building Agency HS:rb hslhistodc infounills act agreements\2022_N_Rossftpal0-09.cc Francisco Gutierrez Executive Director Finance & Management Services Agency - J Exhibit: A. Historic Resources Commission Staff Report 25A-2 REQUEST FOR Y Historic Resources Commission Action - FISTORIC RE soulc S aMASSION N 1M DATE: AUGUST 12, 2010 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2010-09 FOR THE PROPERTY LOCATED AT 2022 NORTH ROSS STREET Prepared by Hally Soboleske HSTORIC RESOURCES OOM4 EMM SECRETARY APPROVED ? As Recommended ? As Amended ? Set Public Hearing For CONTINUED TO Executive Director Planning Mana r RECOMMENDED ACTION Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Donald and Joanne Payne, property owners, for the structure located at 2022 North Ross Street subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant Due to a lack of quorum at the July 1, 2010 Historic Resources Commission meeting, the application has been re-scheduled for a special meeting on August 12, 2010. The applicants, Donald and Joanne Payne, request the approval of Historic Property Preservation Agreement No. 2010-09 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property includes a Mission/Spanish Colonial Revival styled residence located at 2022 North Ross Street and is within the Floral Park Neighborhood. Surrounding land uses are all residential (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as the Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange to the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. 14 HPPA No. 2010-09 August 12, 2010 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Cotton Mather House and categorized as Contributive in July 2010 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). The benefits of executing this agreement include, but are not limited to, the following: Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. CEQA Compliance In accordance with the California Environmental from further review under General Rule Section action is exempt from further review. a ly Sob ske Associate Planner Quality Act, the recommended action is exempt 15061(b)(3), and therefore, the recommended HS:jm hs\historic infolmiAs act agreementsQ022_N_Ross\hppal0-09.081210.hrc 25A-4 t!!f all7 am tllt 2217 2108 J)as tl? lttt 2M3 a2 I K IY O O Ow. Q d H!7 lYt9 JfiQ7 7fI0f 104 19TH T S 500' RADIUS H PPA-2010-09 2022 North Ross Street PLANNING AND BUILDING AGENCY EXHIBIT 1 EXECUTIVE SUMMARY COTTON MATHER HOUSE 2022 North Ross Street Santa Ana, CA 92706 NAME Cotton Mather House REF. NO. ADDRESS 2022 North Ross Street CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1928 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE SS1 Location: ? Not for Publication M Unrestricted ? Prehistoric M Historic ? Both ARCHITECTURAL STYLE: Mission/Spanish Colonial Revival The Mission/Spanish Colonial Revival style, as its name implies, encompasses two major subcategories. The Mission Revival vocabulary, popular between 1890 and 1920, drew its inspiration from the missions of the Southwest. Identifying features include curved parapets (or espadana); red tiled roofs and coping; low-pitched roofs, often with overhanging eaves; porch roofs supported by large, square piers; arches; and wall surfaces commonly covered in smooth stucco. The Spanish Colonial Revival flourished between 1915 and 1940, reaching its apex during the 1920s and 1930s. The movement received widespread attention after the Panama-Califomia Exposition in San Diego in 1915, where lavish interpretations of Spanish and Mexican prototypes were showcased. Easily recognizable hallmarks of the Spanish Colonial Revival are low-pitched roofs, usually with little or no overhangs and red tile roof coverings, flat roofs surrounded by tiled parapets, and stuccoed walls. The Spanish vocabulary also includes arches, asymmetry, balconies and patios, window grilles, and wood, wrought iron, tile, or stone decorative elements. SUMMARY/CONCLUSION: The Cotton Mather House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Mission/Spanish Colonial Revival style. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of Santa Ana, and, as an intact example of the combination of the Mission/Spanish Colonial Revival style in the Floral Park neighborhood, "is a good example of period architecture" (Municipal Code, Section 30-2.2). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. • California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 5s1: Individual property that is listed or designated locally. EXHIBIT 2 Page 1 of 5 Stab of California - The Resources Agency Primary DEPARTMENT OF PARKS AND RECREATION HMO PRIMARY RECORD Trinomial NRHP Statue Code Other Listings Review Code Reviewer Dab 1 of 4 Resource name(s) or number (assigned by recorder) Colton Mather House P1. Other Identifier: *P2. Location: ONot for Publication ¦Unrestrided *a. County Orange County *b. USGS 7.5' Quad TCA1725 Date: *c. Address 2022 North Ross Street City Santa Ana Zip 92706 *e. Other Locational Data: Assessor's Parcel Number 002-103-26 *P3a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.) Clad in smooth finish stucco, with a cross gabled roof, this MissionlSpanish Cokxnial Revival is topped with front facing clay barrel ties and very shallow eaves, and a fiat roof to the rear. Although the structure is single story, a one and a half story tower graces the top of the front porch. The tower is also dad in stucco, and expouses a file topped parapet and an attic vent decorated to look like a foil The front entry is located under this tower, and the spanned entry is manned with rusticated, nonprojechng molding with a slight keystone. The front fagade is dominated by four six hoot tall round arched windows. The window surround wraps the two outmost arches ground to top and the tops of each arch with the same rusticated stucco as the tower. Each window is separated by simple Doric graduated columns. Three steps lead to thefront entry and tiled with Mexican day tiles and bookerded by nononginal wrought iron handrails. Other windows on the building aresingle hung wood with wood sills and are without trim. A nondescript detached garage sits to the rear of ft property. Landscape is well manicured, and corWstes of native plants such as palms, cypress and yucca. *133b. Resource Attributes: (list attributes and codes) HP2. Singfe-family Property *P4. Resources Present: ¦Building ?Structure (30byect OSite 00istrict ?Elementof District E30ther P5b. Photo: (view and date) East facing elevation March 2010 *P6. Dab ConstrucbdlAge and Sources: whistoric 192VCW y of Santa Ana Building permits *P7. Owner and Address: Donald and Joanne Payne 2022 North Ross Street Santa Ana, CA 92706 *P8. Recorded by: Hafiy Soboteske 20 Civic Center Plaza Santa Ana, CA 92702 *P9. Date Recorded: May 19, 2010 *P10. Survey Type: Intensive Survey Update *Attachments: ?None OLocation Map ?Sketch Map ¦Continuation Sheet ¦Building, Structure, and Object Record ?Archaeologicai Record ?District Record ?1-inear Feature Record ?Milling Station Record ?Rock Art Record OArtifact Record OPhotograph Record ? Other (list) DPR 623A (1f45) Page 2 of 5 `Required informatlon 25A-7 *P11. Report Citation: (Cite survey report and other sources, or enter "none") None. State of California-The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *CHR Status Code 5S1 "Resource Name or P: Cotton Mather House B1. Historic Name Cotton Mather House B2. Common Name: Same B3. Original Use: Single-family Residence B4. Present Use: Single-family Residence *B5. Architectural Style: Mission/Spanish Colonial *B6. Construction History: (Construction date, alterations, and date of alterations): Constructed 1927 January 25, 1928. Residence and garage. $6,750. March 8, 1938. Playhouse for children. $150.00. May 3, 1940. Reroof by owner. October 18, 1943. Reroof for Mrs. C, Mather. September 5, 1968. Water heater. April 17, 1975. Plumbing by R. Mather, owner. April 3, 1991. Repair garage rafters $1,000.00. May 17, 1991. Sewer repair. May 17, 1991. Electrical 2000sf residence. *B7. Moved? ¦No E3Yes 13Unknown Date: Original Location: *B8. Related Features: None. B9a. Architect: Unknown b. Builder: Unknown *B10. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1895-1965 Property Type: Single-family Residence Applicable Criteria: NR: Z; CR: 5S1 (Discuss importance in terns of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Cotton Mather House is architecturally significant as a Mission/Spanish Colonial Revival style. It was built in 1928, but completed in 1929, the first owners were Cotton and Marion Mather. It is unknown if Mr. Mathers was related to Cotton Mather, the puritan minister from the 1700's, as well as a founder of Yale University. When Cotton moved into this house, he was the secretary for the Santa Ana Building and Loan located at 609 S. Sycamore. By 1941, he was the president and manager of the Building loan (which by that time had moved to 601 N. Main Street). Cotton died in 1942, and Marion continued living in the home on her own until the the early 1960's, at which Sme "R." Mather took ownership. The home changed hands several times after that. (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and *812. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 4 of 4.) Map o. B13. Remarks: *B14. Evaluator: Hally Soboleske *Date of Evaluation: March 10, 2010 2022 North Ross St. 002-103-26 07 O T /;N - i t'1 Page 3 of 5 State of California -The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 4 Resource Name or # (Assigned by recorder) Colton Mather House "Recorded by Hally Soboleske DPR 5238 (1195) '610. Significance (continued): "Date May 19, 2010 0 Continuation ? Update "Required information Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial con: of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Cotton Mather House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street, North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897-1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353-356). 'Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana" (Orange County Register. September 15, 1981). The panel chosen became the Floral Parts subdivision between Seventeenth Street and Santiago Creek. "When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45,000 each" (Orange County Register. September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s; Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco-styled Old Santa Ana City Hall, the El Toro Marine Base during World War 11, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881-1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post-World War it years, Floral Park continued its development as numerous smaller, single-family houses were built. Continuing in the Floral Paris tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Cotton Mather House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Mission/Spanish Colonial style. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of Santa Ana, and, as an intact example of the Mission/Spanish Colonial style in the Floral Parts neighborhood, "is a good example of period architecture", as well as its association with Cotton Mather, president of the Santa Ana Building and Loan Association. Character-defining exterior features of the Cotton Mather House that should be preserved include, but may not be limited to, exterior materials and, arched front facing windows, rusticated window and porch entry thin, and roof material. (This space reserved for official comments.) DPR 523L Page 4 of 5 State of California-The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 4 of 4 Resource Name or # (Assigned by recorder) Cotton Mather House 'Recorded by Hally Soboleske "Date May 19, 2010 ® Continuation ? Update B12. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana. An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York. Alfred A. Knopf, 1984. National Register Bulletin 16A. How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources. " Sacramento: March 1995. Pleasants, Mrs. J. E. History of Orange County. California, volume 2. Los Angeles: J. R. Finnell & Sons, 1931, pp. 364-365. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Alison Honer Dies at 84," The Santa Ana Journal. September 21, 1981. "Builder of Honer Plaza Dies, " Orange County Register. September 15, 1981. "History of Floral Park." hffp:/Mvww.floral-Dark.com1page2.html. "Noted Nursery Operator Dies," Santa Ana Register, August 28, 1957. Santa Ana and Orange County Directories, 1937-1978. Page 5 of 5 DPR 523E MILLS ACT AGREEMENT 2022 North Ross Street Santa Ana, CA 92706 RECORDING REQUESTED BY: City of Santa Ana AND WHEN RECORDED MAIL TO: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M-30) Santa Ana, CA 92702 FREE RECORDING GOVERNMENT CODE §6103 HISTORIC PROPERTY PRESERVATION AGREEMENT This agreement ("Agreement") is made and entered into this August 2, 2010 by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the of the State of California (hereinafter referred to as "City"), and Donald Walter and Joann Doreen Payne, (hereinafter referred to as "Owner"), owner of real property located at 2022 North Ross Street, Santa Ana, California, 92706 in the County of Orange and listed on the Santa Ana Register of Historical Properties. RECITALS A. The City Council of the City of Santa Ana is authorized by California Government Code Section 50280 et seq. (known as the "Mills Act") to enter into contracts with Owner of qualified historical properties to provide for appropriate use, maintenance, rehabilitation and restoration such that these historic properties retain their historic character and integrity. B. The Owner possess fee title in and to that certain qualified real property together with associated structures and improvements thereon, located at 2022 North Ross Street, Santa Ana, CA, 92706 and more particularly described in Exhibit "A," attached hereto and incorporated herein by reference, and hereinafter referred to as the "Historic Property". C. The Historic Property is officially designated on the Santa Ana Register of Historical Properties pursuant to the requirements of Chapter 30 of the Santa Ana Municipal Code. D. The City and the property Owner, for their mutual benefit, now desire to enter into this Agreement which defines and limits the use and alteration of this Historic Property in order to enhance and maintain its value as a cultural and historical resource for the Owner and for the community; to prevent inappropriate alterations to the Historic Property and to ensure that repairs, additions, new building, and other changes are appropriate; and to ensure that rehabilitation and maintenance are carried out in an exemplary manner. -1- EXHIBIT 3 MILLS ACT AGREEMENT 2022 North Ross Street Santa Ana, CA 92706 E. The Owner and the City intend to carry out the purposes of California Government Code, Chapter 1, Part 5 of Division 1 of Title 5, Article 12, Section 50280 et seq., which will enable the Historic Property to qualify for an assessment of valuation as a restricted historical property pursuant to Article 1.9, Sec. 439 et seq., Chapter 3 Part 2 of Division 1 of the California Tax and Revenue Code. NOW, THEREFORE, the City of Santa Ana and the Owner of the Historic Property agree as follows: 1. Effective Date and Terms of Agreement. This Agreement shall be effective and commence on August 2, 2010, and shall remain in effect for a term of ten (10) years thereafter. Each year, upon the anniversary of the effective date of this Agreement, such initial term will automatically be extended as provided in California Government Code Sections 50280 through 50290 and in Section 2, below. 2. Renewal. a. Each year on the anniversary of the effective date of this Agreement, a year shall automatically be added to the initial ten (10) year term of this Agreement unless written notice of nonrenewal is served as provided herein. b. If the Owner or the City desire(s) in any year not to renew the Agreement, the Owner or City shall serve written notice of nonrenewal of the Agreement on the other party. Unless such notice is served by the Owner to the City at least ninety (90) days prior to the annual renewal date, or served by the City to the Owner at least sixty (60) days prior to the annual renewal date, one (1) year shall automatically be added to the term of the Agreement as provided herein. C. Within 30 days from receipt of City's notice of nonrenewal, the Owner may file a written protest of City's decision of nonrenewal. The City may, at any time prior to the annual renewal date of the Agreement, withdraw its notice to the Owner of nonrenewal. d. If either the Owner or the City serves notice to the other of nonrenewal in any year, the Agreement shall remain in effect for the balance of the term then remaining, either from its original execution or from the last renewal of the Agreement, whichever may apply. 3. Standards and Conditions for Historic Property. During the term of this Agreement, the Historic Property shall be subject to the following conditions, requirements and restrictions: -2- MILLS ACT AGREEMENT 2022 North Ross Street Santa Ana, CA 92706 a. Owner shall maintain the Historic Property in a good state of repair and shall preserve, maintain, and, where necessary, restore or rehabilitate the property and its character- defining features, notably the general architectural form, style, materials, design, scale, proportions, organization of windows, doors, and other openings, textures, details, mass, roof line, porch and other aspects of the appearance of the exterior to the satisfaction of the City. b. All changes to the Historic Property shall comply with applicable City plans and regulations, and conform to the rules and regulations of the Office of Historic Preservation of the State of Department of Parks and Recreation, namely the U.S. Secretary of the Interior's Standards and Guidelines for Historic Preservation Projects. These guidelines are attached hereto, marked as Exhibit B, and incorporated herein by this reference. The condition of the exterior of the property, as of the effective date of this Agreement, is documented in photographs attached hereto as Exhibit B and incorporated herein by reference. Owner shall continually maintain the Historic Property in the same or better condition as documented in Exhibit C. C. A view corridor enabling the general public to see the Historic Property from the public right-of-way shall be maintained, and Owner shall not be permitted to block the view corridor to the property with any new structure, such as walls, fences or shrubbery, so as to prevent the viewing of the historic landmark by the public. d. The following are prohibited: Demolition of the Historic Property or destruction of character-defining features of the building or site; removal of trees and other major vegetation unless removal is approved by a rehabilitation plan approved by the Historic Resources Commission, paving of yard surface; exterior alterations or additions unless approved by the Historic Resources Commission and such alternations are in keeping with the Secretary of Interior's Standards; deteriorating, dilapidated or unrepaired structures such as fences, roofs, doors, walls, and windows; storage of junk, trash, debris, discarded or unused objects such as cars, appliances, or furniture; and other unsightly by decoration, structure or vegetation which is unsightly by reason of its height, condition, or inappropriate location. C. Owner shall allow reasonable periodic examination, by prior appointment, of the interior and exterior of the Historic Property by representatives of the County Assessor, the State Department of Parks and Recreation, the State Board of Equalization, and the City of Santa Ana as may be necessary to determine the Owner' compliance with the terms and provisions of this Agreement. 4. Furnishing of Information. The Owner hereby agrees to furnish the City with any and all information requested which may be necessary or advisable to determine compliance with the terms and provisions of this Agreement. -3- 25A-13 MILLS ACT AGREEMENT 2022 North Ross Street Santa Ana, CA 92706 5. Cancellation. a. The City, following a duly noticed public hearing by the City Council as set forth in Government Code Section 50280, et. seq., may cancel this Agreement if it determines that the Owner have breached any of the conditions of this Agreement, or have allowed the property to deteriorate to the point that it no longer meets the standards for a qualified Historic Property, or if the City determines that the Owner have failed to restore or rehabilitate the property in the manner specified in Section 3 of this Agreement. If a contract is cancelled for these reasons, the Owner shall pay a cancellation fee to the County Auditor as set forth in Government Code Section 50286. This cancellation fee shall be a percentage (currently set at twelve and one-half (12 '/2) percent by Government Code Section 50286) of the current fair market value of the property at the time of the cancellation, as determined by the county assessor, without regard to any restriction imposed pursuant to this Agreement. b. If the Historic Property is destroyed by earthquake, fire, flood or other natural disaster such that in the opinion of the City Building Official more than sixty (60) percent of the original fabric of the structure must be replaced, this Agreement shall be canceled because, in effect, the historic value of the structure will have been destroyed. No fee shall be imposed in the case of destruction by acts of God or natural disaster. C. If the Historic Property is acquired by eminent domain and the City Council determines that the acquisition frustrates the purpose of this Agreement, this Agreement shall be cancelled and no fee imposed, as specified in Government Code Section 50288. 6. Enforcement of Agreement. a. In lieu of and/or in addition to any provisions to cancel the Agreement as referenced herein, the City may specifically enforce, or enjoin the breach of, the terms of the Agreement. In the event of a default, under the provisions to cancel the Agreement by the Owner, the City shall give written notice to the Owner by registered or certified mail, and if such a violation is not corrected to the reasonable satisfaction of the Deputy City Manager for Development Services or designee within thirty (30) days thereafter, or if not corrected within such a reasonable time as may be required to cure the breach or default, or default cannot be cured within thirty (30) days (provided that acts to cure the breach or default may be commenced within thirty (30) days and shall thereafter be diligently pursued to completion by the Owner), then the City may, without further notice, declare a default under the terms of this Agreement and may bring any action necessary to specifically enforce the obligations of the Owner growing out of the terms of this Agreement, apply to any court, state or federal, for injunctive relief against any violation by the Owner or apply for such relief as may be appropriate. b. The City does not waive any claim of default by the Owner if the City does not enforce or cancel this Agreement. All other remedies at law or in equity which are not otherwise provided for in this Agreement or in the City's regulations governing historic properties are available to the City to pursue in the event that there is a breach of this Agreement. No waiver by -4- 25A-14 MILLS ACT AGREEMENT 2022 North Ross Street Santa Ana, CA 92706 the City of any breach or default under this Agreement shall be deemed to be a waiver of any other subsequent breach thereof or default hereunder. 7. Binding effect of Agreement. a. The Owner hereby subject the Historic Property, located at 2022 North Ross Street, Assessor Parcel Number, 002-103-26, and more particularly described in Exhibit A, in the City of Santa Ana, to the covenants reservations, and restrictions as set forth in this Agreement. b. The City and Owner hereby declare their specific intent that the covenants, reservations and restrictions as set forth herein shall be deemed covenants running with the land and shall pass to and be binding upon the Owner' successors and assigns in title or interest to the Historic Property. Every contract, deed, or other instrument hereinafter executed, covering or conveying the Historic Property or any portion thereof, shall conclusively be held to have been executed, delivered, and accepted subject to the tenants, restrictions, and reservations expressed in this Agreement regardless of whether such covenants, restrictions and reservations are set forth in such contract, deed, or other instrument. 8. No Compensation. Owner shall not receive any payment from the City in consideration of the obligation imposed under this Agreement, it being recognized that the consideration for the execution of this Agreement is the substantial public benefit to be derived therefrom and the advantage that will accrue to the Owner as a result of the effect upon the assessed value of the property on the account of the restrictions on the use and preservation of the property. 9. Notice. Any notice required by the terms of this Agreement shall be sent to the address of the respective parties as specified below or at other addresses that may be later specified by the parties hereto. City: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M-30) Santa Ana, CA 92702 Owner: Donald Walter and Joann Doreen Payne 2022 North Ross Street Santa Ana, CA 92706 -s- 25A-15 MILLS ACT AGREEMENT 2022 North Ross Street Santa Ana, CA 92706 10. General Provisions. a. None of the terms, provisions, or conditions of this Agreement shall be deemed to create a partnership between the parties hereto and any of their heirs, successors, or assigns, nor shall such terms, provisions or conditions cause them to be considered joint ventures or members of any joint enterprise. b. The Owner agrees to and shall indemnify and hold the City and its elected and appointed officials, officers, agents, and employees harmless from liability for damage or claims for damage for personal injuries, including death, and claims for property damage which may arise from the direct or indirect use or operations of the Owner or those of his or her contractor, subcontractor, agenda, employee, or other person acting on his or her behalf which relates to the use, operation, and maintenance of the Historic Property. The Owner hereby agrees to and shall defend the City and its elected and appointed officials, officers, agents, and employees with respect to any and all actions for damages caused by, or alleged to have been caused by, reason of the Owner' activities in connection with the Historic Property. C. This hold harmless provision applies to all damages and claims for damages suffered, or alleged to have been suffered, and costs of defense incurred, by reason of the operations referred to in this Agreement regardless of whether or not the City prepared, supplied, or approved the plans, specifications or other documents for the Historic Property. d. All of the Agreements, rights, covenants, reservations, and restrictions contained in this Agreement shall be binding upon and shall inure to the benefit of the parties herein, their heirs, successors, legal representatives, assigns, and all persons acquiring any part or portion of the Historic Property, whether by operation of law on in any manner whatsoever. e. In the event legal proceedings are brought by any party or parties to enforce or restrain a violation of any of the covenants, reservations, or restrictions contained herein, or to determine the rights and duties of any party hereunder, the prevailing party in such proceeding may recover all reasonable attorney's fees to be fixed by the court, in addition to court costs and other relief ordered by the court. f. In the event that any of the provisions of this Agreement are held to be unenforceable or invalid by any court of competent jurisdiction, or by subsequent preemptive legislation, the validity and enforceability of the remaining provisions, or portions thereof, shall not be effected thereby. g. This Agreement shall be construed and governed in accordance with the laws of the State of California. -6- MILLS ACT AGREEMENT 2022 North Ross Street Santa Ana, CA 92706 11. Recordation. No later than twenty (20) days after the parties execute and enter into this Agreement, the City shall cause this Agreement to be recorded in the office of the County Recorder of the County of Orange. 12. Notice of the Contract to Office of Historic Preservation. No later than six (6) months of entering into the contract, the owner or agent of an owner shall provide written notice of this Agreement to the Office of Historic Preservation. 13. Amendments. This Agreement may be amended, in whole or in part, only by a written recorded instrument executed by the parties hereto. 14. Effective Date This Agreement shall be effective on the day and year first written above. 15. Signatures. ATTEST: MARIA D. HUIZAR Clerk of the Council Owner Date: Date: APPROVED AS TO FORM: JOSEPH W. FLETCHER City Attorney By: Joseph W. Fletcher City Attorney CITY OF SANTA ANA DAVID N. REAM City Manager By: By: Donald Walter Payne Joann Doreen Payne 7- MILLS ACT AGREEMENT 2022 North Ross Street Santa Ana, CA 92706 Exhibit A TR 788 Lot 17 and all -exs 37.5 ft-Lot 16 Assessor's Parcel Number: 002-103-26 -8- MILLS ACT AGREEMENT 2022 North Ross Street Santa Ana, CA 92706 Exhibit B Exterior work shall be reviewed by the Historic Resources Commission and subject to the U.S. Secretary of the Interior's Standards for Rehabilitation of Historic Buildings, as follows: 1. Every reasonable effort shall be made to provide a compatible use for a property which requires minimal alteration of the building, structure, or site and its environment, or to use a property for its originally intended purpose. 2. The distinguishing original qualities or character of a building, structure or site and its environment shall not be destroyed. The removal or alteration of any historic material or distinctive architectural features should be avoided when possible. All buildings, structures, and sites shall be recognized as products of their own time. Alterations that have no historical basis and which seek to create an earlier appearance shall be discouraged. 4. Changes which may have taken place in the course of time are evidence of the history and development of a building, structure, or site and its environment. These changes may have acquired significance in their own right, and this significance shall be recognized and respected. Distinctive stylistic features or examples of skilled craftsmanship which characterize a building, structure, or site shall be treated with sensitivity. 6. Deteriorated architectural features shall be repaired rather than replaced, whenever possible. In the event replacement is necessary, the new material should match the material being replaced in composition, design, color, texture, and other visual qualities. Repair or replacement of missing architectural features should be based on accurate duplications of features, substantiated by historic, physical, or pictorial evidence rather than on conjectural designs or the availability of different architectural elements from the other buildings or structures. The surface cleaning of structures shall be undertaken with the gentlest means possible. Sandblasting and other cleaning methods that will damage the historic building materials shall not be undertaken. 8. Every reasonable effort shall be made to protect and reserve archaeological resources affected by, or adjacent to any project. 9. Contemporary design for alternations and additions to existing properties shall not be discouraged when such alterations and additions do not destroy significant historical, architectural or cultural material, an such design is compatible with -9- MILLS ACT AGREEMENT 2022 North Ross Street Santa Ana, CA 92706 size, scale, color, material and character of the property, neighborhood, or environment. 10. Wherever possible, new additions or alterations to structures shall be done in such a manner that if such additions or alterations need to be removed in the future, the essential form and integrity of the structure would be unimpaired. -10- 25A-20 Exhibit C (photographs attached) -11- MILLS ACT AGREEMENT 2012 North Ross Street Santa Ana, CA 92706 2022 NORTH ROSS STREET PHOTO LOCATION MAP NORTH ROSS STREET 60.00 • 1 • I I I I 1 1 I I I I ¦ 112.5 ¦ I I I I I I 1 I I I I I I I ? I 4 NORTH -12- REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2010-11 FOR THE PROPERTY LOCATED AT 2003 NORTH ROSS STREET ,- 1 CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 15' Reading ? Ordinance on 2"d Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Stephanie Colleen Stephens, property owner, for the structure located at 2003 North Ross Street subject to non-substantive changes approved by the City Manager and City Attorney. HISTORIC RESOURCES COMMISSION ACTION Recommended that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Stephanie Colleen Stephens, property owner, for the structure located at 2003 North Ross Street subject to non-substantive changes approved by the City Manager and City Attorney at its August 12, 2010 meeting by a vote of 5:0 (Bustamante absent). DISCUSSION After the public hearing on August 12, 2010, the Historic Resources Commission reviewed the proposed Historic Property Preservation Agreement (Mills Act Contract) and concluded that the resulting potential property tax savings would encourage the owner to reinvest the tax savings in the maintenance of their historic property, and would benefit both the owner and the community (Exhibit A). Additionally, the agreement prevents inappropriate alterations. 25B-1 HPP Agreement No. 2010-11 September 7, 2010 Page 2 FISCAL IMPACT The Historic Property Preservation Agreement will reduce the property tax revenue to the City by an estimated $86.93 to $434.85 annually, for a period of not less than ten years. APPROVED AS TO FUNDS AND ACCOUNTS: Jay Trevino Executive Director Planning & Building Agency HS:rb hs\historic info\mills act agreements\2003_N_Ross\hppa10-11.cc Francisco Gutierrez Executive Director Finance & Management Services Agencyk r Exhibit: A. Historic Resources Commission Staff Report 25B-2 REQU EST FOR Historic Resources Commission Action IT:! V; I I FMS aaC RESOURCES COMMISSION NE'E7NG nOkTE AUGUST 12, 2010 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2010-11 FOR THE PROPERTY LOCATED AT 2003 NORTH ROSS STREET Prepared by Hally Soboleske HSTORIC RESOURCES COMMISSION SECRETARY APPROVED ? As Recommended ? As Amended ? Set Public Hearing For CONTINUED TO r-,a D.(.( t4!.a?????1 n Executive Director Planning Man ger RECOMMENDED ACTION Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Stephanie Stephens, property owner, for the structure located at 2003 North Ross Street subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant Due to a lack of quorum at the July 1, 2010 Historic Resources Commission meeting, the application has been re-scheduled for a special meeting on August 12, 2010. The applicant, Stephanie Stephens, requests the approval of Historic Property Preservation Agreement No. 2010-11 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property includes a Colonial Revival styled residence located at 2003 North Ross Street and is within the Floral Park Neighborhood. Surrounding land uses are all residential (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as the Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange to the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. G -- B-3 HPPA No. 2010-11 August 12, 2010 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Frandson House and categorized as Contributive in October 2009 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). The benefits of executing this agreement include, but are not limited to, the following: Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. CEQA Compliance In accordance with the California Environmental from further review under General Rule Section action is exempt from further review. a y Sob eske Associate lanner Quality Act, the recommended action is exempt 15061(b)(3), and therefore, the recommended HS:jm hslhistoric into\mills act agreements\2003 N Ross\hppa10-11.081210.hrc 25B-4 HPPA-2010-11 2003 North Ross Street PLANNING AND BUILDING AGENCY EXHIBIT 1 EXECUTIVE SUMMARY FRANDSON HOUSE 2003 North Ross Street Santa Ana, CA 92706 NAME Frandson House REF. N0. ADDRESS 2003 North Ross Street CITY Santa Ana ZIP 92706 ORANGE COUNTY YEAR BUILT 1932 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ? Not for Publication ® Unrestricted ? Prehistoric ® Historic ? Both ARCHITECTURAL STYLE: Colonial Revival The most universal of all American domestic building styles, the Colonial Revival has been popular since the 1876 Centennial celebration in Philadelphia stimulated a patriotic interest in the American architectural past. Whether drawing upon Georgian, Federal, or Dutch Colonial prototypes, Colonial Revival buildings feature rectangular building plans and designs which are usually symmetrical, or at least highly regular and balanced, in composition. Roofs are commonly side- gabled, hipped, or gambreled, sometimes accented with dormers. Porches, one or two stories in height, are often included, mostly as central focal points, and frequently incorporate classical elements such as columns, pilasters, and entablatures. Doorways are adorned with classical surrounds and pediments; sidelights, transoms, and fanlights are not uncommon. Windows are typically double-hung sash, with multiple lights in the upper sash. French doors and Palladian windows are also utilized. Depending on location, Colonial Revival buildings have wood, brick, or stucco exteriors (McAlester, 320-326). SUMMARY/CONCLUSION: The Frandson House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Colonial Revival style. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of Santa Ana, and, as an intact example of the combination of the Colonial Revival style in the Floral Park neighborhood, "is a good example of period architecture" (Municipal Code, Section 30-2.2). EXPLANATION OF CODES: • California Realster Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. • California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 5S1: Individual property that is listed or designated locally. EXHIBIT 2 Page 1 of 5 Stale of Cali/ornis -The Resouress Agency Primary S DEPARTMENT OF PARKS AND RECREATION HRi S PRIMARY RECORD Trinomial NRHP Status Code Other Listings Review Code Reviewer Do* Page 1 of 4 Resource name(s) or number (assigned by recorder) Frandsen House P1. Other Identifier. *P2. Location: ONot for Publication ¦Unrestricted *a. County Orange County *b. USGS 7.5' Quad TCA1725 Date: *c. Address 2003 North Ross City Santa Ana Zip 92706 *a. Other Locational Data: Assessor's Parcel Number 002-101-14 *123a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, sae, setting, and boundaries.) Covered in a tight dash finish stucco, and a cross gabled high pitched roof clad in asphalt shingles, this two story structure has a side main entry and asymmetrical design. Narrow eaves mark the ends of the roof!ine. The stnidure has two front f waft gables with the rear gable end showing three round and vw6caNy stacked attic vents. The frontrnost wing has a single hung window in the gable end adored with wood shutters and lambs tongue sash. The front facing picture window is bipartite in design with a !bred denter and eight light casement windows flanking each side. Two other front windows are also eight light casement windows, but all others appear to be wood single hung The front porch is includes wood ftfl' simple wood supports with carved knee braces where the post connects to the roofine. A wood beills with vines enhances the hart porch post. The porch floor is concrete. The residence appears highly inted. *P3b. Resource Attributes: (list attributes and codes) HP2. Single-AnNy Property *P4. Resources Present: ¦Building OStructure ?Object ?Site ODistrict OElement of District OOther P5b. Photo: (view and date) West elevation August 2009 *P6. Date Constructed/Age and Sources: ONstoric 1932/Ci1y of Santa Ana &nkrmV Permits *P7. Owner and Address: Stephanie Stevens 2003 North Ross Street Santa Ana, CA 92706 *P$. Recorded by: HaNy Soboleske 20 Civic Center Plaza Santa Ana, CA 92702 *P9. Date Recorded: August 22, 2009 *P10. Survey Type: Intensive Survey Update *Attachments: ONone ?Location Map ?Sketch Map aContinuation Sheet ¦Building, Structure, and Object Record ?Archaeological Record ODistrict Record OLinear Feature Record C1Milling Station Record ORock Art Record OArtifact Record OPhotograph Record ? Other (list) DPR 523A (1195) "Regcdred information Page 2 of 5 *P11. Report Citation: (Cite survey report and other sources, or enter "none") None. State of California-The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRl# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 4 *CHR Status Code 5S1 -Kesource Name or;;: r-renuson mouse B1. Historic Name: Frandson House B2. Common Name: Same B3. Original Use: Single-family Residence B4. Present Use: Single-family Residence *B5. Architectural Style: Colonial Revival *B6. Construction History: (Construction date, alterations, and date of ateratfons): Constructed 1932 May 18, 1932. Residence and garage $6,000.00. January 4, 1937. Install window by E. C. Frandson. May 11, 1949. Termite treatment by Terminix. December 1, 2949. One fixture for R.C. Beam. October 12, 1992. Prep. Roof and lay class A" shingles over existing. Add 3 skylights. $6, 000. October 12, 1992. Reroof existing garage with comp shingle. *B7. Moved? ¦No 13Yes OUnknown Date: Original Location: *B8. Related Features: None. B9a. Architect: Unknown b. Builder: JasparFamey *1310. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: circa 1895-1965 Property Type: Single-family Residence Applicable Criteria: NR: Z,• CR. 5S1 (Discuss importance in terns of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Frandson House is architecturally significant as a Colonial Revival style. It was built by Jasper Famey, a local contractor, as a speculative venture. The first occupants were Edward and Hazel Frandson. Mr. Frandson was a local dentist in Santa Ana. They lived in the home until 1939. The home was then purchased by Earl and Sarah Taylor, but they only lived in the home until 1941 at which time Robert and Dorothy Beam bought the house. Mr. Beam was a photographer who had a Santa Ana studio called 'Roberts Studio" (See Continuation Sheet 3 of 4.) B11. Additional Resource Attributes: (List attributes and codes) *1312. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sketch Map Sanborn Maps (See Continuation Sheet 4 of 4.) ---? ,. B13. Remarks: `1314. Evaluator: Hally Soboleske *Date of Evaluation: August 22, 2009 (This space reserved for official comments.) --_ I I t? ! WI (D 2003 North Ross St. 002-101-14 a O? O if o DPR 6238 (1196) Page 3 of 5 *Required information State of California-The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 4 Resource Name or # (Assigned by recorder) Frandson House 'Recorded by Hally Soboleske "Date August 22, 2009 ® Continuation ? Update "1310. Significance (continued): Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city gnaw outwards, with residential neighborhoods developing to the north, south, and east of the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. The Frandson House is located in Floral Park, a neighborhood northwest of downtown Santa Ana bounded by West Seventeenth Street North Flower Street, Riverside Drive, and Broadway. Groves of oranges, avocados and walnuts, and widely scattered ranch houses characterized this area before 1920. Developer and builder Allison Honer (1897-1981), credited as the subdivider and builder of a major portion of northwest Santa Ana, arrived in Santa Ana from Beaver Falls, New York in 1922 (Talbert, pages 353-356). "Before nightfall on the day of his arrival, Mr. Honer purchased a parcel of land. And that month, he began building custom homes in Santa Ana' (Orange County Register, September 15, 1981). The parcel chosen became the Floral Park subdivision between Seventeenth Street and Santiago Creek. When built in the 1920s, the Floral Park homes were the most lavish and expensive in the area. They sold for about $45, 000 each" (Orange County Register. September 15, 1981). Revival architecture in a wide variety of romantic styles was celebrated in the 1920s and 1930s, Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial Revival styles. The Allison Honer Construction Company went on to complete such notable projects as the 1935 Art Deco styled Old Santa Ana City Hall, the El Toro Marine Base during Worid War 11, and the 1960 Honer Shopping Plaza. Honer lived in the neighborhood he had helped create, at 615 West Santa Clara Avenue. In the late 1920s and 1930s, another builder, Roy Roscoe Russell (1881-1965), continued developing the groves of Floral Park. An early Russell project was his 1928 subdivision of Victoria Drive between West Nineteenth Street and West Santa Clara Avenue. The homes were quite grand and displayed various revival styles, including Russell's own large, Colonial Revival mansion at 2009 Victoria Drive. In the early post-World War 11 years, Floral Park continued its development as numerous smaller, single-family houses were built. Continuing in the Floral Palk tradition, they were mostly revival in style. In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2007), Floral Park maintains its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens. The Frandson House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion i for its exemplification of the distinguishing characteristics of the Colonial Revival style. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" of Santa Ana, and, as an intact example of the Colonial Revival style in the Floral Park neighborhood, "is a good example of period architecture", as well as its association with local dentist, Edward Frandson. Character-defining exterior features of the Frandson House that should be preserved include, but may not be limited to, exterior materials and; roof configuration and detailing; original windows where extant; and architectural details such as wood tripartite and casement windows, bay projections, and front porch entry configuration. DPR 523E Page 4 of 5 25B-9 State of California - The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 4 of 4 Resource Name or # (Assigned by recorder) Frandson House "Recorded by Hally Soboleske 'Date August 22, 2009 ® Continuation ? Update 812. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana. An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York.- Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the National Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept. of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Pleasants, Mrs. J. E. History of Orange County, California, volume 2. Los Angeles: J. R. Finnell & Sons, 1931, pp. 364-365. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Alison Honer Dies at 84," The Santa Ana Journ al. September 21, 1981. "Builder of Honer Plaza Dies, " Orange County Register, September 15, 1981. History of Floral Park." hfft)-IAvww.floral-park.coaVDage2.htm1. "Noted Nursery Operator Dies," Santa Ana Register. August 28, 1957. Santa Ana and Orange County Directories, 1937-1978. DPR 523L Page 5 of 5 25B-10 MILLS ACT AGREEMENT 2003 North Ross Street Santa Ana, CA 92706 RECORDING REQUESTED BY: City of Santa Ana AND WHEN RECORDED MAIL TO: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M-30) Santa Ana, CA 92702 FREE RECORDING GOVERNMENT CODE §6103 HISTORIC PROPERTY PRESERVATION AGREEMENT This agreement ("Agreement") is made and entered into this August 2, 2010 by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the of the State of California (hereinafter referred to as "City"), and Stephanie Stephens, (hereinafter referred to as "Owner"), owner of real property located at 2003 North Ross Street, Santa Ana, California, 92706 in the County of Orange and listed on the Santa Ana Register of Historical Properties. RECITALS A. The City Council of the City of Santa Ana is authorized by California Government Code Section 50280 et seq. (known as the "Mills Act") to enter into contracts with Owner of qualified historical properties to provide for appropriate use, maintenance, rehabilitation and restoration such that these historic properties retain their historic character and integrity. B. The Owner possess fee title in and to that certain qualified real property together with associated structures and improvements thereon, located at 2003 North Ross Street, Santa Ana, CA, 92706 and more particularly described in Exhibit "A," attached hereto and incorporated herein by reference, and hereinafter referred to as the "Historic Property". C. The Historic Property is officially designated on the Santa Ana Register of Historical Properties pursuant to the requirements of Chapter 30 of the Santa Ana Municipal Code. D. The City and the property Owner, for their mutual benefit, now desire to enter into this Agreement which defines and limits the use and alteration of this Historic Property in order to enhance and maintain its value as a cultural and historical resource for the Owner and for the community; to prevent inappropriate alterations to the Historic Property and to ensure that repairs, additions, new building, and other changes are appropriate; and to ensure that rehabilitation and maintenance are carried out in an exemplary manner. -l- EXHIBIT 3 25B-11 MILLS ACT AGREEMENT 2003 North Ross Street Santa Ana, CA 92706 E. The Owner and the City intend to carry out the purposes of California Government Code, Chapter 1, Part 5 of Division 1 of Title 5, Article 12, Section 50280 et seq., which will enable the Historic Property to qualify for an assessment of valuation as a restricted historical property pursuant to Article 1.9, Sec. 439 et seq., Chapter 3 Part 2 of Division 1 of the California Tax and Revenue Code. NOW, THEREFORE, the City of Santa Ana and the Owner of the Historic Property agree as follows: 1. Effective Date and Terms of Agreement. This Agreement shall be effective and commence on August 2, 2010, and shall remain in effect for a term of ten (10) years thereafter. Each year, upon the anniversary of the effective date of this Agreement, such initial term will automatically be extended as provided in California Government Code Sections 50280 through 50290 and in Section 2, below. 2. Renewal. a. Each year on the anniversary of the effective date of this Agreement, a year shall automatically be added to the initial ten (10) year term of this Agreement unless written notice of nonrenewal is served as provided herein. b. If the Owner or the City desire(s) in any year not to renew the Agreement, the Owner or City shall serve written notice of nonrenewal of the Agreement on the other party. Unless such notice is served by the Owner to the City at least ninety (90) days prior to the annual renewal date, or served by the City to the Owner at least sixty (60) days prior to the annual renewal date, one (1) year shall automatically be added to the term of the Agreement as provided herein. C. Within 30 days from receipt of City's notice of nonrenewal, the Owner may file a written protest of City's decision of nonrenewal. The City may, at any time prior to the annual renewal date of the Agreement, withdraw its notice to the Owner of nonrenewal. d. If either the Owner or the City serves notice to the other of nonrenewal in any year, the Agreement shall remain in effect for the balance of the term then remaining, either from its original execution or from the last renewal of the Agreement, whichever may apply. 3. Standards and Conditions for Historic Property. During the term of this Agreement, the Historic Property shall be subject to the following conditions, requirements and restrictions: -2- 25B-12 MILLS ACT AGREEMENT 2003 North Ross Street Santa Ana, CA 92706 a. Owner shall maintain the Historic Property in a good state of repair and shall preserve, maintain, and, where necessary, restore or rehabilitate the property and its character- defining features, notably the general architectural form, style, materials, design, scale, proportions, organization of windows, doors, and other openings, textures, details, mass, roof line, porch and other aspects of the appearance of the exterior to the satisfaction of the City. b. All changes to the Historic Property shall comply with applicable City plans and regulations, and conform to the rules and regulations of the Office of Historic Preservation of the State of Department of Parks and Recreation, namely the U.S. Secretary of the Interior's Standards and Guidelines for Historic Preservation Projects. These guidelines are attached hereto, marked as Exhibit B, and incorporated herein by this reference. The condition of the exterior of the property, as of the effective date of this Agreement, is documented in photographs attached hereto as Exhibit B and incorporated herein by reference. Owner shall continually maintain the Historic Property in the same or better condition as documented in Exhibit C. C. A view corridor enabling the general public to see the Historic Property from the public right-of-way shall be maintained, and Owner shall not be permitted to block the view corridor to the property with any new structure, such as was, fences or shrubbery, so as to prevent the viewing of the historic landmark by the public. d. The following are prohibited: Demolition of the Historic Property or destruction of character-defining features of the building or site; removal of trees and other major vegetation unless removal is approved by a rehabilitation plan approved by the Historic Resources Commission, paving of yard surface; exterior alterations or additions unless approved by the Historic Resources Commission and such alternations are in keeping with the Secretary of Interior's Standards; deteriorating, dilapidated or unrepaired structures such as fences, roofs, doors, walls, and windows; storage of junk, trash, debris, discarded or unused objects such as cars, appliances, or furniture; and other unsightly by decoration, structure or vegetation which is unsightly by reason of its height, condition, or inappropriate location. e. Owner shall allow reasonable periodic examination, by prior appointment, of the interior and exterior of the Historic Property by representatives of the County Assessor, the State Department of Parks and Recreation, the State Board of Equalization, and the City of Santa Ana as may be necessary to determine the Owner' compliance with the terms and provisions of this Agreement. 4. Furnishing of Information. The Owner hereby agrees to furnish the City with any and all information requested which may be necessary or advisable to determine compliance with the terms and provisions of this Agreement. -3- 25B-13 MILLS ACT AGREEMENT 2003 North Ross Street Santa Ana, CA 92706 5. Cancellation. a. The City, following a duly noticed public hearing by the City Council as set forth in Government Code Section 50280, et. seq., may cancel this Agreement if it determines that the Owner have breached any of the conditions of this Agreement, or have allowed the property to deteriorate to the point that it no longer meets the standards for a qualified Historic Property, or if the City determines that the Owner have failed to restore or rehabilitate the property in the manner specified in Section 3 of this Agreement. If a contract is cancelled for these reasons, the Owner shall pay a cancellation fee to the County Auditor as set forth in Government Code Section 50286. This cancellation fee shall be a percentage (currently set at twelve and one-half (12 %2) percent by Government Code Section 50286) of the current fair market value of the property at the time of the cancellation, as determined by the county assessor, without regard to any restriction imposed pursuant to this Agreement. b. If the Historic Property is destroyed by earthquake, fire, flood or other natural disaster such that in the opinion of the City Building Official more than sixty (60) percent of the original fabric of the structure must be replaced, this Agreement shall be canceled because, in effect, the historic value of the structure will have been destroyed. No fee shall be imposed in the case of destruction by acts of God or natural disaster. C. If the Historic Property is acquired by eminent domain and the City Council determines that the acquisition frustrates the purpose of this Agreement, this Agreement shall be cancelled and no fee imposed, as specified in Government Code Section 50288. 6. Enforcement of Agreement. a. In lieu of and/or in addition to any provisions to cancel the Agreement as referenced herein, the City may specifically enforce, or enjoin the breach of, the terms of the Agreement. In the event of a default, under the provisions to cancel the Agreement by the Owner, the City shall give written notice to the Owner by registered or certified mail, and if such a violation is not corrected to the reasonable satisfaction of the Deputy City Manager for Development Services or designee within thirty (30) days thereafter, or if not corrected within such a reasonable time as may be required to cure the breach or default, or default cannot be cured within thirty (30) days (provided that acts to cure the breach or default may be commenced within thirty (30) days and shall thereafter be diligently pursued to completion by the Owner), then the City may, without further notice, declare a default under the terms of this Agreement and may bring any action necessary to specifically enforce the obligations of the Owner growing out of the terms of this Agreement, apply to any court, state or federal, for injunctive relief against any violation by the Owner or apply for such relief as may be appropriate. b. The City does not waive any claim of default by the Owner if the City does not enforce or cancel this Agreement. All other remedies at law or in equity which are not otherwise provided for in this Agreement or in the City's regulations governing historic properties are available to the City to pursue in the event that there is a breach of this Agreement. No waiver by -4- 25B-14 MILLS ACT AGREEMENT 2003 North Ross Street Santa Ana, CA 92706 the City of any breach or default under this Agreement shall be deemed to be a waiver of any other subsequent breach thereof or default hereunder. 7. Binding effect of Agreement. a. The Owner hereby subject the Historic Property, located at 2003 North Ross Street, Assessor Parcel Number, 002-101-14, and more particularly described in Exhibit A, in the City of Santa Ana, to the covenants reservations, and restrictions as set forth in this Agreement. b. The City and Owner hereby declare their specific intent that the covenants, reservations and restrictions as set forth herein shall be deemed covenants running with the land and shall pass to and be binding upon the Owner' successors and assigns in title or interest to the Historic Property. Every contract, deed, or other instrument hereinafter executed, covering or conveying the Historic Property or any portion thereof, shall conclusively be held to have been executed, delivered, and accepted subject to the tenants, restrictions, and reservations expressed in this Agreement regardless of whether such covenants, restrictions and reservations are set forth in such contract, deed, or other instrument. 8. No Compensation. Owner shall not receive any payment from the City in consideration of the obligation imposed under this Agreement, it being recognized that the consideration for the execution of this Agreement is the substantial public benefit to be derived therefrom and the advantage that will accrue to the Owner as a result of the effect upon the assessed value of the property on the account of the restrictions on the use and preservation of the property. 9. Notice. Any notice required by the terms of this Agreement shall be sent to the address of the respective parties as specified below or at other addresses that may be later specified by the parties hereto. City: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M-30) Santa Ana, CA 92702 Owner: Stephanie Stephens 2003 North Ross Street Santa Ana, CA 92706 -s- 25B-15 MILLS ACT AGREEMENT 2003 North Ross Street Santa Ana, CA 92706 10. General Provisions. a. None of the terms, provisions, or conditions of this Agreement shall be deemed to create a partnership between the parties hereto and any of their heirs, successors, or assigns, nor shall such terms, provisions or conditions cause them to be considered joint ventures or members of any joint enterprise. b. The Owner agrees to and shall indemnify and hold the City and its elected and appointed officials, officers, agents, and employees harmless from liability for damage or claims for damage for personal injuries, including death, and claims for property damage which may arise from the direct or indirect use or operations of the Owner or those of his or her contractor, subcontractor, agenda, employee, or other person acting on his or her behalf which relates to the use, operation, and maintenance of the Historic Property. The Owner hereby agrees to and shall defend the City and its elected and appointed officials, officers, agents, and employees with respect to any and all actions for damages caused by, or alleged to have been caused by, reason of the Owner' activities in connection with the Historic Property. C. This hold harmless provision applies to all damages and claims for damages suffered, or alleged to have been suffered, and costs of defense incurred, by reason of the operations referred to in this Agreement regardless of whether or not the City prepared, supplied, or approved the plans, specifications or other documents for the Historic Property. d. All of the Agreements, rights, covenants, reservations, and restrictions contained in this Agreement shall be binding upon and shall inure to the benefit of the parties herein, their heirs, successors, legal representatives, assigns, and all persons acquiring any part or portion of the Historic Property, whether by operation of law on in any manner whatsoever. C. In the event legal proceedings are brought by any party or parties to enforce or restrain a violation of any of the covenants, reservations, or restrictions contained herein, or to determine the rights and duties of any party hereunder, the prevailing party in such proceeding may recover all reasonable attorney's fees to be fixed by the court, in addition to court costs and other relief ordered by the court. f. In the event that any of the provisions of this Agreement are held to be unenforceable or invalid by any court of competent jurisdiction, or by subsequent preemptive legislation, the validity and enforceability of the remaining provisions, or portions thereof, shall not be effected thereby. g. This Agreement shall be construed and governed in accordance with the laws of the State of California. -6- MILLSACT AGREEMENT 2003 North Ross Street Santa Ana, CA 92706 11. Recordation. No later than twenty (20) days after the parties execute and enter into this Agreement, the City shall cause this Agreement to be recorded in the office of the County Recorder of the County of Orange. 12. Notice of the Contract to Office of Historic Preservation. No later than six (6) months of entering into the contract, the owner or agent of an owner shall provide written notice of this Agreement to the Office of Historic Preservation. 13. Amendments. This Agreement may be amended, in whole or in part, only by a written recorded instrument executed by the parties hereto. 14. Effective Date This Agreement shall be effective on the day and year first written above. 15. Signatures. ATTEST: MARIA D. HUIZAR Clerk of the Council Owner Date: CITY OF SANTA ANA DAVID N. REAM City Manager By: Stephanie Stephens APPROVED AS TO FORM: JOSEPH W.FLETCHER City Attorney By: Joseph W. Fletcher City Attorney -7- 25B-17 MILLS ACT AGREEMENT 2003 North Ross Street Santa Ana, CA 92706 Exhibit A N TR 788 Lot 7 Assessor's Parcel Number: 002-101-14 -8- 25B-18 MILLS ACT AGREEMENT 2003 North Ross Street Santa Ana, CA 92706 Exhibit B Exterior work shall be reviewed by the Historic Resources Commission and subject to the U.S. Secretary of the Interior's Standards for Rehabilitation of Historic Buildings, as follows: 1. Every reasonable effort shall be made to provide a compatible use for a property which requires minimal alteration of the building, structure, or site and its environment, or to use a property for its originally intended purpose. 2. The distinguishing original qualities or character of a building, structure or site and its environment shall not be destroyed. The removal or alteration of any historic material or distinctive architectural features should be avoided when possible. 3. All buildings, structures, and sites shall be recognized as products of their own time. Alterations that have no historical basis and which seek to create an earlier appearance shall be discouraged. 4. Changes which may have taken place in the course of time are evidence of the history and development of a building, structure, or site and its environment. These changes may have acquired significance in their own right, and this significance shall be recognized and respected. 5. Distinctive stylistic features or examples of skilled craftsmanship which characterize a building, structure, or site shall be treated with sensitivity. 6. Deteriorated architectural features shall be repaired rather than replaced, whenever possible. In the event replacement is necessary, the new material should match the material being replaced in composition, design, color, texture, and other visual qualities. Repair or replacement of missing architectural features should be based on accurate duplications of features, substantiated by historic, physical, or pictorial evidence rather than on conjectural designs or the availability of different architectural elements from the other buildings or structures. 7. The surface cleaning of structures shall be undertaken with the gentlest means possible. Sandblasting and other cleaning methods that will damage the historic building materials shall not be undertaken. 8. Every reasonable effort shall be made to protect and reserve archaeological resources affected by, or adjacent to any project. 9. Contemporary design for alternations and additions to existing properties shall not be discouraged when such alterations and additions do not destroy significant historical, architectural or cultural material, an such design is compatible with -9- MILLS ACT AGREEMENT 2003 North Ross Street Santa Ana, CA 92706 size, scale, color, material and character of the property, neighborhood, or environment. 10. Wherever possible, new additions or alterations to structures shall be done in such a manner that if such additions or alterations need to be removed in the future, the essential form and integrity of the structure would be unimpaired. -10- 25B-20 MILLSACTAGREEMENT 2003 North Ross Street Santa Ana, CA 92706 Exhibit C (photographs attached) 2003 NORTH ROSS STREET PHOTO LOCATION MAP NORTH ROSS STREET 49.00 O • 143 NORTH -12- 25B-22 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2010-12 FOR THE PROPERTY LOCATED AT 225 NORTH BROADWAY CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1" Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached agreement with Gumm and Livingston Investments, a General Partnership organized in California, property owner, for the structure located at 225 North Broadway subject to non-substantive changes approved by the City Manager and City Attorney. HISTORIC RESOURCES COMMISSION ACTION Recommended that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Gumm and Livingston Investments, a General Partnership organized in California, property owner, for the structure located at 225 North Broadway subject to non-substantive changes approved by the City Manager and City Attorney at its August 12, 2010 meeting by a vote of 5:0 (Bustamante absent). DISCUSSION After the public hearing on August 12, 2010, the Historic Resources Commission reviewed the proposed Historic Property Preservation Agreement (Mills Act Contract) and concluded that the resulting potential property tax savings would encourage the owner to reinvest the tax savings in the maintenance of their historic property, and would benefit both the owner and the community (Exhibit A). Additionally, the agreement prevents inappropriate alterations. 25C-1 HPP Agreement No. 2010-12 September 7, 2010 Page 2 FISCAL IMPACT The Historic Property Preservation Agreement will reduce the property tax revenue to the City by an estimated $296.54 to $1,432.50 annually, for a period of not less than ten years. APPROVED AS TO FUNDS AND ACCOUNTS: Jay, evino Executive Director Planning & Building Agency HS:rb hs\historic info\mills act agreements\225_N_Broadway\hppal0-12.cc Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibit: A. Historic Resources Commission Staff Report 25C-2 REQUEST FOR His o is Resources Commission Action t UMFOc MESOURCM ooMVISSM NEE TM DATE: AUGUST 12, 2010 j HISTORIC RESOURCES CONMSSM SECRETARY TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2010-12 FOR THE PROPERTY LOCATED AT 225 NORTH BROADWAY Prepared by Hally Soboleske APPROVED ? As Recommended ? As Amended ? Set Public Hearing For CONTINUED TO Executive Director Planning Man er RECOMMENDED ACTION Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Gumm and Livingston Investments, a General Partnership organized in California, property owner, for the structure located at 225 North Broadway subject to non- substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant Due to a lack of quorum at the July 1, 2010 Historic Resources Commission meeting, the application has been re-scheduled for a special meeting on August 12, 2010. The applicant, Myrna Livingston, representing Gumm and Livingston Investments, a General Partnership organized in California, requests the approval of Historic Property Preservation Agreement No. 2010-12 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property includes an Italian Renaissance Revival structure located at 225 North Broadway and is within the National Register District Historic Downtown. Surrounding land uses are all commercial (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as the Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange to the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. H 2SC'-3 HPPA No. 2010-12 August 12, 2010 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Pacific Building and categorized as Key in September 2001 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). The benefits of executing this agreement include, but are not limited to, the following: 1. Reduced property tax to allow reinvestment for the long term preservation of the property. 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. CEQA Compliance In accordance with the California Environmental from further review under General Rule Section action is exempt from further review. ally So leske Associat Planner Quality Act, the recommended action is exempt 15061(b)(3), and therefore, the recommended HS:jm hs\histodc Info\mills act agreements\225_N_Broadway\hppal0-12.081210.hrc ism* WAW a i r 4TH ST 4TH ST 0 3RD ST a i a 2ND ST IST ST 500' RADIUS HPPA-2010-12 225 North Broadway PLANNING AND BUILDING AGENCY EXHIBIT I a 1 ? e ? 4 'k:'?k x r h NAME Pacific Building REF. NO. lag ADDRESS 225-227 North Broadway and 214, 216, and 220 West Third Street CITY Santa Ana ZIP 92701 ORANGE COUNTY YEAR BUILT 1925 LOCAL REGISTER CATEGORY: Key HISTORIC DISTRICT Downtown Santa Ana NEIGHBORHOOD N/A NATIONAL REGISTER CRITERIA FOR EVALUATION C NATIONAL REGISTER STATUS CODE ID Location: ? Not for Publication ® Unrestricted USGS 7.5" Quad Date: T R %4 of %4 of Sec B.M. ? Prehistoric ® Historic ? Both ARCHITECTURAL STYLE: Italian Renaissance (Late 19* and 20* Century Revivals) DESCRIPTION/BACKGROUND RELATED TO PE In ARCHITECT gE: The late 19s' and 20"' century revival of the Italian Renaissance style, also known as the Italian Renaissance Revival, was popular from the late 19`" century until 1930. It was inspired by the designs of the palazzi of northern Italy and popularized by American architects McKim, Mead, and White. Utilized on public buildings and ornate homes, the vocabulary of the style also influenced the appearance of commercial buildings. Characteristic features generally include masonry construction, often with different treatments on lower and upper stories; stringcourses or beltcourses between stories; flat roofs screened by parapets or hipped roofs; cornices, dentils, pilasters, quoins, and other classical details; and a balanced, often symmetrical appearance. Taller, more elaborate buildings often feature terracotta facade cladding or ornamentation while more modest one to three-story examples utilize bricks of contrasting colors as trim. Ground floors of multi-story buildings often housed banking rooms; more modest buildings may contain storefronts with recessed entries and large plate glass display windows with transoms and bulkheads. Upper story windows are most commonly one-over-one wood framed double-hung sash. cmveu?4emOualB,a.a.,q.2u h (Pacific BIdB) Page 1 of4 B/23101 EXHIBIT 2 CONSTRUCTION HISTORY: (Construction data, alterations, and date of alterations) April 18, 1936. Alterations to business room. September 1, 1943. Alterations to business bldg. January 24, 1945. Alterations to store building-stg. shelf. October 15, 1959. Remove non-bearing partition. April 30, 1969. Interior partitions. July 31, 1975. Interior (Big Johns Restaurant). June 6, 1978. Interior partitions and front alterations. January 23, 1979. Interior partitions. September 27, 1979. Install new door in rear. March 11, 1982. Seismic rehab. RELATED FEATURES: (Other important features such as barns, sheds, fences, prominent or unusual trees, or landscape) None DESCRIPTION: (Describe resource and its major elements. Include design, materials, condition, alterations, size, settings, and boundaries.) Located at the southeast comer of Third Street and Broadway, this is a two-story brick commercial building influenced by the Italian Renaissance Revival style. Brown colored brick faces the public elevations, with bricks of contrasting colors used for a stringcourse separating the upper and lower stories and for window surrounds. A terracotta cornice and a solid parapet, ornamented by a triangular pattern over the center of the Broadway fagade, top the building. Fenestration on the upper story consists of regularly spaced "Chicago" windows, with a pair of double-hung sash in the middle of the three-bay Broadway fagade. Glazed storefronts occupy the street level frontages. A highlight of the building is the original, Beaux Arts influenced, glass and metal entrance marquee, suspended over the sidewalk on cables attached to cast iron lion's head brackets. HISTORIC HIGHLIGHTS: The Pacific Building was constructed in 1925 by developer and contractor Roy Russell and architect Sidney J. Babcock (Thomas). Russell named his new improvement the "Pacific Building"; the first listing for the property under that name in the city directories appears in 1927 (with the address 215 North Broadway). Retail spaces were located on the ground floor and offices in the upper story. Early tenants of the building included a number of building industry-related firms, including the Builders Exchange prior to construction of their own building on Main Street. Post World War II users of the building included the Veterans Administration and military service clubs (Les). Roy Roscoe Russell (1881-1965) was a prominent builder and developer in Santa Ana, and maintained his own office in the Pacific Building. In 1937 he was joined by his son, Roy Rodney Russell, and in 1945 the two formed a partnership, Roy Russell & Son. The firm was active in the development of Victoria Drive and other residential tracts as well as numerous commercial improvements. RESOURCE ATTRIBUTES: (List attributes and codes from Appendix 4 of Instructions for Recording Historical Resources, Office of Historic Preservation.) (HP 6) 1-3 story Commercial Building cmlhistoric\templatecWroadway 223 N (Pacific Bldg) Page 2 of 4 8/23/01 RESOURCES PRESENT: ® Building ? Structure ? Object ? Site ? District ® Element of District ? Other MOVED? ® No ? Yes ? Unknown Date: Original Location: STATEMENT OF SIGNIFICANCE: (Discuss importance in terms of historical or architectural context as defined by theme, period, geographic scope, and integrity.) Santa Ana was founded by William Spurgeon in 1869 as a speculative townsite on part of the Spanish land grant known as Rancho Santiago de Santa Ana. Early growth and development was stimulated by the arrival of the Southern Pacific Railroad in 1878 and the Santa Fe Railroad in 1886. By the end of the 1880s, Santa Ana's downtown business district was defined by five city blocks of brick commercial buildings on Fourth Street, with the heart of the city at the intersection of Fourth and Main Streets (Thomas, 8:1). The early 1900s witnessed the construction of many new business blocks or remodels along Fourth and the adjacent streets, and by the 1920s Santa Ana's downtown had expanded in all directions to include both commercial and civic development. The Pacific Building is a fine and intact example of the characteristic type of improvement made during this period of expansion. It is particularly noteworthy for the preservation of its entrance canopy, a feature once common on downtown streets of larger American cities. Character-defining exterior features of the Pacific Building, which should be preserved, include but may not be limited to: the canopy; original finishes including brick and terracotta; architectural detailing such as stringcourse, cornice, and parapet; fenestration pattern and glazing; and storefront configuration. SUMMARY/CONCLUSION: This building was listed in the National Register of Historic Places in 1984 as a contributor to the Downtown Historic District. Under the regulations implementing the California Register of Historical Resources, the building is also listed in the California Register. The property is included in the Santa Ana Register of Historical Property and has been categorized as "Key" because it has a "distinctive architectural style and quality," and "is characteristic of a significant period in the history of the City of Santa Ana" (Municipal Code, Section 30-2.2(2)). OWNER AND ADDRESS: cmUtiatoric\templatea\Broedway 225 N (Pacific Bldg) Page 3 of 4 8/23/01 RECORDED BY: (Name, affiliation, and address) Leslie J. Heumann Science Applications International Corporation 35 S. Raymond Avenue, Suite 204, Pasadena, CA 91105 DATE RECORDED: July 30, 2001 SURVEY TYPE: (Intensive, reconnaissance, or other) Intensive Survey Update REPORT CITATION: (Cite survey report and other sources) Les, Kathleen. "Santa Ana Historic Survey, Final Resources Inventory: Downtown." May 1980 Thomas, Harold M. "Downtown Santa Ana Historic District" National Register nomination form, 1984. REFERENCES: (List documents, date of publication, and page numbers. May also include oral interviews.) Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Heritage Orange County and the City of Santa Ana. Downtown Walking Tour Santa Ana, 1986 Marsh, Diann. Santa Ana, An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A Knopf, 1984 National Register Bulletin 16A. "How to Complete the National Register Registration Form" Washington DC: National Register Branch National Park Service, US Dept of the Interior 1991 Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. "Rites Pending For Prominent SA Contractor" No source 8/10/1965 "Roy Russell, S. A. Builder, Dies on Trip." The Independent, 8/19/1965. "Roy Russell & Son, Bldrs." No source (newsletter), no date (circa March 1995). EVALUATOR: Leslie J. Heumann DATE OF EVALUATION: July 30, 2001 EXPLANATION OF CODES: • National Register Criteria for Evaluation: (From Appendix 7 of Instructions for Recording Historical Resources, Office of Historic Preservation) C: that embody the distinctive characteristics of a type, period, or method of construction, or that represent the work of a master, or that possess high artistic values, or that represent a significant and distinguishable entity whose components may lack individual distinction. • National Register Status Code: (From Appendix 2 of Instructions for Recording Historical Resources, Office of Historic Preservation) ID: Contributor to a listed district. cTn%i$toric\tem Page 4 of 4 platca\Broadway 225 N (Pacific Bldg) 8/23/01 25C-9 MILLS ACT AGREEMENT 225 North Broadway Santa Ana, CA 92701 RECORDING REQUESTED BY: City of Santa Ana AND WHEN RECORDED MAIL TO: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M-30) Santa Ana, CA 92702 FREE RECORDING GOVERNMENT CODE §6103 HISTORIC PROPERTY PRESERVATION AGREEMENT This agreement ("Agreement') is made and entered into this August 2, 2010 by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the of the State of California (hereinafter referred to as "City"), and Gumm and Livingston Investments, A General Partnership Organized in California, (hereinafter referred to as "Owner"), owner of real property located at 225 North Broadway, Santa Ana, California, 92701 in the County of Orange and listed on the Santa Ana Register of Historical Properties. RECITALS A. The City Council of the City of Santa Ana is authorized by California Government Code Section 50280 et seq. (known as the "Mills Act") to enter into contracts with Owner of qualified historical properties to provide for appropriate use, maintenance, rehabilitation and restoration such that these historic properties retain their historic character and integrity. B. The Owner possess fee title in and to that certain qualified real property together with associated structures and improvements thereon, located at 225 North Broadway, Santa Ana, CA, 92701 and more particularly described in Exhibit "A," attached hereto and incorporated herein by reference, and hereinafter referred to as the "Historic Property". C. The Historic Property is officially designated on the Santa Ana Register of Historical Properties pursuant to the requirements of Chapter 30 of the Santa Ana Municipal Code. D. The City and the property Owner, for their mutual benefit, now desire to enter into this Agreement which defines and limits the use and alteration of this Historic Property in order to enhance and maintain its value as a cultural and historical resource for the Owner and for the community; to prevent inappropriate alterations to the Historic Property and to ensure that repairs, additions, new EXHIBIT 3 -1- MILLS ACT AGREEMENT 225 North Broadway Santa Ana, CA 92701 building, and other changes are appropriate; and to ensure that rehabilitation and maintenance are carried out in an exemplary manner. E. The Owner and the City intend to carry out the purposes of California Government Code, Chapter 1, Part 5 of Division 1 of Title 5, Article 12, Section 50280 et seq., which will enable the Historic Property to qualify for an assessment of valuation as a restricted historical property pursuant to Article 1.9, Sec. 439 et seq., Chapter 3 Part 2 of Division 1 of the California Tax and Revenue Code. NOW, THEREFORE, the City of Santa Ana and the Owner of the Historic Property agree as follows: 1. Effective Date and Terms of Agreement. This Agreement shall be effective and commence on August 2, 2010, and shall remain in effect for a term of ten (10) years thereafter. Each year, upon the anniversary of the effective date of this Agreement, such initial term will automatically be extended as provided in California Government Code Sections 50280 through 50290 and in Section 2, below. 2. Renewal. a. Each year on the anniversary of the effective date of this Agreement, a year shall automatically be added to the initial ten (10) year term of this Agreement unless written notice of nonrenewal is served as provided herein. b. If the Owner or the City desire(s) in any year not to renew the Agreement, the Owner or City shall serve written notice of nonrenewal of the Agreement on the other party. Unless such notice is served by the Owner to the City at least ninety (90) days prior to the annual renewal date, or served by the City to the Owner at least sixty (60) days prior to the annual renewal date, one (1) year shall automatically be added to the term of the Agreement as provided herein. C. Within 30 days from receipt of City's notice of nonrenewal, the Owner may file a written protest of City's decision of nonrenewal. The City may, at any time prior to the annual renewal date of the Agreement, withdraw its notice to the Owner of nonrenewal. d. If either the Owner or the City serves notice to the other of nonrenewal in any year, the Agreement shall remain in effect for the balance of the term then remaining, either from its original execution or from the last renewal of the Agreement, whichever may apply. 3. Standards and Conditions for Historic Property. During the term of this Agreement, the Historic Property shall be subject to the following conditions, requirements and restrictions: -2- MILLS ACT AGREEMENT 22S North Broadway Santa Ana, CA 92701 a. Owner shall maintain the Historic Property in a good state of repair and shall preserve, maintain, and, where necessary, restore or rehabilitate the property and its character- defining features, notably the general architectural form, style, materials, design, scale, proportions, organization of windows, doors, and other openings, textures, details, mass, roof line, porch and other aspects of the appearance of the exterior to the satisfaction of the City. b. All changes to the Historic Property shall comply with applicable City plans and regulations, and conform to the rules and regulations of the Office of Historic Preservation of the State of Department of Parks and Recreation, namely the U.S. Secretary of the Interior's Standards and Guidelines for Historic Preservation Projects. These guidelines are attached hereto, marked as Exhibit B, and incorporated herein by this reference. The condition of the exterior of the property, as of the effective date of this Agreement, is documented in photographs attached hereto as Exhibit B and incorporated herein by reference. Owner shall continually maintain the Historic Property in the same or better condition as documented in Exhibit C. C. A view corridor enabling the general public to see the Historic Property from the public right-of-way shall be maintained, and Owner shall not be permitted to block the view corridor to the property with any new structure, such as walls, fences or shrubbery, so as to prevent the viewing of the historic landmark by the public. d. The following are prohibited: Demolition of the Historic Property or destruction of character-defining features of the building or site; removal of trees and other major vegetation unless removal is approved by a rehabilitation plan approved by the Historic Resources Commission, paving of yard surface; exterior alterations or additions unless approved by the Historic Resources Commission and such alternations are in keeping with the Secretary of Interior's Standards; deteriorating, dilapidated or unrepaired structures such as fences, roofs, doors, walls, and windows; storage of junk, trash, debris, discarded or unused objects such as cars, appliances, or furniture; and other unsightly by decoration, structure or vegetation which is unsightly by reason of its height, condition, or inappropriate location. e. Owner shall allow reasonable periodic examination, by prior appointment, of the interior and exterior of the Historic Property by representatives of the County Assessor, the State Department of Parks and Recreation, the State Board of Equalization, and the City of Santa Ana as may be necessary to determine the Owner' compliance with the terms and provisions of this Agreement. 4. Furnishing of Information. The Owner hereby agrees to furnish the City with any and all information requested which may be necessary or advisable to determine compliance with the terms and provisions of this Agreement. -3- MILLS ACT AGREEMENT 225 North Broadway Santa Ana, CA 92701 5. Cancellation. a. The City, following a duly noticed public hearing by the City Council as set forth in Government Code Section 50280, et. seq., may cancel this Agreement if it determines that the Owner have breached any of the conditions of this Agreement, or have allowed the property to deteriorate to the point that it no longer meets the standards for a qualified Historic Property, or if the City determines that the Owner have failed to restore or rehabilitate the property in the manner specified in Section 3 of this Agreement. If a contract is cancelled for these reasons, the Owner shall pay a cancellation fee to the County Auditor as set forth in Government Code Section 50286. This cancellation fee shall be a percentage (currently set at twelve and one-half (12 1/z) percent by Government Code Section 50286) of the current fair market value of the property at the time of the cancellation, as determined by the county assessor, without regard to any restriction imposed pursuant to this Agreement. b. If the Historic Property is destroyed by earthquake, fire, flood or other natural disaster such that in the opinion of the City Building Official more than sixty (60) percent of the original fabric of the structure must be replaced, this Agreement shall be canceled because, in effect, the historic value of the structure will have been destroyed. No fee shall be imposed in the case of destruction by acts of God or natural disaster. C. If the Historic Property is acquired by eminent domain and the City Council determines that the acquisition frustrates the purpose of this Agreement, this Agreement shall be cancelled and no fee imposed, as specified in Government Code Section 50288. 6. Enforcement of Agreement. a. In lieu of and/or in addition to any provisions to cancel the Agreement as referenced herein, the City may specifically enforce, or enjoin the breach of, the terms of the Agreement. In the event of a default, under the provisions to cancel the Agreement by the Owner, the City shall give written notice to the Owner by registered or certified mail, and if such a violation is not corrected to the reasonable satisfaction of the Deputy City Manager for Development Services or designee within thirty (30) days thereafter, or if not corrected within such a reasonable time as may be required to cure the breach or default, or default cannot be cured within thirty (30) days (provided that acts to cure the breach or default may be commenced within thirty (30) days and shall thereafter be diligently pursued to completion by the Owner), then the City may, without further notice, declare a default under the terms of this Agreement and may bring any action necessary to specifically enforce the obligations of the Owner growing out of the terms of this Agreement, apply to any court, state or federal, for injunctive relief against any violation by the Owner or apply for such relief as may be appropriate. b. The City does not waive any claim of default by the Owner if the City does not enforce or cancel this Agreement. All other remedies at law or in equity which are not otherwise provided for in this Agreement or in the City's regulations governing historic properties are available to the City to pursue in the event that there is a breach of this Agreement. No waiver by -4- MILLS ACT AGREEMENT 225 North Broadway Santa Ana, CA 92701 the City of any breach or default under this Agreement shall be deemed to be a waiver of any other subsequent breach thereof or default hereunder. 7. Binding effect of Agreement. a. The Owner hereby subject the Historic Property, located at 225 North Broadway, Assessor Parcel Number, 398-267-01, and more particularly described in Exhibit A, in the City of Santa Ana, to the covenants reservations, and restrictions as set forth in this Agreement. b. The City and Owner hereby declare their specific intent that the covenants, reservations and restrictions as set forth herein shall be deemed covenants running with the land and shall pass to and be binding upon the Owner' successors and assigns in title or interest to the Historic Property. Every contract, deed, or other instrument hereinafter executed, covering or conveying the Historic Property or any portion thereof, shall conclusively be held to have been executed, delivered, and accepted subject to the tenants, restrictions, and reservations expressed in this Agreement regardless of whether such covenants, restrictions and reservations are set forth in such contract, deed, or other instrument. 8. No Compensation. Owner shall not receive any payment from the City in consideration of the obligation imposed under this Agreement, it being recognized that the consideration for the execution of this Agreement is the substantial public benefit to be derived therefrom and the advantage that will accrue to the Owner as a result of the effect upon the assessed value of the property on the account of the restrictions on the use and preservation of the property. 9. Notice. Any notice required by the terms of this Agreement shall be sent to the address of the respective parties as specified below or at other addresses that may be later specified by the parties hereto. City: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M-30) Santa Ana, CA 92702 Owner: Gumm and Livingston Investments, A General Partnership Organized in California 415 Townsquare Lane #218 Huntington Beach, CA 92648 -5- 25C-14 MILLS ACT AGREEMENT 225 North Broadway Santa Ana, CA 92701 10. General Provisions. a. None of the terms, provisions, or conditions of this Agreement shall be deemed to create a partnership between the parties hereto and any of their heirs, successors, or assigns, nor shall such terms, provisions or conditions cause them to be considered joint ventures or members of any joint enterprise. b. The Owner agrees to and shall indemnify and hold the City and its elected and appointed officials, officers, agents, and employees harmless from liability for damage or claims for damage for personal injuries, including death, and claims for property damage which may arise from the direct or indirect use or operations of the Owner or those of his or her contractor, subcontractor, agenda, employee, or other person acting on his or her behalf which relates to the use, operation, and maintenance of the Historic Property. The Owner hereby agrees to and shall defend the City and its elected and appointed officials, officers, agents, and employees with respect to any and all actions for damages caused by, or alleged to have been caused by, reason of the Owner' activities in connection with the Historic Property. C. This hold harmless provision applies to all damages and claims for damages suffered, or alleged to have been suffered, and costs of defense incurred, by reason of the operations referred to in this Agreement regardless of whether or not the City prepared, supplied, or approved the plans, specifications or other documents for the Historic Property. d. All of the Agreements, rights, covenants, reservations, and restrictions contained in this Agreement shall be binding upon and shall inure to the benefit of the parties herein, their heirs, successors, legal representatives, assigns, and all persons acquiring any part or portion of the Historic Property, whether by operation of law on in any manner whatsoever. e. In the event legal proceedings are brought by any party or parties to enforce or restrain a violation of any of the covenants, reservations, or restrictions contained herein, or to determine the rights and duties of any party hereunder, the prevailing party in such proceeding may recover all reasonable attorney's fees to be fixed by the court, in addition to court costs and other relief ordered by the court. f. In the event that any of the provisions of this Agreement are held to be unenforceable or invalid by any court of competent jurisdiction, or by subsequent preemptive legislation, the validity and enforceability of the remaining provisions, or portions thereof, shall not be effected thereby. g. This Agreement shall be construed and governed in accordance with the laws of the State of California. -6- 25C-15 MILLS ACT AGREEMENT 225 North Broadway Santa Ana, CA 92701 11. Recordation. No later than twenty (20) days after the parties execute and enter into this Agreement, the City shall cause this Agreement to be recorded in the office of the County Recorder of the County of Orange. 12. Notice of the Contract to Office of Historic Preservation. No later than six (6) months of entering into the contract, the owner or agent of an owner shall provide written notice of this Agreement to the Office of Historic Preservation. 13. Amendments. This Agreement may be amended, in whole or in part, only by a written recorded instrument executed by the parties hereto. 14. Effective Date This Agreement shall be effective on the day and year first written above. 15. Signatures. ATTEST: MARIA D. HUIZAR Clerk of the Council Owner Date: CITY OF SANTA ANA DAVID N. REAM City Manager By: Myrna J. Livingston, Assignee for Gumm and Livingston Investments, A General Partnership Organized in California APPROVED AS TO FORM: JOSEPH W.FLETCHER City Attorney By: Joseph W. Fletcher City Attorney -7- 25C-16 MILLS ACT AGREEMENT 225 North Broadway Santa Ana, CA 92701 Exhibit A TOWN OF SANTA ANA BLK 5 LOT 10 Assessor's Parcel Number: 398-267-01 -8- 25C-17 MILLS ACT AGREEMENT 225 North Broadway Santa Ana, CA 92701 Exhibit B Exterior work shall be reviewed by the Historic Resources Commission and subject to the U.S. Secretary of the Interior's Standards for Rehabilitation of Historic Buildings, as follows: 1. Every reasonable effort shall be made to provide a compatible use for a property which requires minimal alteration of the building, structure, or site and its environment, or to use a property for its originally intended purpose. 2. The distinguishing original qualities or character of a building, structure or site and its environment shall not be destroyed. The removal or alteration of any historic material or distinctive architectural features should be avoided when possible. 3. All buildings, structures, and sites shall be recognized as products of their own time. Alterations that have no historical basis and which seek to create an earlier appearance shall be discouraged. 4. Changes which may have taken place in the course of time are evidence of the history and development of a building, structure, or site and its environment. These changes may have acquired significance in their own right, and this significance shall be recognized and respected. Distinctive stylistic features or examples of skilled craftsmanship which characterize a building, structure, or site shall be treated with sensitivity. 6. Deteriorated architectural features shall be repaired rather than replaced, whenever possible. In the event replacement is necessary, the new material should match the material being replaced in composition, design, color, texture, and other visual qualities. Repair or replacement of missing architectural features should be based on accurate duplications of features, substantiated by historic, physical, or pictorial evidence rather than on conjectural designs or the availability of different architectural elements from the other buildings or structures. 7. The surface cleaning of structures shall be undertaken with the gentlest means possible. Sandblasting and other cleaning methods that will damage the historic building materials shall not be undertaken. 8. Every reasonable effort shall be made to protect and reserve archaeological resources affected by, or adjacent to any project. 9. Contemporary design for alternations and additions to existing properties shall not be discouraged when such alterations and additions do not destroy significant historical, architectural or cultural material, an such design is compatible with -9- 25C-18 MILLS ACT AGREEMENT 225 North Broadway Santa Ana, CA 92701 size, scale, color, material and character of the property, neighborhood, or environment. 10. Wherever possible, new additions or alterations to structures shall be done in such a manner that if such additions or alterations need to be removed in the future, the essential form and integrity of the structure would be unimpaired. -10- 25C-19 MILLYACTAGREEMENT 225 N©id Broadway Saute Ana, CA 92701 -11- Exhibit C (photographs attached) 225 NORTH BROADWAY PHOTO LOCATION MAP T H R D NORTH mmm* -12- BROADWAY so.o 0) 25C-22 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2010-13 FOR THE PROPERTY LOCATED AT 602 SOUTH BROADWAY C KY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1ST Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached agreement with Armin Schwegler, property owner, for the structure located at 602 South Broadway subject to non- substantive changes approved by the City Manager and City Attorney. HISTORIC RESOURCES COMMISSION ACTION Recommended that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Armin Schwegler, property owner, for the structure located at 602 South Broadway subject to non-substantive changes approved by the City Manager and City Attorney at its August 12, 2010 meeting by a vote of 5:0 (Bustamante absent). DISCUSSION After the public hearing on August 12, 2010, the Historic Resources Commission reviewed the proposed Historic Property Preservation Agreement (Mills Act Contract) and concluded that the resulting potential property tax savings would encourage the owner to reinvest the tax savings in the maintenance of their historic property, and would benefit both the owner and the community (Exhibit A). Additionally, the agreement prevents inappropriate alterations. 25D -1 HPP Agreement No. 2010-13 September 7, 2010 Page 2 FISCAL IMPACT The Historic Property Preservation Agreement will reduce the property tax revenue to the City by an estimated $124.42 to $622.09 annually, for a period of not less than ten years. APPROVED AS TO FUNDS AND ACCOUNTS: Jay M. evino Executive Director Planning & Building Agency HS:rb Whistodc info\mills act agreementsk602_s_Broadway\hppal0-13.cc Francisco utierrez Executive Director Finance & Management Services Agency Exhibit: A. Historic Resources Commission Staff Report 25D -2 REQUEST FOR Hisbnric Resources Commission Action , "STORK RlESOURCES CONNISSION NEETM DATE: AUGUST 12, 2010 TITLE: HISTORIC PROPERTY PRESERVATION AGREEMENT NO. 2010-13 FOR THE PROPERTY LOCATED AT 602 SOUTH BROADWAY Prepared by Hally Soboleske HISTORIC RESOURCES COMMISSION SECRE WY APPROVED ? As Recommended ? As Amended ? Set Public Hearing For CONTINUED TO lG.. Gtr-Q- T Executive Director Planning Man ger RECOMMENDED ACTION Recommend that the City Council authorize the City Manager and Clerk of the Council to execute the attached agreement with Armin Schwegler, property owner, for the structure located at 602 South Broadway subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION Request of Applicant Due to a lack of quorum at the July 1, 2010 Historic Resources Commission meeting, the application has been re-scheduled for a special meeting on August 12, 2010. The applicant, Armin Schwegler, requests the approval of Historic Property Preservation Agreement No. 2010-13 (Mills Act) between the property owner and the City of Santa Ana. Property Description The subject property includes a Craftsman styled residence located at 602 South Broadway and is within the Heninger Park Neighborhood. Surrounding land uses are all residential (Exhibit 1). Analysis of the Issues In March 1999, the City Council approved an ordinance authorizing Historic Property Preservation Agreements (HPPA), commonly known as the Mills Act contracts, for eligible historic properties. The agreement provides monetary incentive to the property owner in the form of a property tax reduction in exchange to the owner's voluntary commitment to maintain the property in a good state of repair and to rehabilitate the property as necessary to maintain its character and appearance. Once recorded, the agreement triggers the use of a different valuation method in determining the property's assessed value, thereby resulting in potentially significant property tax savings for the owner. HPPA No. 2010-13 August 12, 2010 Page 2 One of the eligibility requirements for the Mills Act is that the property must be listed on the Santa Ana Register of Historical Properties. The subject property was placed on the local register as the Fipps-Fink House and categorized as Contributive in July 2010 by the Historic Resources Commission (Exhibit 2). Upon consideration of the application, it is recommended that the City enter into a Historic Property Preservation Agreement (Exhibit 3). The benefits of executing this agreement include, but are not limited to, the following: 1. Reduced property tax to allow reinvestment for the long term preservation of the property 2. Allows for a mechanism to provide for property rehabilitation. 3. Provides an additional incentive for potential buyers to purchase historic structures. 4. Discourages inappropriate alterations to the historic property. 5. Provides an opportunity for visual improvement to the physical environment of the community. 6. Offers additional support and attention for historic districts and historic structures in the City. CEQA Compliance In accordance with the California Environmental Quality Act, the recommended action is exempt from further review under General Rule Section 15061(b)(3), and therefore, the recommended action is exempt from further review. .9&4&k? Hally So leske Associate Planner HS:jm hslhistodc info\mills act agreements5602_S_Broadwaylhppa10-13.081210.hrc W 60 soli ee6 tow 610 S11 S >` 616 Ste 17 61;1 ear sao mig ale 018" Si 60 of ale 7a1 6Ja 40 718 to 6i+t 7!6 7?I +? RICHLAND ST >?S aa6 to ? 711 710 1 au tt 7ts 741 7l1 *?S et6 7!S no no 7Ja g Ira ars on 500' RADIUS H PPA-2010-13 602 South Broadway PLANNING AND BUILDING AGENCY EXHIBIT 1 EXECUTIVE SUMMARY FIPPS-FINK HOUSE 602 South Broadway Santa Ana, CA 92701 NAME Fipps-Fink House REF. NO. ADDRESS 602 South Broadway CITY Santa Ana ZIP 92701 ORANGE COUNTY YEAR BUILT 1912 LOCAL REGISTER CATEGORY: Contributive HISTORIC DISTRICT Heninger Park - NEIGHBORHOOD Heninger Park CALIFORNIA REGISTER CRITERIA FOR EVALUATION 7 3 CALIFORNIA REGISTER STATUS CODE 5S1 Location: ? Not for Publication ® Unrestricted ? Prehistoric ® Historic ? Both ARCHITECTURAL STYLE: Craftsman Bungalow Closely related to the English Arts and Crafts Movement, American Bungalow/Craftsman architecture was popularized by The Craftsman magazine and architects such as Charles and Henry Greene of Pasadena. It drew from the wood building traditions of Japan and Switzerland as well as the medieval themes favored by the Arts and Crafts philosophers. Craftsman architecture stressed honesty of form, materials, and workmanship, eschewing applied decoration in favor of the straightforward expression of structure. A new appreciation of nature was evident in horizontal lines that reached out to embrace the landscape and the incorporation of capacious porches into building plans. Primarily a residential style, Craftsman architecture can be identified by low pitched gable and hipped roofs with exposed rafters and beams in deep overhangs; wood lap or shingle siding and an occasional use of stucco; extensive use of stone or brick as a secondary material; horizontal emphasis apparent in roof lines, headers, and battered porch supports; and broadly proportioned wood framed windows, often clustered in bands. Craftsman homes were built from circa 1902 until the early 1920s (McAlester, 453-463). E'T;T_l " • . rcu'PT-- • The Fipps-Fink House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Craftsman Bungalow style. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" Santa Ana, and, as an intact example of a Craftsman bungalow in the historic Heninger Park neighborhood, "is a good example of period architecture" (Municipal Code, Section 30-2.2). EXPLANATION OF CODES: • California Register Criteria for Evaluation: (From California Office of Historic Preservation, Technical Assistance Series # 7, "How to Nominate Resources to the California Register of Historical Resources," September 4, 2001.) 3: It embodies the distinctive characteristics of a type, period, region, or method of construction, or represents the work of a master, or possesses high artistic values. • California Register Status Code: (From California Office of Historic Preservation, December 8, 2003.) 551: Individual property that is listed or designated locally. EXHIWF 2 Page 1 of 4 Stab of CoNfoanls -The Resources Agency Primary S DEPARTMENT OF PARKS AND RECREATION HRI ? PRIMARY RECORD Trinomial NRHP Status Code Other Ltetings Review Code Reviewer DOW Page 1 of .L Resource name(s) or number (assigned by recorder) fqQps-Fink Mouse P1. Other Identifier. *P2. Location: ?Not for Publication ¦Unrestricted *a. County Orange County, *b. USGS 7.5' Quad TCA2555 Dab: *c. Address 602 South Broadway City Santa Ana Zip 92701 *e. Other Locationai Data: Assessors Parcel Number 010-152-08 *133a. Description: (Describe resource and its major elements. Include design, materials, condition. allendiwe, size, setting, and boundaries.) This single-family residence is a one and a half story, rectangLOr plan, Craftsman beahgralow sheathed in narrow clapboard siding. The low pitched, side-gabled roof is trkwned by bargeboards with notched ends and features exposed rafter tails and carved knee braces in the overhanging eaves_ The eastern faring front fagade irrhndes an attached porch syppoded by Donc cokunxms, and the porch beam is punchmted with a belbcourse with detailed entablature. The cakmw sit directly on the solid porch rail dad in the same narrow depboard. Fenestration on the fagade consists of s pair of tripartite %*;dows MM fixed middle and two single hung windows straddling each, and topped with a transom window with diamond pattemed munbns. The front door is 8-paneled and simple wood. The front facig gable is also punctuated by a h a window with a fixed window in center with casement on either side. All wirndows are wood hummed with wood silts and splayed lintels. The foundation and pant porch step supports feature ant store. Alterations include the porch Booting and stapS that have been covered with slate file, as we# as the inside of the front porch step supports having been covered with stucco. The property has recently been re4 ndscWed in a sinple and appealing fashion. In spite of these changes, the house is substantially intact. *133b. Resource Attributes: (list attributes and codes) HP2. Singie-fen* Property *134. Resources Present: ¦BuildkV ?Structure ClObject 13Slte ODistrid ?Element of District ?Other None. P5b. Photo: (view and date) East eteyafian August 20, 2009 *P6. Date ConstructewAge and Sources: 01historic 1912 *P7. Owner and Address: Armin Sclwmgier 1302 S. Broadway Santa Ana. CA 92701 *P8. Recorded by. HaNy Sobole ke 20 Civic Center Plaza Santa Ana, CA 92702 *P9. Data Recorded: August 20, 2009 *P10. Survey Type: lntansive Survey Update *P11. Report Citation: (Oils survey report and otter sources, or enter `none-) *Attachments: ONone ?Location Map ?Sketch Map ¦Continuafion Sheet SiBuild ing, Structure, and Object Record ?Archaeological Record ?District Record OUnear Feature Record C]Milling Station Record ORodt Art Record ?Artifact Record ?Photograph Record ? Other (list) DPR 523A (11ft) *f>eequked infoenation Page 2 of 4 State of California--The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRi# BUILDING, STRUCTURE, AND OBJECT RECORD Page 2 of 3 *CHR Status Code 5S1 nuaourue name or jF: ripps-rmK mouse B1. Historic Name: Fipps-Fink House B2. Common Name: Same B3. Original Use: Single-family Residence B4. Present Use: Single-family Residence *135. Architectural Style: Craftsman Bungalow *86. Construction History: (Construction date, alterations, and date of alterations): Constructed 1912 March22. Alterations. June 18, 1929. Private garage. $100 February8, 1937. Reroof by Fink Bros. $190. January12, 1990. Repair flooring, drywall and cabinets., repipe house, and rewire house. January 16, 1990. Floor furnace and relocate w/h outside. February 1, 1990j. Reroof. June 1, 1990. Released meters. *87. Moved? [3No DYes ¦Unknown Date: Original Location: *88. Related Features: None. B9a. Architect: Unknown b. Builder: Unknown *1310. Significance: Theme Residential Architecture Area Santa Ana Period of Significance: Circa 1880 to 194613roperty Type: Single-family Residence Applicable Criteria: NR: C; CR. 5S1 (Discuss importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity) The Fipps-Fink House is architecturally significant as an intact and representative example of a Craftsman bungalow, built in Heninger Paris, an architecturally significant neighborhood. The first occupants were the Fipps family which included Walter Fipps, a plasterer, and his wife Viola, as well as children Charles, Ruth, Remus, Wilbur, Larue, and Thelma. The children were already grown with Charles being a driver for the Crown State line, and Remus entering the United States Army in 1918. Around that same time, Walter remarried Lydia (it is unknown if Viola died or the marriage dissolved). Walter Fipps died in 1921, and his widow, Lydia passed away in 1940. The residence was sold the same year Walter Fipps passed away. The next residents were James and Laura Alexander. James was the Assistant Postmaster for the growing city. The house then changes owners multiple times until Henry and John Fink purchased the property in 1937. The two brothers shared the home until Henry's death in 1950, and another brother Jacob moved in at that time. They lived in the house at least another 14 years. The Finks had another brother, Harry Fink, who was the Assistant Chief of Police for Santa Ana during this period. In subsequent decades, residency of the house continued to change numerous times. (See Continuation Sheet 3 of 3.) B11. Additional Resource Attributes: (List attributes and *12112. References: City of Santa Ana Building Permits Santa Ana History Room Collection, Santa Ana Public Library Sanborn Maps (See Continuation Sheet 3 of 3.) B13. Remarks: *814. Evaluator: Hally Soboleske (This space reserved for official comments.) v I If? 1 I DPR 523B (1195) :R az a a eo aV. i ? 4 M a r 010-152-08 4 SrCAMW 602 S. Broadway OOOO Y COOc - ( LAN ? I ar o I srarzr = . *Date of Evaluation: August 20, 2009 Page 3 of 4 25D -8 *Required information State of California-The Resources Agency Primary # DEPARTMENT OF PARKS AND RECREATION HRI # CONTINUATION SHEET Trinomial Page 3 of 3 Resource Name or # (Assigned by recorder) Fipps-Fink House "Recorded by Hally Soboleske 'Date August 20, 2009 ® Continuation I7 Update "1310. Significance (continued): Santa Ana was founded by William Spurgeon in 1869 as a speculative town site on part of the Spanish land grant known as Rancho Santiago de Santa Ana. The civic and commercial core of the community was centered around the intersection of Main and Fourth Streets. Stimulated by the arrival of the Santa Fe Railroad and incorporation as a city in 1886, and selection as the seat of the newly created County of Orange in 1889, the city grew outwards, with residential neighborhoods developing around the city center. Agricultural uses predominated in the outlying areas, with cultivated fields and orchards dotted with widely scattered farmhouses. Heninger Park was developed primarily between 1900 and 1930 and is one of the oldest neighborhoods in Santa Ana. Now recognized as a historic area, the neighborhood is significant primarily for its concentration of homes built in the Colonial Revival, Craftsman, and later revival styles. Brothers H. B. and Martin Heninger were responsible for developing and platting the tract upon purchasing thirty-four acres of what was known as the Palmer Tract in 1907. The Heningers planted trees, put in sidewalks and curbs, and paved the streets on what had been a barley field. Later they bought additional tracts of ten and eighteen acres which they also platted and improved. These properties were known as HeningerAdditions Numbers 1, 2, 3, and 4. In 1921, Orange County historian Samuel Armor described the Heninger tracts as " the finest residence section of the city, built up with fine homes, " adding that "Mr. (Martin) Heninger and his brother have erected 150 houses on the property" (Armor, p. 1777). The Fipps-Fink House qualifies for listing in the Santa Ana Register of Historical Properties under Criterion 1 for its exemplification of the distinguishing characteristics of the Craftsman Bungalow style. Typical features of this style illustrated by the house include its horizontal lines emphasized by the low pitched, broadly eaved roof, use of wood siding; use of structural elements as the primary source of architectural decoration; one-story height; and the prominence of the porch and its front gable in the design. Additionally, the house has been categorized as "Contributive" because it "contributes to the overall character and history" Santa Ana, and, as an intact example of a Craftsman bungalow in the historic Heninger Park neighborhood, "is a good example of period architecture." Character-defining exterior features of the Fipps-Fink House that should be preserved include, but may not be limited to, materials and finishes (clapboard, shingles); roof configuration and detailing; massing; original windows and doors and their surrounds where extant; porch configuration and detailing, and architectural details such as notched bargeboards and corbels. *812. References (continued): Harris, Cyril M. American Architecture: An Illustrated Encyclopedia. New York, WW Norton, 1998. Marsh, Diann. Santa Ana. An Illustrated History. Encinitas, Heritage Publishing, 1994. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. National Register Bulletin 16A. "How to Complete the Nadonal Register Registration Form." Washington DC: National Register Branch, National Park Service, US Dept of the Interior, 1991. Office of Historic Preservation. "Instructions for Recording Historical Resources." Sacramento: March 1995. Whiffen, Marcus. American Architecture Since 1780. Cambridge: MIT Press, 1969. Orange County Plat Maps, 1912. Santa Ana and Orange County Directories, 1910-1956. Page 4 of 4 DPR 523L 25D -9 MILLS ACT AGREEMENT 602 South Broadway Santa Ana, CA 92701 RECORDING REQUESTED BY: City of Santa Ana AND WHEN RECORDED MAIL TO: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M-30) Santa Ana, CA 92702 FREE RECORDING GOVERNMENT CODE §6103 HISTORIC PROPERTY PRESERVATION AGREEMENT This agreement ("Agreement") is made and entered into this August 2, 2010 by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the of the State of California (hereinafter referred to as "City"), and Armin Schwegler, (hereinafter referred to as "Owner"), owner of real property located at 602 South Broadway, Santa Ana, California, 92701 in the County of Orange and listed on the Santa Ana Register of Historical Properties. RECITALS A. The City Council of the City of Santa Ana is authorized by California Government Code Section 50280 et seq. (known as the "Mills Act") to enter into contracts with Owner of qualified historical properties to provide for appropriate use, maintenance, rehabilitation and restoration such that these historic properties retain their historic character and integrity. B. The Owner possess fee title in and to that certain qualified real property together with associated structures and improvements thereon, located at 602 South Broadway, Santa Ana, CA, 92701 and more particularly described in Exhibit "A," attached hereto and incorporated herein by reference, and hereinafter referred to as the "Historic Property". C. The Historic Property is officially designated on the Santa Ana Register of Historical Properties pursuant to the requirements of Chapter 30 of the Santa Ana Municipal Code. D. The City and the property Owner, for their mutual benefit, now desire to enter into this Agreement which defines and limits the use and alteration of this Historic Property in order to enhance and maintain its value as a cultural and historical resource for the Owner and for the community; to prevent inappropriate alterations to the Historic Property and to ensure that repairs, additions, new building, and other changes are appropriate; and to ensure that rehabilitation and maintenance are carried out in an exemplary manner. -1- EXHIBIT 3 -- 25D -10 MILLS ACT AGREEMENT 602 South Broadway Santa Ana, CA 92701 E. The Owner and the City intend to carry out the purposes of California Government Code, Chapter 1, Part 5 of Division 1 of Title 5, Article 12, Section 50280 et seq., which will enable the Historic Property to qualify for an assessment of valuation as a restricted historical property pursuant to Article 1.9, Sec. 439 et seq., Chapter 3 Part 2 of Division 1 of the California Tax and Revenue Code. NOW, THEREFORE, the City of Santa Ana and the Owner of the Historic Property agree as follows: 1. Effective Date and Terms of Agreement. This Agreement shall be effective and commence on August 2, 2010, and shall remain in effect for a term of ten (10) years thereafter. Each year, upon the anniversary of the effective date of this Agreement, such initial term will automatically be extended as provided in California Government Code Sections 50280 through 50290 and in Section 2, below. 2. Renewal. a. Each year on the anniversary of the effective date of this Agreement, a year shall automatically be added to the initial ten (10) year term of this Agreement unless written notice of nonrenewal is served as provided herein. b. If the Owner or the City desire(s) in any year not to renew the Agreement, the Owner or City shall serve written notice of nonrenewal of the Agreement on the other party. Unless such notice is served by the Owner to the City at least ninety (90) days prior to the annual renewal date, or served by the City to the Owner at least sixty (60) days prior to the annual renewal date, one (1) year shall automatically be added to the term of the Agreement as provided herein. C. Within 30 days from receipt of City's notice of nonrenewal, the Owner may file a written protest of City's decision of nonrenewal. The City may, at any time prior to the annual renewal date of the Agreement, withdraw its notice to the Owner of nonrenewal. d. If either the Owner or the City serves notice to the other of nonrenewal in any year, the Agreement shall remain in effect for the balance of the term then remaining, either from its original execution or from the last renewal of the Agreement, whichever may apply. 3. Standards and Conditions for Historic Property. During the term of this Agreement, the Historic Property shall be subject to the following conditions, requirements and restrictions: -2- MILLS ACT AGREEMENT 602 South Broadway Santa Ana, CA 92701 a. Owner shall maintain the Historic Property in a good state of repair and shall preserve, maintain, and, where necessary, restore or rehabilitate the property and its character- defining features, notably the general architectural form, style, materials, design, scale, proportions, organization of windows, doors, and other openings, textures, details, mass, roof line, porch and other aspects of the appearance of the exterior to the satisfaction of the City. b. All changes to the Historic Property shall comply with applicable City plans and regulations, and conform to the rules and regulations of the Office of Historic Preservation of the State of Department of Parks and Recreation, namely the U.S. Secretary of the Interior's Standards and Guidelines for Historic Preservation Projects. These guidelines are attached hereto, marked as Exhibit B, and incorporated herein by this reference. The condition of the exterior of the property, as of the effective date of this Agreement, is documented in photographs attached hereto as Exhibit B and incorporated herein by reference. Owner shall continually maintain the Historic Property in the same or better condition as documented in Exhibit C. C. A view corridor enabling the general public to see the Historic Property from the public right-of-way shall be maintained, and Owner shall not be permitted to block the view corridor to the property with any new structure, such as walls, fences or shrubbery, so as to prevent the viewing of the historic landmark by the public. d. The following are prohibited: Demolition of the Historic Property or destruction of character-defining features of the building or site; removal of trees and other major vegetation unless removal is approved by a rehabilitation plan approved by the Historic Resources Commission, paving of yard surface; exterior alterations or additions unless approved by the Historic Resources Commission and such alternations are in keeping with the Secretary of Interior's Standards; deteriorating, dilapidated or unrepaired structures such as fences, roofs, doors, walls, and windows; storage of junk, trash, debris, discarded or unused objects such as cars, appliances, or furniture; and other unsightly by decoration, structure or vegetation which is unsightly by reason of its height, condition, or inappropriate location. e. Owner shall allow reasonable periodic examination, by prior appointment, of the interior and exterior of the Historic Property by representatives of the County Assessor, the State Department of Parks and Recreation, the State Board of Equalization, and the City of Santa Ana as may be necessary to determine the Owner' compliance with the terms and provisions of this Agreement. 4. Furnishing of Information. The Owner hereby agrees to furnish the City with any and all information requested which may be necessary or advisable to determine compliance with the terms and provisions of this Agreement. -3- 25D -12 MILLS ACT AGREEMENT 602 South Broadway Santa Ana, CA 92701 5. Cancellation. a. The City, following a duly noticed public hearing by the City Council as set forth in Government Code Section 50280, et. seq., may cancel this Agreement if it determines that the Owner have breached any of the conditions of this Agreement, or have allowed the property to deteriorate to the point that it no longer meets the standards for a qualified Historic Property, or if the City determines that the Owner have failed to restore or rehabilitate the property in the manner specified in Section 3 of this Agreement. If a contract is cancelled for these reasons, the Owner shall pay a cancellation fee to the County Auditor as set forth in Government Code Section 50286. This cancellation fee shall be a percentage (currently set at twelve and one-half (12 %) percent by Government Code Section 50286) of the current fair market value of the property at the time of the cancellation, as determined by the county assessor, without regard to any restriction imposed pursuant to this Agreement. b. If the Historic Property is destroyed by earthquake, fire, flood or other natural disaster such that in the opinion of the City Building Official more than sixty (60) percent of the original fabric of the structure must be replaced, this Agreement shall be canceled because, in effect, the historic value of the structure will have been destroyed. No fee shall be imposed in the case of destruction by acts of God or natural disaster. C. If the Historic Property is acquired by eminent domain and the City Council determines that the acquisition frustrates the purpose of this Agreement, this Agreement shall be cancelled and no fee imposed, as specified in Government Code Section 50288. 6. Enforcement of Agreement. a. In lieu of and/or in addition to any provisions to cancel the Agreement as referenced herein, the City may specifically enforce, or enjoin the breach of, the terms of the Agreement. In the event of a default, under the provisions to cancel the Agreement by the Owner, the City shall give written notice to the Owner by registered or certified mail, and if such a violation is not corrected to the reasonable satisfaction of the Deputy City Manager for Development Services or designee within thirty (30) days thereafter, or if not corrected within such a reasonable time as may be required to cure the breach or default, or default cannot be cured within thirty (30) days (provided that acts to cure the breach or default may be commenced within thirty (30) days and shall thereafter be diligently pursued to completion by the Owner), then the City may, without further notice, declare a default under the terms of this Agreement and may bring any action necessary to specifically enforce the obligations of the Owner growing out of the terms of this Agreement, apply to any court, state or federal, for injunctive relief against any violation by the Owner or apply for such relief as may be appropriate. b. The City does not waive any claim of default by the Owner if the City does not enforce or cancel this Agreement. All other remedies at law or in equity which are not otherwise provided for in this Agreement or in the City's regulations governing historic properties are available to the City to pursue in the event that there is a breach of this Agreement. No waiver by -4- 25D -13 MILLS ACT AGREEMENT 602 South Broadway Santa Ana, CA 92701 the City of any breach or default under this Agreement shall be deemed to be a waiver of any other subsequent breach thereof or default hereunder. 7. Binding effect of Agreement. a. The Owner hereby subject the Historic Property, located at 602 South Broadway, Assessor Parcel Number, 010-152-08, and more particularly described in Exhibit A, in the City of Santa Ana, to the covenants reservations, and restrictions as set forth in this Agreement. b. The City and Owner hereby declare their specific intent that the covenants, reservations and restrictions as set forth herein shall be deemed covenants running with the land and shall pass to and be binding upon the Owner' successors and assigns in title or interest to the Historic Property. Every contract, deed, or other instrument hereinafter executed, covering or conveying the Historic Property or any portion thereof, shall conclusively be held to have been executed, delivered, and accepted subject to the tenants, restrictions, and reservations expressed in this Agreement regardless of whether such covenants, restrictions and reservations are set forth in such contract, deed, or other instrument. 8. No Compensation. Owner shall not receive any payment from the City in consideration of the obligation imposed under this Agreement, it being recognized that the consideration for the execution of this Agreement is the substantial public benefit to be derived therefrom and the advantage that will accrue to the Owner as a result of the effect upon the assessed value of the property on the account of the restrictions on the use and preservation of the property. 9. Notice. Any notice required by the terms of this Agreement shall be sent to the address of the respective parties as specified below or at other addresses that may be later specified by the parties hereto. City: City of Santa Ana Attn: City Clerk 20 Civic Center Plaza (M-30) Santa Ana, CA 92702 Owner: Armin Schwegler 6 Thompson Court Irvine, CA 92617 -5- MILLS ACT AGREEMENT 602 South Broadway Santa Ana, CA 92701 10. General Provisions. a. None of the terms, provisions, or conditions of this Agreement shall be deemed to create a partnership between the parties hereto and any of their heirs, successors, or assigns, nor shall such terms, provisions or conditions cause them to be considered joint ventures or members of any joint enterprise. b. The Owner agrees to and shall indemnify and hold the City and its elected and appointed officials, officers, agents, and employees harmless from liability for damage or claims for damage for personal injuries, including death, and claims for property damage which may arise from the direct or indirect use or operations of the Owner or those of his or her contractor, subcontractor, agenda, employee, or other person acting on his or her behalf which relates to the use, operation, and maintenance of the Historic Property. The Owner hereby agrees to and shall defend the City and its elected and appointed officials, officers, agents, and employees with respect to any and all actions for damages caused by, or alleged to have been caused by, reason of the Owner' activities in connection with the Historic Property. C. This hold harmless provision applies to all damages and claims for damages suffered, or alleged to have been suffered, and costs of defense incurred, by reason of the operations referred to in this Agreement regardless of whether or not the City prepared, supplied, or approved the plans, specifications or other documents for the Historic Property. d. All of the Agreements, rights, covenants, reservations, and restrictions contained in this Agreement shall be binding upon and shall inure to the benefit of the parties herein, their heirs, successors, legal representatives, assigns, and all persons acquiring any part or portion of the Historic Property, whether by operation of law on in any manner whatsoever. e. In the event legal proceedings are brought by any party or parties to enforce or restrain a violation of any of the covenants, reservations, or restrictions contained herein, or to determine the rights and duties of any party hereunder, the prevailing party in such proceeding may recover all reasonable attorney's fees to be fixed by the court, in addition to court costs and other relief ordered by the court. f. In the event that any of the provisions of this Agreement are held to be unenforceable or invalid by any court of competent jurisdiction, or by subsequent preemptive legislation, the validity and enforceability of the remaining provisions, or portions thereof, shall not be effected thereby. g. This Agreement shall be construed and governed in accordance with the laws of the State of California. -6- MILLS ACT AGREEMENT 602 South Broadway Santa Ana, CA 92701 11. Recordation. No later than twenty (20) days after the parties execute and enter into this Agreement, the City shall cause this Agreement to be recorded in the office of the County Recorder of the County of Orange. 12. Notice of the Contract to Office of Historic Preservation. No later than six (6) months of entering into the contract, the owner or agent of an owner shall provide written notice of this Agreement to the Office of Historic Preservation. 13. Amendments. This Agreement may be amended, in whole or in part, only by a written recorded instrument executed by the parties hereto. 14. Effective Date This Agreement shall be effective on the day and year first written above. 15. Signatures. ATTEST: MARIA D. HUIZAR Clerk of the Council Owner Date: CITY OF SANTA ANA DAVID N. REAM City Manager By: Armin Schwegler APPROVED AS TO FORM: JOSEPH W.FLETCHER City Attorney By: Joseph W. Fletcher City Attorney -7- 25D -16 MILLS ACT AGREEMENT 602 South Broadway Santa Ana, CA 92701 Exhibit A HENINGERS ADD LOT 2 BLK CE 87.33 FT N 76.2 FT Assessor's Parcel Number: 010-152-08 -8- 25D -17 MILLS ACT AGREEMENT 602 South Broadway Santa Ana, CA 92701 Exhibit B Exterior work shall be reviewed by the Historic Resources Commission and subject to the U.S. Secretary of the Interior's Standards for Rehabilitation of Historic Buildings, as follows: 1. Every reasonable effort shall be made to provide a compatible use for a property which requires minimal alteration of the building, structure, or site and its environment, or to use a property for its originally intended purpose. 2. The distinguishing original qualities or character of a building, structure or site and its environment shall not be destroyed. The removal or alteration of any historic material or distinctive architectural features should be avoided when possible. 3. All buildings, structures, and sites shall be recognized as products of their own time. Alterations that have no historical basis and which seek to create an earlier appearance shall be discouraged. 4. Changes which may have taken place in the course of time are evidence of the history and development of a building, structure, or site and its environment. These changes may have acquired significance in their own right, and this significance shall be recognized and respected. 5. Distinctive stylistic features or examples of skilled craftsmanship which characterize a building, structure, or site shall be treated with sensitivity. 6. Deteriorated architectural features shall be repaired rather than replaced, whenever possible. In the event replacement is necessary, the new material should match the material being replaced in composition, design, color, texture, and other visual qualities. Repair or replacement of missing architectural features should be based on accurate duplications of features, substantiated by historic, physical, or pictorial evidence rather than on conjectural designs or the availability of different architectural elements from the other buildings or structures. 7. The surface cleaning of structures shall be undertaken with the gentlest means possible. Sandblasting and other cleaning methods that will damage the historic building materials shall not be undertaken. Every reasonable effort shall be made to protect and reserve archaeological resources affected by, or adjacent to any project. 9. Contemporary design for alternations and additions to existing properties shall not be discouraged when such alterations and additions do not destroy significant historical, architectural or cultural material, an such design is compatible with -9- 25D -18 MILLSACTAGREEMENT 602 South Broadway Santa Ana, CA 92701 size, scale, color, material and character of the property, neighborhood, or environment. 10. Wherever possible, new additions or alterations to structures shall be done in such a manner that if such additions or alterations need to be removed in the future, the essential form and integrity of the structure would be unimpaired. - to- AfILL SACT AGREEMENT 602 Sowtk Broadway Santa Awn, CA 92701 Exhibit C (photographs attached) -11- 602 SOUTH BROADWAY PHOTO LOCATION MAP BROADWAY 62.5 O ' 86.2 GARAGE NORTH -12- 25D -22 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: EMPLOYEE GROUP INSURANCE RENEWALS TY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1St Reading ? Ordinance on 2"d Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the City Attorney to prepare and authorize the City Manager and Clerk of the Council to execute agreements for long term disability, medical, dental, vision, employee assistance, employee group life and accidental death and dismemberment insurance. DISCUSSION The City's employee group benefit policies, contracts and agreements are renewed annually on January 1. Currently the City provides life and accidental death & dismemberment (AD&D) coverage and long-term disability (LTD) insurance through AIG Life Insurance Company for full- time employees. AIG has agreed to renew our Accidental Death and Dismemberment insurance agreement with no increase in cost for a one year period through December 31, 2011. AIG has agreed to a rate decrease of approximately 23.1 % for Life rates and has agreed to a two-year rate guarantee for Life rates through December 31, 2012. We are currently in the second year of a two- year rate guarantee for our Long Term Disability insurance through December 31, 2011. Life Insurance Insurance Coverage Current Insurance Insurance Percent Change Rate Renewal Rate Life Insurance $0.13 per $1000 $0.10 per $1000 -23.1% Accidental Death & $0.0285 per $1000 $0.0285 per $1000 0.0% Dismemberment 25E-1 Employee Group Insurance Renewals September 7, 2010 Page 2 Long-Term Disability Group Coverage Current Insurance Insurance Percent Change Rate Renewal Rate Management $0.57 per $100 $0.57 per $100 0.0% Employees $8.78 $8.78 0.0% 130 day wait Employees $15.93 $15.93 0.0% 60 day wait Dental Plans The contracts with Delta Dental and United HealthCare are up for renewal. Delta has agreed to renew our contract for a period of two years with no rate increase. The contract with United HealthCare will not be renewed and will end on December 31, 2010. The decision not to continue the United HealthCare agreement was based on low employee participation, higher premium costs, and duplication of benefits with the City's Safeguard Plan. This will be reviewed with the City's labor groups. We are currently in the second year of a two-year contract with Safeguard Dental, and there will be no rate increase. Type of Coverage Safeguard Dental Current Rate Safeguard Dental Rate 2010 Percent Change Employee $25.28 $25.28 0.0% Employee Plus Family $43.22 $43.22 0.0% Type of Coverage Cur e l Rate Rateelt2010 a Percent Change Employee $48.39 $48.39 0.0% Employee Plus Family $119.17 $119.17 0.0% 25E-2 Employee Group Insurance Renewals September 7, 2010 Page 3 CalPERS Health Program The CalPERS basic HMO health plans will increase by 10.6% and the basic PPO health plans will increase by 8.7%. The increase reflects higher costs anticipated for hospital, medical and prescription drug use next year. The City will incur a 5.0% increase in costs because the City's contribution toward medical is tied to the Kaiser rate. The employees will pick up any increase in cost above the Kaiser rate. Plan Employee Only Employee & one Dependent Employee & two or more Dependents Blue Shield Access+ HMO $567.87 $1135.74 $1476.46 Blue Shield NetValue $488.62 $977.24 $1270.41 Kaiser $477.95 $955.90 $1242.67 PERSCare $819.18 $1638.36 $2129.87 PERSChoice $516.28 $1032.56 $1342.33 PERSSelect $451.48 $902.96 $1173.85 PORAC safet members $527.00 $987.00 $1254.00 Employee Assistance Program - REACH Employee/Associate Assistance The City is entering into the third year of a three-year rate guarantee with REACH Employee Assistance Program. This plan assists employees and their eligible dependents in handling problems that may be interfering with their performance on the job. Consultation for problems such as alcohol and drug abuse, marital and family problems are available. Retirees are not included in the annual cost estimates. In addition, the Police Officers Association is not included in the medical, dental or LTD projections and the Firemen's Benevolent Association is not included in the LTD projections, since they maintain their own insurance programs. 25E-3 Employee Group Insurance Renewals September 7, 2010 Page 4 FISCAL IMPACT The annual cost of each plan may vary depending on changes in the number of employees enrolled during the year. The projected annual costs are calculated using current enrollment as of July 2010. 2010 2011 Difference AIG Life/LTD Insurance Co. $ 229,722 $ 187,623 $ -42,099 Dental Carriers $ 608,066 $ 559,344 $ -48,722 CaIPERS Medical $ 9,569,910 $ 9,022,123 $ -547,787 REACH (EAP Provider) $ 34,410 $ 34,410 $ 0 Total Annual Cost $10,442,108 $ 9,803,500 $ -638,608 Funds in the amount of $9,803,500 are budgeted and available in the Personnel Services Employee Benefits account (account no. 08109053-64010). APPROVED AS TO FUNDS AND ACCOUNTS: Kathie Gonzalez Executive Director Personnel Services Francisco Gutierrez Executive Director Finance & Management Services Agency 25E-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: SEPTEMBER 7, 2010 TITLE: AGREEMENT WITH WILLDAN HOMELAND SOLUTIONS FOR CONTINUITY OF OPERATIONS PLANS DEVELOPMENT APPROVED ? As Recommended ? As Amended ? Ordinance on l'tReading ? Ordinance on 2"d Reading ? Implementing Resolution ? Set Public Hearing For_ CITY MANAGER RECOMMENDED ACTION CONTINUED TO FILE NUMBER Authorize the City Manager and the Clerk of Council to execute the attached agreement with Willdan Homeland Solutions, an operating division of Willdan Group, Inc., to provide development of Continuity of Operations Plans (COOP) for the remaining cities and agencies in the Urban Area not covered in the initial phase of planning in an amount not to exceed $985,000, subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION The United States Department of Homeland Security has developed the Urban Areas Security Initiative (UASI) funding program. UASI provides funds to local emergency first responders to enhance security and overall preparedness to prevent, respond to, and recover from acts of terrorism. The grant specifically provides funding for anti-terrorism equipment, planning, training, and exercises. The City of Santa Ana has fiscal responsibility for the FY09 UASI grant for the Anaheim/ Santa Ana Urban Area which encompasses the 34 jurisdictions in Orange County. In August 2008, a request for proposals (RFP) was issued for the development of Continuity of Operations Plans (COOP) and related consulting services. Eight proposals were received and evaluated for compliance with minimum requirements, overall responsiveness to the RFP, experience, references, and total project cost. Willdan Homeland Solutions met all of the listed specifications for this mandated planning. The initial phase of planning covered the cities of Santa Ana, Anaheim, Fullerton, Huntington Beach, and Irvine and was paid for by the FY07 UASI Grant. This contract will allow for the completion of COOP plans for the remaining jurisdictions in the Urban Area. It is anticipated that the current scope of services developed by the consultant will differ or expand as the consultant coordinates planning meetings that seek stakeholder input from the remaining jurisdictions in the Anaheim/Santa Ana Urban Area affected by this planning. The final determination of COOP consulting services may be adjusted in writing, and executed by the City Manager and Chief of Police, and by Willdan Homeland Solutions. 25F-1 Willdan Homeland Solutions September 7, 2010 Page 2 FISCAL IMPACT Funds are available in the FY 2009 UASI Grant Program fund account (no. 12514407-62300- 10427401186-3492). Paul M. Walters Chief of Police Police Department Exhibits: 1. Agreement APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Mgmt. Services Agency 25F-2 CONSULTANT AGREEMENT THIS AGREEMENT, made and entered into this 81h day of September, 2010 by and between WILLDAN HOMELAND SOLUTIONS, 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"), hereinafter referred to as the "Agreement". RECITALS A. City, acting through the Santa Ana Police Department in its capacity as a Core City and 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 Homeland Security, to enhance countywide emergency preparedness, hereinafter referred to as "the Grant". B. The City desires to develop Continuity of Operations Plans (COOP), collectively "COOP". C. Consultant represents that they have the necessary skills and experience to provide assistance in developing COOP Plans. D. Consultant has submitted a Proposal which identifies the scope, tasks and general time lines for providing the services and the costs thereof. D. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows; 1. SCOPE OF SERVICES Consultant shall provide COOP planning, training, and exercise service to 25 cities in the Anaheim/Santa Ana Urban Area and the police departments of the University of California, Irvine, California State University, Fullerton, and the Santa Ana Unified School Police District Police Department in accordance with Consultant's Proposal, attached hereto as Exhibit A, and incorporated herein by reference. All services required hereunder shall conform in all respects to standards for such COOP development issued by the U.S. Department of Homeland Security. The parties anticipate that additional planning meetings, training and exercises will be planned and executed during the term of this Agreement. The City Manager and Chief of Police for the City of Santa Ana are hereby authorized to approve such additional meetings, training and exercises, in writing, as they determine will fulfill the objectives of the Grant. Page 1 of 11 25F-3 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit A. The total sum to be expended under this Agreement shall not exceed $985,000 during the tern of this Agreement. b. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing the completion of milestones as set forth in Exhibit A, subject to City accounting procedures. Payment need not be made for work that fails to meet the standards of performance- set forth in the Recitals that may reasonably be expected by City. 3. USE AND OWNERSHIP OF DOCUWI?IENTS It is understood by and agreed to between the parties that all documents, outlines, materials distributed during classes, and any other written papers or materials prepared for the presentations hereunder, paid for with Grant funds, or composed utilizing information provided by Santa Ana, shall be the property of Santa Ana and shall be delivered to Santa Ana upon completion of the services hereunder. Santa Ana shall grant Consultant a license to utilize such property for its own business purposes so long as such use is not contrary to the interests of Santa Ana. 4. TERM This Agreement shall commence on the date first written above and terminate on satisfactory completion of all training and exercises and submission of required evaluation and After Action Reports to the City, which the parties agree should be substantially complete on or before March 31, 2012. 5. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: Page 2 of 11 25F-4 a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, agents, volunteers, and employees as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting there from and damage to property, resulting fi•om any covered act or occurrence arising out of Consultant's operations in the performance of this Agreement. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting there from, and property damage, in the total amount of $1,000,000 per occurrence. Consultant shall supply City with a fully executed additional insured endorsement to be approved in form by the City Attorney. b. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. c. Professional Liability Insurance. If Consultant is or employs a licensed professional such as an architect or engineer, Consultant shall provide professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim and not less than $2,000,000 annual aggregate. d. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled without thirty (30) days prior written notice to the City and ten (10) days notice if cancellation is due to non-payment of premium. e. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to fiirnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not effect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 7. L 1DEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability for personal injury, Page 3 of 11 25F-5 damages, just compensation, restitution, judicial or equitable relief arising out of claims from personal injury, including health, and claims for property damage, which may arise from the direct or indirect operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in Section 1 of this Agreement, to the extent the same are due to their negligence or other wrongful conduct. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in Inasmuch as measures to prevent or mitigate the effect of any act of terrorism are unique to the act, and the actions that may be taken in controlling, preventing or suppressing acts of terrorism are unique to the act, Consultant is not responsible to City for designing or advising on or otherwise taking measures to prevent or mitigate the effect of any act of terrorism or any action which may be taken in controlling, preventing, suppressing or in any way relating to an act of terrorism 8. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either parry 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 Page 4 of 11 25F-6 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 and 60 Civic Center Plaza P.O. Box 1981 (M-97) Santa Ana, California 92702 Facsimile (714) 245-8098 Attn: Enrique Esparza ivision City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 Facsimile (714) 647-6515 To Consultant: Jim Bailey Willdan Homeland Solutions 2401 East Katella Avenue, Suite 220 Anaheim, California 92806 Facsimile (714) 940-4930 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transnutted 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 Page 5 of 11 25F-7 instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, 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-tr-ansfer-delegate,-or-subeontraet any-interest=herein tivithout the-pr-ior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 13. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work that fails to meet the standard of performance specified in the Recitals of this Agreement. 14. DISCR MI IATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 15. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. Page 6 of 11 25F-8 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. Audit Records - With respect to all matters covered by this Agreement all records shall be made available for audit and inspection by the City, the grant agency and/or their duly authorized representatives for a period of three (3) years fiom the termination of this Agreement. For a period of three years after final delivery hereunder or until all claims related to this Agreement are finally settled, whichever is later, Consultant 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, Consultant shall make said documents, papers and records available to City and the agency from which City received grant fiords or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or off the premises of Consultant, upon request during usual working hours. b. Consultant 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. C. 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 Consultant 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. d. Americans with Disabilities Act of 1990 - (ADA) Consultant must comply with all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable. e. 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. Civil Rights Compliance and Notification of Findings - Consultant will comply, and all its contractors (or subrecipients) will comply, with the nondiscrimination requirements of the Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42 USC 3789 (d), or Page 7 of 11 25F-9 Victims of Crime Act (as appropriate); Title VI of the Civil Rights At of 1964, as amended; Section 504 of the Rehabilitation Act of 1964, as amended; Subtitle A, Title Il of the Americans with Disabilities Act (ADA) (1990); Title IX of the Education Amendments of 1972; the Age Discrimination Act of 1975; 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 Consultant 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 Consultant will forward a copy of the findings to the City which will, in turn, submit the findings to the Office of Civil Rights, Office of Justice Programs, U.S. 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. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. CITY OF SANTA ANA, a municipal Corporation of the State of California ATTEST: Maria Huizar Cleric of the Council APPROVED AS TO FORM: JOSEPH W. FLETCHER City Attorney By: Ryan Hodge Deputy City Attorney DAVID N. REAM City Manager WILLDAN HOMELAND SOLUTIONS JIM BAILEY Vice President Tax ID# Page 8 of 11 25F-10 Exhibit Willdan is committed to providing the participating 25 Urban Area cities and the police departments of University of California, Irvine, California State University, Fullerton, and the Santa Ana Unified School District Police Department (heretofore referred to collectively as School Police Departments) supported under the Continuity of Operations Plan (COOP) project with the same outstanding level of practical, responsive, and forward -looking support the Analreim/Santa Ana Urban Area has received in the past. Supporting Willdan on the COOP project is SRA International who brings local COOP planning experience proven and refined on projects The Willdan team will provide the following COOP planning, training, and exercise services to 25 Urban Area cities and School Police Departments (SPD) during the period of performance ending March, 2012: A. Phase I- Planning. The planning phase of this project will be conducted over the entire period of performance and is subdivided into 5 events or milestones. 1. Initial Planning Meeting. The purpose of the initial planning meeting will be to introduce the members of the Willdan team, review the approach and timeline, and discuss project roles and responsibilities. Members of the Willdan Team and the jurisdictional Stakeholder Project Managers will participate in this meeting. The outcome of this meeting will be an agreement between the Willdan Team and Stakeholder Project Managers on the approach and timeline of the project. The Willdan project manager will facilitate this meeting and his staff will coordinate the invite and track the RSVP's. Willdan will provide all of the planning materials for these meetings. 2. Kick Off Meeting. Each of the twenty-five cities and SPD's will participate in a project kick off meeting. The purpose of the meeting will be to provide a larger audience, comprised of city department heads and planners, with a project overview/approach, COOP overview, project requirements, and planning team roles and responsibilities. These meetings will produce comprehensive project understanding among the planning participants at multiple levels. Willdan will coordinate and facilitate these meetings and provide all of the required reference materials. 3. Departmental Meetings. Willdan will coordinate and facilitate a series of planning meetings to develop each city and SPD departmental COOP. We anticipate that approximately three planning meetings will be required for each city department. Moreover, each city will require one jurisdictional planning meeting to develop the overarching city COOP for each jurisdiction. Willdan, working in concert with each jurisdictional stakeholder project manager, will coordinate, facilitate, and provide the materials for each of these planning meetings. The data gathered by Willdan will be entered into the draft plan by Willdan personnel and provided back to each Page 9 of 49 25F-11 department for review. Additionally, Willdan will provide a single point of contact for each jurisdiction through which they may receive planning'related information throughout the planning phase. 4. Mid- Project Review. Willdan will coordinate, facilitate, and conduct a mid-project review during the planning phase. The purpose of this meeting will be to review the project's progress, identify areas for improvement, and provide each stakeholder project manager with a status of their jurisdictional plans. Willdan will be responsible for providing all required planning materials in support of this planning event. 5. Draft jurisdictional COOP plans delivered for review. Willdan will draft 25 jurisaictnonai ana three alit UUUY plans for review in accordance with the guidance provided in FEMA Preparedness Circular- 65. The jurisdictional plans will include each city's departmental COOP and an overarching city COOP. Each stakeholder project manager will be afforded 14 days to review their respective plan and provide changes/comments back to Willdan. Willdan will be responsible for providing the personnel and materials necessary for each COOP development. Total Cost Phase I: $605,845.00 B. Phase II- Training. The training phase of this project will be conducted over several months and is subdivided into 3 events or milestones. 1. Tailor Traininjz Materials. Willdan will develop the training materials required to deliver a three to four hour training session for each jurisdiction for a total of twenty-four training deliveries. Materials developed will include instructor and student manuals, multimedia PowerPoint presentations, and participant evaluation forms. Each student will receive a student manual for their use during the course and follow on reference. 2. Stakeholder Project Manager's Meetings. Willdan will provide the training materials for stakeholder project manager review prior to delivering the training sessions. Willdan training staff and members from the planning team will review the materials produced and seek approval for those materials prior to training delivery. Stakeholder project managers will ensure the training is focused and meets the jurisdiction's requirements. Feedback from the project managers will be provided to Willdan for incorporation into final documents. 3. Conduct Training Sessions. Willdan will conduct 24 training sessions. Willdan will provide student manuals for each participating student, and the staff required to deliver each training session. Willdan will develop and deliver training session invitations and track the RSVP's for each session. Participant registration support and light refreshments will also be provided by Willdan staff Willdan will provide a copy of the participant registration form to each stakeholder project manager upon training completion. Total Cost Phase II: $68,983.00 Page 10 of 11 25F-12 C. Phase III- Tabletop Exercises. The exercise phase of this project will be conducted over several months and will include the standard planning events required by the U.S. Department of Homeland Security, Homeland Security Exercise and Evaluation Program (HSEEP). Conduct Tabletop Exercises. Willdan will design, develop, and deliver 24 tabletop exercises in accordance with the guidance and direction provided by HSEEP doctrine. Each exercise will be three to four hours in length and will be conducted in a hybrid full plenum/breakout group format. Willdan will provide the facilitators and staff to conduct the exercise, as well as, the materials (Situation Manuals, badges, participant evaluation forms, etc.) required to support the exercises. The jurisdiction's COOP. exercises win ne incorporated into Total Cost Phase III: $248,064.00 D. Phase IV- COOP finalization. The training phase of this project will be conducted over several months and is subdivided into 3 events or milestones. I. Incorporate Suggested TTX changes. The Willdan team will incorporate the changes gathered during the tabletop exercises into the draft COOPs. These changes will represent the final modifications to the plans prior to submission to the stakeholder project managers. 2. Deliver Draft Plans with Changes. Willdan will deliver a final plan to each jurisdiction. Each jurisdiction will receive three hard copy plans in 3-ring binders and two electronic copies of plans on CD ROM. Moreover, Willdan will provide electronic copies of all training and exercise materials as well. 3. Conduct Final Planning Meetin . Willdan will coordinate and facilitate a final planning meeting with each jurisdiction to review completion and quality of deliverables. Total Cost Phase IV: $58,123.00 Total Project Cost: $981,015.00 Page 11 of 11 25F-13 25F-14 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: SEPTEMBER 7, 2010 TITLE: AGREEMENT WITH WILLDAN HOMELAND SOLUTIONS FOR TRAINING AND EXERCISE SERVICES APPROVED ? As Recommended ? As Amended ? Ordinance on ls`Reading ? Ordinance on 2ndReading ? Implementing Resolution ? Set Public Hearing For_ CITY MANAGER RECOMMENDED ACTION CONTINUED TO FILE NUMBER Authorize the City Manager and the Clerk of Council to execute the attached agreement with Willdan Homeland Solutions, an operating division of Willdan Group, Inc., to provide training and exercise services in an amount not to exceed $900,000, subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION The United States Department of Homeland Security has developed the Urban Areas Security Initiative (UASI) funding program. UASI provides funds to local emergency first responders to enhance security and overall preparedness to prevent, respond to, and recover from acts of terrorism. The grant specifically provides funding for anti-terrorism equipment, planning, training, and exercises. The City of Santa Ana has fiscal responsibility for the FY09 UASI Grant Program for the Anaheim/ Santa Ana Urban Area which encompasses the 34 jurisdictions in Orange County. In April 2010, a request for proposals (RFP) was issued to identify a suitable vendor to support the Homeland Security Training and Exercise Program of the Anaheim/Santa Ana Urban Area. Several proposals were received and evaluated for compliance with minimum requirements, overall responsiveness to the RFP, experience, references, and total project cost. Wilidan Homeland Solutions met all of the listed specifications for RFP. It is anticipated that the current scope of services developed by the consultant will differ or expand as the consultant coordinates planning meetings that seek stakeholder input from the remaining jurisdictions in the Anaheim/Santa Ana Urban Area affected by this planning. The final determination of Training and Exercise services may be adjusted in writing, and executed by the City Manager and Chief of Police, and by Willdan Homeland Solutions. 25G-1 Wllldan Homeland Solutions September 7, 2010 Page 2 FISCAL IMPACT Funds are available in the FY 2009 UASI Grant Program fund account (no. 12514407-62300- 10427701183-3492). 6L?J, Paul M. Walters Chief of Police Police Department Exhibits: 1. Agreement APPROVED AS TO FUNDS AND ACCOUNTS: '?- Lf,-M S? , *S?.j -k? ?\- , ?a , - g Francisco Gutierrez Executive Director Finance & Mgmt. Services Agency 25G-2 CONSULTANT AUREEMEN THIS AGREEMENT, made and entered into this 8th day of September, 2010 by and between WILLDAN HOMELAND SOLUTIONS, a California corporation (hereinafter "Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City"). RECITALS A. 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 FY09 Urban Areas federal Department of Homeland Security and through the State of California, Emergency Management Agency, to enhance countywide emergency preparedness, hereinafter referred to as "the Grant". B. The City desires to conduct a Homeland Security Training and Exercise Program, collectively "Training and Exercises". C. Consultant represents that they have the necessary skills and experience to provide assistance in designing, planning and conducting the Training and Exercises. D. Consultant has submitted a Proposal which identifies the scope, tasks and general time lines for providing the services and the costs thereof. D. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall design, plan and conduct Training and Exercises for the Anaheim/ Santa Ana Urban Area, in accordance with Consultant's Proposal, attached hereto as Exhibit A, and incorporated herein by reference. All services required hereunder shall conform in all respects to standards for such Training and Exercises issued by the U.S. Department of Homeland Security. The Parties anticipate that the exercises developed by Consultant as a result of the Training and Exercise Planning Workshop may differ from or expand the training and exercises anticipated at this time. The final determination of workshops and training/exercises provided pursuant to this Agreement may be adjusted, in writing executed by the City Manager and Chief of Police, for City, and by Consultant. The parties anticipate that additional training and exercises will be planned and executed during the term of this Agreement. The City Manager and Chief of Police for the City of Santa Ana are hereby authorized to approve such additional training and exercises, in writing, as they determine will fulfill the objectives of the Grant. Page t of 8 25G-3 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit A. The total sum to be expended under this Agreement shall not exceed $900,000 during the terns of this Agreement. b. Payment by City shalt be made within thirty (30) days following receipt of proper invoice evidencing the completion of milestones as set forth in Exhibit A, subject to City accounting procedures. Payment need not be made for work that fails to meet the standards of performance set forth in the Recitals that may reasonably be expected by City. 3. USE AND OWNERSHIP OF DOCUMENTS It is understood by and agreed to between the parties that all documents, outlines, materials distributed during classes, and any other written papers or materials prepared for the presentations hereunder, paid for with Grant hinds, or composed utilizing information provided by Santa Ana, shall be the property of Santa Ana and shall be delivered to Santa Ana upon completion of the services hereunder. Santa Ana shall grant Consultant a license to utilize such property for its own business purposes so long as such use is not contrary to the interests of Santa Ana. 4. TERM This Agreement shall commence on the date first written above and terminate on satisfactory completion of all training and exercises and submission of required evaluation and After Action Reports to the City, which the parties agree should be substantially complete on or before September 30, 2012. 5. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. INSURANCE Prior to undertaking performance of work tinder this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, agents, volunteers, and employees as Page 2 of 8 25G-4 additional insured(s) and shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting there from and damage to property, resulting from any covered act or occurrence arising out of Consultant's operations in the performance of this Agreement. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting there from, and property damage, in the total amount of $1,000,000 per occurrence. Consultant shall supply City with a fully executed additional insured endorsement to be approved in form by the City Attorney. of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. c. Professional Liability Insurance. If Consultant is or employs a licensed professional such as an architect or engineer, Consultant shall provide professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim and not less than $2,000,000 annual aggregate, d. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in frill force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled without thirty (30) days prior written notice to the City and ten (10) days notice if cancellation is due to non-payment of premium. e. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. 7. WDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims from personal injury, including health, and claims for property damage, which may arise from the direct or indirect operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in Section 1 of this Agreement, to the extent the same are due to their negligence or other wrongful conduct. The Page 3 of 8 25G-5 Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. Inasmuch as measures to prevent or mitigate the effect of any act of terrorism are unique to the act, and the actions that may be taken in controlling, preventing or suppressing acts of terrorism are unique to the act, Consultant is not responsible to City for designing or advising on or otherwise taking measures to prevent or mitigate the effect of any act of terrorism or any action which may be taken in controlling, preventing, suppressing or in anyway relating to an act of 8. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 9. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 10. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or 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 Page 4 of 8 25G-6 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 Telefacsimile (714) 245-8745 Attn: Enrique Esparza and City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, California 92702 Telefacsimile (714) 647-6515 To Consultant: Jim Bailey Willdan Homeland Solutions 2401 East Katella Avenue, Suite 220 Anaheim, California 92806 telefacsimile (714) 940-4930 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 terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, that terms and conditions hereof, shall not bind or obligate Consultant nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party which are not embodied herein. Page 5 of 8 25G-7 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 mill and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 13. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work that fails to meet the standard of performance specified in the Recitals of this Agreement. 14. DISCREMIi IATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recnnitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 15. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 16. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ma 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. Page 6 of 8 25G-8 17. CONSULTANT CERTIFICATIONS a. Audit Records - With respect to all matters covered by this agreement all records shall be made available for audit and inspection by the City, the grant agency and/or their duly authorized representatives for a period of three (3) years from the termination of this Agreement. For a period of three years after final delivery hereunder or until all claims related to this Agreement are finally settled, whichever is later, Consultant 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, Consultant shall make said documents, papers and records available to City and the agency from which City received grant funds or their duly authorized representative(s), for examination, co-ovina, or mechanical reproduction on or off the premises of Consultant, upon request during usual working hours. b. Consultant 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. C. Section 504 of the Rehabilitation Act of 1973 Handicapped) - All recipients of federal hinds must comply with Section 504 of the Rehabilitation Act of 1973 (The Act). Therefore, the federal hinds 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 Consultant 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. d. Americans with Disabilities Act of 1990 - (ADA) Consultant must comply with all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable. C. 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". £. Civil Rights Compliance and Notification of Findings - Consultant will comply, and all its contractors (or subrecipients) will comply, with the nondiscrimination requirements of the Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42 USC 3789 (d), or Victims of Crime Act (as appropriate); Title VI of the Civil Rights At of 1964, as amended; Section 504 of the Rehabilitation Act of 1964, as amended; Subtitle A, Title II of the Americans with Disabilities Act (ADA) (1990); Title IX of the Education Amendments of 1972; the Age Discrimination Act of 1975; 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 Consultant 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 Rinds, the Consultant will forward a copy of the findings to the City which will, in turn, submit the findings to the Office of Civil Rights, Office of Justice Programs, U.S. Page 7 of 8 25G-9 Department of Justice. 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.-Al.l-Exhi.bits-referenced-herein-and-attached-liereto-shall-be-incorporated-as-i-f-fu forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. CITY OF SANTA ANA, a municipal Corporation of the State of California ATTEST: Maria Huizar Clerk of the Council APPROVED AS TO FORM: JOSEPH W.FLETCHER City Attorney By: Ryan Hodge Deputy City Attorney DAVID N. REAM City Manager WILLDAN HOMELAND SOLUTIONS JIM BAILEY Vice President Tax ID# Page 8 of 8 25G-10 Exhibit'A The Willdan team will provide the following services in support of the Anaheim/Santa Ana Urban Area Training and Exercise Program during Year 1 of the Program (September, 2010 - September, 2011): A. Training & Exercise Planning Workshop (TEPW). The TEPW is a strategy session that will solicit input from all stakeholders and draft/update the Five- Year Training and Exercise schedule. The goal of the o n e d a y, 8-hour workshop will be to coordinate training and exercises among U AS I partners, thereby avoiding duplication and pooling resources, and will help lay the groundwork for many of the activities that take place in Year 1 and beyond. Data collected during the workshop will be used to update the ASAUA 5-Year Training and Exercise Plan. The TEPW will include 50 participants drawn from all stakeholders. Willdan will be responsible for logistical considerations during the TEPW. , including exercise materials (badges, signage, and handouts) and providing a facilitator and adequate support staff. Cost: $7,836.00 B. Cal State University Fullerton (CSUF) Active Shooter Drill. This drill will be used to test CSU Fullerton and the surrounding Law Enforcement agencies ability to respond to an active shooter incident on campus. This one day, 8 hour drill will include 120 participants. Willdan will provide support for the CSUF Active Shooter Drill through the following: 1. Coordinate and facilitate three planning meetings, and submit planning meeting summaries to the exercise design team. 2. Develop a baseline scenario for use during the drill. 3. Develop and reproduce 10 copies of the exercise plan (EXPLAN) for the drill. 4. Develop and reproduce 75 copies of the exercise Participant Guides/Player Handouts. 5. Develop and reproduce 50 copies of the exercise Volunteer Guides/Handouts. 6. Develop and reproduce 10 copies of an exercise Controller/Evaluator (C/E) Manual, including evaluation criteria. 7. Provide assistance in the development, acquisition, and/or coordination of all props, Moulage, etc. 8. Coordinate food for the exercise, as required. 9. Provide 8 exercise controllers for a 1-day period. The controllers will assist with exercise administration and control, and will lead the hot wash debrief session(s) at the conclusion of the exercise. WFREW" ASAUA HSEEP Year 1 Page 1 25G-11 10, Provide 8 vests to identify exercise controllers, 8 vests to identify exercise evaluators, and up to 100 badges to identify exercise participants, evaluators, controllers, and observers. 11. Assist with controller and evaluator training by providing a Controller/Evaluator Briefing describing the roles and responsibilities of exercise evaluation. 12. Debrief and record notes from the exercise controllers and evaluators prior to exercise completion. 13, and submit a draft AAR within 45 days of exercise coi R will be delivered to CSUF and ASAUA no later than after exercise completion. 14. Prepare 5 hard copies and 1 CD-ROM copy of the report and submit to CSUF. 15. Prepare all documents in accordance with HSEEP standards. Cost: $62,000.04 C. Mass Casualty Full Scale Exercise (FSE). This one day, 8 hour full scale exercise, to be delivered once in Year 1, will support the Joint Commission requirement for hospitals within Orange County to conduct two full-scale exercises per year, with one of the two exercises focused on a mass casualty scenario. This event will include 300 participants. Willdan will provide health, medical and exercise subject matter experts to support Orange County Hospitals in meeting this requirement by completion of the following items: 1. Coordinate and facilitate three planning meetings, and submit planning meeting summaries to the exercise design team. 2. Coordinate and facilitate two Master Scenario Events List (MSEL) conference meetings. 3. Develop a baseline scenario for use during the exercise. 4. Develop and reproduce 20 copies of the exercise plan (EXPLAN) for the drill. 5. Develop and reproduce 20 copies of an exercise Controller/Evaluator (CIE) Manual, including evaluation criteria. 6. Produce a MSEL to support 8 hours of Full Scale Exercise play. 7. Develop and reproduce 300 copies of the exercise Participant Guides/Player Handouts. 8. Develop and reproduce 100 copies of the exercise Volunteer Guides/Handouts. ASAUA HSEEP Year 1 Page 2 25G-12 9. Provide 8 exercise controllers for a 1-day period. The controllers will assist with exercise administration and control, and will lead the hot wash debrief session(s) at the conclusion of the exercise. 10. Coordinate the development and participation of a Simulation Cell (SIMCELL) if required. 11. Provide controller/evaluator and SIMCELL training describing the roles and responsibilities of exercise controllers, evaluators, and/or simulators. Prepare and submit a draft AAR within 45 d Final AAR will be delivered no later than 60 completion. 13. Provide 8 vests to identify exercise controllers, 8 vests to identify exercise evaluators, and up to 350 badges to identify exercise participants, evaluators, controllers, and observers. 14. Assist with controller and evaluator training by providing a Controller/Evaluator Briefing. 15. Debrief and record notes from the exercise controllers and evaluators prior to exercise completion. 16. Prepare 10 hard copies and 2 CD-ROM copies of the report. 17. Prepare all documents in accordance with HSEEP standards. of exercise completion. Cost: $67,981.00 D. Joint Hazard Assessment Team (JHAT) Drill. This drill will be used to evaluate the planning, training, and equipment acquisitions of the Orange County Joint Hazard Assessment Team. The drill will take place over 8 hours on one day, and will include 120 participants. Willdan will provide support for this drill through completion of the following items: 1. Coordinate and facilitate three planning meetings, and submit planning meeting summaries to the exercise design team. 2. Develop a baseline scenario for use during the drill. 3. Develop and reproduce 20 copies of the exercise plan (EXPLAN) for the drill. 4. Develop and reproduce 120 copies of the exercise Participant Guides/Player Handouts. 5. Develop and reproduce 50 copies of the exercise Volunteer Guides/Handouts. 6. Develop and reproduce 20 copies of an exercise Controller/Evaluator (C/E) Manual, including evaluation criteria. ASAUA HSEEP Year 1 Page 3 25G-13 7. Provide 8 exercise controllers for a 1-day period. The controllers will assist with exercise administration and control, and will lead the hot wash debrief session(s) at the conclusion of the exercise. 8. Provide 8 vests to identify exercise controllers, 8 vests to identify exercise evaluators, and up to 150 badges to identify exercise participants, evaluators, controllers, and observers. 9. Assist with controller and evaluator training by providing a Controller/Evaluator Briefing describing the roles and responsibilities of exercise evaluation. 10. Debrief and record notes from the exercise controllers and evaluators prior to exercise completion. 11. Prepare and submit a draft AAR within 45 days of exercise completion. Final AAR will be delivered no later than 60 days after exercise completion. 12. Prepare 10 hard copies and 2 CD-ROM copies of the report and submit to ASAUA. 13. Prepare all documents in accordance with HSEEP standards. Cost: $77,976.00 E. Critical Infrastructure/Key Resources (CI/KR) Tabletop Exercise (TTX). This event is a discussion based exercise. Willdan facilitators will guide participants through a scenario with accompanying discussion questions focused on testing and validating the plans, policies, procedures, and equipment used to respond to a terrorist attack on a CI/KR site within the ASAUA. This 6-hour, one day event will be delivered once and will include 75 participants drawn from ASAUA stakeholders. Willdan will provide all supporting materials, such as documents, facilitators, audio/visual equipment, etc. Support for the Cl/KR TTX will be accomplished through the following: 1. Coordinate and facilitate up to 3 exercise planning meetings for the tabletop.(TTX) exercise 2. Provide a TTX invitation letter, and track RSVPs 3. Produce exercise participant badges, table tents, and conduct exercise registration 4. Develop and reproduce copies of TTX SITMAN in sufficient numbers for the exercise, but not to exceed 75 copies. 5. Provide and coordinate an appropriate number of facilitators to the TTX 6. Produce an AAR within 45 days of the exercise completion 7. Provide 5 hard copies and 1 CD-ROM copy of each report and submit to the ASAUA Grants Manager ASAUA HSEEP Year.1 Page 4 25G-14 8. Prepare all documents in accordance with HSEEP standards. F. Cost: $32,971.00 Orange County Intelligence Assessment Center Full Scale Exercise (FSE). This FSE will test information sharing capabilities within the urban area, and seek to evaluate the Orange County Intelligence Assessment Center's ability to analyze terrorist threat information and disseminate threat indications and warnings to the OAEOC and other aaencies. This event will be a terrorism prevention exercise; Willdan exercise planners and subject matter experts will utilize doctrine, policy, and tools from the US Department of Homeland Security's Terrorism Prevention Exercise Program (TPEP). This exercise will be delivered once, will be conducted over 5 days, and will include 100 participants. Support for the Orange County Intelligence Assessment Center FSE will be accomplished through the following: 1. Coordinate and facilitate three planning meetings, and submit planning meeting summaries to the exercise design team. 2. Develop a baseline scenario for use during the drill. 3. Coordinate and facilitate two Master Scenario Events List (MSEL) conference meetings. 4. Develop and reproduce 20 copies of the exercise plan (EXPLAN) for the drill. 5. Develop and reproduce 100 copies of the exercise Participant Guides/Player Handouts. 6. Develop and reproduce 20 copies of the exercise Red Team Manual. 7. Develop and reproduce 20 copies of an exercise Controller/Evaluator (CIE) Manual, including evaluation criteria. 8. Produce a MSEL to support 5 days of Exercise play. 9. Coordinate the development and participation of a Simulation Cell (SIMCELL). 10. Provide controller/evaluator and SIMCELL training describing the roles and responsibilities of exercise controllers, evaluators, and/or simulators. 11. Provide 10 exercise controllers for a 5-day period. The controllers will assist with exercise administration and control, and will lead the hot wash debrief session(s) at the conclusion of the exercise. 12. Provide 10 vests to identify exercise controllers, 10 vests to identify exercise evaluators, and up to 150 badges to identify exercise participants, evaluators, controllers, and observers. 13. Assist with controller and evaluator training by providing a Controller/Evaluator Briefing describing the roles and responsibilities of exercise evaluation. ASAUA HSEEP Year 1 Page 5 25G-15 14. Debrief and record notes from the exercise controllers and evaluators prior to exercise completion. 15. Prepare and submit a draft AAR within 45 days of exercise completion. Final AAR will be delivered no later than 60 days after exercise completion. 16. Prepare 10 hard copies and 2 CD-ROM copies of the report and submit to ASAUA. 17. Prepare all documents in accordance with HSEEP & TPEP standards. Cost: $122,936.00 G. Basic EOC Training Course. The Basic Emergency Operations Center (EOC) Training Course, approved through P.O.S.T. and the California Office of Homeland Security, provides participants with the necessary instruction to function in local government EOCs using the NIMS/SEMS procedures and guidelines. During this 24-hour course, Willdan Instructors will cover the following subjects: 1. The essential elements related to an EOC and how the local EOC coordinates with the regional, state and federal entities. 2. The principles associated with disaster management, role of the EOC and goals of emergency/disaster management. 3. Principles for an effective EOC operation. 4. Multi-Agency Coordination System principles of NIMS and the application to an EOC. 5. The functions, responsibilities and procedures for EOCs including activation, operations and demobilization. Willdan will supply the course materials, instructor(s), and miscellaneous items (badges, name tents, signage), as well as coordinating other logistical requirements. This course can accommodate up to 40 students. One (1) course delivery is planned for the Urban Area in Year 1. Cost: $18,061.00 H. Section Specific Emergency Operations Center (EOC) Training Course. This two and a half-day, 20 hour course is designed to prepare students to function within their respective local government EOC sections, and builds upon the knowledge gained during the Basic EOC training courses. The course will provide participants with section/position specific EOC training that will highlight the individual positional and sectional roles and responsibilities within an activated EOC and will teach participants how to work as an EOC team. The Operations and Planning Sections are paired for instruction on day 1. The Logistics and Finance ASAUA HSEEP Year 1 Page 6 25G-16 Sections receive instruction on day 2. Day 3 finds the Management Section and Section Chiefs together for instruction. Highlighted topics of instruction include: 1. Review of SEMS/NIMS/ICS 2. Review of the role of the EOC 3. Internal, external, and WebEOC communications 4. EOC Action Planning and Action Plan Development 5. Effective and Efficient Resource Management Public-Information-and-the Joint-Informati 7. EOC Position Roles and Responsibilities This course can accommodate up to 40 students per delivery. This course will be delivered two (2) times in Year 1. Willdan will supply the course materials, instructor(s), and miscellaneous items (badges, name tents, signage), as well as coordinating other logistical requirements. Cost: $36,122.00 Public Information Officer Course. Willdan will offer one (1), 16-hour public information officer courses that will provide up to 40 students with the training and resources they need to effectively interface with the media while serving as a public information officer. The students will learn the basics of working effectively and positively with the news media. Students will understand the laws relating to media access and release of information; learn to effectively communicate messages in a natural and effective manner; learn to control the image of the organization in a positive light; learn to effectively deal with crisis communications & management; learn to realistically convey information meeting the ICS/ NIMS/SEMS guidelines. Specific topics include: 1. Perceptions 2. Knowing and understanding the media 3. Bias in the media 4. Image 5. The Public Information Officer 6. Media laws and access 7. Crisis coordination and communications 8. Delivering the message: interviews 9. Press releases 10. Press conferences ASAUA HSEEP Year 1 Page 7 25G-17 11. Dealing with high profile incidents/people 12. Incident Command System/NIMS/SEMS/JIS/JIC Willdan will provide two instructors, 40 student manuals and audio/visual equipment necessary to conduct the class. Willdan requests the use of a Santa Ana PD classroom to conduct the class. This course can accommodate up to 40 students and will be delivered once. Cost: $14,090.00 J. HazSWAT: Training for Law Enforcement Tactical Operators. This course is compliant with national standards and federal regulations. Willdan will provide instructors, coordinate all logistical requirements, and provide all course materials. This course is 40 hours in length and can support up to 20 participants. Cost: These courses will be delivered upon request at a price to be determined. K. Emergency Response to Explosive Events: Specialist course for Hazardous Device Technicians. This training course is intended to prepare certified hazardous device technicians directed at CBRNE IED devices. The course utilized advanced digital x-ray, render safe procedures and disruption of over 50 devices. Willdan will provide instructors, coordinate logistical requirements and provide all course materials. This course is 40 hours in length and can support up to 20 participants. Cost: These courses will be delivered upon request at a price to be determined. L. Other HazMat courses as required/requested. Upon request, Willdan will provide other courses focused on Hazardous Materials response. Willdan will provide instructors, coordinate logistical requirements and provide all course materials for additional courses requested by the ASAUA. Depending on the courses requested, the length, number of deliveries, and number of participants for each course will vary. Cost: These courses will be delivered upon request at a price to be determined. Total Cost (Year 1): $439,973.00 ASAUA HSEEP Year 1 Page 8 25G-18 The Willdan team will provide the following services in support of the Anaheim/Santa Ana Urban Area Training and Exercise Program during Year 2 of the exercise program (September 2011 - September 2012). A. Critical Infrastructure/Key Resources (CI1KR) Tabletop- Exercise (TTX).This event is a discussion based exercise, which utilizes multi-media. Willdan facilitators will guide participants through a scenario with accompanying discussion questions focused on testing and validating the plans, policies, procedures, and equipment used to respond to a terrorist attack on a CI/KR site within the ASAUA. This event wiil_be_deli_ve.md-once.-take.nlace.over 8 hours on one dav: and will include 100 participants, drawn from ASAUA stakeholders. Wilidan will provide all supporting materials, such as documents, facilitators, audiolvisual equipment, etc. Support for the CI/KR TTX will be accomplished through the following: 1. Coordinate and facilitate up to 3 exercise planning meetings for the tabletop (TTX) exercise 2. Provide a TTX invitation letter, and track RSVPs 3. Produce exercise participant badges, table tents, and conduct exercise registration 4. Develop and reproduce copies of TTX SITMAN in sufficient numbers for the exercise, but not to exceed 100 copies. 5. Provide and coordinate an appropriate number of facilitators to the TTX. 6. Produce an AAR within 45 days of the exercise completion 7. Provide 5 hard copies and 1CD-ROM copy of each report and submit to the ASAUA Grants Manager 8. Prepare all documents in accordance with HSEEP standards. Cost: $32,971.00 B. Basic EOC Training Course. The Basic Emergency Operations Center (EOC) Training Course, approved through P.O.S.T. and the California Office of Homeland Security, provides participants with the necessary instruction to function in local government EOCs using the NIMSISEMS procedures and guidelines. During this 24-hour course, Willdan instructors will cover the following subjects: 1. The essential elements related to an EOC and how the local EOC coordinates with the regional, state and federal entities. 2. The principles associated with disaster management, role of the EOC and goals of emergency/disaster management. 3. Principles for an effective EOC operation. 4. Multi-Agency Coordination System principles of NIMS and the application to an EOC. ASAUA HSEEP Year 2 Page 1 25G-19 5. The functions, responsibilities and procedures for EOCs including activation, operations and demobilization. Willdan will supply the course materials, instructor(s), and miscellaneous items (badges, name tents, signage). This course can accommodate up to 40 students. One (1) course delivery is planned for the Urban Area. Cost: $17,400.00 C. Section Specific Emergency Operations Center (EOC) Training Course. This ................... two ana a nail-aay, zu nour course is aesrgneo-ta prepare staaents-to tunction within their respective local -government EOC sections, and builds upon the knowledge gained during the Basic EOC training courses. The course will provide participants with section/position specific EOC training that will highlight the individual positional and sectional roles and responsibilities within an activated EOC and will teach participants how to work as an EOC team. The Operations and - Planning Sections are paired for instruction on day 1. The logistics and f=inance Sections receive instruction on day 2. Day 3 finds the Management Section and Section Chiefs together for instruction. Highlighted topics of instruction include: 1. Review of SEMS/NIMS/ICS 2. Review of the role of the EOC 3. Internal, external, and WebEOC communications 4. EOC Action Planning and Action Plan Development 5. Effective and Efficient Resource Management 6. Public Information and the Joint Information Center 7. EOC Position Roles and Responsibilities This course can accommodate up to 40 students per delivery. This course will be delivered two (2) times. Willdan will supply the course materials, instructor(s), and miscellaneous items (badges, name tents, signage), as well as coordinating other logistical requirements. Cost: $36,122.00 D. Public Information Officer Course. Willdan will offer one (1), 16-hour public information officer courses that will provide up to 40 students with the training and resources they need to effectively interface with the media while serving as a public information officer. The students will learn the basics of working effectively and positively with the news media. Students will understand the laws relating to media access and release of information; learn to effectively communicate messages in a natural and effective manner; learn to control the image of the organization in a positive light; learn to effectively deal with crisis communications & management; learn to realistically convey information meeting the ICS/ NIMS/SEMS guidelines. ASAUA HSEEP Year 2 Page 2 25G-20 Specific topics include: 1. Perceptions 2. Knowing and understanding the media 3. Bias in the media 4. Image 5. The Public Information'Officer 6. Media laws and access 7. Crisis coordination and communications 8. Delivering the message: interviews 10. Press conferences 11. Dealing with high profile incidents/people 12. Incident Command System/NIMS/SEMSMISMIC Willdan will provide two instructors, 40 student manuals and audio/visual equipment necessary to conduct the class. Willdan requests the use of a Santa Ana PD classroom to conduct the class. This course can accommodate up to 40 students and will be delivered once. Cost: $94,090.00 E. Mass Casualty Full Scale Exercise (FSE). This one day, 8 hour full scale exercise, to be delivered twice, will support the Joint Commission requirement for hospitals within Orange County to conduct two full-scale exercises per year, with one of the two exercises focused on a mass casualty scenario. This event will include 300 participants. Willdan will provide health and medical and exercise subject matter experts to support Orange County Hospitals in meeting this requirement by completion of the following items: 1. Coordinate and facilitate three planning meetings, and submit planning meeting summaries to the exercise design team. 2. Coordinate and facilitate two Master Scenario Events List (MSEL) conference meetings. 3. Develop a baseline scenario for use during the exercise. 4. Develop and reproduce 20 copies of the exercise plan (EXPLAN) for the drill. 5. Develop and reproduce 20 copies of an exercise Controller/Evaluator (C/E) Manual, including evaluation criteria. 6. Produce a MSEL to support 8 hours of Full Scale Exercise play. 7. Develop and reproduce 300 copies of the exercise Participant Guides/Player Handouts. 8. Develop and reproduce 100 copies of the exercise Volunteer Guides/Handouts. ASAUA HSEEP Year 2 Page 3 25G-21 9. Provide 8 exercise controllers for a 1-day period. The controllers will assist with exercise administration and control, and will lead the hot wash debrief session(s) at the conclusion of the exercise. 10. Coordinate the development and participation of a Simulation Cell (SIMCELL) if required. 11. Provide controller/evaluator and SIMCELL training describing the roles and responsibilities of exercise controllers, evaluators, and/or simulators. 12. Prepare and submit a draft AAR within 45 completion. Final AAR will be delivered no exercise completion. of exercise 13. Provide 8 vests to identify exercise controllers, 8 vests to identify exercise evaluators, and up to 350 badges to identify exercise participants, evaluators, controllers, and observers. 14. Assist with controller and evaluator training by providing a Controller/Evaluator Briefing. 15. Debrief and record notes from the exercise controllers and evaluators prior to exercise completion. 16. Prepare 10 hard copies and 2 CD-ROM copies of the report. 17. Prepare all documents in accordance with HSEEP standards. Cost: $135,962.00 F. Training & Exercise Planning Workshop (TEPW). The TEPW is a strategy session that will solicit input from all stakeholders and draft the Three-Year Training and Exercise schedule. The goal of the o n e d a y, 8-hour workshop will be to coordinate training and exercises among partners, thereby avoiding duplication and pooling resources, and will help lay the groundwork for many of the activities that take place in Year 1 and beyond. Data collected during the workshop will be used to update the ASAUA 5-Year Training and Exercise Plan. The TEPW will include 50 participants drawn from all stakeholders. Willdan will be responsible for logistical considerations during the TEPW, including exercise materials (badges, signage, and handouts) and providing a facilitator and adequate support staff. Two 8-hour TEPW workshops will be provided. Cost: $15,672.00 G. Citizen Preparedness Drill. This will evaluate the plans, policies, and procedures that govern the groups that compromise the OC Citizen Corps, and test the capability of that group to effectively respond to a catastrophic event. The drill will be conducted over 8 hours on one day, and will include 300 participants from citizen preparedness stakeholders. Willdan will facilitate the design; delivery, and evaluation of the drill through completion of the following items: ASAUA HSEEP Year 2 Page 4 25G-22 1. Coordinate and facilitate three planning meetings, and submit planning meeting summaries to the exercise design team. 2. Coordinate and facilitate two Master Scenario Events List (MSEL) conference meetings. 3. Develop a baseline scenario for use during the exercise. 4. Develop and reproduce 20 copies of the exercise plan (EXPLAN) for the drill. 5. Develop and reproduce 20 copies of an exercise Controller/Evaluator 6. Produce a MSEL to support 8 hours of exercise play. 7. Develop and reproduce 300 copies of the exercise Participant Guides/Player Handouts. 8. Develop and reproduce 100 copies of the exercise Volunteer Guides/Handouts. 9. Provide 10 exercise controllers for a 1-day period. The controllers will assist with exercise administration and control, and will lead the hot wash debrief session(s) at the conclusion of the exercise. 10. Coordinate the development and participation of a Simulation Cell (SIMCELL), if required. 11. Provide controller/evaluator and SIMCELL training describing the roles and responsibilities of exercise controllers, evaluators, and/or simulators. 12. Prepare and submit a draft AAR within 45 days of exercise completion. Final AAR will be delivered no later than 60 days after exercise completion. 13. Provide 10 vests to identify exercise controllers, 10 vests to identify exercise evaluators, and up to 350 badges to identify exercise participants, evaluators, controllers, and observers. 14. Assist with controller and evaluator training by providing a Controller/Evaluator Briefing. 15. Debrief and record notes from the exercise controllers and evaluators prior to exercise completion. 16. Prepare 10 hard copies and 2 CD-ROM copies of the report. 17. Prepare all documents in accordance with HSEEP standards. Cost: $77,991.00 ASAUA HSEEP Year 2 Page 5 25G-23 H. Critical Infrastructure/Key Resource (CIIKR) Full Scale Exercise. This FSE is designed to evaluate the ASAUA's capabilities to respond to an attack on CI/KR site located within the urban area. This exercise will be delivered once, over 8 hours in one day. In conjunction with urban area stakeholders, Wilidan design and develop this FSE test multiple response plans, policies, procedures, and capabilities. The event will include 300 participants from all urban area partners and stakeholders. Support for this event will be accomplished by the following: 1. Coordinate and facilitate three planning meetings, and submit planning meeting summaries to the exercise design team. 2. Coordinate and facilitate two Master Scenario Events List (MSEL) ce meetings. 3. Develop a baseline scenario for use during the exercise. 4. Develop and reproduce 25 copies of the exercise plan (EXPLAN) for the drill. 5. Coordinate the participation of all urban area partners and stakeholders. 6. Develop and reproduce 25 copies of an exercise Controller/Evaluator (C/E) Manual, including evaluation criteria. 7. Coordinate the use of local evaluators during the exercise. 8. Produce a MSEL to support 8 hours of Full Scale Exercise play. 9. Develop and reproduce 200 copies of the exercise Participant Guides/Player Handouts. 10. Develop and reproduce 100 copies of the exercise Volunteer Guides/Handouts. 11. Provide 10 exercise controllers for a 1-day period. The controllers will assist with exercise administration and control, and will lead the hot wash debrief session(s) at the conclusion of the exercise. 12. Coordinate the development and participation of a Simulation Cell (SIMCELL), if required. 13. Provide controller/evaluator and SIMCELL training describing the roles and responsibilities of exercise controllers, evaluators, and/or simulators. 14. Prepare and submit a draft AAR within 45 days of exercise completion. Final AAR will be delivered no later than 60 days after exercise completion. 15. Provide 10 vests to identify exercise controllers, 10 vests to identify exercise evaluators, and up to 350 badges to identify exercise participants, evaluators, controllers, and observers. 16. Assist with controller and evaluator training by providing a Controller/Evaluator Briefing. ASAUA HSEEP Year 2 Page 6 25G-24 17. Debrief and record notes from the exercise controllers and evaluators prior to exercise completion. 18. Prepare 10 hard copies and 2 CD-ROM copies of the report. 19. Prepare all documents in accordance with HSEEP standards. This exercise will be the capstone of the ASAUA three year training and exercise program. Cost: $77,069.00 Total Cost (Year 1 & 2): $847.242.00 ASAUA HSEEP Year 2 Page 7 25G-25 25G-26 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: SEPTEMBER 7, 2010 TITLE: AGREEMENT WITH WESTBOUND COMMUNICATIONS FOR READY OC EMERGENCY PREPAREDNESS CAMPAIGN CITY MANAGER APPROVED ? As Recommended ? As Amended ? Ordinance on 1" Reading ? Ordinance on 2"d Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER RECOMMENDED ACTION Authorize the City Manager and the Clerk of Council to execute the attached agreement with Westbound Communications for the continuance of the Ready OC Emergency Preparedness Campaign that serves the Anaheim/Santa Ana Urban Area. These services will be provided for an amount not to exceed $250,000, subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION The United States Department of Homeland Security has developed the Urban Areas Security Initiative (UASI) funding program. UASI provides funds to local emergency first responders to enhance security and overall preparedness against acts of terrorism. The City of Santa Ana has fiscal responsibility for the FY09 UASI grant for the Anaheim/ Santa Ana Urban Area which encompasses 34 jurisdictions in Orange County. In March 2009, the Santa Ana Police Department chose Westbound Communications to provide web-based and multi-media communications and marketing services for emergency preparedness. In the next contract period, Westbound Communications will plan and execute several multi-media events, expand outreach into social media venues, and continue to support the core advisory and business partnership group. The goal of this agreement is to continue encouraging Orange County residents to become prepared, aware, pro-active and involved in their personal and community safety plans. 25H-1 Westbound Communications September 7, 2010 Page 2 FISCAL IMPACT Funds are available in the FY 2009 UASI Grant Program fund account (no. 12514407-62300- 10427401186-3492). a? (,7-- PM. Walters Chief of Police Police Department Exhibits: 1. Agreement APPROVED AS TO FUNDS AND ACCOUNTS: A u?,nz . I -,, t, --) ?LA--, - --E Francisco Gutierrez Executive Director Finance & Mgmt. Services Agency 25H-2 CONSULTANT AGREEMENT THIS AGREEMENT, made and entered into this S`h day of September, 2010 by and -Kdtwee Westbound Communications, 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"), hereinafter referred to as "Agreement." RECITALS A. The City desires to retain the services of a consultant having special skill and services. in me next o B. City, acting through the Santa Ana Police Department in its capacity as the Core City for the Santa Ana Urban Area under the FY09 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, Emergency Management Agency, to enhance countywide emergency preparedness, hereinafter referred to as "the Grant." C. Consultant represents that Consultant is able and willing to provide such services to the City. D. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall continue web site enhancement and hosting services, as well as promotional services for the ReadyOC (ROC) Emergency Preparedness Campaign, as set forth in Exhibit A attached to this Agreement, incorporated herein by reference. 2. COPYRIGHT Except as otherwise provided in the terms and conditions of this Agreement, Consultant 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: Page 1 of 9 25H-3 (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. 3. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its total sum to be expended under this Agreement shall not exceed $250,000.00 during the term of this Agreement. b. Out of pocket expenses, including mileage, copies and phone, will be billed separately on the first of each month, for the preceding month. Expenses that individually exceed $500, or aggregate $1,000 in any one month, will require prior written approval of City. e. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set for in the Recitals which may reasonably be expected by City. 4. TERM This Agreement shall commence on the date first written above and terminate on completion of all services pursuant to this Agreement, unless terminated earlier in accordance with Section 13, below. 5. INDEPENDENT CONTRACTOR Consultant shall, during the entire team 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 and 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 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. Page 2 of 9 25H-4 6. INSURANCE a. Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily injury and personal injury, including occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting there from, and property damage, in the total amount of $1,000,000 per occurrence, $2,000,000 general aggregate. Consultant shall supply City with a fully executed additional insured endorsement in substantially the form attached hereto as Exhibit B upon execution of this Agreement and shall be approved in form by the City Attorney. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non-owned automobiles. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in fiill force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City, ten (10) days notice if cancellation is due to nonpayment of premium. Page 3 of 9 25H-5 e. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not effect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 7. INDEMNIFICATION Consultant agrees tb-and?liall iii di r-i ify arid-Bold-harmles"he-City;-its-ofhcers agents, employees, consultants, special counsel, and representatives from liability for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims from personal injury, including health, and claims for property damage, which may arise from the direct or indirect operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in Section 1 of this Agreement, to the extent the same are due to their negligence or other wrongful conduct. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. 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 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. Page 4 of 9 25H-6 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 mailedby first classified mail, postage prepai , or t-byUletat 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 P.O. Box 1988 Santa Ana, CA 92702-1988 Fax (714) 647-6956 With courtesy copies to: and Chief of Police City of Santa Ana 60 Civic Center Plaza (M-97) P.O. Box 1981 Santa Ana, CA 92702 Fax (714) 245-8007 City Attorney City of Santa Ana 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, CA 92702 To Consultant: Westbound Communications Rick Miltenberger 625 The City Drive, Suite 360 Orange, CA 92868 A party may change its address by giving notice in writing to the other party. Thereafter, communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have bee 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, Page 5 of 9 25H-7 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 greement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party which are not embodied herein. 12. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 13. TERMINATION This Agreement may be terminated by either party upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. Page 6 of 9 25H-8 14. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 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. Audit Records - With respect to all matters covered by this Agreement all records shall be made available for audit and inspection by the City, the grant agency and/or their duly authorized representatives for a period of three (3) years from the termination'of this Agreement. For a period of three years after final delivery hereunder or until all claims related to this Agreement are finally settled, whichever is later, Consultant 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, Consultant shall make said documents, papers and records available to City and the agency from which City received grant funds or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or off the premises of Consultant, upon request during usual working hours. Page 7 of B 25H-9 b. Consultant shall provide to City all records and inforination 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 finds or other persons or agencies. C. Section 504 of the Rehabilitation Act of 1973 (Handicapped) - All recipients of federal funds must comply with Section 04 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 person shall, solely by reason of handicap be exclnide`d7from the par icipalio in, be demed-the benefits of or be - - subject to discrimination, including discrimination in employment, in any program or activity that receives benefits from federal financial assistance. The Consultant 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. d. Americans with Disabilities Act of 1990 (ADA) - Consultant must comply with all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable. e. 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." £ Civil Rights Compliance and Notification of Findings - Consultant will comply, and all its contractors (or sub recipients) will comply, with the nondiscrimination requirements of the Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42 USC 3789 (d), or Victims of Crime Act (as appropriate); Title VI of the Civil Rights Act of 1964, as amended; Section 504 of 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; 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 Consultant makes a fuiding 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 Consultant will forward a copy of the findings to the City which will, in turn, submit the findings to the Office of Civil Rights, Office of Justice Programs, U.S. Department of Justice. 18. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has Page 8 of 9 25H-10 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. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA HUIZAR Clerk of the Council APPROVED AS TO FORM: JOSEPH W. FLETCHER City Attorney By: RYAN O. HODGE Deputy City Attorney CITY OF SANTA ANA DAVID N. REAM City Manager WESTBOUND COMMUNICATIONS, INC. RICK MILTENBERGER Senior Vice President Tax ID# Page 9of9 25H-11 Exhibit A 2010 PHASE 3: August 2010 -- March 2012 STATEMENT OF WORK General Information: The following Statement of Work (SOW) defines the principle activities and responsibilities of Preparedness Campaign. This scope of work shall stand as an agreement between the City of Santa Ana (hereinafter Santa Ana) and Westbound Communications (hereinafter WBC). WBC will supply the following services: o ROC Web Site Management o Site content updating o Social media content updating o Site optimization o Site maintenance o ROC Advertising and Promotional Communications o Paid radio advertising o Social media outreach o Broadcast news promotions o Media/corporate promotions o Publicity services o Marketing Support for ROC Program o Multimedia production and outreach o f=aith-based and citizen outreach o Project Administration Services No deviation of this SOW will be allowed without written consent from the Santa Ana Project Manager. Nevertheless, Santa Ana recognizes that projects of this magnitude will likely encounter various unforeseeable events that may cause tasks to overlap or change, and such change will be permissible with the approval of Santa Ana Project Manager. This SOW is contingent upon both WBC and Santa Ana fulfilling their respective responsibilities as defined in the Agreement and within this document: Contents The following are included with this SOW: • Task Descriptions • Project Change Order 25H-12 • Project Schedule • Milestone Payment Schedule General Project Management Responsibilities Project management occurs throughout the project and is involved in every task. The overall project management activities are listed here for reference. Westbound Responsibilities: a. Maintain project communications with Santa Ana's Project Manager. b. Manage the efforts of the WBC staff and coordinate WBC activities with the Santa Ana C. Conduct on site status meetings with Santa Ana's Project Manager on a monthly basis or when reasonably required at the discretion of Santa Ana to discuss project status. d. Provide timely responses, within ten (10) business days, to issues raised by Santa Ana's Project Manager. e. Prepare and submit, no later than the fifth business day of each month, a status report that includes: the accomplishments of the previous month, activities planned for the current month and any update to the project schedule. f. Prepare and submit project Change Proposals to Santa Ana's Project Manager as necessary. g. Prepare and submit Task Completion Letter(s) to Santa Ana's Project Manager as necessary. Santa Ana Responsibilities: a. Maintain project communications with the WBC Project Manager. b. Manage the efforts of ROC involved staff and coordinate ROC activities with the WBC Project Manager. C. The Project Manager must ensure that their personnel have ample time, resources, and expertise to carry out their respective tasks and responsibilities. d. The Project Manager or his designee will participate in the status meeting with the WBC Project Manager on a monthly basis or as may otherwise be reasonably required to discuss project status. e. Provide timely responses, within ten (10) business days, to issues raised by the WBC Project Manager. f. Liaison with all Santa Ana-provided third-party vendors and associated systems. g. Ensure acceptable Change Orders are approved by authorized signature(s). h. Ensure acceptable Task Completion Letter(s) are approved by the Project Manager or his designee. i. Ensure timely payment of invoices. j. Ensure WBC access to server and network equipment and work areas on a 240 basis, with pre-authorization for off-hours. k. Provide workspace for WBC personnel as reasonably requested. 2 25H-13 SOW Format: Each task includes the following: Title, Objective, Task Description, Responsibilities and Completion Criteria. The tasks are depicted on the project schedule. All parties recognize that the SOW is not formatted chronologically with contractual obligations defaulting to Project Schedule unless otherwise noted. Phase 3 - Task 1: Hard Launch of Promise to Prepare Objective: Task Description: This is the "Phase II-B" of the Promise to Prepare campaign, which includes promotional marketing activities as described in Tasks 1-A, 1-B, and 1-C and represents public outreach activities during the months of August 2010 through December 2010. The objectives of the Hard Launch are: • Stage hard launch of Promise to Prepare and promote visits to readoc.org Web site • Organize and coordinate partnerships paid broadcast advertising campaigns • Leverage all outreach to increase state of preparedness by local citizens Task I -A: Radio Promotion Objective: Develop, implement and launch a 2-4 week paid promotion with a major radio syndicate in Southern California (Clear Channel or CBS Radio) that includes on-air content and online content that promotes emergency preparedness among Orange County residents, with special focus on the Promise to Prepare campaign. Task Description: As part of the "Hard Launch" of Promise to Prepare, the use of popular radio stations and their on-air personalities will effectively reach Orange County residents of varying backgrounds. By working with a radio "syndicate, ReadyOC messages will be aired on multiple stations to reach mainstream as well as more specific segments of the population. On-air and online promotions will be developed and implemented to attract and promote emergency preparedness. Activities will include: a. Radio Partner Selection - Develop/present project brief to Clear Channel and CBS Radio and solicit bids for paid advertising promotion. Select a winner based on potential success in best promoting emergency preparedness. b. Plan Development and Review - Working with radio partner, a plan will be developed and implemented for promotional period to take place within the month of September 2010. Plan will have on-air and online outreach components. c. Coordination of Advertising and Online Promotions -- work directly with radio partner on the management of the promotional period, developing copy for advertising spots and 25H-14 public service announcements, completing air checks, securing data from the online components, and reporting results to the Steering Committee. d. Summary Report of Online Outreach -Analyze data of registered "click-throughs" from radio Web sites to ReadyOC; monitoring the number of promises to prepare that come as a result of the radio promotion. A final report will be prepared and delivered to the Steering Committee. Responsibilities: WBC shall: a. Develop the promotion and seek plan approval from the ROC Advisory Committee b. Execute the promotion in accordance with the approved plan Santa Ana shall: a. Approve plan and promotion elements Completion Criteria: This task is considered complete upon the completion of the promotional period. Completion is planned for the end of October 2010. Task 1-B ABC7 Promotion Objective: Develop, implement and launch a partnership between ReadyOC and ABC7 and their ReadySoCal platform. This paid advertising and promotional partnership will help elevate awareness for the Promise to Prepare campaign and will serve as an important component of the hard launch. Specific elements of this promotion will be on-air advertising and online outreach linking abc7.com with ReadyOC.org. Task Description: As part of the "Hard Launch" of Promise to Prepare, ABC7 will connect its popular ReadySoCal campaign to ReadyOC. ABC7 will serve promote Promise to Prepare through on-air mentions, online promotion and by offering their new reporters to serve in some official capacity for our launch event. On-air and online promotions will be developed and implemented to attract and promote emergency preparedness. Activities will include: a. Broadcast Partnership with ABC7 - Develop/present project brief to ABC7 in order to receive a contract in return. b. Plan Development and Review - Working with AQBC7's Public Affairs Dept., a plan will be developed and implemented for promotional period to take place within the month of September 2010. Plan will have on-air and online outreach components. c. Coordination of Advertising and Online Promotions - work directly with ABC7 on the management of the promotional period, developing copy for advertising spots and public service announcements, securing data from the online components, and reporting results to the Steering Committee. d. Summary Report of Online Outreach -Analyze data of registered "click-throughs" from ABC7 to ReadyOC; monitoring the number of Promises to Prepare that come as a result of the partnership. A final report will be prepared and delivered to the Steering Committee. 25H-15 Responsibilities: WBC shall: a. Develop the promotion and seek plan approval from the ROC Advisory Committee b. Execute the promotion in accordance with the approved plan Santa Ana shall: a. Approve plan and promotion elements Completion Criteria: This task is considered complete upon the completion of the promotional period. Planned completion will be October 2010. Task 1-C Launch Event and Partnering Objective: Develop and organize a launch campaign and specific event to kick off the Hard Launch of the Promise to Prepare campaign. The key component in this launch is a special event to recognize the Promise to Prepare campaign and its goal to secure promises from at least 32,000 Orange County residents. Also included in Task 1-C are three promotional nights at Anaheim Ducks hockey games where ReadyOC will have outreach to fans through the video board, through public announcement and by having a table with representatives personally conversing with fans and introducing them to Promise to Prepare. Specific elements of this task include: Task Description: The Promise to Prepare campaign will be formally introduced to Orange County residents through a special event designed to secure editorial media coverage. The main launch event and various partnering opportunities with the Anaheim Ducks will involve Orange County Supervisor Pat Bates and other local government officials who have pledged support for the ReadyOC.org emergency preparedness platform. The Promise to Prepare theme will be emphasized at the main launch event and also at the three promotional nights with the Anaheim Ducks. Activities will include: a. Plan and stage a special event designed to attract editorial press coverage. b. "Pitch" and correspond with reporters and producers from broadcast and print media outlets that service the Orange County region. c. Coordinate and manage three promotional nights with the Anaheim Ducks hockey team, which will include coordination of the public address announcements, content for the giant video screens at the Honda Center, and coordination of staff to secure Promise to Prepare sign-ups. Responsibilities: WBC shall: a. Develop the promotion and seek plan approval from the ROC Advisory Committee b. Execute the promotion in accordance with the approved plan 25H-16 Santa Ana shall: a. Approve plan and promotion elements Completion Criteria: This task is considered complete upon the completion of the promotional period. Planned completion will be October. 2010. Task 2: Video Public Service Announcement and Promotion Objective: Develop produce and promote a video-based public service announcement (PSA) that will have many different uses including being aired on community access television stations across Orange County. The content of the video will focus on 3-4 separate emergency scenarios including earthquake, wildfire, flooding and extreme weather conditions. Task Description: The PSA will be created and used to promote ReadyOC across multiple video platforms. This PSA will actually be four different short videos, each that addressed the need to be better prepared for the potential of specific emergency situations. These video PSAs will be produced by a trained production company working in tandem with WBC. The production and post production of these video PSAs will be managed. Once they are approved by the Steering Committee, the next step is to utilize these videos by posting them on readyoc.org, producing DVDs that will be used during all appropriate citizen outreach events, sent to public access television stations at all Orange County cities, and given to members of the Steering Committee, Corporate Advisory Board and to the emergency managers at all Orange County jurisdictions. Responsibilities: WBC shall: a. Develop the promotion and seek plan approval from the ROC Advisory Committee b. Execute the promotion in accordance with the approved plan Santa Ana shall: a. Approve plan and promotion elements Completion Criteria: This task is considered complete upon the completion of the promotional period. Planned completion will be October 2010. Task 3-A: Faith-Based and Citizen Outreach - September 2010 throuah December 2010 Objective: Develop and implement seasonal program to support and/or staff key countywide emergency preparedness events based on the Project Schedule. Task Description: Handle all aspects of road shows and event support activities based on the Project Schedule. 6 25H-17 Responsibilities: WBC shall: a. Develop the promotion and seek plan approval from the ROC Advisory Committee b. Execute the promotion in accordance with the approved plan Santa Ana shall: a. Approve plan and promotion elements Completion Criteria: T_his_taskis_consWered com iep to upon the completion of the promotional completion will be December 15, 2010. . Planned Task 3-13• Faith-Based and Citizen Outreach - January 2011 through June 2011 Objective: Develop and implement seasonal program to support and/or staff key countywide emergency preparedness events based on the Project Schedule. Task Description: Handle all aspects of road shows and event support activities based on the Project Schedule. Responsibilities: WBC shall: a. Develop the promotion and seek plan approval from the ROC Advisory Committee b. Execute the promotion in accordance with the approved plan Santa Ana shall: a. Approve plan and.promotion elements Completion Criteria: This task is considered complete upon the completion of the promotional period. Planned completion will be June 15, 2011. Task 3-C: Faith-Based and Citizen Outreach - July 2011 through December 2011 Objective: Develop and implement seasonal program to support and/or staff key countywide emergency preparedness events based on the Project Schedule. Task Description: Handle all aspects of road shows and event support activities based on the Project Schedule. 25H-18 Responsibilities: WBC shall: a. Develop the promotion and seek. plan approval from the ROC Advisory Committee b. Execute the promotion in accordance with the approved plan Santa Ana shall: a. Approve plan and promotion elements Completion Criteria: This task is considered complete upon the completion of the promotional period. Planned completion will be December 15, 2011. Task 4: Calendar Year 2011 ReadyOC Campaign & Schedule Objective: Establish project schedules, marketing plan and procedures Task Description: The 2011 ROC campaign will begin with the development of a detailed campaign and schedule, which will set the roadmap for the 2011 schedule. The objectives of this task are to: • Reintroduce all project participants • Review roles of key participants • Refine, review and approve 2011 initiatives, including the marketing plan and project schedule Responsibilities: WBC shall: a. Develop the 2011 campaign and schedule. 1. Measure, evaluate and report the progress against the schedule, to be developed, reviewed and finalized 2. Monitor the project to ensure that support resources are available as scheduled and as identified in the Phase 3 Agreement. 3. Review and administer change control procedures through Santa Ana's Project Manager, whereby Santa Ana's requested change and associated payment schedule is described in a Standard Change and Approval Letter commonly referenced as "Project Change Order", issued by the WBC Project Manager. 4. Work with Santa Ana personnel in designing and approving the format of an action item log to be used in conjunction with the 2011 schedule. The purposes of the log are to identify outstanding issues, provide continual status updates on specific tasks and to identify responsibilities of the parties. Santa Ana shall: a. Approve the 2011 campaign and schedule. 25H-19 I . Identify the efforts required of Santa Ana staff to'meet Santa Ana's task requirements and milestones in the Statement of Work and Project Schedule; assist WBC in developing a detailed Project Schedule defining the detailed tasks and a schedule of WBC and Santa Ana responsibilities. 2. Review the Project Schedule with WBC's Project Manager. 3. Monitor the project to ensure that support resources are available as scheduled. 4. Attend status meetings with WBC's Project Manager. 5. Provide timely responses to issues related to project progress raised in writing by WBC's Project Manager. 6. Liaison and coordinate with other ROC partners, other governmental agencies, contractors and common carriers. 8. 9 .Review-and-administer change control procedures, hardware and software certification, and all related project tasks required to maintain the implementation schedule. Ensure that all documents are approved or rejected by Santa Ana within ten (10) business days of submission, unless explicitly addressed in the Contract or Statement of Work. Approve and release payments in a timely manner. Completion Criteria: This task is considered complete when the Calendar Year 2011 Campaign and Schedule are approved by the Steering Committee. Scheduled completion date: March 2011 Task 5: Micro Campaigns Objective: Develop and implement a series of promotions for ROC during 2011. Task Description: The micro campaigns will be designated promotional initiatives that will be individually implemented with a specific beginning and end date (see following sub-tasks for specifics). Responsibilities: See sub-tasks for specifics. Completion Criteria: This task is considered complete when all budgeted sub-tasks have been completed in their respective entirety. Task 5-A: `Promise to Prepare' Promotion Objective: Develop, implement and launch a 6-8 week promotion that'launches' a new ROC'pledge' as the thematic linchpin for the 2011 campaign, which provides continuity of programming since it will build upon the 2010 Promise to Prepare campaign. 25H-20 Task Description: The promotion will include the public pronouncement that ROC will seek a to-be-determined number of `pledges' from Orange County residents, businesses and community members that commit them to take emergency preparedness action through the use of: a. Promotion Plan Brief - create a 2-3 page brief that specifies promotion details and timeline b. Media Announcement - press release, press conference and other appropriate press outreach leveraging key partners (i.e. Supervisor Pat Bates office, etc.) c. Corporate Advisory Council Advocacy & Support - press conference and other appropriate leveraging of there-established group (see Task 3 for more details) d._ RadiaAdvertisements -develop and implement a 4-6 week radio promotional campaign similar in scope to the Phase I Clear Channel program in 2009 e. ROC Web Site -create `pledge' widget, ticker, online sign-up form and database structure to support promotion and capture/track pledges f. Online Promotion - create a plan for online promotion through countywide web sites, portals and other channels Responsibilities: WBC shall: a. Develop the promotion and seek plan approval from the ROC Advisory Committee b. Execute the promotion in accordance with the approved plan Santa Ana shall: a. Approve plan and promotion elements Completion Criteria: This task is considered complete upon the deployment of all tasks as per the Phase II Marketing Plan, the Promotion Plan Brief and/or agreed upon departures. Task 5-B: ReadyOC Night at Angel Stadium Objective: Develop, implement and stage the second annual ReadyOC Night at a Los Angeles Angels of Anaheim Major League Baseball game. Task Description: Using the blueprint of the 2010 campaign, this promotion will include a "readiness giveaway item" pre-game activities to secure Promises to Prepare, public address announcements about ReadyOC, public service announcements on the Stadium video screen and other complementary activities to promote ReadyOC and the Promise to Prepare campaign. Responsibilities: WBC shall: a. Work with the Steering Committee to identify and develop the ReadyOC Night at Angels Stadium promotion. b. Execute the promotion in accordance with the approved plan to 25H-21 Santa Ana shall: a. Approve plan and promotion elements Completion Criteria: This task is considered complete upon completion of the promotion. Task 5-C: Leveraged Promise Drives Objective: Explore. opportunities through the ROC Steering Committee to partner with key county organizations to help drive community-wide emergency preparedness pledges. Task Description: Work with the ROC Steering Committee to target the OC Fair, Angels and the Ducks for no- cost and/or in-kind support for the ROC campaign. The scope of these drives will be proportional to the ability of the committees (or Corporate Advisory Council) to leverage relationships to minimize or eliminate promotional and/or sponsorship costs. Currently, there is no UASI grant funding allocated to the 2011 ROC campaign budget. Minimally, ROC can establish some type of canvassing effort at each venue to drive emergency awareness, promote the Pledge to Prepare and capture pledges. Responsibilities: WBC shall: a. Work with ROC Steering Committee and/or Corporate Advisory Council to support inquiries as appropriate Santa Ana shall: a. Work with ROC Steering Committee and/or Corporate Advisory Council to support inquiries as appropriate Completion Criteria: This task is currently unbudgeted. Criteria will be established pending resource commitment from a sponsoring organization. Task 6: Corporate Advisory Council Objective: Manage group of business and community leaders who have experience in emergency response and/or marketing and engage them in supporting ROC. Task Description: The council will be designed to bring leaders together to help provide opportunities, extensions, and ongoing support for ReadyOC. Responsibilities: See sub-tasks for specifics. rl 25H-22 Completion Criteria: This task is considered complete when all budgeted sub-tasks have been completed in their respective entirety. Task 6-A: Council Meetings (1) Objective: Develop and conduct one Corporate Advisory Council meetings in Spring 2011. Manage all meeting components, including participant invitation, logistics management, meeting objectives, agenda and presentations, pre- and post-meeting communications and other elements as appropriate. Responsibilities: WBC shall: a. Handle all pre-, during and post-meeting management b. Execute two Corporate Advisory Council meetings per the Project Schedule Santa Ana shall: a. Review and approve meeting dates, logistics, objectives, agendas, presentations and correspondence Completion Criteria: This task is considered complete upon the completion of two meetings, the second of which will be in Spring 2011. Task 6-13: Council Meetings (2) Objective: Develop and conduct two Corporate Advisory Council meetings between July 2011 and December 2011. Task Description: Manage all meeting components, including participant invitation, logistics management, meeting objectives, agenda and presentations, pre- and post-meeting communications and other elements as appropriate. Responsibilities: WBC shall: a. Handle all pre-, during and post-meeting management b. Execute two Corporate Advisory Council meetings per the Project Schedule Santa Ana shall: 12 25H-23 a. Review and approve meeting dates, logistics, objectives, agendas, presentations and correspondence Completion Criteria: This task is considered complete upon the completion of the second meeting, projected to be by December 15, 2011. Task 7: Web Site & Social Media Develop and implement ongoing web site and social media content, maintenance a management activities. Task Description: Handle all aspects of annual web site and social media content updates, site optimization, site maintenance and site management needs for readyoc.org in 2010. Responsibilities: See sub-tasks for specifics. Completion Criteria: This task is considered complete when all budgeted sub-tasks have been completed in their respective entirety. Task 7-A• Content Updates, Management & Maintenance - January 2011 - June 2011. Objective: Develop and implement ongoing web site and social media content, maintenance and management activities for January 201 through June 2011. Task Description: Handle all aspects of annual web site and social media content updates, site optimization, site maintenance and site management needs in accordance with ROC approved protocols: a. Site Administration -- oversee and coordinate site administration platform (web server hardware and software) in conjunction with the County of Orange; respond to platform errors or failures; manage and monitor monthly, quarterly and annual site analytics; respond to daily web inquiries and comments; provide 24R support of platform b. Site Maintenance - develop and implement all ongoing content monitoring, adjustments and updates in accordance with ROC approve protocols; serve as site moderators, reviewing and vetting all content prior to posting; spearhead all updates and responses as follows: Daily Review o Review any stakeholder (e.g., municipal blog page) and/or user submitted content (e.g., email request) and respond within 48 hours of receipt during 13 25H-24 Monday through Thursday. Submissions or inquiries received Friday through Sunday will be responded to before end of business on the following Monday. o An automated response will be in place that immediately acknowledges receipt of any submission or email and will alert the sender when to expect a formal response. o Appropriate "In the News" items will be checked Monday through Friday for updates and accuracy by the Westbound team. OC Register-customized RSS feed content as well as any ROC stakeholder-provided material (e.g., training and event announcements) will be vetted and updated as appropriate. o Follow all protocols from the approved ROC Web Administration and Maintenance System. o Review any stakeholder (e.g., municipal blog page) and/or user submitted content (e.g., email request) and respond within 48 hours of receipt during Monday through Thursday. Submissions or inquiries received Friday through Sunday will be responded to before end of business on the following Monday. o Monitor and respond to all standard, non-emergency content and link updates within three business days. o Follow all protocols from the approved ROC Web Administration and Maintenance System. 3. Central Focus Area Updates o Updates to the Central Focus Area on the Home page will be made, at a minimum, every 30 days. o WBC will manage content update ideas and materials, submitting these to the ROC Advisory Committee for review and approval at least two weeks prior to the go-live date. 4. County Emergency Response & Recovery Home Page Updates o During a countywide or significant regional emergency/disaster event, the ReadyOC.org Home page will be updated to advise and direct visitors to appropriate information resources in accordance with operational emergency management protocols. o WBC will be responsible for monitoring the Home page and returning it to the standard configuration upon direction from the c. Social Media Content Management & Posting - develop and monitor content as well as manage platforms for ROC Twitter, FaceBook and YouTube social media channels. All content will be updated in accordance with the approved System Logs for each channel. These System Logs detail frequency of updates, monitoring criteria and all management processes. Responsibilities: WBC shall: a. Handle implementation of all tasks listed above b. Coordinate with Santa Ana Project Manager for all necessary approvals Santa Ana shall: a. Review and approve content updates as appropriate 14 25H-25 Completion Criteria: This task is considered complete when all elements are completed and/or June 15, 2011 Task 7-13: Content Updates, Management & Maintenance - July 2011 - December 2011. Objective: Develop and implement ongoing web site and social media content, maintenance and management activities for July 2011 through December 2011. Task Description: Handle-all-aspects-of-annual web-site-and-social-media_content-u pdates,-site-optimization,_s maintenance and site management needs in accordance with ROC approved protocols: a. Site Administration - oversee and coordinate site administration platform (web server hardware and software) in conjunction with the County of Orange; respond to platform errors or failures; manage and monitor monthly, quarterly and annual site analytics; respond to daily web inquiries and comments; provide 2417 support of platform b. Site Maintenance - develop and implement all ongoing content monitoring, adjustments and updates in accordance with ROC approve protocols; serve as site moderators, reviewing and vetting all content prior to posting; spearhead all updates and responses as follows: 1. Daily Review o Review any stakeholder (e.g., municipal blog page) and/or user submitted content (e.g., email request) and respond within 48 hours of receipt during Monday through Thursday. Submissions or inquiries received Friday through Sunday will be responded to before end of business on the following Monday. o An automated response will be in place that immediately acknowledges receipt of any submission or email and will alert the sender when to expect a formal response. o Appropriate "In the News" items will be checked Monday through Friday for updates and accuracy by the Westbound team. OC Register-customized RSS feed content as well as any ROC stakeholder-provided material (e.g., training and event announcements) will be vetted and updated as appropriate. o Follow all protocols from the approved ROC Web Administration and Maintenance System. 2. Standard Content and Link Updates o Review any stakeholder (e.g., municipal blog page) and/or user submitted content (e.g., email request) and respond within 48 hours of receipt during Monday through Thursday. Submissions or inquiries received Friday through Sunday will be responded to before end of business on the following Monday. o Monitor and respond to all standard, non-emergency content and link updates within three business days. o Follow all protocols from the approved ROC Web Administration and Maintenance System. is 25H-26 3. Central Focus Area Updates o Updates to the Central Focus Area on the Home page will be made, at a minimum, every 30 days. o WBC will manage content update ideas and materials, submitting these to the ROC Advisory Committee for review and approval at least two weeks prior to the go-live date. 4. County Emergency Response & Recovery Home Page Updates o During a countywide or significant regional emergency/disaster event, the ReadyOC.org Home page will be updated to advise and direct visitors to appropriate information resources in accordance with operational emergency management protocols. o WBC will be responsible for monitoring the Home page and returning it to the ara contiguration upon airection trom the c. Social Media Content Management & Posting - develop and monitor content as well as manage platforms for ROC Twitter, FaceBook and YouTube social media channels. All content will be updated in accordance with the approved System Logs for each channel. These System Logs detail frequency of updates, monitoring criteria and all management processes. Responsibilities: WBC shall: a. Handle implementation of all tasks listed above b. Coordinate with Santa Ana Project Manager for all necessary approvals Santa Ana shall: a. Review and approve content updates as appropriate Completion Criteria: This task is considered complete when all elements have been appropriately deployed based on the Phase III Marketing Plan and System Logs. 16 25H-27 17 25H-28 n r r O N r M L O V 0 0 0 N L O a d co M O CO m CL d C O N d ?M?A a. O 0 O 0 O 0 O 0 O o O 0 O 0 O 0 O O O O O O O 0 0 0 0 0 0 0 0 0 0 0 0 • O O rn O 0 0 o Cl a o 0 0 Co 0 0 0 0 0 0 0 0 p p O O O 0 N M N M CO 00 CO N to co 0 0 _ H3 69 ER FH fR fA fA EA 63 b} fR EH to Gc} b? N 69 - - - - - - - -- - - - - - O - - - - - - - - - - - r r, - r -- - p ?' C) N r O N c O N N ?j C N U C N z Q o O U r r O O `- O p I r Z m t . N r r- O cV O a Q. C (1) (D m Ul 0 } m 7 Q ? J ? U U U Q O r ? C Z N N N z p C C 2 O ; N Q W O 3 V 0 c c W 0) 0 0 0 a m a v w ? ? 06 0. uj LL - z F o 06 06 0 V U U -ti U O o r O 0) a? cv y c Z od 06 06 06 O U i ° ?' E E 4) 0 o ? a (a (a v 3 .- 1 a`. 0) C ° V- co o m a V- r- v Q } E LL C C E C E N N lC c 0 h N N S' co J Q co 0 o - y oUV U o w m a 0 C: a a a z 2 2 W J w 0) N } O U a M ? N a U a m co co Q Q c c .? U a CO w 4 D _0 N p 3 c ! ? - °r w tZ o ` OD > ° w v _ w LLLL LL U a _ i U v v a = > LL U V ( j r? Q m U Q m U r r ci M M Q m U Q m Q W • GO U) U) C4 e} to t o ? ? co t? c o i t? ti Y Fes- ~ Y M co m Y F ?, ca F Y Y x to x rn x w Y x to x v, ` Y x x rn to Q U) a a a a ? ? ? Q ? ? Q ?? o F- F F F F I - F LO 25H-29 Exhibit'B ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL GENERAL LIABILITY POLICY Insurance Company This endorsement modifies such insurance as is afforded by the provisions of Policy # relating to the following: 1. The City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701; its officers, employees, agents, volunteers and representatives are named as additional insureds ("additional insureds") with regard to liability and defense of suits arising from the operations and uses performed by or on behalf of the named insured. 2. With respect to claims arising out of the operations and uses performed by or on behalf of the named insured, such insurance as is afforded by this policy is primary and is not additional to or contributing with any other insurance carried by or for the benefit of the additional insureds. 3. This insurance applies separately to each insured against whom claim is made or suit is brought except with respect to the company's limits of liability. The inclusion of any person or organization as an insured shall not affect any right which such person or organization would have as a claimant if not so included. 4. With respect to the additional insureds, this insurance shall not be cancelled, or materially reduced in coverage or limits except after thirty (30) days written notice has been given to the City of Santa Ana, 20 Civic Center Plaza, Santa Ana, California 92701. (Completion of the following, including countersignature, is required to make this endorsement effective.) Effective Policy # this endorsement form as a part of Issued to Named Insured Countersigned by Representative Authorized 25H-30 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: AMENDMENTS TO HOMELESSNESS PREVENTION AND RAPID RE-HOUSING PROGRAM AGREEMENTS l6 I CIT MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1 s` Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and the Clerk of the Council to execute the attached amendment with Interval House in the amount of $20,000, subject to non-substantive changes approved by the City Manager and City Attorney. 2. Authorize the City Manager and the Clerk of the Council to execute the attached amendment with the Volunteer Center of Orange County/Illumination Foundation in the amount of $125,000, subject to non-substantive changes approved by the City Manager and City Attorney. 3. Authorize the City Manager and the Clerk of the Council to execute the attached amendment with WISE Place to add Homelessness Prevention services to their existing $145,000 Rapid Re-Housing contract, subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION The American Recovery and Reinvestment Act of 2009 ("Recovery Act") appropriated $1.5 billion for communities to provide financial assistance and services to prevent individuals and families from becoming homeless and to help those who are experiencing homelessness to be quickly re- housed and stabilized. Santa Ana was allocated $2,831,989 under the terms of the funding distribution formula established by the U. S. Department of Housing and Urban Development (HUD) for these programs, which are titled Homelessness Prevention and Rapid Re-Housing (HPRP). On September 8, 2009, City Council authorized the execution of agreements with nine local HPRP non-profit sub-recipients, four of which are receiving funding for both the Homelessness and the Rapid Re-Housing program. After one year of operating the program, two of these sub- recipients have requested to transfer portions of the funds they were allocated from the Rapid 251-1 Amendments HPRP Agreements September 7, 2010 Page 2 Re-Housing activity to the Homelessness Prevention activity to better serve the Santa Ana clients that are seeking their assistance. Interval House's requested transfer of $20,000 will result in a final allocation of $300,000 for the Homelessness Prevention program and $280,000 for the Rapid Re-Housing program. The Volunteer Center of Orange County/Illumination Foundation's requested transfer of $125,000 will result in a final allocation of $240,000 for the Homelessness Prevention program and $75,000 for the Rapid Re-Housing program. A third sub-recipient, WISE Place, has requested an amendment to their existing contract to include Homelessness Prevention Services with their Rapid Re-Housing contract to better meet the needs of Santa Ana women. FISCAL IMPACT There is no fiscal impact associated with this action. Cynthia J. Nelson Deputy City Manager for Development Services Community Development Agency CJN/NTE/TE/mlr Exhibits: 1. Amended Agreement with Interval House 2. Amended Agreement with Volunteer Center of Orange County/ Illumination Foundation 3. Amended Agreement with WISE Place 251-2 FIRST AMENDMENT TO AGREEMENT BETWEEN THE CITY OF SANTA ANA AND INTERVAL HOUSE FOR THE USE OF HOMELESSNESS PREVENTION AND RAPID REHOUSING GRANT FUNDS THIS FIRST AMENDMENT TO AGREEMENT is entered into on the _ day of September 2010, by and between Interval House, a California non-profit corporation ("Subrecipient") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS: A. The parties entered into that certain Agreement Between the City of Santa Ana and Interval House for use of Homelessness Prevention and Rapid Re-housing Grant Funds (Program Year 2009-10), dated September 30t", 2010, (hereinafter "said Agreement") by which Subrecipient has been providing assistance and services to prevent individuals and families from becoming homeless or help those who are experiencing homelessness to be quickly re- housed and stabilized. B. In accordance with the terms and conditions of said Agreement, the parties wish to amend the said agreement to transfer funds from the Rapid Re-Housing Program to the Homelessness Prevention Program. WHEREFORE, in consideration of the covenants contained in said Agreement, and subject to all the terms and conditions of said Agreement, except those amended in this First Amendment to Agreement, the parties agree as follows: 1. Section VI PAYMENTS of said Agreement shall be amended to transfer $20,000 (Twenty Thousand Dollars) from the Rapid Re-Housing program to the Homelessness Prevention Program, resulting in a final allocation of $320,000 (Three Hundred Twenty Thousand Dollars) for the Homelessness Prevention program and $280,000 (Two Hundred Eighty Thousand Dollars) for the Rapid Re-Housing program, as reflected in the amended Exhibit B, attached hereto and incorporated herein. 2. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. EXHIBIT 1 251-3 IN WITNESS WHEREOF, the parties hereto have executed this First Amendment to Agreement on the date and year first written above. ATTEST: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: JOSEPH W.FLETCHER City Attorney By: Lisa E. Storck Assistant City Attorney CITY OF SANTA ANA David N. Ream City Manager SUBRECIPIENT Interval House Carol Anne Williams Executive Director Tax ID: 251-4 Final Budget (Exhibit B) Organization Name interval House Place an X : Homelessness Prevention Rapid Rehousing Expenditures Expenses Funded by Expenses Funded by Cate o Santa Ana Other Sources Total Program Budget Administration Administrative Staff Salaries & Benefits $ Other: List below _ $ _ 1 2 $ - 3 $ - q _ $ - 5 $ - Total $ $ _ Housin Relocation and Stabilization Services Case Management $ 51,504 $ 51,504 $ 103 008 Outreach and Engagement $ 14,716 $ 14 716 $ , Housing Search and Placement , 29,432 Legal Services $ 18,394 $ 18 394 $ $ 36 78 Credit Re air Co li , , 8 p unse ng $ 18,394 $ 18,394 $ 36 788 Total $ 103,008 $ 103,008 $ 206,016 Financial Assistance Rental Assistance $ 216 992 $ Utility Payments , 216,992 $ Security De osits $ - p $ _ Utility De osits $ - p $ _ Movin Costs $ - $ _ Mot /Hotel Voucher $ s $ - $ 23 625 $ , 23,625 Total $ 216,992 $ 23,625 $ 240 617 Program Total $ 320,000 $ 126 633 $ , 446 633 LIST ALL OTHER PRnr:Qnnn Gi wric -ruA . UAk- „_-„ , f In V C D=14 aCGUKMJ (Total Funds for Program must equal Total Program Budget above) Source Santa Ana HPRP CaIEMA former) Office of Emer ehc Services OC Communi Services Orange Count CaIWORKs $ $ $ $ rvnount 320,000 36,788 23,625 66,220 Total Funds for the Program $ 446,633 Page 1 of 1 251-5 Final Budget (Exhibit B) Organization Name Interval House Place an X : Homelessness Prevention Rapid Rehousing Expenditures Category Expenses Funded by Santa Ana Expenses Funded by Other Sources Total Program Budget Administration Administrative Staff Salaries & Benefits $ - $ _ Other: List below 1 $ - 2 $ - 3 $ 4 $ - 5 $ Total $ $ - $ _ Housin Relocation and Stabilization Services Case Management $ 29,430 $ 29,430 $ 58,860 Outreach and Engagement $ 7,358 $ 7,358 $ 14,716 Housing Search and Placement $ 29,430 $ 29,430 $ 58,860 Legal Services $ 18,395 $ 18,395 $ 36,790 Credit Repair Counseling $ 18,395 $ 18,395: $ 36,790 Total $ 103,008 $ 103,008 $ 206,016 Financial Assistance Rental Assistance $ 176,992 $ 176,992 Utility Payments $ _ $ - Security Deposits $ _ $ _ Utility Deposits $ _ $ - Moving Costs $ _ $ - Motel/Hotel Vouchers $ - $ 23,625 $ 23,625 Total $ 176,992 $ 23,625 $ 200,617 Program Total $ 280,000 $ 126,633 $ 406,833 ua 1 HLL OTHER PROGRAM FUNDS THAT HAVE BEEN SECURED (Total Funds for Program must equal Total Program Budget above) Source Amnnnt Santa Ana HPRP $ 280,000 CalEMA former) Office of Emergency Services $ 36,788 OC Community Services $ 23,625 Oran a Count CalWORKs $ 66,220 Total Funds for the Pro ram $ 406,633 Page 1 of 1 251-6 FIRST AMENDMENT TO AGREEMENT BETWEEN THE CITY OF SANTA ANA AND VOLUNTEER CENTER OF ORANGE COUNTY/ILLUMINATION FOUNDATION FOR THE USE OFHOMELESSNESS PREVENTION AND RAPID REHOUSING GRANT FUNDS THIS FIRST AMENDMENT TO AGREEMENT is entered into on the _ day of September 2010, by and between the Volunteer Center of Orange County/Illumination Foundation, a California non-profit corporation ("Subrecipient") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS : A. The parties entered into that certain Agreement Between the City of Santa Ana and Interval House for use of Homelessness Prevention and Rapid Re-housing Grant Funds (Program Year 2009-10), dated September 30th, 2010, (hereinafter "said Agreement") by which Subrecipient has been providing assistance and services to prevent individuals and families from becoming homeless or help those who are experiencing homelessness to be quickly re- housed and stabilized. B. In accordance with the terms and conditions of said Agreement, the parties wish to amend the said agreement to transfer funds from the Rapid Re-Housing Program to the Homelessness Prevention Program. WHEREFORE, in consideration of the covenants contained in said Agreement, and subject to all the terms and conditions of said Agreement, except those amended in this First Amendment to Agreement, the parties agree as follows: Section VI. PAYMENTS of said Agreement shall be amended to transfer $125,000 (One Hundred Twenty-Five Thousand Dollars) from the Rapid Re-Housing Program to the Homelessness Prevention Program, resulting in a final allocation of $240,000 (Two Hundred Forty Thousand Dollars) for the Homelessness Prevention Program and $75,000 (Seventy- Five Thousand Dollars) for the Rapid Re-Housing Program, as reflected in the amended Exhibit B, attached hereto and incorporated herein. 2. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. EXHIBIT 2 251-7 IN WITNESS WHEREOF, the parties hereto have executed this First Amendment to Agreement on the date and year first written above. ATTEST: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: JOSEPH W.FLETCHER City Attorney By: Lisa E. Storck Assistant City Attorney CITY OF SANTA ANA David N. Ream City Manager SUBRECIPIENT Volunteer Center of Orange County/ Illumination Foundation Dan McQuaid President & CEO Tax ID: 251-8 Final Budget (Exhibit B) Organization Name Volur%teer Center /?llluminatlon Foundation Place an X : Homelessness Prevention Rapid Rehousing Expenditures Expenses Funded by Expenses Funded Total Program Category Santa Ana b Other Sources Budget Administration Administrative Staff Salaries & Benefits $ Other: List below 1 $ _ 2 $ - 3 $ - 4 $ - 5 $ - Total $ _ $ _ $ - Housing Relocation and Stabilization Services Case Management $ 58,429 $ 25,224 $ 83,653 Outreach and Engagement- $ 20,000 $ 17,885 $ 37,885 Housing Search and Placement $ 36,771 $ 54,768 $ 91,539 Le al Services $ - $ 17,885 $ 17,885 Credit Repair Counseling $ - $ 17,885 $ 17,885 Total $ 115,200 $ 133,647 $ 248,847 Financial Assistance Rental Assistance $ 80,200 $ - $ 80,200 Utility Payments $ 3,600 $ $ 3,600 Security Deposits $ 36,000 $ - $ 36,000 Utility Deposits $ _ $ $ - Moving Costs $ 5,000 $ $ 5,000 Motel/Hotel Vouchers $ _ $ - $ - Total $ 124,800 $ - $ 124,800 Program Total $ 240,000 $ 133,647 $ 373 647 I MT DI I f1TLJCO oon non n. rl Mu-n _ , IN iw-MAIV, -1VVa 1 MA, HAVE BEEN SECURED (Total Funds for Program must equal Total Program Budget above) Source Amount Santa Ana HPRP $ 240,000 Garden Grove. HPRP $ 45,000 Count of Orange HPRP $ 40,000 Private donations not et secured $ 48,647 Total Funds for the Program $ 373,647 Page 1 of 1 251-9 Final Budget (Exhibit B) Organization Name Volunteer Center'/ Illumination Foundation Place an X : Homelessness PreventionL Rapid Rehousing Expenditures Category Expenses Funded by Santa Ana Expenses Funded b Other Sources Total Program Budget Administration Administrative Staff Salaries & Benefits $ - $ _ Other: List below 1 $ - 2 $ - 3 $ - 4 $ - 5 $ Total $ Housing Relocation and Stabilization Services Case Management $ 21,311 $ 44,161 $ 65,472 Outreach and Engagement $ - $ 31,158 $ 31,158 Housing Search and Placement $ 14,090 $ 95,539 $ 109,629 Legal Services $ - $ 31,158 $ 31,158 Credit Repair Counseling $ - $ 31,158 $ 31,158 Total $ 35,400 $ 233,174 $ 268,574 Financial Assistance Rental Assistance $ 18,200 $ $ 18,200 Utility Payments $ 2,400 $ $ 2,400 Security Deposits $ 11,000 $ - $ 11,000 Utility Deposits $ _ $ _ $ _ Moving Costs $ 2,000 $ - $ 2,000 Motel/Hotel Vouchers $ 6,000 $ - $ 6,000 Total $ 39,600 $ - $ 39,600 Program Total 1 IC'?T AI 1 l1T111-'1'l $ 75,000 $ 233,174 $ 308,174 Llv 1 rlt_ v 1 HER FROGRAM FUNDS I HA I HAVE BEEN SECURED (Total Funds for Program must equal Total Program Budget above) Source Amnl mf Santa Ana HPRP $ 200,000 Garden Grove HPRP $ 50,-000- County of Orange HPRP $ 40,000 Private donations not et secured $ 18,174 Total Funds for the Program $ 308,174 Page 1 of 1 251-10 SECOND AMENDMENT TO AGREEMENT BETWEEN THE CITY OF SANTA ANA AND WISE PLACE FOR THE USE OF HOMELESSNESS PREVENTION AND RAPID REHOUSING GRANT FUNDS THIS SECOND AMENDMENT TO AGREEMENT is entered into on the _ day of September 2010, by and between WISE Place, a California non-profit corporation ("Subrecipient") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS: A. The parties entered into that certain Agreement Between the City of Santa Ana and WISE Place for Use of Homelessness Prevention and Rapid Rehousing Grant Funds (Program Year 2009-10), dated , 20_, (hereinafter "said Agreement") by which Subrecipient has been providing support to homeless women or those who are at risk for homelessness. B. In accordance with the terms and conditions of said Agreement, the parties wish to amend the Scope of Work for the services that Subrecipient will provide to the City. WHEREFORE, in consideration of the covenants contained in said Agreement, and subject to all the terms and conditions of said Agreement, except those amended in this First Amendment to Agreement, the parties agree as follows: 1. The Scope of Work that is referenced in the Agreement shall be expanded to include Homelessness Prevention Services. 2. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. EXHIBIT 3 251-11 IN WITNESS WHEREOF, the parties hereto have executed this Second Amendment to Agreement on the date and year first written above. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: JOSEPH W. FLETCHER City Attorney By: LISA E. STORCK Assistant City Attorney CITY OF SANTA ANA DAVID N. REAM City Manager SUBRECIPIENT WISE Place Kathleen Davis-Bowman Executive Director Tax ID: 2 251-12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: AGREEMENT WITH THE RANCHO SANTIAGO COMMUNITY COLLEGE DISTRICT AND MEMORANDUM OF UNDERSTANDING WITH THE CAMBODIAN FAMILY FOR THE DOL JOB TECH PROGRAM r CI Y MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 151 Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached agreement with the Rancho Santiago Community College District in the amount of $201,648 for the period of July 1, 2010 through June 30, 2011 to provide training to Santa Ana residents, subject to non- substantive changes approved by the City Manager and City Attorney; 2. Authorize the City Manager and Clerk of the Council to execute the attached Memorandum of Understanding with the Cambodian Family for the period of July 1, 2010 through June 30, 2011 to place ten Santa Ana WORK Center computers at The Cambodian Family's computer lab to enhance services for Santa Ana residents. DISCUSSION On June 4, 2010, the Santa Ana WORK Center was awarded a Department of Labor Earmark Grant in the amount of $714,000 to establish a computer lab. The lab will be used to provide training and employment services to Santa Ana residents. Training programs will include reading, math, basic computer skills, Water Technology, and Solar Technology provided by the Rancho Santiago Community College District. All program participants will be offered employment services which will be provided through the Santa Ana WORK Center and Cambodian Family. These services include resume writing, job search assistance, job placement assistance, and availability to computers for employment activities. The Santa Ana WORK Center will purchase 25 computers with the Department of Labor Earmark funding to ensure that program participants have access to computers for employment activities. Fifteen of the computers will be placed at the Santa Ana WORK and the remaining ten will be 25J-1 RSCCD Agreement and Cambodian Family MOU September 7, 2010 Page 2 placed at the Cambodian Family's location to enhance the current resources and include an alternate locale for participants. FISCAL IMPACT Funds are available in the Workforce Investment Act account (no. 13218743-69135). Cynthia J. Nelson Deputy City Manager for Development Services Community Development Agency CJN/LS/CDLR/sv APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibits: 1. Agreement with the Rancho Santiago Community College District 2. MOU with The Cambodian Family 25J-2 Contract No. AGREEMENT UNDER THE WORKFORCE INVESTMENT ACT THIS AGREEMENT, made and entered into this I't day of July, 2010, by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California ("CITY") and Rancho Santiago Community College District Corporate Training Institute ("CONTRACTOR"). W-I-T-N-E-S-S-E-T-H Recitals: A. CITY has been designated a Local Workforce Investment Area (LWIA) under the Workforce Investment Act of 1998, Public Law 105-220 ("the Act"). B. The State of California has created the LWIA to administer the Act programs operated by the State of California pursuant to the Act. C. As a LWIA, CITY is entitled to receive federal funds to establish programs to prepare economically disadvantaged youths for entry into the labor market and to provide basic skills development to those individuals who are economically disadvantaged or otherwise face serious barriers to succeeding in life. One goal of California's Workforce Investment System is to provide youth with the opportunities to achieve career goals that will allow them to successfully compete in the labor market and prepare them for higher education. D. CONTRACTOR is experienced in operating education, occupational development and employment programs for economically disadvantaged youths for entry into the labor market ("said program"). E. CONTRACTOR is willing to operate said program pursuant to the Act and California law. WHEREFORE, for and in consideration of the respective and mutual covenants and promises hereinafter contained and made, and subject to all the terms and conditions hereof, the parties hereto do hereby agree as follows: Exhibit 1 Page 1 of 15 25J-3 I. CONTRACTOR'S OBLIGATIONS A. CONTRACTOR agrees to provide the following services pursuant to said program, as more specifically set forth in CONTRACTOR'S program narrative contained in "Exhibit A", attached hereto and by this reference incorporated herein: Provide assessment and training to Santa Ana WORK Center Job Tech Program CONTRACTOR'S failure to provide said services may be grounds for CITY to readjust the level of payment to CONTRACTOR otherwise provided for hereinafter. B. CONTRACTOR agrees to provide benefits to individuals who participate in the activities and services funded by this Agreement ("participants") in accordance with the standards and requirements set forth in Workforce Investment Act of 1998, Public Law 105-220. C. CONTRACTOR agrees to perform the services set forth herein in a professional, timely and diligent manner. D. CONTRACTOR shall provide wages and benefits to individuals who participate in the activities and services funded by this Agreement ("participants") in accordance with the standards and requirements of the Act, including Section 181 of the Act. E. CONTRACTOR shall adhere to the Labor Standards described in the Act including Section 181 of the Act. F. CONTRACTOR agrees to comply with the "Complaint Handling Procedures under the WIA", attached hereto as "Exhibit B" and incorporated herein as though fully set forth in 20 CFR §667.200, Subpart F. CONTRACTOR shall advise participants of their rights to file complaints under the Act and the procedures for resolution of any complaints. CITY's procedures for handling complaints alleging a violation of the Act, regulations, grants, or other agreements under the Act shall be followed and any decision of CITY, the State or the federal government relating to the complaint shall be binding and followed by CONTRACTOR. CONTRACTORS who are employers shall operate a grievance system that incorporates CITY's procedures for resolution of complaints relating to the terms and conditions of employment; these procedures shall be approved in writing by CITY. G. As a condition of this award of financial assistance under the Act to CONTRACTOR from CITY, CONTRACTOR assures, with respect to operation of all programs or activities funded with funds provided pursuant to the Act, and all agreements or arrangements to carry out such programs or activities, that it will comply fully with the nondiscrimination and equal opportunity provisions of the Act (Section 188) and compliance with Equal Employment Opportunity provisions in Executive Order (E.O.) 11246, as amended by E.O. 11375 and supplemented by the requirements of 41 CFR Part 60; the Nontraditional Employment for Women Act of 1991; Title VI of the Civil Rights Act of 1964, as amended; section 504 of the Rehabilitation Act of 1973, as amended; the Age Discrimination Act of 1975, as amended; the Americans with Disabilities Act of 1990; and with all applicable requirements imposed by or pursuant to regulations implementing those laws, Page 2 of 15 25J-4 including, but not limited to, 29 CFR Part 33 and 37. The United States, the State of California and CITY have the right to seek judicial enforcement of this assurance. H. CONTRACTOR agrees that no participant(s) shall commence training prior to the approval of funding pursuant to Section 123 of the Act. 1. CONTRACTOR agrees to maintain such records and submit such reports, data and information, on the form and containing such information, at such times as CITY may request or require regarding the performance of CONTRACTOR'S services or activities, costs or other data, including but not limited to, participants' attendance, payroll records and job duty statements. CONTRACTOR agrees to forward to the Santa Ana Work Center Administrative Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California 92701 a completed Workforce Investment Act Application form (WIA EWIR) and supporting documents within 45 days of application date; a complete Workforce Investment Act Enrollment/Registration form (WIA EWIE) within 30 days of determination (reviewer) date; any subsequent updates to EWIE within 10 days of the begin date of activity or end date of an activity; Workforce Investment Act Youth Test Scores form (WIA EYTS) within 30 days of application date; Workforce Investment Act Exit form (WIA EWIT) within 15 days of completion/termination of active enrollment of trainee; and the Workforce Investment Act Follow-Up Contact Information form (WIA EWIF) within 21 days following 30, 60, 90,180, 270, and 360 days of exit. CITY, the State of California and the United States government and/or their representatives shall have access for purposes of monitoring, auditing and examining of CONTRACTOR'S activities, performance, books, documents, papers, and records of CONTRACTOR subcontractors, bookkeepers and accountants, and employees and participants related to this Agreement. Such agencies or representatives shall also schedule on-site monitoring in their discretion. Monitoring activities may also include, but are not limited to, questioning employees and participants and entering any premises or onto any site in which any of the services or activities funded hereunder are conducted or in which any of the records of CONTRACTOR are kept. Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. In the event CONTRACTOR does not make the above-referenced documents available within the City of Santa Ana, California, CONTRACTOR agrees to pay all necessary and reasonable expenses incurred by CITY in conducting any audit at the location where said records and books of account are maintained. All accounting records and evidence pertaining to all costs of CONTRACTOR and all documents related to this Agreement shall be kept available at the location where CONTRACTOR conducted the program, as well as in the County of Orange, for the duration of this Agreement and thereafter for three (3) years after completion of an audit. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY, the State of California or the United States Government take exception, shall be retained beyond the three (3) years until resolution of disposition of such appeals, litigation, claims, or exceptions. Without prejudice to any other section of this Agreement, CONTRACTOR Page 3 of 15 25J-5 shall, where applicable, maintain the confidential nature of information provided to it concerning participants in accordance with the requirements of federal and state law. Notwithstanding the foregoing, CONTRACTOR agrees to submit to CITY, the State of California and/or the United States Government or their representatives, all records requested for administrative purposes, including audits, examinations, monitoring and verification of records submitted by CONTRACTOR, costs incurred and services rendered hereunder. K. CONTRACTOR agrees to complete in triplicate, a monthly InvoiceNoucher on CITY's InvoiceNoucher form, showing in detail the amount of money already expended by CONTRACTOR hereunder, as this is a cash reimbursement contract. Accounting records must be supported by such source documentation such as cancelled checks, paid bills, payrolls, time and attendance records, contract and subgrant award documents [29 CFR-Subpart C, Section 97.20 (b)(6)]. CONTRACTOR agrees to submit the above-stated documents to the WIB Administrative Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California, 92701, by the tenth (10th) day of the month following the month in which CONTRACTOR'S services are performed. Should CONTRACTOR fail to deliver said documents to CITY, CITY shall have the option to cancel this Agreement by giving CONTRACTOR ten (10) days written notice thereof. CONTRACTOR shall either return to the CITY excess revenues over costs or use such excess revenues as program income by utilizing such program income for additional training activities authorized under the Act. L. CONTRACTOR agrees to expend all funds in accordance with all applicable federal, state and local laws and regulations. CONTRACTOR also agrees to provide at CONTRACTOR'S own expense supplies and other costs of said PROGRAM. M. CONTRACTOR shall arrange independently for an audit that includes WIA funds received from CITY, in accordance with the Act, 20 CFR Section 667.200 and OMB Circular A- 133. CONTRACTOR shall submit one original of each required audit report to CITY within (30) days after the date received by CONTRACTOR. Should CONTRACTOR fail to comply with these requirements, CITY may at its option withhold payment of funds, or disallow funds or suspend additional grant funds. N. CONTRACTOR shall not expend funds pursuant to this Agreement to provide services to any participant where costs of training are paid for by any other person or entity. 0. CONTRACTOR shall comply with the provisions of Circular A-102 of the U.S. Office of Management and Budget (OMB) and the related "Common Rule" entitled "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Government", Subpart C, paragraphs 37 and 42, Circular A-128, and all other applicable federal statutes and executive orders and their implementing regulations, including regulations at 29 CFR Part 97. P. CONTRACTOR shall comply with the requirements of federal regulations found at 29 CFR 93 which provide that no appropriated funds may be expended by the recipient of a federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, member of Congress or an officer or employee of a member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. CONTRACTOR shall sign a certification to that effect in a form as set forth in "Exhibit C," attached hereto and by this reference Page 4 of 15 25J-6 incorporated herein. CONTRACTOR shall submit said signed certification to CITY prior to performing any of its obligations under this Agreement and prior to any obligation arising on the part of CITY to pay any sums to CONTRACTOR under the terms and conditions of this Agreement. Q. CONTRACTOR agrees to provide a drug-free work place and to execute a certification as set forth in "Exhibit D" attached hereto and incorporated herein by this reference. R. CONTRACTOR, in accordance with the Child Support Compliance Act, recognizes and acknowledges the importance of child and family support obligations and shall fully comply with all state and federal laws relating to child and family support enforcement, including, but not limited to: disclosure of information and compliance with earnings assignment orders, as provided in Chapter 8 (commencing with Section 5200) of Part 5 of Division 9 of the state Family Code; and, to the best of its knowledge is fully complying with the earnings assignment orders of all employees and is providing the names of all new employees to the New Employee Registry maintained by the California Employment Development Department (EDD). S. CONTRACTOR agrees to comply with all applicable provisions of the ACT and the federal regulations, including but not limited to the regulations found at 20 CFR part 629. T. CONTRACTOR agrees to provide priority of services for veterans and eligible spouses pursuant to 20 CFR part 1010 and the regulations implementing priority of service for veterans and eligible spouses in Department of Labor job training programs under the Jobs for Veterans Act published at 73 Fed.Reg. 78132 on December 19, 2008. II. CITY'S OBLIGATIONS A. CITY agrees to pay to CONTRACTOR when, if and to the extent federal funds are received under the provisions of the Act a sum not to exceed Two Hundred One Thousand Six Hundred Forty Eight Dollars ($201,648.00) for CONTRACTOR'S performance in accordance with the payment schedule attached hereto as "Exhibit E" during the period of this Agreement. Said sum shall be paid after CITY receives invoices submitted by CONTRACTOR as provided hereinabove. B. CITY agrees to provide for on-site monitoring reviews of said program operation at least twice annually. In addition, monthly desk-top reviews of pertinent information will be conducted. C. CITY has the right to de-obligate the funds hereunder and take such funding back from CONTRACTOR due to any of the following reasons: (a) lack of performance by CONTRACTOR; (b) lack of fiscal accountability of CONTRACTOR; or (c) decrease in available funding. III. TIME PERIOD OF AGREEMENT This Agreement shall commence on July 1, 2010, and all duties arising under this Agreement shall have been performed by June 30, 2011. The term of this Agreement may be extended by a writing executed by the Deputy City Manager for Development Services and the City Attorney. Page 5 of 15 25J-7 IV. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. V. WORKER'S COMPENSATION AND EMPLOYER'S RIGHTS A. CONTRACTOR shall use appropriate funds received from CITY to provide workers' compensation to all those hired by CONTRACTOR under this Agreement. B. CONTRACTOR shall have the right to hire, dismiss, or promote its employees or contract personnel hired under this Agreement so long as its hiring or dismissal policy or standard does not violate Title VII of the Civil Rights Act of 1964, Fair Labor Standards Act of 1938, or any other applicable law, and CONTRACTOR maintains itself as an Equal Opportunity employer. VI. APPLICABLE GUIDELINES A. The parties hereto agree that CONTRACTOR shall comply with all applicable federal and state laws and regulations, including, but not limited to the Performance Standards (Exhibit A) and general program requirements described in Sections 106 and 141 of the Act (29 USC Sections 1516 and 1551) and applicable regulations, and the U.S. Department of Labor guidelines and regulations, including amendments or revisions made during the terms of this Agreement. Said applicable laws are hereby incorporated by reference and made as part of this Agreement as though fully set forth herein. B. CONTRACTOR also assures and certifies that: 1. CONTRACTOR acknowledges and confirms that the U.S. Department of Labor has established three (3) common measures for youth: (a) Placement in employment or education; (b) Attainment of degree or certificate; and, (c) Literacy or numeracy gains. With regard to the Summer Youth Program, the only measure is "Work Readiness". Pending WIA reauthorization and or U.S. Department of Labor and EDD updates, CONTRACTOR agrees to implement and shall meet any additional performance measures that may be subsequently required by the Workforce Investment Act or by any other Federal, State, and local law. 2. CONTRACTOR shall comply with Title VII of the Civil Rights Act of 1964 (P.L. 83-354) and in accordance with Title VII of the Act, no person shall, on the grounds of race, Page 6 of 15 25J-8 color, religion, sex, age, handicap or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under this Agreement. 3. CONTRACTOR shall comply with any and all federal laws limiting the political activity of employees hired under this Agreement. 4. CONTRACTOR shall comply with the requirements that no program under the Act shall involve political activities. 5. RECORD INSPECTION. CONTRACTOR shall provide the U.S. Department of Labor and the Controller General, by and through any authorized representative, as well as the WIB Administrative Office, access to and the right to examine all records, books, papers or documents relating to the accounting and use of funds under this Agreement for a three-year period from and after the effective date of this Agreement. 6. No person with responsibilities in the operation of any program under the Act shall discriminate with respect to any program participant or any application for participation in such program because of race, creed, color, national origin, sex, political affiliation or beliefs. 7. CONTRACTOR shall maintain appropriate standards for health and safety in work and training situations. 8. CONTRACTOR shall comply with general provisions, assurances, and certifications attached hereto as "Exhibit F" and incorporated herein. 9. EQUAL OPPORTUNITY. Any literature distributed by CONTRACTOR for the purpose of apprising businesses, participants, or the general public of its programs under this Agreement shall state that its programs are supported by the City of Santa Ana and the Santa Ana Workforce Investment Board, and shall state that the program is an "equal opportunity employer/program" and that "auxiliary aids and services are available upon request to individuals with disabilities." 10. Based on the population eligible to be served, or likely to be directly affected by the WIA program or activity, the services or information may need to be provided in a language other than English in order to allow such population to be effectively informed about or able to participate in the program or activity. Pursuant to 29 CFR 37.35, the Contractor must take reasonable steps to provide services and information in appropriate languages after considering the scope of the program or activity, and the size and concentration of the population that needs services or information in a language other than English. 11. CONTRACTOR certifies that all property, finished or unfinished documents, data, studies and reports prepared or purchased under this Agreement, will be disposed of in accordance with the direction of the CITY. In addition, any tools and/or equipment furnished to the CONTRACTOR by the CITY and/or purchased by the CONTRACTOR with funds pursuant to this Agreement, will be limited to use within the activities outlined in this agreement and will remain the property of the United States Government and/or CITY. Upon termination of this Agreement, CONTRACTOR will immediately return such tools and/or equipment to the CITY or dispose of them in accordance with the direction of the CITY. Page 7of15 25J-9 12. CONTRACTOR certifies that this Agreement does not provide for the advancement or aid to any religious sect, church or creed, or sectarian purpose nor does it help to support or sustain any school, college, university, hospital or other institution controlled by any religious creed, church, or sectarian denomination, as specified by Article XVI, Section 5, of the Constitution of the State of California, regarding separation of church and state. 13. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The CONTRACTOR will disclose to the CITY any invention, written product, computer program developed or data assembled as a result of performance of work under this Agreement within seventy four (74) days of invention, development or assembly. The CITY, State of California, and U.S. Department of Labor will have the right to patent any invention and copyright any written product or computer program or data generated by CONTRACTOR. Upon written request, CONTRACTOR will transfer all pertinent information, specifications and right, title and interest to the designated agency. 14. INVENTIONS, PATENTS AND COPYRIGHTS. A. Reporting Procedure. If any project produces patentable items, patent rights, processes, or inventions in the course of work under a U.S. Department of Labor (DOL) grant or agreement, the CONTRACTOR shall report the fact promptly and fully to the CITY. The CITY shall report the fact to the Grant Officer, at the DOL. Unless there is a prior agreement between the CITY and the DOL and its representative on these matters, the DOL shall determine whether to seek protection on the invention or discovery. The DOL and its representative shall determine how the rightsin the invention or discovery, including rights under any patent issued thereon, will be allocated and administered in order to protect the public interest consistent with the "Governmental Patent Policy" (President's Memorandum for Heads of Executive Departments and Agencies, August 23, 1971, and Statement of Government Patent Policy as printed in 36 FR 16889). B. Copyright Policy. 1. Unless otherwise provided in the terms of the grant or agreement, when copyright- able material is developed in the course of or under a DOL Grant or agreement, the author and the CITY which developed the work is free to copyright material or to permit others to do so. The CONTRACTOR and the Workforce Investment Board (WIB) shall have a royalty-free, nonexclusive and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted material. 2. The DOL reserves a royalty-free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The copyright in any work developed under any grant, sub-grant, or contract under a grant or subgrant; (b) Any right of copyright to which a grantee, subgrantee or a CONTRACTOR purchases ownership with grant support; and (c) CONTRACTOR shall comply with the requirements of 29 CFR Part 97.34. C. Rights to Data. The DOL and the CITY shall have unlimited rights to any data first procured or delivered under this Agreement. 15. CLEAN AIR / CLEAN WATER ACT. If the grant hereunder exceeds $100,000, CONTRACTOR must comply with Section 306 of the Clean Air Act [(42 USC 1875(h)]; Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and Page 8 of 15 25J-10 Environmental Protection Agency ("EPA") regulations (40 CFR Part 15) as any may now exist or be hereafter amended. Under these laws and regulations, the CONTRACTOR assures that: (a) No facility to be utilized in the performance of the proposed grant has been listed on the EPA List of Violating Facilities; (b) It will notify CITY prior to award of the receipt of any communication from the Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be utilized for the grant is under consideration to be listed on the EPA List of Violating Facilities; (c) It will notify the CITY and the EPA about any known violation of the above laws and regulations. C. CONTRACTOR agrees to adhere to the following STANDARDS OF CONDUCT: 1. General Assurance. Every reasonable course of action will be taken by CONTRACTOR in order to maintain the integrity of this expenditure of public funds and to avoid favoritism. This Agreement will be administered in an impartial manner, free from errors to gain personal, financial political gain. CONTRACTOR, its officers and employees, in administering this Agreement, will avoid situations which give rise to a suggestion that any decision was influenced by prejudice, bias, special interest or desire for personal gain. 2. Employment of Former State or CITY Employees. CONTRACTOR will ensure that any of its employees who were formerly employed by the State of California or CITY, in a position that could have enabled such individuals to impact policy regarding or implementation of programs covered by this Agreement, will not be assigned to any part or phase of the activities conducted pursuant to this Agreement for a period of not less than two years following the termination of such employment. 3. Conducting Business Involving Relatives No relative by blood, adoption or marriage of any executive or employee of CONTRACTOR will receive favorable treatment when considered for enrollment in programs provided by, or employment with, CONTRACTOR. 4. Conducting Business Involving Close personal Friends and Associates. Executives and employees of CONTRACTOR will be particularly aware of the varying degrees of influence that can be exerted by personal friends and associates and, in administering this Agreement, will exercise due diligence to avoid situations which give rise to an assertion that favorable treatment is being granted to friends and associates. When it is in the public interest for CONTRACTOR to conduct business with a friend or associate of an executive or employee of CONTRACTOR, an elected official in the area or a voting or non-voting member of the Workforce Investment Board (WIB), a permanent record of the transaction will be retained. 5. Avoidance of Conflict of Economic Interest. No executive or employee of CONTRACTOR elected official in the area, or voting or non-voting member of a WIB, will solicit or accept money or any other consideration from a third person, for the performance of an act reimbursed in whole or part by CONTRACTOR or CITY. Supplies, materials, equipment or services purchased with Agreement funds will be used solely for purposes asserted or allowed under this Agreement. No voting member of the WIB will cast a vote on the provision of services or vote on any matter which would provide direct financial benefit to that member or any business or organization which the member directly represents. Page 9 of 15 25J-11 6. Salary and Bonus Limitations. All Subrecipients of WIA program funds are required to comply with federal requirements regarding the limitations on salary and bonus payments in accordance with Public Law 109-149, Section 7013. VII. HOLD HARMLESS A. CONTRACTOR shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers' compensation claims, resulting from or arising out of the negligent acts, errors or omission of CONTRACTOR, its employees or subcontractors. B. CONTRACTOR shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from and against any and all claims, demands, suits, actions or proceedings therefore, resulting from or arising out of the intentional or malicious acts of CONTRACTOR, its employees or subcontractors. VIII. INSURANCE 1. Commercial General Liability. CONTRACTOR agrees to obtain and keep in force during the term of this Agreement a policy of comprehensive commercial public liability insurance insuring the State of California, CITY, and CONTRACTOR against any liability for accident, injury or death arising out of or in consequence of this Agreement. Such insurance shall be in an amount not less than One Million Dollars ($1,000,000.00) for any injury to or death of any person or persons in any single accident or occurrence. Said policy of comprehensive public liability insurance shall be endorsed to provide to CITY and to the State of California, Employment Development Department, at least thirty (30) days written notice prior to cancellation; name CITY, its officers, agents, employees, and volunteers, and the State of California, its officers, employees, and volunteers as additional insured; and state that such coverage is primary to any other coverage or self-insurance of the State of California and CITY. Governmental entities may substitute a certificate of self-insurance. 2. Automobile Liability Coverage. CONTRACTOR shall also obtain and maintain, during the effective period of this Agreement, broad form automobile liability coverage with a $1,000,000 limit unless reduced by CITY, which applies to both owned/leased and non-owned automobiles used by CONTRACTOR employees or participants in performance of this Agreement, or, in the event that CITY will not utilize such owned/leased automobiles but intends to require employees, participants or other agents to utilize their own automobiles in the performance of this Agreement, CONTRACTOR shall secure and maintain on file from all such employees, participants, or agents as self-certification of automobile insurance coverage. Governmental entities may substitute a certificate of self-insurance. Page 10 of 15 25J-12 3. Workers' Compensation. If CONTRACTOR is an "employer", as set forth in California Labor Code Section 3300 et seq., or utilizes participants as "employees," as set forth in California Labor Code Section 3350 et seq., CONTRACTOR shall obtain and keep in force during the term of this Agreement full Workers' Compensation insurance coverage for injuries suffered by participants. Said insurance policy shall guarantee CITY at least thirty (30) days written notice of cancellation or modification. CONTRACTOR shall carry medical and accident insurance for those participants not qualifying as "employees" for Worker's Compensation Coverage, pursuant to California Labor Code Section 3350, et seq. 4. Equipment Coverage. CONTRACTOR shall purchase a policy or policies of insurance covering loss or damage to any and all Equipment provided to or purchased by CONTRACTOR in accordance with this Agreement. Said insurance shall be in the amount of the full replacement value thereof, providing protection against the classification of fire, extended coverage, vandalism, malicious mischief, theft, and special extended perils. Governmental entities may substitute a certificate of self-insurance. 5. Proof of Insurance. Certificates and endorsements must be submitted and approved by CITY prior to any work under this Agreement. CONTRACTOR understands that CITY will make no payments under this Agreement until the required certificates and endorsements have been approved by CITY. IX. CORPORATE STATUS All corporate CONTRACTORS shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board and Internal Revenue Service. Any change in corporate status or suspension shall be reported immediately to CITY. X. ASSIGNABILITY None of the duties of, or work to be performed by, CONTRACTOR under this Agreement shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of CITY. CONTRACTOR must submit all subcontracts and other agreements that relate to this Agreement to CITY. No subcontract or assignment shall terminate or alter the legal obligations of CONTRACTOR pursuant to this Agreement. XI. LAWS GOVERNING THIS AGREEMENT In its performance under this Agreement, CONTRACTOR shall fully comply with the requirements of the following, whether or not otherwise referred to in this Agreement: 1. The Act and all applicable federal statutes, regulations, policies, procedures and directives, including but not limited to, 20 C.F.R. Parts 652 and 660 through 671. 2. All applicable State statutes, regulations, policies, procedures and directives; Page I I of 15 25J-13 3. All applicable CITY policies, procedures and directives; 4. All applicable local ordinances and requirements, including use permits and licensing; 5. Court orders applicable to its operation; and, 6. The terms and conditions of this Agreement. If any of the foregoing is enacted, amended, or revised, CONTRACTOR will comply with such or will notify CITY after enactment or modification that it cannot so comply. CITY may thereupon terminate this Agreement, if necessary. XII. EXCLUSIVITY AND AMENDMENT OF AGREEMENT This Agreement supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the employment of CONTRACTOR by CITY, and contains all the covenants and agreements between the parties with respect to such employment. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both CITY and CONTRACTOR. XIII. FRAUD CONTRACTOR shall immediately report to CITY all instances and facts concerning possible fraud, abuse or criminal activity relating to expenditure or receipt of funds under this Agreement. XIV. CONTINGENCY OF FUNDS CONTRACTOR acknowledges that approval of and funding for this Agreement is contingent upon State approval, and funds received or obligated from the State of California to CITY. If such approval of funds is not forthcoming, or is otherwise limited, CITY shall immediately notify CONTRACTOR. Within twenty (20) days of receipt of such notice, CONTRACTOR shall modify or cease operations as directed by CITY and negotiate necessary modification to this Agreement and/or reimbursement of costs incurred hereunder. XV. TERMINATION A. This Agreement may be terminated by either party at its sole discretion, upon thirty (30) days written notice to the other party. Notice shall be deemed served on the date of mailing. However, CONTRACTOR may not terminate this Agreement if undue hardship will result to any participant. B. In the event CONTRACTOR defaults by failing to fulfill all or any of its obligations hereunder, CITY may declare a default and termination of this Agreement by written notice to Page 12 of 15 25J-14 CONTRACTOR, which default and termination shall be effective on a date stated in the notice which is to be not less than ten (10) days after certified mailing or personal service of such notice, unless such default is cured before the effective date of termination stated in such notice. If terminated for cause, CITY shall be relieved of further liability or responsibility under this Agreement, or as a result of the termination thereof, including the payment of money, except for payment for approved expenses incurred for services satisfactorily and timely performed prior to the mailing or service of the notice of termination, and except for reimbursement of (1) any payments made for services not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by CITY in obtaining substitute performance. XVI. DISPUTES Except as otherwise provided in this Agreement, any dispute concerning any question arising under this Agreement shall be decided by CITY. In such a case CITY shall reduce its decision to writing and mail or otherwise furnish a copy thereof to CONTRACTOR. The decision of the City shall be final and conclusive unless within thirty (30) calendar days from the mailing or delivery of such copy, CITY receives from CONTRACTOR written request to appeal said decision. Procedures governing the appeal shall be prescribed by CITY and/or the State of California in accordance with the Act and all corresponding regulations and OMB circulars. Pending final disposition of the appeal, CONTRACTOR shall act in accordance with CITY's decision unless the dispute involves a change order. XVII. BREACH - SANCTIONS If, through any cause, CONTRACTOR violates any of the terms and conditions of this Agreement, and/or prior agreements whereby grant funds were received by CONTRACTOR pursuant to this Agreement, or if CONTRACTOR reports inaccurately or if any Audit Report makes disallowances, CONTRACTOR shall promptly remedy its acts or omissions and/or repay CITY all amounts due CITY as a result of CONTRACTOR's violation. For any such failures or violations, CITY shall also have the right at its sole discretion to either: (1) discontinue program support until such time as CONTRACTOR fulfills its obligations or remedies all violations of this agreement or prior agreements; and/or (2) collect outstanding amounts as determined by CITY due CITY by offsetting or debiting from current claims or invoices, if after thirty (30) days' written notice CONTRACTOR has failed to repay same or a repayment schedule has not been made; and/or (3) terminate this Agreement by giving written notice to CONTRACTOR of such termination in accordance the notice provision in Paragraph XVIII herein below. XVIII. NOTICES All notices, reports and correspondence between the parties hereto respecting this Agreement shall be in writing and deposited in the United States Mail, postage prepaid, addressed as follows: CITY: City of Santa Ana Manager, WIB Administrative Office Page 13 of 15 25J-15 P.O. Box 1988 (M-73) Santa Ana, CA 92702 and, CLERK: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Telefacsimile (714) 647-6956 CONTRACTOR: Rancho Santiago Community College District Corporate Training Institute 2323 N. Broadway, Suite 328 Santa Ana, CA 92706-1640 ATTN: Ruth Cossio-Muniz XIX. MERGER This Agreement, together with the attachments hereto, expresses the total understanding of the parties. There are no oral understandings of the parties or terms and conditions other than as stated herein. XX. VALIDITY The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement. XXI. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to CITY in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. Page 14 of 15 25J-16 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above-written. ATTEST: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: Joseph W. Fletcher City Attorney By: Lisa E. Storck Assistant City Attorney By: CITY OF SANTA ANA, a municipal corporation of the State of California "CITY" David N. Ream City Manager "CONTRACTOR" By: Raul Rodriguez, Ph.D. Chancellor Tax ID #: Page 15 of 15 25J-17 25J-18 Memorandum of Understanding (MOU) between Cambodian Family and The City of Santa Ana W/O/R/K Center 1. PARTIES: The parties to this Memorandum of Understanding (MOU) are Cambodian Family and the City of Santa Ana W/O/R/K Center. 2. PURPOSE: The Santa Ana W/O/R/K Center, in conjunction with Cambodian Family, endeavors to establish a satellite facility located at The Cambodian Family, 1626 E. Fourth Street, Santa Ana, California 92701, in order to provide and/or coordinate workforce development services to individuals, providing them with internet access for job searches and KeyTrain computer based training software. 3. RESPONSIBILITIES: A) The City of Santa Ana W/O/R/K Center shall perform the following: 1) Loan ten (10) computers to Cambodian Family to enhance its computer lab. 2) Accept referrals to the Santa Ana W/O/R/K Center and Job Tech program. B) Cambodian Family shall perform the following: 1) Provide and pay the cost of internet service; 2) Maintain loaned computers and software, and provide insurance for such equipment as determined necessary; 3) Provide additional computers, printers, and computer enhancements; 4) Provide a room for workshops and orientations on an as needed basis; and 5) Provide access to the site for W/O/R/K Center personnel at least 1 hour per week, as deemed necessary for monitoring purposes. 6) Submit monthly reports; 7) Attend monthly partner meetings; 8) Return the ten (10) loaned computers to the City upon termination of this Agreement. 4. DURATION: This MOU shall start on September 1, 2010 and shall remain in effect until June 30, 2011. 5. AMENDMENTS: Either party may propose amendments to this MOU at any time by providing written notice to the other. Amendments to this MOU shall require the approval of the Deputy City Manager for Development Services, or her designee ("Deputy City Manager"), on behalf of the W/O/R/K Center. 6. CONFIDENTIALITY: If Cambodian Family receives information, which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Exhibit 2 25J-19 such information shall not be used or disclosed except in the performance of this Agreement, and Cambodian Family 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 non-public 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 Cambodian Family disclosed in a publicly available source; (c) is in rightful possession of Cambodian Family without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by Cambodian Family without reference to information disclosed by the City of Santa Ana. 7. DISPUTES: The parties shall first attempt to resolve all disputes informally. Any party may call a meeting of all parties to discuss and resolve disputes. Should informal resolution efforts fail, the dispute shall be referred to the Deputy City Manager to act as mediator, to attempt to resolve the dispute by holding an informal hearing with presentations by both parties. If the Deputy City Manager's resolution efforts fail, any party may file a grievance with the Deputy City Manager for review and hearing. The parties agree to be bound by the final determination resulting from that procedure. All costs associated with the grievance procedure shall be borne by the losing party. 8. SEVERABILITY: if any part of this MOU is found to be null and void, or is otherwise stricken, the rest of this MOU shall remain in force. 9. JURISDICTION: Jurisdiction over any disputes arising under this MOU shall reside in Orange County, California. 10. HOLD HARMLESS CLAUSE: Each party to this MOU agrees to indemnify and hold harmless the other parties, their officers, agents, employees, and volunteers from and against any and all loss or damage, and from any and all suits, actions and claims filed or brought by any person or persons arising out of acts or omissions of the party or its officers, agents, employees or volunteers in the performance of this MOU. City of Santa Ana W/O/R/K Center employees will not be entitled to the rights and benefits that Cambodian Family employees receive, in addition, City of Santa Ana W/O/R/K Center will take full responsibility for Worker's Compensation for their employees. 11. ACCESSABILITY: Cambodian Family will assure that its services and premises are accessible to persons with disabilities pursuant to the requirements of the Americans with Disabilities Act. 25J-20 12. AUTHORITY AND SIGNATURES: The individuals signing this MOU or its attachments have the authority to commit the party they represent to the terms of this MOU, and do so commit by signing. IN WITNESS WHEREOF, the parties hereto have executed this Memorandum of Understanding the date and year first above written. ATTEST: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: Joseph W. Fletcher City Attorney CITY OF SANTA ANA a municipal corporation of the State of California David N. Ream City Manager Cambodian Family By: BY: Lisa E. Storck Assistant City Attorney Sundaram Rama Executive Director 25J-21 EXHIBIT A Cambodian Family Job Tech Center DOL - Earmark Grant The Cambodian Family is a non-profit agency that serves Santa Ana residents and provides opportunities for refugee and immigrant families to develop knowledge and skills necessary for employment. The Cambodian Family will partner with the Santa Ana WORK Center's Department of Labor Job Tech program which provides training and employment services to Santa Ana Residents. The Santa Ana WORK Center will loan ten computers to the Cambodian Family to enhance the current computer lab and provide Santa Ana residents with internet access for the purposes of employment activities. Additionally the Cambodian Family will provide access to KeyTrain software, a computer based reading, math, and computer literacy training program for participants that are deficient in basic skills. The Cambodian family will provide referrals to the Job Tech program and attend monthly partner meetings. The Cambodian Family will submit monthly reports on the following measures: • Number of referrals to the Job Tech Program • Number of clients using the PC Lab for Key Train • Number of clients using the PC Lab for Job Search access 4 25J-22 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED SETTLEMENT AGREEMENT WITH ? As Recommended EVANS ROOFING COMPANY, INC. FOR El Amended El Or dinance on 151 Reading RIGHT-OF-WAY FOR THE AT- GRADE ? Ordinance on 2nd Reading RAIL SAFETY ENHANCEMENT PROJECT ? Implementing Resolution (PROJECT 091745) ? Set Public Hearing For CONTINUED TO CITY ANAGER FILE NUMBER RECOMMENDED ACTION Authorize the City Manager and Clerk of the Council to execute the attached acquisition settlement agreement with Evans Roofing Company, Inc. in the amount of $132,000 subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION On October 20, 2008, City Council approved a cooperative agreement with the Orange County Transportation Authority (OCTA) for the Grade Crossing Enhancement Program at ten crossings in the City. Improvements include medians, roadway signing and striping, pedestrian gates and other vehicular gate enhancements. OCTA is the lead agency for this project and will be paying 100 percent of the costs associated with the acquisition of the property at 1101 E. Chestnut. To accommodate the project, OCTA has also agreed to pay the cost associated with relocating Evans Roofing Company, Inc., the tenant currently occupying the property at 1101 E. Chestnut, (Exhibit 1). As part of relocation process, the tenant must be paid for loss of business goodwill, due to the relocation of the business to their replacement site at 2020 S. Yale, Santa Ana, CA. The agreed upon compensation for loss of business goodwill is the appraised value, as determined by an appraiser, licensed by the State of California. ENVIRONMENTAL IMPACT A Notice of Exemption and Categorical Exemption - Class 1 (f): Safety Protection Devices (ER # 2008-159) has been prepared for the project and is consistent with both of these agreements. 25K-1 Settlement Agreement With Evans Roofing Company, Inc. (Project 091745) September 7, 2010 Page 2 FISCAL IMPACT There is no fiscal impact to the City as all the costs of this settlement are fully funded by OCTA, per Cooperative Agreement number C-9-0823. Raul-God'ibez Executive Din Public Works RG/SA Exhibit 1: Location map Exhibit 2: Agreement 25K-2 U \ a- O i z i Ln \ N ? O i r-- 1 1 1 1 1 1 1 1 oQ 1 1 1 1 1 11 CHESTNUT AVE c N I Q 1 1 o I z \ \ CA EXHIBIT 1 ACQUISITION PROPERTIES SANTA ANA -- City Council Title: SETTLEMENT AGREEMENT FOR RIGHT OF P- 0 Agenda Date WAY FOR THE AT- GRADE RAIL SAFETY SEPTEMBER 6, 2010 ENHANCEMENT PROJECT (PROJECT `U"C VMS AGENCY 09-1745) 1 1 1 1 1 25K-3 cy, 25K-4 ACQUISITION SETTLEMENT AGREEMENT LOA This Acquisition Settlement Agreement ("ASA") is entered into on. AWE, 2010 between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California ("City"), Evans ng Company, Inc. ("Tenant"). City and Tenant may collectively be referred to indthis ASA assfthee "Parties." RECITALS A. Tenant operates a business on the Property commonly known as Evans Roofing Company, Inc., and is the occupant of the real property and improvements located at 1 101 E. Chestnut, Sana Ana, (hereinafter called "Property"). B. Mark and Cindy Evans ("Landlord") are the fee owners of 1101 E. Chestnut, Santa Ana, California ("Property"). Owner and City have negotiated a Purchase and Sale Agreement ("PSA") for the Property, which will result in the termination of Owner's and Tenant's rights, title and/or interests in the acquired Property. C. The Property is located within the OCTA Rail Safety Enhancement Project Area and City intends to acquire the Property for a public use. D. The Parties' rights and obligations with regard to the acquisition of the Property by City are in dispute. The Parties desire to establish their respective rights and obligations and to resolve any and all existing disputes with regard to the acquisition of the Property by City upon the terms and conditions as hereinafter set forth. E. Tenant qualifies as a displaced person under California Code of Regulations, Title 25, Division 1, Chapter 6, and is therefore eligible for loss of business goodwill and relocation benefits as described therein. Tenant acknowledges that they have been informed of the City's acquisition and relocation program and that they have received written material describing these rights. Therefore, in consideration of the promises, covenants and agreements hereinafter set forth, and subject to the terms, conditions and provisions of this ASA, the Parties agree as follows: Consideration a. City agrees to pay Tenant, in accordance with the total sum of ONE HUNDRED THIRTY-TWO THOUSAND, AND NO/100 DOLLARS ($132,000.00) as compensation for loss of business goodwill, leasehold interests, personal property, improvements pertaining to realty, bonus value, and any and all other damages to which Tenants may be entitled as a result of City's acquisition of the Property for the Project. City to will payment Tenant the amount of ONE HUNDRED THIRTY-TWO THOUSAND AND NO/100 DOLLARS ($132,000.00) once Tenant has (1) vacated the Property, (2) executed and delivered to City a Certificate of Acquisition Settlement Agreement Page 1 ()1,8 25K-5 Abandonment of the Property, (3) turned over all sets of keys to the Property to the City or to City's agents, and (4) confirmed in writing to City that any and all hazardous materials have been removed from the Property in accordance with all applicable federal and state laws, ordinances and/or regulations. C. Payment of the consideration referenced in section 1 of this ASA, shall constitute full satisfaction of any and all loss of business goodwill, leasehold interests, personal property, improvements pertaining to realty, bonus value of City's obligations to compensate Tenant. d. As a matter of record, the compensation paid to Tenant in accordance with this ASA is does not include relocation benefits. 2. Release a. Tenant, on behalf of itself, its agents, assigns and related entities, agree to indemnify, fully release, acquit and discharge City, and the officers, directors, employees, attorneys, accountants, other professionals, insurers and agents of City (collectively "Agents") and all entities related to City, from any and all rights, claims, interests, demands, actions or causes of action which Tenant now has or may in the future have against City arising from the acquisition of the Property, including, but not limited to, trade fixtures, furniture and equipment, leasehold interests, and claims for loss of business goodwill, bonus value (if any) and/or severance damages (if any), including claims from vendors, independent contractors, subtenants now and forever. b. No Party, nor any Agents, nor any related entities, to this ASA have made any statement or representation to any other Party regarding any fact relied upon in entering into this ASA, and each party expressly states it does not rely upon any statement, representation or promise of any other Party or any Party's Agent or related entities in executing this ASA, except as is expressly stated in this ASA. Each Party to this ASA has made such investigation of the facts and law pertaining to this ASA, and of all other matters pertaining hereto, as it deems reasonable, necessary and/or appropriate, and has consulted with legal counsel concerning the matters contained herein. 3. Attorney's Fees In the event of litigation relating to this ASA, the prevailing party shall be entitled to reasonable attorneys' fees and costs. 4. Indemnity By Tenants - Tenant shall indemnify, defend and hold harmless City from and against any and all claims, demands, liabilities, losses, judgments, expenses and attorney's fees resulting from the breach by Tenant of any provision of this ASA, or the falsity of any representation or warranty made by Tenant contained in this ASA. Acquisition Settlement Agreement Pale 2 of '8 25K-6 5. Entire Agreement This ASA contains the entire Agreement of the Parties hereto pertaining to the subject matter discussed herein, and supersedes any prior written or oral agreements between them concerning the subject matter contained herein. This ASA may be modified only by a writing executed by the Parties hereto. 6. Partial Invalidily In the event that any term, covenant, condition or provision of this ASA shall be held by a court of competent jurisdiction to be invalid or against public policy, the remaining provisions shall continue in full force and effect. 7. Waiver The provisions of this ASA may be waived, altered, amended or repealed, in whole or in part, only upon the written consent of all Parties to this ASA. The waiver by one party of the duty of performance by the other Party of any provision in this ASA shall not invalidate this ASA, nor shall it be considered a waiver of any rights or remedies available to the non-breaching Party of this ASA. 8. Headings The headings, subheadings and numbering of the different sections of this ASA are inserted for convenience only and shall not be considered for any purpose in construing this ASA. 9. Governing Law The rights and obligations of the parties hereto shall be construed and enforced in accordance with, and governed by, the laws of the State of California. 10. Successors In Interest Subject to any restrictions against assignment contained herein, and to any legal limitations on the power of the signatories to bind non-signatories to this ASA, this ASA shall inure to the benefit of, and shall be binding upon, the assigns, successors-in-interest, personal representatives, executors, estate, heirs, legatees, Agents and related entities of each of the Parties hereto. 11. Necessary Acts Each Party to this ASA agrees to perform any further acts and execute and deliver any further documents that may be reasonably necessary to carry out the provisions of this ASA. Acquisition Settlement Agreement Pay=e 3 of 8 25K-7 12. Advice Of Counsel Each Party hereto, by its execution of this ASA, represents to every other Party that it has reviewed each term of this ASA with its counsel and hereafter no Party shall deny the validity of this ASA on the ground that the party did not have advice of counsel. Each Party to this ASA has had the opportunity to receive independent legal advice with respect to the advisability of entering into and being bound by this ASA and with respect to the meaning of California Civil Code § 1542. 13. Parties Have Not Transferred Right Or Claims The Parties hereto each represent and warrant to the other Party that they have not assigned, transferred or sublet to any third party any of the rights, claims, causes of action or items to be released or transferred which they are obligated to transfer or to release as part of this ASA. 14. Authority To Execute This Agreement Each Party executing this ASA represents that it is authorized to execute this ASA. Each Party executing this ASA on behalf of an entity, other than an individual executing this ASA on his or her own behalf, represents that he or she is authorized to execute this ASA on behalf of said entity. 15. -Construction Each Party has cooperated in the drafting and preparation of this ASA. In any construction or interpretation to be made of this ASA, or of any of its terms, conditions and/or provisions, the sarne shall not be construed against any party. 16. Notices All notices, requests, demands and other communications required or permitted to be given under this ASA shall be in writing and shall either be delivered in writing personally or be sent by telegram or by regular or certified first class mail, postage prepaid, deposited in the United States mail, and properly addressed to the Party at its address as set forth below, or at any other address that such Party may designate by written notice to the other Party: To City: City of Santa Ana,Public Works Agency 20 Civic Center Plaza, M-36 Santa Ana, CA 92702 Attention: Souri Amirani To Tenant: Evans Roofing Company, Inc. 2020 South Yale Street Santa Ana, CA Acquisition Settlement Agrecment Pagc 4 of '8 25K-8 17. Counterparts This ASA may be executed in counterparts, each of which shall be deemed an original, and, when taken together with other signed counterparts, shall constitute one Agreement, which shall be binding upon and effective as to all Parties. IN WITNESS WHEREOF, the Parties have executed this Acquisition Settlement Agreement as of the date first written above. TENANT: Evans Roofing Company, Inc. By: ? Date- & i - ?4 2010 ar vans, E.O. CITY OF SANTA ANA: By: David N. Ream City Manager Date: 2010 ATTEST: By: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: Date: , 2010 By Jose Sandoval Managing Senior Assistant City Attorney Date: Acquisition Settlement Agreement Page 5 of '8 , 2010 25K-9 25K-10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: LEASE AGREEMENT AMENDMENT WITH TOWERCO ASSETS LLC FOR INSTALLATION OF EQUIPMENT AT ADAMS PARK 41, tla? CIT ANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED As Recommended As Amended Ordinance on 1st Reading Ordinance on 2"d Reading Implementing Resolution Set Public Hearing For CONTINUED TO FILE NUMBER Direct the City Attorney to prepare and authorize the City Manager and Clerk of the Council to execute the attached lease agreement amendment with TowerCo Assets LLC for the installation of communications equipment at Adams Park, subject to non-substantive changes approved by the City Manager and the City Attorney. 2. Approve an appropriation adjustment recognizing $3,600 in the Capital Outlay Fund revenue account (no. 05102002 57010) and appropriate same to the Capital Outlay Fund expenditure account (no. 05113263 66220). DISCUSSION On June 6, 2004 City Council approved a lease agreement with Sprint PCS for the installation of cellular communications equipment at Adams Park. The City currently receives a $2,251 monthly lease on this agreement. Sprint has assigned tower rights to TowerCo LLC and they are proposing to amend the lease agreement to allow Clear Wire LLC (Clearwire) to sublease space at this site. Clearwire will be using the existing equipment building and tower to install a dish antenna and will not be occupying any additional park property. TowerCo has agreed to pay an additional $300 per month for the sublease. The Clearwire sublease fee will increase by 3% annually, consistent with the base Sprint lease agreement. The sublease fee shall terminate on the date the Clearwire sublease terminates or expires and the rent thereafter shall be reduced by an amount equal to the sublease fee. 25L-1 AyIENDMENT TO LAND LEASE AGREEMENT (GROUND) THIS AMENDMENT TO LAND LEASE AGREEMENT ("Amendment") is entered as of the latter of the signature dates below by and between the CITY OF SANTA ANA, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("Lessor") and TOWERCO ASSETS LLC, a Delaware limited liability company ("Lessee"). RECITALS A. Lessor entered into that certain Land Lease Agreement (A-2004-138) dated July 6, 2004, with Sprint P.C.S Assets, L.L.C., a Delaware limited liability company ("Sprint/Nextel") (the "Agreement), for certain real property and easements (collectively, the "Premises"), which are a portion of that certain parcel of real property located at 2302 South Raitt, Santa Ana, CA 92704 (the "Land"). B. Sprint/Nextel assigned all its right, title and interest in, to and under the Agreement to Tower Entity 4 LLC ("Tower Entity"), by that certain Assignment and Assumption of Ground Lease dated September 23, 2008 (the "Assignment"). Thereafter, Tower Entity was acquired by and merged into Lessee. C. The Assignment was recorded in the Official Records of the County of Orange, State of California, as Document No. 2009000121 5098, on March 16, 2009. B. Lessee desires to sublease space at the Premises to Clear Wireless LLC ("Clearwire"), and Lessor agrees to consent to such sublease, all in accordance with the tenns and conditions as set forth below. NOW, THEREFORE, for and in consideration of the promises and mutual covenants herein contained and other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the parties hereby agree as follows: I. Sublease. Pursuant to the requirements of the Agreement, Lessor hereby consents to Lessee entering into a sublease with Clearwire ("Clearwire Sublease") to allow for the co-location of Clearwire equipment in conformance with the site plan, equipment plan and antenna configuration approved by the City, attached as Exhibit A and incorporated by reference. 2 Rent. As consideration for Lessor's consent to the Clearwire Sublease, the Rent shall be increased by the sum of Three Hundred and no/100 Dollars ($300.00) per month effective as of the first day of the month following the commencement date of the Clearwire Sublease and continuing through the term of the Clearwire Sublease (the "Sublease Fee"). The Rent, as increased hereby, shall continue to increase pursuant to the terms of the Agreement. The Sublease Fee shall terminate on the date the Clearwire Sublease terminates or expires and the Rent thereafter shall be reduced by in amount equal to the Sublease Fee as of the date of such termination or expiration. CA2941 Notices. Lessee's address set forth in Section 26 of the Agreement is deleted and replaced with the following: TowerCo Assets LLC 5000 Valleystone Drive Cary, NC 27519 Attn: Property Management TowerCo ID: 4. Agreement in Full Force. All terms and conditions of the Agreement not expressly modified by this First Amendment shall remain in full force and effect, and, in the event of any inconsistencies between this Amendment and the terns of the Agreement, the terms set forth in this Amendment shall govern and control. Except as expressly amended hereby, the Agreement shall remain in full force and effect as of the date thereof. 5. Counterparts. This Amendment may be executed in one or more counterparts which shall be construed together as one document. 6. Defined Terms. Unless otherwise defined, all defined terms used in this Amendment shall have the meanings ascribed to them under the Agreement. 7. Successors and Assigns. Upon full execution by Lessee and Lessor, this Amendment (i) shall be binding upon and shall inure to the benefit of each of the parties and their respective successors, assigns, receivers and trustees; and (ii) may be modified or amended only by a written agreement executed by each of the parties. 8. Non-Binding Until Fully Executed. This First Amendment is for discussion purposes only and does not constitute a formal offer by either party. This Amendment is not and will not be binding on either party until and unless it is fully executed by both parties. (SIGNATURES APPEAR ON THE FOLLOWING PAGES.1 C A21)41 IN WITNESS WHEREOF, the parties have executed this Amendment as of the day and year first below written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: JOSEPH W. FLETCHER City Attorney BY Laura Sheedy Assistant City Attorney CA-1441 LESSOR: CITY OF SANTA ANA, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California By: Name: DAVID N. REAM Its: City Manager Date: LESSEE: TOWERCO ASSETS LLC, a Delaware limited liability company By: Name: Michael P. MacPherson Its: Vice President / General Manager Date: P' ? Ar? a •? fit • 8 ? W-- ccoo QrX'? N rm ZO a: 8 a z0, o ?9 Zi-~ Z a a CO cn a o ?#?3y??ld,3irlslri3y$ra? .r!#?€1srEre???ciili??:flf? ??E t ?! iEt wt F ?ill?r?l?f lit 141 €?, 3 i ! its 11M , g C 3 g g? t t n n d, i 133uiS ?117'e!-ate °-°------ -- V 77' ;,i 777 a ,r - f ! fj ?d J Q. ! L 9 i R ?.?t a s; s alit • .'yyr'".? Rl, ?? 4 1 '0 1 A 4 N L f i ?.... a o 1 : £ - r a ,J w b I i a uj tt i 4 J ,...---.. _.__._.___-I z w fit k4 ? w i t, w W ; ! li q w i i a s G t t t i r « 'lsljr 47 ??p44 a JJJ ? 3 ''yy ? ??¦ ?? ??i ? ? ! ? l J it ? I ` ?I i ' I i ]7, o w ? F r a i 49 fi fit _ ____ --+' : 1,? Law, -? N S a x. I i k 1 LAwir- fill al REQUEST FOR APPROPRIATION AP - TSTMENT Appropriation Adjustment No: ")0/ 1 -,5c Date: September 7, 2010 Department: Recreation Community Services TYPE OF ADJUSTMENT Transfer of Funds (No Council Action Required) a Transfer of Funds (Council Action Required) Counc?' ,at # - Description Amount o6220 Improvements Other Than Bldgs. 3,600 Total 3,600 25L-10 From: Capital Outlay Fund REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: AGREEMENT TO PROVIDE ANNUAL SOFTWARE MAINTENANCE AND SUPPORT FOR LEXISNEXIS, INC. CI MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 15t Reading ? Ordinance on 2"d Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached amendment to the agreement with LexisNexis, Inc. for legal on-line research services in an annual amount not to exceed $28,000.00, subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION The Santa Ana Police Department requires the ability to access information systems to conduct research for criminal backgrounds on an ongoing basis. This is done through a LexisNexis product called Accurint. Previous contracts with the Police Department have provided continuous on-line access of legal research services. In addition, LexisNexis-Accurint has been the primary software used to provide the Santa Ana Police Department Detectives the ability to intelligently access billions of records which has helped shorten investigation time, freeing up valuable staff, and minimizing cost associated with lengthy investigations. . The recommended action will allow for continuous service to the Santa Ana Police Department. FISCAL IMPACT Funds are available in the Police Department's Computer Services fund (account no. 01114425- 62300). APPROVED AS TO FUNDS AND ACCOUNTS: Paul M. Walters Chief of Police Police Department Francisco Gutierrez Executive Director Finance & Mgmt. Services Agency 25M-1 25M-2 LexisNexis SCHEDULE A Accurint for Law Enforcement Plus (Per User Subscription) Agency Name: Santa Ana Police Dept Address: 60 Civic Ctr Piz Dept: City, State, Zip: Santa Ana, CA 92701 Contact Name: Michael Watson Phone. 714-245-8042 Billgroup #(s): Email: mwatson@santa-ana.org LN Account Manager: JermaineGa This Schedule A sets forth additional or amended terms and conditions for the use of the Accurint for Law Enforcement Plus and Accurint for Law Enforcement services ("LN Services"), as set forth in the LexisNexis Risk & Information Analytics Group Application & Agreement - Law Enforcement dated as of June 5, 2008 between the Santa Ana Police Department ("Customer") and LexisNexis Risk & Information Analytics Group Inc.n/k/a LexisNexis Risk Solutions FL Inc. (" LN") for the LN Services (as defined in the r Agreement) (the "Agreement"), to which this Schedule A is incorporated by reference. The LN Services jJ,(t herein shall be providedby LexisNexis Risk Solutions FL Inc. The LN Services set forth in this Schedule A are 0 non-FCRA Services. 1. SCHEDULE A TERM The term of this Schedule A will be twelve (12) months (the "Schedule A Term") beginning .20/10 the "Effective Date"), and shall automatically renew for additional periods of twelve (12) morn zi tcaui uite, a "Schedule A Renewal Term"), unless a party provides written notice of termination to the other at least sixty (60) days prior to the expiration of the Schedule A Term or any Schedule A Renewal Term. If an account is activated after the first day of a calendar month, charges will not be pro-rated. 2. FEES 2.1 User Fees: The following table (the "Price Tahle") descrihes the anrepd unnn impr fppc rthp "I Icpr Fooc"t• Monthly Minimum Users: 41 Standard Features Fee: $55.00 Advanced Sexual Offender Search Premium Features Fee: Aerial Imaging Phones Plus $0.00 Total Monthly User Fees (per user): $55.00 Total Monthly Minimum Amount: $2,255.00 All of the searches and reports included in the Price Schedule are referred to as the "Features". The User Fees include unlimited access to all Features, excluding those Features identified in Section 2.2. User Fees shall be due each month for: (i) any user ID upon which any search occurs during a calendar month: and (ii) any user ID activated on Customer's account which was not used to perform any searches and is not suspended or terminated by the close of business on the last day of such month. Customized Schedule A Fax all pages of the completed Schedule A to your Account Manager Accurint for Law Enforcement (Plan 44) 64727, 1v 2 25M-3 2.2 Transactional Fees: Unless otherwise selected in the Price Table, the following Features shall be charged a transactional fee (the "Transactional Fees") as specified in the attached Price Schedule: Advanced SexualOffender, Aerial Imaging, Bankruptcy Documents, Delaware Corporation Search and Report, Dun andBradstreet Search, MVR, News Searches, Court Search Wizard, Phones Plus, Property Deed Image, Real TimeMVR, Real Time Person Search, Satellite Image, Sexual Offender Alerts, XML, Smart Jury and BatchingService. Features with Transactional Fees will be disabled when account is set up. Please contact your accountmanager at any point to have these features with Transactional Fees enabled. 23 Payment Amount: Customer shall pay to LN each month the greater of (i) total User Fees and applicable Transactional Fees or (ii) the total monthly minimum amount(s) as specified in the Price Table. 2.4 Annual User Fee Adjustment: At the end of the Schedule A Term and any Schedule A Renewal Term, User Fees will be increased 0%. 3. EXPIRATION Unless otherwise accepted by LN, the terms herein are valid if the Schedule A is signed by the Customer and received by LN on or before 04/29/2010. 4. CONFIDENTIAL INFORMATION This Schedule A contains confidential information of LN. Customer acknowledges that the disclosure of such information could cause competitive harm to LN, and as such, Customer agrees to maintain Schedule A in trust and confidence and take reasonable precautions against such disclosure to any third party. iN WITNESS WHEREOF, the parties hereto have executed this Schedule A as of the Effective Date hereinabove written, between the City of Santa Ana / Santa Ana Police Department and LexisNexis Risk Solutions FL Inc., f/k/a LexisNexis Risk & Information Analytics Group Inc. (Accurint for Law Enforcement Plus #ST1471730). ATTEST: CITY OF SANTA ANA: Maria D. Huizar ?v1o Clerk of the Council APPROVED AS TO FORM: "I JOSEPt?. Flf T • HER City A Vey By: Ryan H Deputy City' ',Attorn Paul M. Walters e Chief of Police, Santa Ana Police LexisNexis Risk Solutions FL Inc. Name: Title: G rLD 3ed by .? `4 d ?` pug ? Customized Schedule A Fax all pages of the completed Schedule A to your Account Manager Accurint for Law Enforcement (Plan 44) 64727.1v2 25M-4 Accurint for Law Enforcement Plus (Effective 3/10/2010) I (Pricing is per hit unless otherwise indicated) PRICE SCHEDULE ACCIDENTS SEARCH Resort Included Standard Feature ACCURINT MAPPING (Charged per layer) Standard Feature ADVANCED PERSON SEARCH Standard Feature AERIAL IMAGING Standard Feature BANKRUPTCY SEARCH (Charged per search Standard Feature Bankruptcy Report Standard Feature BUSINESS SEARCH Standard Feature CIVIL COURTS SEARCH - State (Report Included (charged per search Standard Feature CONCEALED WEAPONS PERMIT SEARCH Standard Feature CORPORATE FILINGS SEARCH (Report included except in Delaware Standard Feature DEA CONTROLLED SUBSTANCES LICENSE SEARCH Standard Feature DEATH RECORDS SEARCH (Charged per search Standard Feature Death Records Report (Charged ersearch) Standard Feature DIRECTORY-ASSISTANCE BASIC LOOKUP Standard Feature DOC SEARCH Standard Feature DOC Re ort Standard Feature DRIVERS LICENSE SEARCH Standard Feature FAA AIRCRAFT SEARCH (Report Included Standard Feature FAA CERTIFICATIONS SEARCH (Report Included Standard Feature FEDERAL FIREARMS & EXPLOSIVES LICENSE SEARCH Standard Feature FORECLOSURES SEARCH (Report Included Standard Feature i HUNTING/FISHING LICENSE SEARCH Standard Feature IDENTITY VALIDATION SEARCH (Charged per search Standard Feature INTERNET DOMAIN NAME SEARCH Standard Feature LIENS & JUDGMENTS SEARCH (Charged per search Standard Feature LINEUP N/C MARRIAGES / DIVORCES SEARCH Standard Feature MOTOR VEHICLES SEARCH Standard Feature Motor Vehicle Report Standard Feature MOTOR VEHICLES WILDCARD SEARCH Standard Feature NATIONAL UCC FILINGS SEARCH (Report Included Standard Feature OFFICIAL RECORDS SEARCH (Report Included Standard Feature PEOPLE AT WORK SEARCH Standard Feature PEOPLE IN THE NEWS $5.00 PERSON ALERTS MONITORING Total Month Monitoring Transactions Per Accurint Account Alerts char ed at regular once 1-50 Standard Feature 51 -250 Standard Feature 251 - 500 Standard Feature 501 - 1,000 Standard Feature 1.001 - 5,000 Standard Feature 5,001 - 25.000 Standard Feature 25,001-10,0000 Standard Feature PERSON SEARCH Standard Feature PHONES PLUS SEARCH Standard Feature PROFESSIONAL LICENSE SEARCH (Charged per search Standard Feature Customized Schedule A v + Fax all pages of the completed Schedule A to your Account Manager Accurint for Law Enforcement (Plan 44) 25M-5 PROPERTY DEED SEARCH _ Standard Feature Properly Deed Report Standard Feature REAL TIME MVR (Charge_ search) __ $3.50 per REAL TIME PHONE SEARCH RELAVINT PLUS LINK ANAL' SEXUAL OFFENDERS SEARCH (Report Induded (Charged per search Standard Feature WATERCRAFT SEARCH Standard Feature AUTOMATED VALUATION MODEL AVM REPORT Standard Feature COMPREHENSIVE BUSINESS REPORT Base Report: Name Variations and Businesses at Address Standard Feature Additional Report Options: Bankruptcy (Charged rsearch) Standard Feature Liens and Judgments (Charged per search Standard Feature Corporation Filings Standard Feature Business Re istrations Standard Feature UCC Ftin s Standard Feature A ssociated Businesses Standard Feature Associated People Standard Feature Properties Standard Feature Motor Vehicles Standard Feature Internet Domain Names Standard Feature CUSTOM COMPREHENSIVE REPORT Base Report: (Others Using Same SSN, Date and Location where SSN Issued, Company Header, Address Summary, Com rehensive Report Summary) Standard Feature Additional Report Options: Associates Standard Feature Property Standard Feature Bankruptcy (Charged per search Standard Feature People at Work Standard Feature UCC Filings Standard Feature Criminal Records (Charged per search Standard Feature Sexual Offenses (Charged per search Standard Feature Florida Accidents Standard Feature Driver Licenses Information Standard Feature Motor Vehicles Registration Watercraft & Boat Trailers included Standard Feature Liens and Judgments (Charged 22r search Standard Feature Nei hborhocd Profile 2000 Census Standard Feature Professional Licenses (Charged rsearch Standard Feature Suo lemental Data Sources (Charged per search Standard Feature 64727.Sv2 Customized Schedule A Fax all pages of the completed Schedule A to your Account Manager Accurint for Law Enforcement (Plan 44) 25M-6 Accurint for Law Enforcement (Effective 2/16/2010) (Pricing is per hit unless otherwise indicated) PRICE SCHEDULE (Subscription) ADVANCED PERSON SEARCH Standard Feature BANKRUPTCY SEARCH (Charged per search) Standard Feature Bankruptcy Report Standard Feature Bankruptcy Dockets ($0.50 for first 5 pages & $0.20 per page thereafter) $0.50 Bankruptcy Documents (per page, up to max charge of $6 per document) $0.20 BASIC LOOKUP SEARCH (Directory Assistance) Standard Feature BUSINESS CREDIT SEARCH Standard Feature Business Credit Report Standard Feature BUSINESS SEARCH Standard Feature BUSINESSES IN THE NEWS SEARCH $5.00 CIVIL COURTS SEARCH (Report Included) (Charged per search) Standard Feature CONCEALED WEAPONS PERMIT SEARCH Standard Feature CORPORATION FILINGS SEARCH (Report included except in Delaware) Standard Feature COURT SEARCH WIZARD (On Site) (Orders are non-refundable) COUNTY-LEVEL SEARCH (Additional court access fees may apply) (Not discounted) Criminal - 7 Year $25.00 Criminal - 10 Year $30.00 Civil Lower & Upper Court - 7 Year $35.00 Civil Lower & Upper Court - 10 Year $40.00 FEDERAL-LEVEL SEARCH (Additional court access fees may apply) (Not discounted) Criminal - 7 Year $16.00 i t,nminai - iu Year $25.00 Civil - 7 Year $16.00 Civil - 10 Year $25.00 STATE CRIMINAL HISTORY DATABASES (Additional court access fees may apply) (Not discounted) $24.00 CRIMINAL RECORDS SEARCH (Charged per search) Standard Feature Criminal Records Report Standard Feature DEA CONTROLLED SUBSTANCES LICENSE SEARCH Standard Feature DEATH RECORDS SEARCH (Charged per search) Standard Feature Death Records Report (Charged per search) Standard Feature DELAWARE CORPORATION SEARCH $1.00 Delaware Corporation Report $11.00 DRIVER LICENSES SEARCH Standard Feature DUN & BRADSTREET (D&B) SEARCH $0.25 Dun & Bradstreet (D&B) Report Standard Feature FAA AIRCRAFT SEARCH (Report Included) Standard Feature FAA PILOT SEARCH (Report Included) Standard Feature FEDERAL FIREARMS & EXPLOSIVES LICENSE SEARCH Standard Feature FLORIDA ACCIDENTS SEARCH (Report Included) Standard Feature FORECLOSURES SEARCH (Report Included) Standard Feature HUNTING/FISHING LICENSE SEARCH Standard Feature INTERNET DOMAINS SEARCH Standard Feature LIENS & JUDGMENTS SEARCH (Charged per search) Standard Feature Liens & Judgments Report Standard Feature MARRIAGESIDIVORCES SEARCH Standard Feature MOTOR VEHICLES SEARCH Standard Feature 1- 1 64727. V .. -.- n Fax all pages of the completed Schedule A to your Account Manager Accurint for Law Enforcement (Plan 44) 25M-7 Motor Vehicles Report Standard Feature MVR REPORTS (DRIVING RECORDS) (Charged per search) Alabama 3-year $12.00 Delaware $21.50 Florida 3-year $7,15 Florida 7-year $8.15 Illinois $17.00 Indiana 7-year $11.00 Iowa $13.50 Kansas $11.50 Maine 3-year $12.00 Maryland $14.00 Minnesota 5-year $7.50 Mississippi 3-year $16.00 Missouri 3-year $6.25 Nebraska 5-year $8.00 North Carolina 3-yearl7-year $10.00 Ohio 3-year $7.00 Rhode Island 3-year $23.00 South Carolina 3-year $12.25 Tennessee 5-year $12.00 Utah 3-year $12.25 Vermont 3-year $13.00 West Virginia 7-year $10.00 MVR WILDCARD SEARCH Standard Feature NATIONAL UCC FILINGS SEARCH (Report Included) Standard Feature OFFICIAL RECORDS SEARCH (Report Included) Standard Feature PATRIOT ACT SEARCH (Charged per search) Standard Feature PEOPLE AT WORK SEARCH Standard Feature PEOPLE IN THE NEWS SEARCH $5.00 PERSON ALERTS MONITORING (Total Monthly Monitoring Transactions Per Accurint Account) (Alerts charged at regular price) 1-50 Standard Feature 51 - 250 Standard Feature 251 .500 Standard Feature 501 -1,000 Standard Feature 1,001 -5,000 Standard Feature 5,001 - 25,000 Standard Feature 25,001 - 10,0000 Standard Feature PERSON SEARCH Standard Feature PHONES PLUS SEARCH Standard Feature PROFESSIONAL LICENSES SEARCH (Charged per search) Standard Feature PROPERTY ASSESSMENT SEARCH Standard Feature Property Assessment Report Standard Feature PROPERTY DEED SEARCH Standard Feature Property Deed Report Standard Feature Property Deed Image $8.00 REAL TIME MVR (Charged per search) $3.50 REAL TIME PERSON SEARCH (Charged per search) $3.50 REAL TIME PHONE SEARCH $0.50 RELAVINT VISUAL LINK ANALYSIS (PER DIAGRAM) Standard Feature REVERSE LOOKUP SEARCH (Reverse Directory) Standard Feature SATELLITE IMAGE SEARCH $1.00 . SEXUAL OFFENDERS SEARCH (Report Included) (Charged per search) Standard Feature 64727.1v2 Customized Schedule A Fax all pages of the completed Schedule A to your Account Manager Accurint for Law Enforcement (Plan 44) 25M-8 VOTER REGISTRATION SEARCH C.... A-A C--._ WATERCRAFTSEARCH Standard Feature Watercraft Report Standard Feature SUMMARY REPORT Standard Feature Included in this report: Address Summary, Others using SSN, Date/Location where SSN issued, Census Data, Bankruptcy Indicator, Property Indicator and Corporate Affiliations Indicator. ASSET REPORT Standard Feature Included in this report: Summary Report, Property Deeds & Assessments, Vehicle Registrations, Watercraft, FAA Pilots, FAA Aircraft and UCC Flin s. FINDER REPORT Standard Feature Included in this report Address Summary, Others using SSN, Date/Location where SSN issued, Phone Summary, Current Listed Phones, Unverified phones with Type and Date Indicators, Current Neighbor Phones, Possible Relative Phones (2 Degrees), Possible Associate Phones. Phones at Historical Addresses, Bankruptcy Filings and Corporate Affiliations. COMPREHENSIVE REPORT (BEST VALUE) Standard Feature Included in this report Summary Report, Bankruptcy, Liens/Judgmer.ts. UCC Filings, People at Work, Driver's Licenses, Vehicle Registrations, Property, Watercraft. FAA Pilots, FAA Aircraft, Professional Licenses, Florida Accidents, Voter Registration, Hunting/Fishing Permits, Concealed Weapons Permits, Associates, Relatives 3 Degrees), Neighbors, Criminal Records and Sexual Offenders. COMPREHENSIVE ADDRESS REPORT Base Report Features: (Current and Previous Residents and Phones at Address) Standard Feature Additional Report Options: Property Ownership Current / Previous Standard Feature Businesses at Address _ Standard Feature Neighbors aI Address Standard Feature Dr ver Licenses al Address _ Standard Feature Motor Vehicles Registered at Address Standard Feature Bankruptcy (Charged per search) Standard Feature Liens and Judgments (Charged per search) Standard Feature Neighborhood Profile (2000 Census) Standard Feature COMPREHENSIVE BUSINESS REPORT Base Report Features: (Name, Address and Phone Variations; Parent Company, Id Numbers and Industry Information Standard Feature Additional Report Options: Standard Feature Bankruptcy (Charged per search) (Not discounted) Standard Feature Liens and Judgments (Charged per search) Standard Feature Corporation Filings Standard Feature Business Registrations Standard Feature UCC Filings Standard Feature Associated Businesses Standard Feature Associated People Standard Feature Properties Standard Feature Motor Vehicles Standard Feature FAA Aircraft Standard Feature Watercraft Standard Feature Internet Domain Names Standard Feature Dun & Bradstreet Records (Not Discounted) $3.75 IRS 5500 Standard Feature CUSTOM COMPREHENSIVE REPORT Base Report Features: (Others Using Same SSN, Date and Location where SSN Issued, Company Header, Address Summary, Comprehensive Report Summary) Standard Feature Additional Report Options: Associates Standard Feature Properties Standard Feature Bankruptcy (Charged per search) (Not discounted) Standard Feature Phones Plus Standard Feature People at work Standard Feature UCC Filings Standard Feature 54727.1v2 Customized Schedule A Fax all pages of the completed Schedule A to your Account Manager Accurint for Law Enforcement (Plan 44) 25M-9 Criminal Records (Charged per search) Standard Feature Sexual Offenses (Charged per search) Standard Feature Florida Accidents Standard Feature Driver Licenses information Standard Feature Motor Vehicle(s) Registration (Watercraft & Boat Trailers included) Standard Feature Liens and Judgments (Charged per search) Standard Feature Neighborhood Profile (2000 Census) Standard Feature Professional Licenses (Charged per search) Standard Feature Supplemental Data Sources (Charged per search) Standard Feature Neighbors (Up to 6 Neighbors at 10 Different Addresses) Standard Feature Relatives (Per Degree of Separation; Up to 3 Degrees) Standard Feature OIW_W BATCH SERYC cis ..,:. . 454,3 T. Address (single) $0,13 Address (multiple) $0.16 EDA Phones (Directory Assistance) (single) $0.10 EDA Phones (Directory Assistance) (multiple) $0.12 Waterfall Phones - Directory Assistance Match, Address and Name Variations, Co-Residents, Phones Plus & Relatives; Add-ons Possible Relocation, Neighbors & People at Work (single) $0.23 Waterfall Phones - Directory Assistance Match, Address and Name Variations, Co-Residents, Phones Plus & Relatives, Add-ons Possible Relocation, Neighbors & People at Work (multiple) $0.25 Address and Phones (single) $0.25 Address and Phones (multiple) $0.30 Address and/or Phone Dedupe (per input) (single) $0.03 Address and/or Phone Dedupe (per input) (multiple) $0.04 Phones Plus $0.50 Real Time Phone Search $0.50 Property • Add Up to Five Properties owned by the subject $1.00 Consumer InstantlD $0.65 Consumer InstantlD with Fraud Defender $0.95 Consumer InstantlD with Red Flags Rule $0.90 Business InstantlD $1,30 Business InstantiD with Fraud Defender $1.30 MulGPle = 2 or more phones/addresses returned 64727.1v2 Customized Schedule A Fax all pages of the completed Schedule A to your Account Manager Accurint for Law Enforcement (Plan 44) 25M-10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: AGREEMENT FOR LAW ENFORCEMENT HELICOPTER SERVICES CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 15t Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO CITY A AGER RECOMMENDED ACTION FILE NUMBER Direct the City Attorney to prepare and authorize the City Manager and the Clerk of the Council to execute the attached agreement with the Airborne Law Enforcement Services Joint Powers Authority, subject to non-substantive changes approved by the City Manager and City Attorney, for law enforcement helicopter services in an annual amount not to exceed $360,000 DISCUSSION In October 1994, the City of Santa Ana began participating in the Airborne Law Enforcement Services (ABLE) program. ABLE is a regional helicopter program, which combines the airborne resources of the City of Costa Mesa and the City of Newport Beach to provide enhanced law enforcement services to participating agencies. The intent of the program is to make helicopters more available and affordable to law enforcement agencies throughout the region. Law enforcement helicopters allow the Police Department to continue to provide a rapid and enhanced response to incidents posing the greatest risk to the public, including robberies, burglaries, assaults, and fleeing felons. The agreement provides for services from July 1, 2010 through June 30, 2011. This program is being funded by the Community Development Block Grant Program and will comply with the program regulations. In addition, the Santa Ana Police Department will provide one full-time sworn pilot/observer to ABLE program and, in exchange, receive credit of $169,471 to reduce the cost to $360,000 25N-1 Agreement for Law Enforcement Helicopter Services September 7, 2010 Page 2 FISCAL IMPACT Funds will be available in the FY 2010-11 Community Development Block Grant fund (account no. 13518783 62300-11750601172). APPROVED AS TO FUNDS AND ACCOUNTS: Paul M. Walters Chief of Police Police Department "0 0e, Cy is J. N son Deputy City Manager for Development Services Community Development Agency MSC ?` AZ_ Francisco Gutierrez Executive Director L Finance & Mngmt. Services Agency 25N-2 AIRBORNE LAW ENFORCEMENT SERVICES AGREEMENT WITH SANTA ANA POLICE DEPARTMENT This Agreement is made by and between the Airborne Law Enforcement Services Joint Powers Authority ("ABLE") and the City of Santa Ana ("AGENCY") based on the following; A. ABLE, through its Member Agencies (City of Costa Mesa and City of Newport Beach), employs, maintains, trains and equips personnel capable of responding to requests for law enforcement helicopter services from ground based law enforcement personnel. B. AGENCY is responsible for providing law enforcement services within its jurisdiction, which include law enforcement helicopter services. C. AGENCY requires the services of ABLE to provide law enforcement helicopter services to its land and residents. TERM This Agreement shall commence on July 1, 2010 and end on June 30, 2011, subject to renewal for successive one (1) year terms as mutually agreed to by the parties. PURPOSE 1.01 The purpose of this Agreement is to provide law enforcement helicopter services to AGENCY'S land and residents and for AGENCY to pay for the cost of the services provided by ABLE. 1.02 Nothing in this Agreement shall be interpreted to give AGENCY a right to services from ABLE. ABLE expressly retains all rights and powers to direct, manage, maintain, train, employ, equip, operate and control all equipment, facilities, properties and personnel in providing law enforcement helicopter services to AGENCY pursuant to this Agreement. AGENCY acknowledges and agrees that the efficient use of public safety helicopter services requires a timely and prioritized response of a helicopter. AGENCY agrees that ABLE will have the sole discretion to determine the priority of calls for set vice and when an assignment of an air crew to a call will be terminated. 1.03 Notwithstanding anything in the Agreement to the contrary, the AGENCY expressly retains all rights and powers to direct, manage, maintain, train, employ, equip, operate and control all equipment, facilities, properties and personnel in providing ground based public safety services to its land and residents. 1.04 'This Agreement shall not alter, amend, supersede or modify any of the provisions of the Joint Powers Agreement for Airborne Law Enforcement Services, dated October 25, 1999, and as amended ("JPA "). 25N-3 II SERVICES 2.01 ABLE, through its Member Agencies, will furnish the AGENCY with public safety helicopter services as more particularly set forth in Exhibit "A," attached hereto and incorporated herein by this reference, and subject to the limitations in the JPA. The term of the Agreement shall be for one (1) year, subject to renewal for successive one (1) year terms as mutually agreed to by the parties. ABLE, the Member Agencies and helicopter aircrews retain the sole and exclusive discretion as to the specific type, nature, timing and duration of the services performed pursuant to this Agreement. 2.02 In no event shall ABLE, the Member Agencies or the aircrew be responsible for the direction and control of ground based law enforcement personnel and equipment of AGENCY during the course and scope of the services performed pursuant to this Agreement. III AGENCY DUTIES 3.01 AGENCY shall pay ABLE a subscriber cost, as determined by ABLE pursuant to Paragraph 4.01 of this Agreement, for services provided by ABLE under this Agreement. The services performed by the ABLE aircraft shall commence as of the date and time the aircraft is dispatched to, or arrives over, the airspace of the AGENCY, whichever occurs -first. These services shall continue until the aircrew notifies the AGENCY that the assignment is complete or that the assignment must be terminated due to a higher priority assignment. Services performed by ABLE Aircraft for the AGENCY shall be defined as: A. A direct request for air support services by the AGENCY where an ABLE aircraft arrives over the incident as logged by the aircrew (operationally identified as a "D-1" call) or; B. Any public safety call generated by the AGENCY and monitored by an ABLE aircrew in which they arrive over the incident as logged by the air crew (operationally identified as a "D-2" call) or; C. Routine patrol over AGENCY's jurisdictional areas. The AGENCY may authorize its ground based public safety supervision to cancel a response as defined under subsection B. 3.02 AGENCY agrees to comply with the FAR Part 91 and Operations Manual section 4085 in making calls for services, which establishes priority for calls to ABLE. 3.03 AGENCY agrees to install within its communications/dispatch center any radio equipment necessary to communicate directly with ABLE on the designated "ABLE CALL" frequency (800 MHz Talk Group). All costs associated with said installation shall be paid by AGENCY. Airborne Law Enforcement Services 25N-4 3.04 AGENCY shall provide a full-time sworn police sergeant employed by the AGENCY for use by ABLE in providing law enforcement helicopter services. AGENCY shall receive an adjusted rate that accounts for the cost to AGENCY for the salary and benefits of the AGENCY employed sergeant utilized by ABLE as provided for in Article IV and Exhibit "A." IV ABLE COLLECTIONS 4.01 AGENCY shall pay ABLE Thirty Thousand Dollars per month ($30,000) as set forth in Exhibit "A," for Two Hundred Ninety-Four (294) flight hours of service provided to AGENCY under this Agreement ("Contract Amount'). Any services in excess of Two Hundred Ninety-Four (294) flight hours, on an annual basis, shall be billed at a rate of One Thousand Eight Hundred Two Dollars and Ninety-Three Cents ($ 1802.93). AGENCY shall not receive a refund if the total flight hours, on annual basis, are less than Two Hundred Ninety-Four (294) flight hours. Upon thirty (30) days written notice to AGENCY, ABLE may adjust the rate in Exhibit "A" based on ABLE's annual operating cost and the average time per call. AGENCY shall pay the Contract Amount set forth herein and in Exhibit "A" for the preceding month of set-vice. 4.02 The Contact Amount reflects a credit that takes into account the cost of the provision of a full-time sworn police sergeant from AGENCY to ABLE as set forth in Section 3.04 and Exhibit "A." 4.03 ABLE will provide the AGENCY with a monthly statement detailing all calls for service and time spent on routine patrol over the AGENCY's jurisdiction as provided by ABLE aircrews. The AGENCY shall notify the ABLE Bureau Commander within ten (10) days of receipt of the monthly statement of any disputed calls for service. The Bureau Commander and the AGENCY Supervisor will review the service provided by ABLE on a monthly basis to ensure that it coincides with the service level as set forth in Exhibit "A." The Bureau Commander will be responsible for resolving disputes and adjusting service levels to coincide with Exhibit "A." V INDEMNIFICATION AND WAIVER 5.01 AGENCY agrees that ABLE and the Member Agencies should be fully protected from any loss, injury, damage, claim, lawsuit, cost or expense arising out of, or in any way related, to the performance of services pursuant to this Agreement. Accordingly, the provisions of this Agreement should be construed and interpreted to provide the fullest possible protection to ABLE and the Member Agencies. AGENCY acknowledges that ABLE would not provide services in the absence of the commitments of AGENCY as specified in this Agreement. 5.02 To the fullest extent permitted by law, AGENCY shall indemnify, defend and hold harmless ABLE, its Member Agencies their boards, officers, agents and employees (collectively, the "Indemnified Parties) fiom and against any and all claims (including, without Airbonie Law Enforcement Services 25N-5 limitation, claims for bodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a Claim; collectively, "Claims"), which may arise from or in any manner relate (directly or indirectly) to any services provided under this Agreement including, but not limited to, activities that relate in any way to this Agreement (including the negligent and/or willful acts, errors and/or omissions of AGENCY, its council members, officers, agents, employees, and anyone employed directly or indirectly by any of them or for whose acts they may be liable or any or all of them). Notwithstanding the foregoing, nothing herein shall be construed to require AGENCY to indemnify the Indemnified Parties from any Claim arising from the sole negligence or willful misconduct of the Indemnified Parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable. 5.03 ABLE shall defend, indemnify and hold harmless AGENCY and its officers, employees, contractors, agents and representatives, with respect to any claim, loss, liability, damage, lawsuit, cost or expense that arises out of, or is in any way related, to the sole negligence or willful misconduct by ABLE or the Member Agencies within the AGENCY's jurisdiction. The obligation of ABLE pursuant to this section extends, without limitation, to any injury, death, loss or damage which occurs within the AGENCY's jurisdiction and which is sustained by any third party, any employee or contractor of AGENCY and to such contractor's employees. 5.04 With regard to any sworn police officer or employee provided by AGENCY to ABLE pursuant to Section 3.04, or any other provision of this Agreement, the following provisions shall apply: A. AGENCY shall defend and indemnify ABLE, any Member Agency, or their respective officers, employees, agents or representatives for any liability resulting from any negligence on the part of said sworn police officer or employee arising out of his/her acts undertaken for or on behalf of ABLE. B. AGENCY and any sworn police officer or employee provided to ABLE pursuant to Section 3.04 shall release ABLE, any Member Agency, and their respective officers, employees, agents or representatives from any liability for injury or damage sustained by said sworn police officer or employee arising out of his/her activities for or on behalf of ABLE. C. Any sworn police officer or employee provided to ABLE pursuant to Section 3.04 is and shall be acting at all times as an employee of the AGENCY and not as an employee of ABLE or the Member Agencies. AGENCY shall secure, at its expense, and be responsible for any and all payment of Income Tax, Social Security, State Disability Insurance Compensation, Unemployment Compensation and other payroll deductions of such sworn police officer or employee of the AGENCY. Any and all liability for workers compensation benefits that may be due to any sworn police officer or employee provided to ABLE pursuant to Section 3.04 shall remain the responsibility of the AGENCY that supplied said ?niployee. Neither ABLE, nor any Member Agency, their respective officers, their employees, agents or representative shall have Airborne Law Enforcement Services 4 25N-6 any liability to said sworn police officer or employee for workers compensation benefits. VI JPA CONSISTENCY 6.01 The provisions of this Agreement shall be interpreted in light of, and in a manner consistent with, the JPA. In the event of any conflict between the provisions of the JPA and this Agreement, the provisions of the JPA shall control. AGENCY agrees to perform all duties required of it pursuant to the JPA as presently constituted or as hereafter amended. 6.02 AGENCY agrees to the indemnification provisions of Paragraph 5.05 of the JPA, which is incorporated herein by this reference. ABLE has obtained liability insurance coverage - for helicopter services provided to AGENCY under this Agreement as set forth in Exhibit "B," and AGENCY will be added as an additional insured under the policy on execution of this Agreement, and receive notice if the policy is canceled. VII MISCELLANEOUS PROVISIONS 7.01 Each of the parties to this Agreement shall immediately notify the other of any litigation or claim that is asserted by or against either party regarding this Agreement or the JPA. 7.02 Each of the Parties to this Agreement shall cooperate with one another in the defense of any lawsuit or claim filed against either party, arising out of, or in any way related, to this Agreement or the JPA, as well as any effort of ABLE to collect money from persons or entities responsible for any request for law enforcement helicopter services. 7.03 Each of the Parties to this Agreement may terminate this Agreement without cause upon one hundred twenty (120) days prior written notice. 7.04 The laws of the State of California shall govern this Agreement and all matters relating to it and any action brought relating to this Agreement shall be adjudicated in a court of competent jurisdiction in the County of Orange. 7.05 If any term or portion of this Agreement is held to be invalid, illegal, or otherwise unenforceable by a court of competent jurisdiction, the remaining provisions of this Agreement shall continue in full force and effect. 7.06 This Agreement may be modified or amended only by a written document executed by both ABLE and AGENCY. 7.07 The terms of this Agreement shall be construed in accordance with the meaning of the language used and shall not be construed for or against either party by reason of the authorship of the Agreement or any other rule of construction which might otherwise apply. 7.08 This Agreement represents the full and complete understanding of every kind or nature whatsoever between the parties hereto, and all preliminary negotiations and agreements of Airborne Law Enforcement Services 25N-7 whatsoever kind or nature are merged herein. No verbal agreement or implied covenant shall be held to vary the provisions herein. 7.09 A waiver by either party of any breach, of any term, covenant or condition contained herein shall not be deemed to be a waiver of any subsequent breach of the same or any other term, covenant or condition contained herein, whether of the same or a different character. 7.10 Except as specifically authorized under this Agreement, the services to be provided under this Agreement shall not be assigned, transferred, contracted or subcontracted out without the prior written approval of ABLE and AGENCY. 7.11 This Agreement may be executed in any number of counterparts, each of which shall be an original, but all of which together shall constitute one instrument. 7.12 AGENCY shall at its own cost and expense comply with all statutes, ordinances, regulations and requirements of all governmental entities, including federal, state, county or municipal, whether now in force or hereinafter enacted. 7.13 AGENCY represents that it is an equal opportunity employer and it shall not discriminate against any subcontractor, employee or applicant for employment because of race, religion, color, national origin, handicap, ancestry, sex or age. Airborne Law Enforcement Services Agreement 6 25N-8 IN WITNESS WHERE OF, the parities hereto have executed this Agreement the day and year first above written. CITY OF SANTA ANA DAVID REAM, CITY MANAGER for the City of Santa Ana ATTEST: PATRICIA E. HEALY Clerk of the Council APPROVED AS TO FORM: JOSEPH ETCHER Santa Ada iigAtthmev By: Win;/City .Del-i.47 U• RECOMMENDED FOR APPROVAL: PAUL M. WALTERS Chief of Police Santa Ana ABLE CHRIS SHAWKEY, Chair ABLE Board of Governors ATTEST: PHYLLIS SCHIEL Secretary to ABLE Board of Governors APPROVED AS TO FORM: OFFICE OF E CITY ATTORNEY Ky . Rowen Deputy City Attorney for the City of Newport Beach and ABLE Legal Counsel Airborne Law Enforcement Services 25N-9 EXHIBIT "A" The fees set forth in this exhibit represents the total cost of service provided by ABLE to the City of Santa Ana, referred to herein as AGENCY for fiscal year 2010/2011. The service provided by ABLE will coincide with available funds and credits as provided for in the below table. Service is based on ABLE's hourly operating cost and amortized over the entire contract period on a monthly basis. The billing shall be divided into twelve equal monthly payments of $44,122.58 ($360,000 divided by 12 months) less the employee credit of $14,122.58 per month ($169,471 divided by 12 months) for a total of $30,000 per month. The AGENCY shall provide a full-time sworn police sergeant from Santa Ana for supervisor/pilot duties, for which AGENCY will receive a credit toward the total cost for services provided by ABLE. The credit amount for the sergeant is equal to the salary and benefits payable over fiscal year 2010/2011 year, ie, from July 1, 2010 to June 30, 2011, for a total compensation of $169,471. The subscriber discounted hourly operating rate for ABLE is $ 1802.93 as established by the ABLE Board of Governors on June 17, 2010. PERIOD COVERED - July 1, 2010 to June 30, 2011 (twelve month term). ABLE Santa Ana Budget $ 360,000 Employee Credit total compensation) $ 169,471 Total Contribution For Services 529,471 Contracted Hours Rate $ 1,802.93 Annual Flight Hours 294 Flight Time Per Da in minutes) 1 0.49 Management of flight time provided to the AGENCY shall be the responsibility of the ABLE Bureau Commander. Flight time over the City will be recorded and monitored daily for the purpose of providing service in accordance with the above table. The AGENCY will be provided with a detailed log of calls and flight time for each monthly billing period. Due to the inherent unknown nature in the need for airborne law enforcement service, ABLE will adjust daily service levels to coincide with the above table. In recognition that it will not always be possible to meet this goal (by either exceeding or falling short), ABLE will compensate for variations to arrive at an appropriate "daily average," on a monthly basis. Section 3.04 of this Agreement provides for the assignment of a full-time sworn police sergeant to ABLE to serve as a supervisor/member of the flight crew. This supervisor will maintain all responsibilities of the ABLE Helicopter Sergeant as defined in the ABLE Operations Manual. ABLE will require that this supervisor meet all of the qualifications and requirements as set forth in the ABLE Operations Manual for Pilots and Certified Flight Instructors. This supervisor will be subject to and meet all of the requirements for pilots as set forth in the ABLE Pilot Training Program. This training will be provided by ABLE personnel and designated professional training facilities with all associated costs being the responsibility of Exhibit A- I 25N-10 the AGENCY. The cost of such training is in addition to the cost for helicopter service set forth in this Exhibit "A" and will be billed directly to the AGENCY. The AGENCY agrees to provide ABLE with two designated officers, who will serve as tactical flight officers, for the purpose of providing vacation and sick leave relief. The AGENCY agrees to make this officer available for training pursuant to the ABLE Helicopter Observer Training Program. This officer will serve in a pool of personnel trained to fill shortfalls due to vacation, sick leave and miscellaneous unscheduled absences. The cost for this position is approximately equivalent to the vacation and sick leave accrued annually by the current Santa Ana police sergeant serving as the ABLE Sergeant/Pilot. ABLE shall participate in the sele-ction process for officers assigned to the unit as flight crewmembers and reserves the right to revoke assignments without cause. Officers assigned to the ABLE program pursuant to this agreement shall meet all requirements set forth in the ABLE Operations Manual. Exhibit A-2 25N-11 25N-12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: AGREEMENT FOR POLICE SERVICE DOG TRAINING SERVICES WITH ADLERHORST INTERNATIONAL, INC. CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1St Reading ? Ordinance on 2"d Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the City Manager and the Clerk of the Council to execute the attached agreement with Adlerhorst International, Inc. subject to non-substantive changes approved by the City Manager and City Attorney, to provide police service dog training services in an annual amount not to exceed $50,000. DISCUSSION Adlerhorst International, Inc. has been the City's exclusive provider and trainer of police service dogs since 1982. Adlerhorst International, Inc. is a nationally recognized company known for its experience and expertise in the selection, testing, and training of police service dogs. The Police Department currently has six police service dogs that were purchased from and trained by Adlerhorst. Staff recommends the execution of this agreement for consistency and efficiency in the operations of the canine unit. FISCAL IMPACT Funds are available in the Police Department's Animal Services fund account (no. 01114430-62300). APPROVED AS TO FUNDS AND ACCOUNTS: I W Paul 'M. Walters Gutierrez Chief of Police Police Department NgZNM ? K ? z?? Francisco Gutierrez Executive Director Finance & Mgmt. Services Agency_ 250-1 250-2 SECOND AMENDMENT TO CONSULTANT AGREEMENT THIS SECOND AMENDMENT TO CONSULTANT AGREEMENT is entered into on September 7, 2010, by and between Adlerhorst International, Inc., a California corporation ("Consultant") and the City of Santa Ana, a charter city and municipal corporation of the State of California ("City"). Recitals: A. The parties entered into Consultant Agreement A-2008-257, dated September 2, 2008 (hereinafter "said Agreement") by which Consultant has provided police canine training services. B. The parties entered into the First Amendment to Agreement, #A-2009-145, dated September 8, 2009, in order to adjust the term and compensation of said Agreement. C. In accordance with the terms and conditions of said Agreement, the parties wish to extend the term of said Agreement for an additional one year period, and to approve the compensation to pay for services during the extended term. Wherefore, in consideration of the mutual and respective covenants contained in said Agreement, and subject to all the terms and conditions of said Agreement, except those amended in this First Amendment to Consultant Agreement, the parties agree as follows: 1. Section 2.a., COMPENSATION, shall be amended to add compensation not to exceed $50,000.00 to pay for services provided during the extended term. 2. Section 3, TERM, shall be amended to extend the term of said Agreement through September 30, 2011. 3. Except as amended hereinabove, all terms and conditions of said Agreement shall remain in full force and effect. 250-3 IN WITNESS WHEREOF, City and Consultant have executed this Second Amendment to Consultant Agreement on the date and year first written above. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: JOSEPH W.FLETCHER City Attorney By: Ryan O. Hodge Deputy City Attorney CITY OF SANTA ANA PAUL M. WALTERS Chief of Police CITY OF SANTA ANA DAVID N. REAM City Manager INTERNATIONAL ADLERHORST, INC. DAVID REAVER (Title) 250-4 EXHIBIT A-1 SCOPE OF SERVICES Adlerhorst International agrees to provide police dog training services for the City's canine unit at the request of Santa Ana Police Department. Available services include: • A minimum of one eight-hour training block, per team, per month, with additional sessions available as requested or needed at no additional charge. If SAPD determines said training is not necessary, it will notify Consultant prior to any scheduled training session and Consultant will not be compensated for said session. Training to be conducted at Adlerhorst International, Inc. in Riverside unless mutually agreed arrangements are made in advance of the session. Invoicing for said training will be based on training actually provided, including the number of teams present at each session. Consultant shall not invoice in advance of training sessions. • Written evaluation submitted to the K-9 Supervisor for each session, based on Consultant's comprehensive qualification requirements. • Agitator training sessions for interested police department personnel, as needed. • Certificates issued. • Unlimited court appearances. Certified court expert testimony in the use and deployment of police services dogs (City pays travel and related expenses only). • Ride-along and one-on-one sessions as required. • Training for local and international police dog competitions as requested. • Assist in public relations demonstrations in the City • Availability of preparation for yearly certification (California State certified POST Canine Handler Update and Narcotics Dog Update courses). • Participation in new handler selection as requested. • All instructors POST approved for K-9 evaluation. The goals of the parties under this agreement are as follows: • Reduce liability by elevating the proficiency of canine teams and documenting all training. • Educate and train interested officers to assist more safely and intelligently in local training sessions. • Ensure the team is attaining its full potential, including cross-training detection dogs. 250-5 COMPENSATION: 1. Monthly Training for 6 teams @ $1600.00 per team ...................$ 9,600.00 2. PSD Replacement (up to 2) @ $9600.00 ....................... .........$19,200.00 3. Basic Handlers Course (up to 2) @ $4200.00 ................. .......... $8,400.00 4. Narcotic Training (up to 2) @$4200.00 ......................... ..........$8,400.00 5. Tracking Schools (up to 2) @ $750.00 .......................... ..........$1,500.00 6. Agitator Seminars (up to 4) @ $150.00 ......................... ..........$ 600.00 7. Miscellaneous training equipment as needed ................... .........$2300.00 TOTAL $50,000.00 250-6 Adlerhorst Agreement for Fiscal Year 2008-2009 COMPENSATION 1. Monthly Training (6) teams @ $1,600.00 per team ............... $9,600.00 2. PSD Replacement/Purchase (2) @ $9600.00 each ................ $19,200.00 3. Narcotic Training (up to 2) @ $4200.00 each ..................... . $8,400.00 4. Basic Handlers Course (up to 2) @ $4200.00 each ............... $8,400.00 5. Tracking Course (up to 2) @ $750.00 each ........................ ....$750.00 6. Agitator Seminars (up to 4) @ $150.00 each ...................... ....$600.00 7. Miscellaneous Training Equipment as required ................... ..$3,050.00 TOTAL $50,000.00 250-7 EXHIBIT A-1 SCOPE OF SERVICES Adlerhorst International agrees to provide police dog training services for the City's canine unit at the request of Santa Ana Police Department. Available services include: • A minimum of one eight-hour training block, per team, per month, with additional sessions available as requested or needed at no additional charge. If SAPD determines said training is not necessary, it will notify Consultant prior to any scheduled training session and Consultant will not be compensated for said session. Training to be conducted at Adlerhorst International, Inc. in Riverside unless mutually agreed arrangements are made in advance of the session. Invoicing for said training will be based on training actually provided, including the number of teams present at each session. Consultant shall not invoice in advance of training sessions. • Written evaluation submitted to the K-9 Supervisor for each session, based on Consultant's comprehensive qualification requirements. • Agitator training sessions for interested police department personnel, as needed. • Certificates issued. • Unlimited court appearances. Certified court expert testimony in the use and deployment of police services dogs (City pays travel and related expenses only). • Ride-along and one-on-one sessions as required. • Training for local and international police dog competitions as requested. • Assist in public relations demonstrations in the City • Availability of preparation for yearly certification (California State certified POST Canine Handler Update and Narcotics Dog Update courses). • Participation in new handler selection as requested. • All instructors POST approved for K-9 evaluation. The goals of the parties under this agreement are as follows: • Reduce liability by elevating the proficiency of canine teams and documenting all training. • Educate and train interested officers to assist more safely and intelligently in local training sessions. • Ensure the team is attaining its full potential, including cross-training detection dogs. 250-8 COMPENSATION: 1. Monthly Training for 6 teams @ $1500.00 per team ...................$ 9,000.00 2. PSD Replacement (up to 2) @ $8500.00 ................................ $17,000.00 3. Basic Handlers Course (up to 2) @ $3800.00 ........................... $7,600.00 4. Narcotic Training (up to 2) @$3800.00 ...................................$7,600.00 5. Tracking Schools (up to 2) @ $750.00 ................................... .$1,500.00 6. Agitator Seminars (up to 4) @ $150.00 .................................. .$ 600.00 7. Miscellaneous training equipment as needed ........................... .$3,500.00 TOTAL $46,200.00 250-9 250-10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: RENEW AGREEMENT FOR SEXUAL ASSAULT EVIDENCE COLLECTION CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1st Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the City Manager and the Clerk of Council to renew the attached agreement with Anaheim Regional Medical Center to provide acute sexual assault exams and evidence, subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION The Police Department uses the services of the Anaheim Memorial Medical Hospital to conduct sexual assault examinations and evidence collection for adult victims and suspects. The costs for services are $750 per victim exam and $200 per "Dry Run". Results from these tests and evidence collection are necessary for the prosecution of criminal cases. Anaheim Memorial Medical Center is the only facility in the county performing rape and sexual assault examinations of adults for prosecution purposes. The Police Department has utilized their services for these purposes since 1995. FISCAL IMPACT Funds are available in the Police Department's Crimes Against Persons fund Account (account no. 01114440 62300) in the Fiscal Year 2010-11 budget. Paul M. Walters Chief of Police Police Department APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 25P-1 25P-2 AGREEMENT FOR EVIDENCE COLLECTION SERVICES FOR SEXUAL ASSAULT VICTIMS This Agreement for Evidence Collection Services for Sexual Assault Victims is made and entered into as of the l st day of July, 2010 (the "Effective Date"), by and between A EMC Anaheim Regional Medical Center ("ARMC") and Santa Ana Police Department (the "Department"), with respect to the following: WHEREAS, Department requires the collection of forensic evidence with respect to certain victims of sexual assault; WHEREAS, Department does not have the capability to collect the aforesaid forensic evidence internally; WHEREAS, ARMC has ability to collect forensic evidence and Department desires to purchase said services from ARMC; NOW, THEREFORE, in consideration of the mutual promises, covenants and conditions contained herein, the parties hereto agree as follows: 1. Services. ARMC agrees to provide the following services (collectively, the "Services") to the Department: 1.1. Examination. ARMC agrees to provide the Department approved forensic- medical exams to sexual assault victims for evidence. The exam is to include digital imaging of injuries and physical findings. The forensic examination will be conducted by medical personnel who are competent in the use of the equipment and the interpretation of the findings. 1.2. Testimony. ARMC agrees to provide competent court testimony as requested by the Department (upon receipt of summons or subpoena). 1.3. Evidence. All evidence collected during the examination, will be relinquished at the conclusion of that examination. Digital photographs will be available upon request by Department investigators. 2. Compensation. In exchange for the Services to be provided by ARMC pursuant to Section 1, above, Department shall compensate ARMC as follows: 2.1. Examination. Seven Hundred Fifty Dollars ($750) for each examination. 25P-3 2.2. Dry Run. Two Hundred Dollars ($200) for each "Dry Run." For purposes of this Agreement, "Dry Run" means the dispatching by ARMC of a forensic nurse to perform a case and through no fault of ARMC's, the victim changes his or her mind, refuses to permit the examination, does not want the examination, or does not permit ARMC's forensic nurse to conduct the examination. 2.3. Rate Adjustment. Department acknowledges and agrees that ARMC is entitled to adjust the rates set forth in this Section 2 of the Agreement at any time during this contract, the subcontracted forensic nurses increase their rates charged to ARMC. Said adjusted rate shall be for no more than is required to cover the increase in the subcontracted rate. ARMC shall use commercially reasonable efforts to give Department at least thirty (30) days advance written notice of any increase or adjustment to rates in accordance herewith. 3. Payment. ARMC shall invoice Department monthly for all Services performed in each previous month. Department shall remit payment to ARMC within thirty (30) days of receipt of an invoice. 4. Term. This Agreement shall be for a term of two (2) years, commencing on the Effective Date and expiring on the second anniversary thereof (the "Initial Term"). This Agreement shall be renewable only upon the mutual written agreement of both parties hereto (each, a "Renewal Term" and together with the Initial Term, the "Term"). 5. By signing this Agreement, ARMC certifies that it does not discriminate in hiring or treatment on the basis of race, color, creed, religion, sex, sexual orientation, age, mental status, national origin, ancestry, physical handicap or medical condition. 6. This Agreement is not meant to prohibit the Department from utilizing the services of other hospitals. IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the date first written above. AHMC ANAHEIM REGIONAL SANTA ANA POLI CE DEPARTMENT MEDICAL CENTER, LP, a California ("DEPARTMENT") limited partnership, doing business as AHMC ANAHEIM REGIONAL MEDICAL CENTER ("ARMC") By: r" -.AAA BY Name: s:ti?St7t,1.\ 1:.ul dame: Title: Title: 25P-4 AGREEMENT FOR EVIDENCE COLLECTION SERVICES FOR ALLEGED SEXUAL ASSAULT VICTIMS IN WITNESS WHEREOF, the parties hereto have executed this Agreement on of Date 2010. Mouth ATTEST: Clerk of the Council APPROVED AS TO FORM: JOSEPH W.FLETCHER City Attorney By: Assistant City Attorney CITY OF SANTA ANA City Manager 25P-5 25P-6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: CONDITIONAL USE PERMIT NO. 2010-11 TO ALLOW A 56-FOOT HIGH MONOPINE WIRELESS FACILITY AT 2151 EAST SANTA CLARA AVENUE - COASTAL BUSINESS GROUP, APPLICANT CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1s` Reading ? Ordinance on 2"d Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the staff report approving Conditional Use Permit No. 2010-11 as conditioned. PLANNING COMMISSION ACTION On August 9, 2010, the Planning Commission adopted a resolution approving Conditional Use Permit No. 2010-11 as conditioned by a vote of 5:0 (Betancourt and Gartner absent) to allow the construction of a 56-foot high wireless facility stealthed as a monopine at 2151 East Santa Clara Avenue located in the Arterial Commercial (C5) zoning district. The Planning Commission added a condition of approval that requires the planting of one 36-inch box pine tree adjacent to the new trash enclosure (Exhibit A). FISCAL IMPACT There is no fiscal impact associated with this action. Jays . Trevino Executive Director Planning & Building Agency VF:rb Areports\CUP10-11 2151 Santa Clara= Exhibit: 1. Planning Commission Staff Report 31A-1 31A-2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: AUGUST 9, 2010 TITLE: PUBLIC HEARING - FILED BY COASTAL BUSINESS GROUP FOR CONDITIONAL USE PERMIT NO. 2010-11 TO ALLOW A 56-FOOT HIGH MONOPINE WIRELESS FACILITY AT 2151 EAST SANTA CLARA AVENUE Prepared by Vince Fregoso Executive Director RECOMMENDED ACTION PLANNING COMMISSION SECRETARY APPROVED ? As Recommended ? As Amended ? Set Public Hearing For DENIED ? Applicant's Request ? Staff Recommendation CONTINUED TO Planning Mana r Adopt a resolution approving Conditional Use Permit No. 2010-11 as conditioned. DISCUSSION Request of Applicant Coastal Business Group, representing T-Mobile, is requesting approval of a conditional use permit to allow the construction of a 56-foot high wireless facility stealthed as a monopine at 2151 East Santa Clara Avenue. Property Description The subject property is approximately 0.35 acres in size, square shaped and improved with an 1,800 square foot commercial building occupied by a mini market. The property is located on the east side of Tustin Avenue and one lot east of the northeast corner of Tustin and Santa Clara Avenues. The property is located within the Arterial Commercial (C-5) zoning district and has a General Plan land use designation of General Commercial (GC). Surrounding land uses include commercial to the north, commercial and residential to the south, multi-family residential to the east, and commercial to the west (Exhibits 1 and 2). Project Description T-Mobile is proposing to construct a 56-foot high wireless facility stealthed as a monopine. This facility is intended to provide increased cellular coverage and call capacity in this area of the City. To give the monopine the appearance of a natural tree, the facility has been designed to have branches extend above the antennas that will reach a maximum height of 65 feet. Equipment for the wireless facility will be installed within a 10-foot wide yard area at the rear (north) of the existing building. Further, a 36-inch box pine tree will be installed west of the facility to assist with the stealthing of the monopine (Exhibits 3, 4 and 5). 3 31A-3 CUP No. 2010-11 August 9, 2010 Page 2 The proposed wireless facility will contain three arrays with four panel antennas on each side, for a total of 12 panel antennas. A GPS and parabolic antenna will also be located on the monopine, which will be camouflaged as a Canary Island Pine Tree. Additionally, repaving and restriping of the parking lot and a new trash enclosure, built to City standards, will be installed. Analysis of the Issues In July 1998, the City Council adopted an ordinance that regulates wireless communication facilities throughout the City. Major wireless facilities, which are ground mounted facilities such as the one proposed, or roof mounted and higher than 10 feet above the roof of a building, are required to have a stealth design and be located in an area that provides the greatest amount of visual screening. Further, these major facilities require the approval of a conditional use permit. Finally, Section 41- 198.4 of the Santa Ana Municipal Code identifies several site improvements that may be required at sites with major wireless facilities. These improvements include: 1. Landscaping around the base of the facility, including vines, groundcover and a 24 inch box tree; 2. Decorative fencing (wrought iron or block) around the facility; 3. A six-foot high solid wall between the facility and property zoned or used for residential; 4. One parking space, if on-site parking is not available; 5. Repairing, repaving and restriping of a parking lot which is in poor condition; 6. The repainting of buildings on a site; and, 7. The construction of a new trash enclosure. Several improvements are proposed for the site that will bring the site into compliance with the wireless communications facility ordinance. First, a 36-inch box Canary Island pine tree will be planted near to assist in the stealthing of the monopine. Second, decorative wrought iron fencing will be used to secure the wireless equipment. Third, the existing parking lot will be repaired, repaved and restriped to comply with City standards. Finally, a new trash enclosure, with vines planted to deter graffiti, will be installed for use by the mini market. The remaining items were found to be in compliance with the requirements of the wireless facilities ordinance. A monopine will provide the best stealth design for this facility. The facility is located along a commercial corridor and will be installed on the west side of the building, away from the multi-family residential uses east of the site. Within the corridor, there is a mixture of pine, palm and broad leaf trees. The pine tree design will easily blend into the area and will be designed to allow for future co- location by another provider. Of the various tree designs, the pine tree has been found to be the solution that best stealth's the equipment needed by additional wireless providers. Finally, all associated wiring and conduit for the facility will be underground or hidden within the interior of the monopine. 31A-4 CUP No. 2010-11 August 9, 2010 Page 3 The applicant has explored alternatives to this monopine, including providing a roof mounted facility on an existing building in the area and co-locating on another facility. The heights of the buildings (predominantly one story) in the immediate area do not provide the necessary height to provide adequate service. Also, there are no wireless facilities close enough to provide the necessary coverage and capacity that T-Mobile requires. The proposed monopine will be located on the west side of the existing building and will be separated from the multi-family residential uses located to the east. A facility designed as a monopine would provide the best stealth possible for this location. This location is also optimum to provide the coverage necessary for existing and expanding service. The proposed cellular antennas will provide a benefit to Santa Ana residents, businesses and motorists who subscribe to T-Mobile by closing service gaps in the area. Equipment for the facility will be located in a new enclosure at the rear of the building and will be screened by block walls. The proposed wireless facility complies with the City's Wireless Communications Facility Ordinance and will provide needed service to this area of the City. The project is consistent with the goals and objectives of the General Plan. Based upon the above analysis and findings, staff recommends that the Planning Commission approve Conditional Use Permit No. 2010-11 as conditioned. CEQA Compliance This project was reviewed in accordance with the Guidelines for the California Environmental Quality Act. The recommendation is exempt from further review pursuant to Section 15303. This Class 3 exemption allows in-fill developments for the construction and location of limited numbers of new, small facilities or structures. Categorical Exemption Environmental Review No. 2009-186 will be filed for this project. 1 Vince Fregoso ICP Principal Plann VF:jm vf\reports\CUP10-11 2151 Santa Clara.pc 31A-5 Al GENERAL AGRICULTURAL -B PARKING MODIFICATION Ct COMMUNITY COMMERCIAL Cl-MD COMMUNITY COMMERCIAL-MUSEUM DISTRICT C2 GENERAL COMMERCIAL C3 CENTRAL BUSINESS 03-A CENTRAL BUSINESS-ARTISTS' VILLAGE C4 PLANNED SHOPPING CENTER C5 ARTERIAL COMMERCIAL CR COMMERCIAL RESIDENTIAL C-SM SOUTH MAIN STREET COMMERCIAL DISTRICT -F FLOOR AREA RATIO GC GOVERNMENT CENTER M1 LIGHT INDUSTRIAL M2 HEAVY INDUSTRIAL MO MILITARY OPERATIONS 0 OPEN SPACE -OZ OVERLAY ZONE P PROFESSIONAL PCD PLANNED COMMUNITY DEVELOPMENT PD PLANNED DEVELOPMENT PRD PLANNED RESIDENTIAL DEVELOPMENT R1 SINGLE-FAMILY RESIDENCE R2 TWO-FAMILY RESIDENCE R3 MULTIPLE-FAMILY RESIDENCE R4 SUBURBAN APARTMENT RE RESIDENTIAL ESTATE SD SPECIFIC DEVELOPMENT SP SPECIFIC PLAN AV\ CUP 10-11 k T -MOBILE WIRELESS FACILITY d' 2151 EAST SANTA CLARA AVENUE - - -500 FEET 1" = 1000 FEET P L A N N I N G A N D B U I L D I N G A G E N C Y VICINITY MAP EXHIBIT 1 31A-6 J ¢ J U Q W U c W O MULTI FAMILY a RESIDENTIAL U O U Q COM. Z LLB COMMERCIAL COMMERCIAL PROJECT C Q SITE 4 SANTA CLARA AV. J SCHOOL r J J J Q ¢ W U ¢ SFR p L O cc z Q OW co w N cc _ V) w U) U O W > cc z cc uj MFR BUFFALO o o W v Z ~ U ? • a ¢ ? MULTI FA IL Y RES ENTIAL J O ? U MULTI FAMIL RES] ENTIAL ? CUP 10-11 T-MOBILE WIRELESS FACILITY 2151 EAST SANTA CLARA AVENUE P L A N N I N G A N D B U I L D I N G A G E N C Y LAND USE MAP EXHIBIT 2 31A-7 ? e . . . N z ^' ,.,? $ Z = a °$ 8N X 3 s ? ? ? o - U s ? M ggoo > z y a CY) O 8 s 5 - w> o w g ? ° Fo $ ?? z m J W Z U Y s Q f : R? ? s W - - M Q H ?? 02 [?? z 3 4 ?g a - - J a w Z W=z ?Wg o r ? - - m ? Q a l 0 gi Q 4 g, w w Q Je Z I'. F - - - - - - t m o -=-k kZsj!? ? 2 7`? I , -; r ? 1 I II uj a. CO) 0 a g a Z I 13 ?o z 9L co u O W n 3 d 8 d 44 yg 8 s E ?' ? a. 3 ,? E 5y f e? ?ffi Y E ?? C ?? is ^ ill L ? L Y? Y N a?B? ?? ? r^ vv „? ^4 ? ' ? E ? ? ?? ? 4 SI ? g 6 p iS ,4 /?• J ?' ? 1- ? u y u ? ? ? ppe ff $s Y? 3 9??9Ef RAY°??: 48 Q . ? ? y Ee? ___?? A`}{. J c W vx $E :3: f? x3 4 v $ 4a v 4 Z y: 2 a Y W Q CUP 10-11 EXHIBIT 3 31A-8 J u ?- Qo ?I Cl) a z N Cf) 04 „ Qo Ell J v E Q F S U w Q W e S s J 0 Z W i N - 3 yy x x -1313, i , s 2 sir ? '` k Y S ? w'3 - a Y k 9 4- $ 5 ? `2 ? r 4E° \ - i ? ro.3w+ oc x+e c ca,- x ?. ti 3 GG .. _ ixn_wr, _ ,I{. " w..?t.+a,mcn, nca? ? s xunc. a.t c-ar > > J LLJ J W W F N S ~ W 3 m 0 0 CUP 10-11 EXHIBIT 4 31A-9 o m b z r -_ C#) cc M o M M v sa ' Q u =` $ o J Q F 3: = w i ? : e ? w p - F 2 `J fi o ; J w " ¢ 7 C. N . f e 3t ?? x y` ff5 a$ _ Lh `4'? 5Sa L FY ,?? ? L9 1 ? L E I rr( 'o Z 0 w p J w w N ¢ ~ w 0 2 31 A-10 Photo simulation of proposed monopine (looking northeast at project site) CUP 10-11 EXHIBIT 5 31 A-11 JF 8/9/10 RESOLUTION NO. 2010-10 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING CONDITIONAL USE PERMIT NO. 2010-11 TO ALLOW A 56-FOOT HIGH MONOPINE WIRELESS FACILITY AT 2151 EAST SANTA CLARA AVENUE BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Conditional Use Permit No. 2010-11 came before the Planning Commission of the City of Santa Ana for a duly noticed public hearing on August 9, 2010. B. Conditional Use Permit No. 2010-11 has been filed with the City of Santa Ana seeking to allow the construction of a 56-foot high monopine wireless facility at 2151 East Santa Clara. C. Pursuant to Santa Ana Municipal Code Section 41-198.10, a Conditional Use Permit is required for major wireless facilities. D. Santa Ana Municipal Code Section 41-638 authorizes the Planning Commission to grant a conditional use permit upon making certain findings. Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The proposed 56-foot tall cellular monopine will provide a service to Santa Ana residents, businesses and motorists who subscribe to T-Mobile services by reducing the gaps in digital cellular service and providing additional calling capacity for its users, especially for those users traveling within the northeast sector of Santa Ana. 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? Federal law exempts local jurisdictions from regulating health related issues as these issues are covered under Federal Resolution No. 2010-10 Page 1 of 7 31 A-12 laws. However, the proposed facility will be in compliance with both the Federal Communications Commission (FCC) and Federal Aviation Administration (FAA) safety regulations. 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The proposed monopine, in conjunction with the new live pine tree and required site improvements, will be compatible with the surrounding area and will not adversely affect the economic viability in the area. The stealth appearance and site upgrades will be the major solution to maintaining and increasing the economic stability for this commercial corridor. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? The cellular facility has been designed to comply with the regulations and conditions identified in Chapter 41 of the Santa Ana Municipal Code for a major wireless facility. 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? The proposed monopine facility will not adversely affect the General Plan as cellular facilities that are designed to be compatible with the surrounding environment are consistent with the goals and objectives of the General Commercial (GC) General Plan designation. E. This project was reviewed in accordance with the Guidelines for the California Environmental Quality Act. The recommendation is exempt from further review pursuant to Section 15303. This Class 3 exemption allows infill developments for the construction and location of limited numbers of new, small facilities or structures. Categorical Exemption Environmental Review No. 2008-220 will be filed for this project. Section 2. The Planning Commission after conducting the public hearing hereby approves Conditional Use Permit No. 2010-11 as conditioned in Exhibit "A" attached hereto and incorporated herein. This decision is based upon the evidence submitted at the above said hearing, which includes but is not limited to: the Request for Planning Commission Action dated August 9, 2010 and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. Resolution No. 2010-10 Page 2 of 7 31 A-13 ADOPTED this 9th day of August, 2010 by the following vote: AYES: Commissioners: Acosta, Alderete, Turner, Walters, Yrarrazaval (5) NOES: Commissioners: None (0) ABSENT: Commissioners: Betancourt, Gartner (2) ABSTENTIONS: Commissioners: None (0) Eric Alderete Chairman APPROVED AS TO FORM: By: Joseph W. Fletcher, City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Martha Ramirez, Planning Commission Secretary, do hereby attest to and certify the attached Resolution No. 2010-10 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on August 9, 2010. Date: Planning Commission Secretary City of Santa Ana Resolution No. 2010-10 Page 3 of 7 31A-14 Conditions for Approval for Conditional Use Permit No. 2010-11 Conditional Use Permit No. 2010-11 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below prior to exercising the rights conferred by this conditional use permit. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. A. Planning Division 1. The applicant must comply with all conditions and requirements of the Development Review Committee for the development project (DP 2009-64). 2. Any amendment to this conditional use permit must be submitted to the Planning Division for review. At that time, staff will determine if administrative relief is available or the conditional use permit must be amended. 3. The proposed monopine shall be constructed as per approved plans and any existing landscaping shall be protected in place during the construction period for the 56-foot monopine facility. 4. The existing parking lot shall be repaired, repaved and restriped to City standards. 5. Repaint the portions of the west side of the building (previously graffiti) with paint that matches the existing building. 6. Install vines, with irrigation, on the exterior of the trash enclosure. 7. Revise the plans to depict the removal of the doghouse from the exterior of the pole structure. All conduit and wiring must be located within the interior of the pole. 8. The proposed monopine shall be constructed per the following specifications: a. The monopine should have 3.1 branches per foot for full density coverage with limited spacing between the branches; 70 percent of the branches should be eight feet or longer. Resolution No. 2010-10 Page 4 of 7 31 A-15 b. Branch disbursement should be random so that longer branches and shorter branches are intermingled to give a natural appearance. c. Branches should exceed all antennas by a minimum of 12 inches. d. Branches should start at 15 feet above the ground. e. There should be a minimum space of seven feet between the top of the antenna and the top of the branches. f. Branches should have an upward sweep similar to that of actual Canary Island Pines. g. Branch foliage color should be an olive green with some brown "needles" to match an actual Canary Island Pine. A sample should be submitted for approval prior to fabrication. h. Full bark cladding with a custom color should be submitted for approval prior to fabrication. L All antennas shall be covered with "pine antenna socks" that match the approved foliage color. j. All "stand-off mounts" and support pipe mounts shall be concealed behind antennas and painted a darker shade or green (or black) with a "flat" paint finish to reduce reflection and visibility of the mounting. k. Include the tree specifications (selected manufacturers and models) with photo simulations (also a site plan review requirement). 1. Show the location of the GPS antenna on all elevations. m. Provide a "unistrut" detail for the utility cabinet; an "H-frame" is not acceptable. n. Provide a note on the plans stating "install underground utilities sleeving for two carriers during construction of the structure". Shrouds on the outside of the pole are not acceptable. o. All exterior conduit and electrical meters shall be installed and screened in one metal enclosure painted to match the structure. Resolution No. 2010-10 Page 5 of 7 31 A-16 9. The permit applicant recognizes that the frequencies used by the cellular facility located at 2151 East Santa Clara Avenue are extremely close to the frequencies used by the City of Santa Ana for Public Safety. This proximity will require extraordinary "comprehensive advanced planning and frequency coordination" engineering measures to prevent interference, especially in the choice of frequencies and radio ancillary hardware. This is encouraged in the "Best Practices Guide" published by the Association of Public-Safety Communications Officials-International, Incorporated (APCO), and as endorsed by the Federal Communications Commission (FCC). Prior to the issuance of any permits to install the facility, (permit applicant) shall meet in good faith to coordinate the use of frequencies and equipment with the Communications Division of the Orange County Sheriff-Coroner Department to minimize, to the greatest extent possible, any interference with the Public Safety 800 MHz Countywide Coordinated Communications System (CCCS). Similar consideration shall be given to any other existing or proposed wireless communications facility that may be located on the subject property. 10. At all times, the permit applicant shall not prevent the City of Santa Ana from having adequate spectrum capacity on the City's 800 MHz radio frequency. 11. Before activating its facility, the permit applicant will submit to a post-installation test to confirm that "advanced planning and frequency coordination" of the facility was successful in not interfering with the City of Santa Ana Public Safety radio equipment. This test will be conducted by the Communications Division of the Orange County Sheriff-Coroner Department or a Division-approved contractor at the expense of the applicant. This post-installation testing process shall be repeated for every proposed frequency addition and/or change to confirm the intent of the "frequency planning" process has been met. 12. The permit applicant shall provide a 24-hour phone number to which interference problems may be reported. This condition will also apply to all existing facilities in the City of Santa Ana. 13. The permit applicant will provide a "single point of contact" in its Engineering and Maintenance Departments to insure continuity on all interference issues. The name, telephone number, fax number and e-mail address of that person shall be provided to the City's designated representative upon activation of the facility. 14. The permit applicant shall insure that lessee or other user(s) shall comply with the terms and conditions of this permit, and shall be responsible for the failure of any lessee or other users under the control of permit applicant to comply. Resolution No. 2010-10 Page 6 of 7 31 A-17 15. The permit applicant shall provide a coverage and cell site location map for each existing and proposed facility in Santa Ana. 16. Locate all equipment and related appurtenances (Appleton plug and electric meter) on the inside of the existing equipment enclosure or inside the building and underground all electrical power from the utility source shown on the approved site plan. 17. A 36-inch box pine tree, with irrigation, shall be planted adjacent to the new trash enclosure. 18. Conditional Use Permit No. 2010-11 expires 10 years from the date of City Council approval. Resolution No. 2010-10 Page 7 of 7 31 A-18 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: CONDITIONAL USE PERMIT NO. 2010-12 TO ALLOW THE SOUTHWEST COMMUNITY CENTER TO OPERATE A NEIGHBORHOOD SERVICE FACILITY AT 1601 WEST SECOND STREET - CON E JONES, APPLICANT A12 CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 15` Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER Receive and file the staff report approving Conditional Use Permit No. 2010-12 as conditioned. PLANNING COMMISSION ACTION On August 9, 2010, the Planning Commission adopted a resolution approving Conditional Use Permit No. 2010-12 as conditioned by a vote of 5:0 (Betancourt and Gartner absent) to allow the reconstruction and operation of the Southwest Community Center at 1601 West Second Street located in the Two Family Residential (R2) zoning district. The Planning Commission made no changes to the recommended conditions of approval outlined in the attached staff report (Exhibit A). FISCAL IMPACT There is no fiscal impact associated with this action. Jay.WTrevino Executive Director Planning & Building Agency VF:rb vflreportslcupl0-12 Southwest Comm Center.cc Exhibit: 1. Planning Commission Staff Report 31 B-1 31 B-2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: AUGUST 9, 2010 TITLE: PUBLIC HEARING - FILED BY CONNIE JONES FOR CONDITIONAL USE PERMIT NO. 2010-12 TO ALLOW THE SOUTHWEST COMMUNITY CENTER TO OPERATE A NEIGHBORHOOD SERVICE FACILITY AT 1601 WEST SECOND STREET Prepared by Vince Fregoso PLANNING COMMISSION SECRETARY APPROVED ? As Recommended ? As Amended ? Set Public Hearing For DENIED ? Applicant's Request ? Staff Recommendation CONTINUED TO 4- - A 4-e -defl?= -- Executive Director Planning Manag RECOMMENDED ACTION Adopt a resolution approving Conditional Use Permit No. 2010-12 as conditioned. DISCUSSION Request of Applicant Connie Jones of the Southwest Community Center is requesting approval of a conditional use permit in order to allow the reconstruction and operation of an existing neighborhood service facility located at 1601 West Second Street. Property Description The site, located at 1601 West Second Street, is a 12,300 square foot parcel of land located at the northwest corner of Second Street and Forest Avenue. The site contains two existing buildings: a fire damaged main building currently used by the Southwest Community Center for their outreach programs, and a structure used for storage. In addition, a temporary trailer is currently located on the site that is being used as an office. The buildings have been occupied since the early 1970s by the non-profit Southwest Community Center and was previously used as a pet store. No parking spaces are currently provided for the site. The subject property is zoned Two-Family Residence (R2) and has a land use designation of Low- Density Residential (LR-7) on the City of Santa Ana General Plan. The property is surrounded by single-family residential uses, a church and an elementary school to the north, and single-family residential uses to the south, east and west (Exhibits 1 and 2). 1 31 B-3 Conditional Use Permit No. 2010-12 August 9, 2010 Page 2 Proiect Description The subject of this application is a request for approval of a conditional use permit to allow the reconstruction of a neighborhood service center at 1601 West Second Street. If approved, the applicant intends to demolish the existing community center and storage building and construct a new 3,707 square foot, two-story main structure and a 1,000 square foot storage building. Parking for a neighborhood service center is one space per 200 square feet of gross floor area. The previous facility was legal nonconforming as to parking, therefore new parking has been provided only for the additional 1,000 square feet of building area proposed. Based on this standard, five parking spaces are required for this structure, with five provided. The building has been designed to be architecturally compatible with the surrounding residential neighborhood. Its roof lines, roofing materials, windows, stucco and stone accents, and earth tone paint palette will complement the existing residential neighborhood (Exhibits 3 through 6). Analysis of the Issues The Southwest Community Center, which operates as a non-profit, was founded in 1971 by Annie Mae Tripp, who identified a need to help the less fortunate and wanted to give back to the community. In 1974, the Center moved into the building on Second Street and began operating as a soup kitchen. The Center has continuously occupied the building since that time and has expanded the services and programs they provide, all in an effort to help the underserved segment of the community. The Center provides basic services, such as food, clothing, shelter and other related support services. To that end, hot meals are provided twice a day (three times on Saturday); grocery bags are distributed to families, senior citizens, and homeless twice a week; donated clothing is distributed three times a week; emergency rental assistance is provided twice a week; and health screenings, educational workshops and holiday activities are offered on an as needed basis. In 2009, approximately 122,000 hot meals were served, 14,000 food bags were prepared, several tons of clothing were distributed to over 6,500 individuals, and over 900 individuals were provided with rental and utility assistance. Of these people served, approximately 86 percent of them were Santa Ana residents. In December 2009, an electrical fire severely damaged the kitchen and office areas of the Southwest Community Center. In response, an overwhelming show of support by volunteers and a surplus of donations allowed the Center to remain operational to allow time for additional fundraising and to plan for the repair of the facility. During the design process, the staff at the Center identified the opportunity to significantly improve their facility by embarking upon a complete reconstruction. 31 B-4 Conditional Use Permit No. 2010-12 August 9, 2010 Page 3 The Santa Ana Municipal Code (SAMC) allows for neighborhood and community service centers in the R2 zone subject to the approval of a conditional use permit. Because the previous facility began operation prior to the establishment of this requirement and, as such, did not have the conditional use permit needed to operate a community/neighborhood center in the R2 zone, the new project triggered the requirement for such a permit (SAMC 41-247.5 and 41.232.5(g)). The facility has been designed to comply with the City's residential development standards. For example, the project has been designed to comply with both the front and side yard setback standards. A 20-foot landscape setback will be provided along Second Street, with a 10-foot landscaped setback provided along Forest Avenue. Both of these setbacks are consistent with the development pattern found in the neighborhood. Further, the building has been designed to have the appearance of a residential structure and will utilize color and materials found in the area. Also, the overall height of the building will not exceed the 27-foot maximum allowed in a residential zone. Additionally, a landscaped buffer and a six-foot high block wall will be provided at the north and west property lines to separate the Center from the adjacent uses. Finally, five new parking spaces and a loading zone will be provided for the Center. Neighborhood Outreach On July 20, 2010, the Artesia-Pilar neighborhood held a meeting to discuss the project. During the meeting, the neighborhood made positive comments regarding the architecture of the building and indicated that it would be a good addition to the neighborhood. They appreciated the added security features (lighting, lockable gates, alarm), the new indoor eating area and the preservation of the large tree on the site. A concern with the conflict between the school release times and the Centers lunch time crowd were raised and the Center staff addressed this concern. At the conclusion of the meeting, the neighborhood noted that the Center has been a good neighbor in the past and was supportive of the reconstruction of the Southwest Community Center. Conclusion The reconstruction of the Southwest Community Center will allow the facility to continue to provide needed services to the underprivileged segment of the community. To address concerns related to the proposal, staff has included conditions of approval that mitigate these issues. Staff recommends that the Planning Commission approve Conditional Use Permit No. 2010-12 as conditioned. 31 B-5 Conditional Use Permit No. 2010-12 August 9, 2010 Page 4 Environmental Review This project was reviewed in accordance with the Guidelines for the California Environmental Quality Act. The recommendation is exempt from further review pursuant to Section 15303. This Class 3 exemption allows in-fill developments for the construction and location of limited numbers of new, small facilities or structures. A Notice of Exemption for Categorical Exemption Environmental Review No. 2010-71 will be filed for this project. Vin ' regoso, CP.- Principal Plar VF:jm of/reports/cup10-12 Southwest Comm Center.pc 31 B-6 Rt R1 R1 R1 1 R1/_ > R1 R2 R1 en6 7 R2 .e6 6R1 'i R1 R2 i R2 <f9q M1? R sTH sr. M1 Mi C2 I i??1M1 I I Rl Ij i?t r- IIQ R44 y «I?_77_Jq. . 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I I 1 I 1 I 1 II 1 I ° I 1 I 1 ' I 1 1 I 1 I 1 1 I I 1 I , 1 I 1 I 1 ' I I I I I I II I I 31 B-15 JF 8/9/10 RESOLUTION NO. 2010-11 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING CONDITIONAL USE PERMIT NO. 2010-12 TO ALLOW THE SOUTHWEST COMMUNITY CENTER TO OPERATE A NEIGHBORHOOD SERVICE FACILITY AT 1601 WEST SECOND STREET BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Conditional Use Permit No. 2010-12 came before the Planning Commission of the City of Santa Ana for a duly noticed public hearing on August 9, 2010. B. Conditional Use Permit No. 2010-12 has been filed with the City of Santa Ana to allow the reconstruction of a new neighborhood service center at 1601 West Second Street. If approved, the applicant intends to demolish the existing community center and storage building and construct a 3,707 square foot, two-story main structure and a 1,000 square foot storage building. The existing community center was severely damaged by an electrical fire that occurred in December 2009. Since that time, the applicant has been utilizing the less damaged portion of the building as well as a temporary trailer to continue with their outreach programs. C. Santa Ana Municipal Code Section 41-638 authorizes the Planning Commission to grant a conditional use permit upon making certain findings. 1. Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The Southwest Community Center has been providing services to the underprivileged segment of the community since 1971. The reconstruction of the facility will allow it to continue to provide food, clothing and shelter services to the residents of the City. The construction of the center in a residential neighborhood will allow people who need support services the opportunity to walk to this location. Resolution No. 2010-11 Page 1 of 4 31 B-16 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? The proposed use will not be detrimental to the health or safety of persons living or working in the area as one of the goals of the facility is to provide essential services to the neighborhood. Additionally, the buildings have been architecturally designed to be compatible with the surrounding low-density residential development. 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The proposed use is compatible with the surrounding uses and will not adversely affect the economic viability in the area. The economic viability of the area will increase due to the new construction in the area. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? The Southwest Community Center will be in compliance with the regulations and conditions identified in Chapter 41, including the Two-Family Residence zoning standards. 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? The proposed community center will not adversely affect the General Plan as the proposed project is consistent with the goals and objectives of the Low-Density Residential (LR7) General Plan designation. Section 2. This project was reviewed in accordance with the Guidelines for the California Environmental Quality Act. The recommendation is exempt from further review pursuant to Section 15303. This Class 3 exemption allows in-fill developments for the construction and location of limited numbers of new, small facilities or structures. A Notice of Exemption for Categorical Exemption Environmental Review No. 2010-71 will be filed for this project. Section 3. The Planning Commission after conducting the public hearing hereby approves the Conditional Use Permit as conditioned in Exhibit "A" attached hereto and incorporated herein. This decision is based upon the Resolution No. 2010-11 Page 2 of 4 31 B-17 evidence submitted at the above said hearing, which includes but is not limited to: the Request for Planning Commission Action dated August 9, 2010 and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. ADOPTED this 9th day of August, 2010 by the following vote: AYES: Commissioners NOES: Commissioners ABSENT: Commissioners ABSTENTIONS: Commissioners Acosta, Alderete, Turner, Walters, Yrarrazaval (5) None (0) Betancourt, Gartner (2) None (0) Eric Alderete Chairman APPROVED AS TO FORM: By: Joseph W. Fletcher, City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Martha Ramirez, Planning Commission Secretary, do hereby attest to and certify the attached Resolution No. 2010-08 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on August 9. 2010. Date: Planning Commission Secretary City of Santa Ana Resolution No. 2010-11 Page 3 of 4 31 B-18 Conditions for Approval Conditional Use Permit No. 2010-12 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below prior to exercising the rights conferred by this conditional use permit. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. A. Planning Division All proposed site improvements, including all landscaping as shown on the site plan, must conform to the Site Plan review approval of DP No. 2010-5. 2. All perimeter fencing (north and west property lines) shall be a solid block wall not less than six feet in height. 3. A trash enclosure built to City standards must be constructed on the site. 4. The operator/owner shall remove any graffiti occurring on the premises within 48 hours. 5. Signage is limited to one non-illuminated monument sign not exceeding five feet in height and two non-illuminated wall signs. 6. There shall be no exterior vending machines or pay phones on the premises. 7. After project occupancy, landscaping is to be maintained to include the minimum levels of plant materials installed at the time of occupancy. Resolution No. 2010-11 Page 4 of 4 31 B-19 31 B-20 Artesia Pilar Neighborhood Association C/o 2234 North Pacific Avenue Santa Ana, CA 92706 August 8, 2010 Mayor Miguel Pulido City Council of Santa Ana Re: Conditional Use Permit No. 2010-12 Honorable Mayor and City Council members: I am writing to you in support of the Southwest Minority' Economic Development Association's (SMEDA) application for a conditional use permit number 2010-12 to allow the reconstruction of the Southwest Community Center for property located in the two family residential (R2) Zoning District. The Artesia Pilar Neighborhood Association held a' community meeting on July 20, 2010. The community reviewed and discussed the SMEDA plan for reconstruction. The neighborhood and residents support the request for a conditional use permit to enable SMEDA to move forward with its reconstruction. plan. Over the years, the Artesia' Pilar Neighborhood Association has struggled and fought to maintain the residential character of the neighborhood from commercial encroachment, non- conforming use and other detrimental development. The Southwest Community Center has been part of that effort to preserve the community. The Center has played a critical role in providing needed emergency and safety-net services to the poor in our neighborhood for over 25 years. As you know, the Center was burnt to the ground but the community came together to raise funds to rebuilt the Center. The Center was created by black members of the community to meet a need and has been a part of our community. They did not come from outside of Santa Ana. The neighborhood decided to support the conditional use permit and support the reconstruction. The new Center will be a great improvement. However, we would like to point out to the City Council that SMEDA does need support for services. Recently, the City has reduced funding. While SMEDA largely serves the people in the community, the homeless situation has increased since the Rescue Mission left the area and there is little or no coordinated effort to mitigate the problems in our neighborhood. The reconstruction plan will help. However, a new building alone cannot address the growing problem of the homeless. We hope the City also help SMEDA find additional resources. We urge the City Council to approve this conditional use permit to allow the reconstruction. But, we want the City Council to also note we do not support any other non-conforming use. We thank you for your attention to this and hope that you join us in supporting the efforts of SMEDA in helping the poor in Santa Ana. Sincerely, i Ruby Gonzales Woo President Artesia Pilar Neighborhood Association 31B-21 ?a 31 B-22 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: MODIFICATIONS TO CONDITIONAL USE PERMIT NO. 2008-35 FOR THE GEISHA HOUSE RESTAURANT LOCATED AT 2773 NORTH MAIN STREET - THE DOLCE GROUP, APPLICANT CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 151 Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the staff report approving modifications to Conditional Use Permit No. 2008-35 as conditioned. PLANNING COMMISSION ACTION On August 23, 2010, the Planning Commission adopted a resolution approving modifications to Conditional Use Permit No. 2008-35 as conditioned by a vote of 7:0 to modify the condition allowing dancing after hours at the Geisha House Restaurant at 2773 North Main Street located in the Specific Development No. 59 (SD-59) zoning district. The Planning Commission made no changes to the recommended conditions of approval outlined in the attached staff report (Exhibit A). FISCAL IMPACT There is no fiscal impact associated with this action. M. Trevino Pecutive Director Planning & Building Agency SK:rb sk\Reports\cupO8-35 Geisha House mod.cc Exhibit: 1. Planning Commission Staff Report 31C-1 31 C-2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: AUGUST 23, 2010 TITLE: PUBLIC HEARING - MODIFICATIONS TO CONDITIONAL USE PERMIT NO. 2008-35 FOR THE GEISHA HOUSE RESTAURANT LOCATED AT 2773 NORTH MAIN STREET, THE DOLCE GROUP, APPLICANT Prepared by Sergio Klotz xecutive Director RECOMMENDED ACTION PLANNING COMMISSION SECRETARY APPROVED ? As Recommended ? As Amended ? Set Public Hearing For DENIED ? Applicant's Request ? Staff Recommendation CONTINUED TO Planning Manager Adopt a resolution approving modifications to Conditional Use Permit No. 2008-35 as conditioned for after-hours operation. DISCUSSION Request of Applicant The Dolce Group, owner and operators of the Geisha House restaurant, is requesting a condition modification to Conditional Use Permit No. 2008-35 which allowed a Type 47 Alcoholic Beverage Control license for the on-premise sale of beer, wine and distilled spirits at the restaurant located at 2773 North Main Street. Property Description The Geisha House restaurant is located within the City Place mixed use development on the northeast comer of Main Street and Memory Lane. The parcel is located within the Specific Development No. 59 (SD-59) zoning district and has a General Plan designation of District Center (DC). Surrounding land uses include commercial to the north, office uses and Santiago Park to the south, the Main Place Mall to the west, and new residential condominiums as well as a senior housing complex to the east (Exhibits 1 and 2). 3 Amend CUP No. 2008-35 August 23, 2010 Page 2 Geisha House occupies a 5,616 square foot two-story building and a 1,101 square foot outdoor patio dining area within the City Place development (Exhibit 3). The restaurant is a sit-down eating establishment that offers Japanese cuisine to its customers in an upscale setting. The hours of operation for the restaurant are 11:00 a.m. to 2:00 a.m., seven days a week. In 2008, two separate conditional use permits were granted to allow the sale of alcoholic beverages at a bona fide eating establishment and after hours. Due to similar dancing conditions on each conditional use permit, each requires modification. As such, on August 10, 2010 the Zoning Administrator approved modifications to Conditional Use Permit No. 2008-32 allowing dancing in conjunction with the sale of alcoholic beverages at a bona fide eating establishment. Project Description The applicant is proposing to obtain a modification to the existing conditional use permit allowing after hours at the Geisha House Restaurant (Exhibits 4 and 5). The Dolce Group has requested the ability to allow dancing at the establishment. The request requires the deletion of one condition that prohibits public dancing. The after- hours operation is an ancillary function to the primary restaurant use. The storage area for alcoholic beverages remains untouched and is located behind the hostess station and within the bar and dry storage areas. The overall storage of alcoholic beverage consists of approximately 269 square feet which is less than five percent of the gross floor area of the restaurant. Analysis of the Issues Conditional Use Permit No. 2008-35 was granted in 2008 to allow the restaurant to operate from 12:00 a.m. to 2:00 a.m. With the approval of the conditional use permit, conditions of approval were also granted. Staff has analyzed the modification request consistent with other eating establishments throughout the city. The applicant's request to modify a condition of approval to allow dancing is not contrary with the City's established guidelines for restaurants selling alcoholic beverages. Allowance of dancing after hours at the establishment in conjunction with food and alcohol consumption is consistent with other similar restaurants. The facility will remain a bona fide restaurant use providing the appropriate kitchen and food preparation area. The surrounding land uses adjacent to the restaurant are commercial uses with the exception of Santiago Park to the south and the adjoining City Place residential uses to the east and north on the same integrated development site. The extended hours of operation, as conditioned, should not impact the residences as the restaurant use must minimize potential noise impacts to the surrounding residential and commercial uses and provide adequate security to monitor the site. Additionally, the outdoor dining patio is located at the intersection of Main Street and Memory Lane, the furthest point from the residential component. 31 C-4 Amend CUP No. 2008-35 August 23, 2010 Page 3 In addition to the conditional use permit modification, the applicant will be obtaining a dance permit from the Chief of Police. In order to allow dancing at an establishment similar to the Geisha House restaurant, Chapter 11 of the Santa Ana Municipal Code requires the restaurant to remain a bona fide eating establishment, maintain a minimum of 50 seats, provide a minimum of 300 square feet of dance area and not provide a cover charge for admittance. The applicant's intent and proposal meets these minimum requirements. The Geisha House restaurant offers patrons a variety of dining options, which include bar and lounge seating, indoor and outdoor dining and reservation rooms. The two reservation rooms are located on the first and second floors of the restaurant and are available for group dining. The reservation rooms are both under 160 square feet and are partially enclosed. The second floor reservation room is enclosed by glass doors and walls. A total of 53 tables, 16 booths and 8 lounge sofas are distributed throughout the first floor and open patio of the restaurant. Additional seating includes 15 tables on the restaurant's second story. The request to allow dancing would affect only the first floor of the restaurant and occur within the interior of the restaurant space in the area that currently provides non-fixed tables and chairs. Fixed patron booths are located along the perimeter of the interior. The second floor would remain unchanged. An area for a DJ, approved in the existing conditional use permit, is located on the second floor overlooking the first floor. The area of 2773 North Main Street is located within reporting district No. 181, which ranks 100 out of 102 citywide districts in total number of police-related incidents. To ensure the business operates as a bona fide eating establishment, as well as minimize the potential impacts associated with alcoholic beverage sales at the proposed restaurant location, the Police Department is recommending conditional approval of the project. These proposed conditions are intended to mitigate any problems that may negatively affect the adjacent neighborhood and surrounding area. Lastly, the site has a General Plan land use designation of District Center (DC). The District Center designation emphasizes the use of this area as an anchor for commercial development and as a commercial corridor. The continued operation of an upscale sit down restaurant with dancing in this area helps to achieve this goal. Additionally, this site is located on a major arterial street and the subject property's proximity near the Interstate 5 freeway promotes the City of Santa Ana as a regional destination. Based upon analysis of the project and its compatibility with the City's General Plan and applicable development standards, staff recommends that the Planning Commission approve modifications to Conditional Use Permit No. 2008-35 as conditioned. 31 C-5 Amend CUP No. 2008-35 August 23, 2010 Page 4 CEQA Compliance In accordance with the California Environmental Quality Act, the recommended action is exempt from further review per Section 15301. This Class 1 exemption allows the licensing of existing facilities with no expansion of the existing use. Categorical Exemption Environmental Review No. 2010-112 will be filed for this project. 31 C-6 SK: sk\Repoft%cupO8-35 Geisha House mod.po D I I y o! 0 r¢ n g e 22 FREEWAY R D ?K?eDm - G2- RI H011 5 TG .wumm M Ada s C2-HD II / T9 O f s ' R1 ra 77 F : R1 R1 R1 SD- PROJECT AID SITE I SD-59 R4 D pn? PN• R4 0 ? R1 ? ,• NENORY LN. MNN PLACE D0. M W .. D At 6Q- R1 ` R 6SD- 5 ?? ; noo R4 RI R1 "` PART( u.. ? 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Q O Ali' y ?,?.; ; s? r? rtt qq E a 1 ?• ??? y` u fill aiti i's .1 1 1 1711 ! II s g8 ?i?i 11 I W Im 0 PAi - U ?? m Q CA e-?l Q Modifications to CUPOS-35 Exhibit 4 31C-10 ?e LlJO ]1Y FLF '?'4 ?OOG Liual . FOO-U ONz OIAVQ .ti140?NJ YHr ?LiM''lS MIVnrELL7 ?„ j I1 ? rtn-)- -* - -- I . 3wm 3INNO1 VIM maim I1 FIT vw VINYs VL gno LmrmY w.I I 1 f 3 - I n.r p .I-o? ?p + ? ? go 1 Aa- 1 f a S 1 1 Is•?i o? U ? gn ?_ tions to is 5 1 1 I? It f f `moo ? W. t ?\ I O 3 I z 5 a 0 0 o; NIA 0 I i 1 1 Q 31C-12 ROH - 08/23/10 RESOLUTION NO. 2010-14 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA MODIFYING CONDITIONAL USE PERMIT NO. 2008-35 AS CONDITIONED TO ALLOW AFTER HOURS OPERATION FOR THE PROPERTY LOCATED AT 2773 NORTH MAIN STREET BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Applicant is requesting approval of modification to Conditional Use Permit No. 2008-35 to operate a restaurant between the hours of 11:00 a.m. to 2:00 a.m., seven days a week, for the property located at 2773 North Main Street. B. On November 24, 2008, the Planning Commission of the City of Santa Ana approved Conditional Use Permit No. 2008-35 as conditioned. C. The Specific Development No. 59 (SD-59) zoning designation requires a conditional use permit for restaurants open between the hours of 12:00 a.m. and 5:00 a.m. D. The applicant is requesting the following modifications to Conditional Use Permit No. 2008-35 as conditioned to allow after hours operation for the property located at 2773 North Main Street: Allow dancing within the restaurant. The applicant is requesting a minimum of 300 square feet of dance area. E. Santa Ana Municipal Code Section 41-196 and 41-638 authorizes the Planning Commission to modify a conditional use permit upon making certain findings. 1. Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The proposed amendment to the conditional use permit for after hours operation will continue to provide an ancillary service to the restaurant and thereby benefit the community by providing an additional amenity at the eating establishment. Conditions have been placed on the after hours conditional use permit which will mitigate any potential Resolution No. 2010-14 Page 1 of 9 31C-13 impacts created by the use and ensure that the use will not negatively affect the surrounding community. 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? The proposed amendment to allow dancing at the location will not be detrimental to persons residing or working in the area because the use, as conditioned, will not create any negative or adverse impacts. Dancing will occur within the premises and is incidental to the restaurant use. The extended hours will continue to be in conjunction with the existing sit-down eating establishment. Conditions to minimize potential noise impacts to the surrounding residential and commercial uses are in place or recommended. 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The project site is located within the City Place development and is suitable for the proposed use. The provision of dancing at the Geisha House restaurant will increase the patronage to the restaurant and number of visitors to the development, thereby enhancing the profitability of the business and economic stability of the area. The project site is located in a commercial area near the Westfield Mall and helps to further emphasize North Main Street as a commercial district. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As conditioned, the allowance of dancing will be in compliance with all applicable regulations and conditions imposed on a restaurant operating after hours pursuant to Specific Development No. 59 and Chapters 11 and 41 of the Santa Ana Municipal Code. 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? The proposed use will not adversely affect the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A restaurant with extended hours and ancillary dancing provides an additional amenity to the existing dining service and the residents of Santa Ana. Additionally, the property is located within the District Center (DC) general plan land use Resolution No. 2010-14 Page 2 of 9 31 C-14 designation which emphasizes the area as a major commercial corridor for the City. F. In accordance with the California Environmental Quality Act, the recommended action is exempt from further review per Section 15301. This Class 1 exemption allows the licensing of existing facilities with no expansion of the existing use. Categorical Exemption Environmental Review No. 2010-112 will be filed for this project. Section 2. The Planning Commission of the City of Santa Ana after conducting the public hearing hereby approves the modifications to Conditional Use Permit No. 2008-35 as conditioned in Exhibit A attached hereto and incorporated as though fully set forth herein. This decision is based upon the evidence submitted at the abovesaid hearing, which includes but is not limited to: the Request for Planning Commission Action dated August 23, 2010 and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. ADOPTED this 23rd day of August, 2010 by the following vote: AYES: Commissioners: Acosta, Alderete, Betancourt, Gartner, Turner, Walters, Yrarrazaval (7) NOES: Commissioners: None (0) ABSENT: Commissioners: None (0) ABSTENTIONS: Commissioners: None (0) Eric Alderete Chairman APPROVED AS TO FORM: Joseph W. Fletcher, City Attorney By: Ryan O. Hodge Deputy City Attorney Resolution No. 2010-14 Page 3 of 9 31C-15 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARTHA RAMIREZ, Secretary of the Planning Commission, do hereby attest to and certify the attached Resolution No. 2010-14 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on August 23, 2010. Date: Secretary of the Planning Commission City of Santa Ana Resolution No. 2010-14 Page 4 of 9 31C-16 Modified Conditions of Approval for Conditional Use Permit No. 2008-35 Conditional Use Permit No. 2008-35 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below prior to exercising the rights conferred by this conditional use permit. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. (Added language highlighted, deleted language in strikeout.) A. Planning Division 1. The project shall remain in compliance with Site Plan Review (DP No. 08- 63). 2. Any amendment to this conditional use permit must be submitted to the Planning Division and Police Department for review. At that time, staff will determine if administrative relief is available or the conditional use permit must be amended. 3. The hours of operation for the facility shall not exceed past 2:00 a.m., seven days a week. 4. All special events hosted by the restaurant must be catered by the on-site Geisha House kitchen and staff. B. Police Department 1. There shall be no fixed bar on the premises maintained for the sole purpose of sales, service or consumption of alcoholic beverages directly to patrons. 2. Full menus and food service shall be available in the lounge area and at the counter/bars during all operational hours. 3. At all times when the premises is open for business the sale of alcoholic beverages shall be made only in conjunction with the sale of food to the person ordering the beverage. Resolution No. 2010-14 Page 5 of 9 31C-17 AUGUST 23, 2010 PAGE 2OF4 4. The quarterly gross sales of alcoholic beverages shall not exceed the gross sales of food during the same period. These records are to be kept no less frequently than on a quarterly basis and shall be made available to the City if requested. 5. The premises shall be maintained as a bona fide eating establishment and shall provide a menu containing an assortment of foods normally offered in restaurants. 6. The establishment shall not be operated as a public premises. 7. The sale of alcoholic beverages for consumption off the premises is strictly prohibited. 8. There shall be a server assigned to the patio area at all times that the service and consumption of alcoholic beverages is available. 9. There shall be no exterior advertising of any kind or type, including advertising directed to the exterior from within, promoting or indicating the availability of alcoholic beverages. 10. It shall be applicant(s) responsibility to ensure that no alcoholic beverages are consumed on any property adjacent to the licensed premises under the control of the applicant(s), with the exception of the enclosed patio area. 11. The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. 12. There shall be no public telephones located on the exterior of the premises. All interior pay phones must be designed to allow outgoing calls only. 13. The petitioner(s) shall be responsible for maintaining the premises free of graffiti. All graffiti must be removed within 24 hours of occurrence. 14. There shall be no pool tables, coin-operated games, or video machines maintained upon the premises at any time. 15. Live entertainment and amplified music are prohibited on the premises at any time, with the exception of the proposed DJ. Resolution No. 2010-14 Page 6 of 9 31C-18 AUGUST 23, 2010 PAGE 3OF4 16. There shall he nn publin daRGiRg GR the rremises (Deleted by Planning Commission August 23, 2010) 17. Noise/music shall not be audible beyond 20 feet from the exterior of the premises in any direction. 18. The sales, service, and consumption of alcoholic beverages shall be permitted only between the hours of 10:00 a.m. and 2:00 a.m. 19. This land use authorization is only for a Type 47 on-sale general, public eating-place, any other license use at this location will require a new land use clearance. 20. Existing restaurant and required parking within 60 feet must conform to the provisions of Chapter 8, Article II, Division 3 of the Santa Ana Municipal Code (Building Security Ordinance). These code conditions will require that the existing project's lighting, door/window locking devices and addressing be upgraded to current code standards. Lighting standards cannot be located in required landscape planters. 21. Prior to issuance of Letter of Approval to the Alcohol Beverage Control Board condition 20 must be complied with. 22. Applicant is required to provide Police Department approved armed robbery prevention training annually to all of their restaurant employees. 23. Window displays and racks must be kept to a maximum height of three feet including merchandise. 24. A timed-access cash controller or drop safe must be installed. 25. Install a silent armed robbery alarm. 26. The applicant shall not share any profits, or pay any percentage or commission to a promoter or any other person, based upon monies collected as a door charge, cover charge, donation, or any other form of admission charge, including minimum drink orders, or the sale of drinks. The dressing room indicated on the plans shall only be used by food service personnel employed by the establishment. Resolution No. 2010-14 Page 7 of 9 31C-19 AUGUST 23, 2010 PAGE 4OF4 27. Two state licensed uniformed security guards shall be located in the parking lot from 8 pm until 30 minutes after closing, whenever dancing is held at the restaurant. (Added by Planning Commission August 23, 2010) Resolution No. 2010-14 Page 8 of 9 31C-20 PROOF OF SERVICE (C.C.P. SECTION 1013(a), 2015.5) STATE OF CALIFORNIA. COUNTY OF ORANGE I am employed in the aforesaid county; I am over the age of eighteen and not a party to the within action; my business address is 20 Civic Center Plaza, Ross Annex 2nd Floor, Santa Ana, California 92701. I served the foregoing document described as: Resolution No. 2010-14 (Amendment to Conditional Use Permit No. 2008-35) in this action by placing a true copy thereof enclosed in sealed envelopes addressed as follows: Bill Hammerstein Lonnie Moore Adam Palmer 441 North Beverly Drive, The Dolce Group The Dolce Group Suite 209 6633 Hollywood Blvd. 2773 North Main Street Beverly Hills, CA 90210 Hollywood, CA 90028 Santa Ana, CA 92705 [ ] I caused to be delivered by courier, such envelope by hand to the office of the addressee(s). [X] BY MAIL I am readily familiar with my employer's practice of collection and processing correspondence for mailing. Under that practice it would be deposited with U.S. Postal Service on that same day with postage thereon fully prepaid at Santa Ana, California in the ordinary course of business. I am aware that on motion of the party served, service is presumed invalid if postal cancellation date or postage meter date is more than one day after date of deposit for mailing in affidavit. [ ] The document was transmitted by facsimile transmission and was reported as complete and without error. I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct. Executed on [date] at Santa Ana, California. MARTHA RAMIREZ Resolution No. 2010-14 Page 9 of 9 31C-21 31C-22 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: CONDITIONAL USE PERMIT NO. 2010-04 TO ALLOW AFTER HOURS OPERATION AND CONDITIONAL USE PERMIT NO. 2010-06 TO ALLOW A BANQUET FACILITY AT THE YOST THEATER/RITZ HOTEL AT 301-307 NORTH SPURGEON TREET - DENNIS LLUY, APPLICANT CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1s' Reading ? Ordinance on 2rd Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER Receive and file the staff report approving Conditional Use Permit No. 2010-04 as conditioned and Conditional Use Permit No. 2010-06 as conditioned. PLANNING COMMISSION ACTION On August 23, 2010, the Planning Commission adopted a resolution approving Conditional Use Permit No. 2010-04 as conditioned and Conditional Use Permit No. 2010-06 as conditioned by a vote of 7:0 to allow after-hours operation and a banquet facility at the Yost Theater/Ritz Hotel at 301-307 North Spurgeon Street located in the Downtown (DT) zoning district. The Planning Commission added four conditions to clarify operational standards. FISCAL IMPACT There is no fiscal impact associated with this action. C-A-A-1 J y . Trevino E cutive Director Planning & Building Agency HS:rb hsAhistoric inf0\Y0st_Theater\cup10-04 & cup 10-06 Yost.cc Exhibit: 1. Planning Commission Staff Report 31 D-1 31 D-2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: AUGUST 23, 2010 TITLE: FILED BY DENNIS LLUY FOR CONDITIONAL USE PERMIT NO. 2010-04 TO ALLOW AFTER HOURS OPERATION, CONDITIONAL USE PERMIT NO. 2010-05 TO ALLOW A TYPE 47 ABC LICENSE, AND CONDITIONAL USE PERMIT NO. 2010-06 TO ALLOW A BANQUET FACILITY AT THE YOST THEATER/RITZ HOTEL AT 301-307 NORTH SPURGEON STREET Prepared by Hally Soboleske Ex cutive Director RECOMMENDED ACTION PLANNING COMMISSION SECRETARY APPROVED ? As Recommended ? As Amended ? Set Public Hearing For DENIED ? Applicant's Request ? Staff Recommendation CONTINUED TO 41Vr_J* Planning Manager 1. Adopt a resolution approving Conditional Use Permit No. 2010-04 as conditioned. 2. Adopt a resolution approving Conditional Use Permit No. 2010-05 as conditioned. 3. Adopt a resolution approving Conditional Use Permit No. 2010-06 as conditioned. DISCUSSION Zonina Administrator Action A Zoning Administrator meeting was held on August 12, 2010 regarding Conditional Use Permit No. 2010-05 to allow a Type 47 ABC license. The Zoning Administrator remanded this item to the Planning Commission in order to review this project, and all related actions, in a comprehensive manner. Request of Applicant Mr. Dennis Lluy, representing the Yost, is requesting approval of conditional use permits for a Type 47 Alcoholic Beverage Control (ABC) license to allow the on-sale consumption of beer, wine and distilled spirits; after-hours operation; and a banquet facility at the Yost Restaurant/Ritz Hotel to be located at 301-307 North Spurgeon Street. Property Description The proposed Yost restaurant and Ritz Hotel are within two existing historic buildings that are located within the Fiesta Marketplace in the downtown. The project site is located on the northeast corner of Spurgeon and Third Streets. The property is located within the Transit Zone and is 2 nin_n CUP Nos. 2010-04 thru 2010-06 August 23, 2010 Page 2 identified as Downtown (DT) zoning district and has a General Plan land use designation of District Center (DC). Surrounding land uses include commercial, with residential land uses within 250 feet (Exhibits 1 and 2). The site is currently developed with two historic structures: the 9,000 square foot Yost Theater built in 1913, and the 11,484 square foot Ritz Hotel built in 1906. The Yost Theater has been used as a church and theater since its original construction. The Ritz Hotel has been occupied by a variety of retail uses over the years. Parking is supplied by a paved surface lot owned by the Community Redevelopment Agency (immediately west of the subject site) and by a public parking structure to the north. Both public parking opportunities are shared by all the businesses in the immediate area. Project Description The applicant is proposing to obtain a Type 47 liquor license for the sale of beer, wine and distilled spirits for consumption on the license premises in conjunction with an eating establishment. The on-premise sale of alcoholic beverages to customers is intended to provide a service ancillary to the primary restaurant use. The storage area for alcoholic beverages is located within the kitchen and bar area and consists of approximately 313 square feet which is less than five percent of the gross floor area of the restaurant (Exhibit 3). The project is proposed in two phases. Phase I includes the renovation of the Yost Theater building, and entails creating a restaurant and entertainment venue. 135 fixed seats will remain, and the remainder of the area near the stage will be a large, flexible area that may be used for dance floor, additional seating, orchestra area, and other such uses facilitating general entertainment. Entertainment may include, but is not limited to, concerts, dances, performances, conferences, wedding receptions, and other assembly uses. These assembly uses require a conditional use permit (CUP) for a banquet facility as the facility will be available for rental and closed to the general public for a specified period of time for a private function. Additionally, the proposed hours of operation will be from 8:00 a.m. to 2:00 a.m. which requires a CUP for after-hours operation. Phase II will connect the buildings' interior between the Yost to the Ritz Hotel (located at 301 North Spurgeon, and immediately south of the Yost) to allow the two buildings to function together. As proposed, the first floor of the Ritz Hotel will continue to be used for retail, while the second floor will be used for seating area for the Yost restaurant. Additionally, new stairways will be constructed to allow for easy access between the buildings for the restaurant. When Phase li is implemented, a voluntary lot merger will be completed to allow the openings between buildings and compliance with the building code. Separate entitlements have been submitted by the applicant and are currently being processed for two outdoor dining areas including a 293 square foot outdoor dining area in front of the Yost, and a 564 square foot dining area in front of the Ritz Hotel building similar to that at the Bistro 500 or Memphis restaurants. Total outdoor dining area will include 857 square feet. The Yost will accommodate a maximum of 267 interior patrons for a performance with assigned seating and a dining option (Exhibit 4). 31 D-4 CUP Nos. 2010-04 thru 2010-06 August 23, 2010 Page 3 Analysis of the Issues Conditional Use Permit No. 2010-04 to allow for After-Hours Operation Santa Ana Municipal Code (SAMC) requires a conditional use permit for any eating establishment with hours of operation between the hours of 12:00 a.m. and 5:00 a.m. The proposed hours of operation for the Yost are 8:00 a.m. to 2:00 a.m. The restaurant and entertainment venue will be open for dinner, and will eventually be open for lunch and breakfast as well. These hours are consistent with the typical operations of this land use, and the request is similar to Crosby and Memphis operations. Entertainment at this facility may include concerts, conferences, dancing, performances and shows, and other types of assembly. The maximum capacity for this facility is 267 patrons for a performance with assigned seating and a dining option (Exhibit 4). Separate entitlements have been submitted by the applicant and are currently being processed for two outdoor dining areas. Sensitive land uses, such as residences are within 250 feet away from this project, and will not be negatively affected as all noise will be contained indoors, and there will be no amplified outdoor music. Additionally, the buildings face the west, or away from, the existing residential land uses which further reduces the potential impact to the community on the east side of the subject site. Parking for events will be in the public parking structure, and will not spill over into the surrounding neighborhoods. Due to the evening hours, this project will not conflict with the peak parking requirements for other nearby businesses. At all times when dancing and/or entertainment are being conducted, the applicant shall employ a minimum of one uniformed, licensed security guard for every hundred persons in attendance per event, for keeping the peace. The applicant will also provide a minimum of one State licensed uniformed security guard to ensure patron safety when going to and from the public parking structures. This latter guard will be specifically assigned to this function until all activity on the premises has ceased and patrons have cleared the parking area. The guard must be approved by the Chief of Police. This additional security will maintain order at the location, as well as protect the surrounding community. Based upon the fact that this facility has been designed to meet all code requirements, including the City's noise ordinance and restrictions based upon the City of Santa Ana's Noise Element, as well as those conditions established by the Police Department, staff recommends approval of Conditional Use Permit No. 2010-04. Conditional Use Permit No. 2010-05 to allow for a Type 47 ABC license Staff has reviewed the applicant's request and is recommending approval of Conditional Use Permit No. 2010-05. The Police Department has reviewed the application and has noted that the restaurant is located within Reporting District No. 185, which ranks 10th out of 102 Citywide Districts in total number of police-related incidents. The restaurant will be in an area of the City that is considered higher than average in police-related incidents. Based on the above average 31 D-5 CUP Nos. 2010-04 thru 2010-06 August 23, 2010 Page 4 number of police-related incidents, and the fact that there are numerous residential units within 250 feet of this proposed use, the Police Department is concerned with potential negative impacts to adjacent residents. Therefore, several conditions of approval are proposed for this license. The proposed conditions of approval, which include restrictions on alcohol service, noise generation, litter, and exterior pay phones, among others, are intended to address the concerns raised by the Police Department and minimize the number of potential calls for service to the restaurant and ensure the business operates as a bona fide eating establishment. The alcohol license must remain ancillary to the restaurant use, and alcohol storage area is limited to less than five percent of the gross floor area of the restaurant. The on-site security guard will monitor and maintain the safety of patrons, as well as serving to protect the safety of those in the surrounding community. Additionally, the conditions of approval will assist in mitigating potential negative effects this restaurant may have on the surrounding community. Conditional Use Permit No. 2010-06 to allow for a Banquet Facility The proposed entertainment venue and restaurant may also be used for a banquet facility as it may be closed to the general public for private use. Per the SAMC, banquet facilities must have a kitchen facility, sanitation facilities, and a licensed security guard for every hundred persons in attendance per event. This security guard must be approved by the Chief of Police. The applicant will also provide a minimum of one State licensed uniformed security guard to ensure patron safety when going to and from the detached parking structures. Exterior lighting will be reviewed and approved by the Police Department. This will provide protection to patrons of the facility, as well as residents of the surrounding community. The facility will have stronger economic viability if private events may also be booked at the facility, so a banquet facility is suitable. Based upon the analysis of the project and the project's compatibility with the City's General Plan and applicable development standards, staff recommends that the Planning Commission approve Conditional Use Permit Nos. 2010-04, 2010-05 and 2010-06 as conditioned. CEQA Compliance This project was reviewed in accordance with the Guidelines for the California Environmental Quality Act. The recommendation is exempt from further review pursuant to Section 15332, Class 32 because it is an infill development project in an existing building, and will be in conformance with all city codes and requirements. Categorical Exemption Environmental Review No. 2009-82 will be filed for this project. 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N LL 0 6 6 f0 SYGa ^.WKletl •J411? CUP70-04,10-05,10-06 EXHIBIT 4 . Yz.? 31 D-10 ROH - 08/23/10 RESOLUTION NO. 2010-13 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING: CONDITIONAL USE PERMIT NO. 2010-04 AS CONDITIONED TO OPERATE BETWEEN THE HOURS OF 12:00 A.M. TO 5:00 A.M., CONDITIONAL USE PERMIT NO. 2010-05 AS CONDITIONED FOR A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE, AND CONDITIONAL USE PERMIT NO. 2010-06 AS CONDITIONED TO OPERATE A BANQUET FACILITY, FOR THE PROPERTY LOCATED AT 301-307 NORTH SPURGEON STREET BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Applicant is requesting approval of: Conditional Use Permit No. 2010-04 to operate a restaurant between the hours of 8:00 a.m. to 2:00 a.m., Conditional Use Permit No. 2010-05 to allow a Type 47 Alcoholic Beverage Control (ABC) license, and Conditional Use Permit No. 2010-06 to allow a banquet facility, for the property located at 301-307 North Spurgeon Street. B. Santa Ana Municipal Code Section 41-2007 requires a conditional use permit for: businesses operating between the hours of 12:00 a.m. and 7:00 a.m., the sale of alcoholic beverages for on-site consumption, and the operation of a banquet facility C. On August 23, 2010, the Planning Commission held a duly noticed public hearing on Conditional Use Permit No. 2010-04, Conditional Use Permit No. 2010-05, and Conditional Use Permit No. 2010-06. D. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code Section 41-638, have been established for Conditional Use Permit No. 2010-04 to allow for after hours operation: Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? Resolution No. 2010-13 Page 1 of 11 31 D-11 The proposed Yost restaurant/entertainment venue after- hours operation will allow for food-related amenities and events for the community. Conditions have been placed on this operation to mitigate any potential problems created by the use. 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? The proposed permit for after-hours operation at the Yost Restaurant will not be detrimental to persons residing or working in the area because the use, as conditioned, will not create any negative or adverse impacts. Sensitive land uses are located 250 feet or more away, and all after-hours entertainment will be held indoors to mitigate the impacts to surrounding properties. 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The project site is a commercial center that is suitable for the proposed use. The establishment of this restaurant/entertainment venue promotes a balance of land uses which enhances the City's economic and fiscal viability. Peak hours of operation will be in the evening, which does not conflict with the peak hours of nearby retail shop, so will not cause parking conflicts in the public lots. Offering a variety of land uses in the area actually serves to strengthen the economic base. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a business operating after the hours of 12:00 a.m. 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? The proposed use will not adversely affect the General Plan. Goal 1.0 of the Land Use Element requires that land use decisions promote a balance of land uses to address basic community needs. The restaurant offers citizens a place to recreate and eat thereby serving the community. Goal 2.0 of the Land Use Element requires that land use decisions promote land uses which enhance the City's economic and fiscal viability. Therefore, a variety of land uses that serve Resolution No. 2010-13 Page 2 of 11 31 D-12 the public are necessary to offer a wide range of goods and services. E. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code Section 41-638, have been established for Conditional Use Permit No. 2010-05 to allow for a Type 47 ABC license: Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The proposed alcohol beverage license use will provide an ancillary service to the restaurant and thereby benefit the community by providing an additional food-related amenity at the eating establishment. Conditions have been placed on the alcoholic beverage control license which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? The proposed license for the on-sale of beer and wine and distilled spirits at the Yost Restaurant will not be detrimental to persons residing or working in the area because the use, as conditioned, will not create any negative or adverse impacts. The sale of alcoholic beverages will occur inside of the premises and is incidental to the restaurant use. 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The project site is a commercial center that is suitable for the proposed use. The establishment of this restaurant/entertainment venue promotes a balance of land uses which enhances the City's economic and fiscal viability. Alcoholic beverages on the menu at the Yost Restaurant will increase the patronage to the restaurant, thereby enhancing the profitability of the business and identifying the use and site as economically stable and viable for the surrounding properties in the area. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As conditioned, the proposed project will be in compliance with all applicable regulations and conditions imposed on a Resolution No. 2010-13 Page 3 of 11 31 D-13 restaurant selling beer and wine and distilled spirits pursuant to Chapter 41 of the Santa Ana Municipal Code. 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? The proposed use will not adversely affect the General Plan. Goal 1.0 of the Land Use Element requires that land use decisions promote a balance of land uses to address basic community needs. The restaurant offers citizens a place to recreate and eat thereby serving the community. Goal 2.0 of the Land Use Element requires that land use decisions promote land uses which enhance the City's economic and fiscal viability. Therefore, a variety of land uses that serve the public are necessary to offer a wide range of goods and services. F. The Planning Commission determines that the following findings, which must be established in order to grant this Conditional Use Permit pursuant to Santa Ana Municipal Code Section 41-638, have been established for Conditional Use Permit No. 2010-06 to allow for a Banquet Facility: Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or the community? The proposed use will provide an added amenity to the existing restaurant and catering service, thus providing a beneficial advantage to the community through a local banquet and meeting venue. Conditions have been placed on the banquet facility, which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect or be injurious to the surrounding community. 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity? The proposed use, the addition of the banquet facility use to the existing restaurant and catering service, will not be detrimental to persons residing or working in the area because the use, as conditioned, will not create any negative or adverse impacts. The banquet and private events will occur inside of the premises and are a critical part of the operational needs of the Yost. Moreover, conditions are imposed to mitigate any potential impacts to those in the vicinity. Resolution No. 2010-13 Page 4 of 11 31 D-14 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The 0.46-acre site is a commercial establishment that is suitable for the proposed use. A banquet facility at the Yost will only serve to increase the patronage to the business, thereby enhancing profitability and identifying the use and site as economically stable and viable for the surrounding properties in the area. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As conditioned,-the proposed project will be in compliance with all applicable regulations and conditions imposed on banquet facilities pursuant to Chapter 41 of the Santa Ana Municipal Code. 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? The proposed use will not adversely affect the General Plan. Banquet facilities are permitted within the District Center (DC) General Plan designation and the Downtown (DT) zoning district. Additionally, the use as conditioned is in compliance with the regulations identified in the zoning code. G. In accordance with the California Environmental Quality Act, the proposed project has been determined to be adequately evaluated in previously prepared Environmental Impact Report No. 2009-82. Section 2. The Planning Commission of the City of Santa Ana after conducting the public hearing hereby approves Conditional Use Permit No. 2010-04, Conditional Use Permit No. 2010-05, and Conditional Use Permit No. 2010-06 as conditioned in Exhibit A attached hereto and incorporated as though fully set forth herein. This decision is based upon the evidence submitted at the abovesaid hearing, which includes but is not limited to: the Request for Planning Commission Action dated August 23, 2010 and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. ADOPTED this 23rd day of August 2010 by the following vote: AYES: Commissioners: Acosta, Alderete, Betancourt, Gartner, Turner, Walters, Yrarrazaval (7) NOES: Commissioners: None (0) ABSENT: Commissioners: None (0) ABSTENTIONS: Commissioners: None (0) Resolution No. 2010-13 Page 5 of 11 31 D-15 Eric Alderete Chairman APPROVED AS TO FORM: Joseph W. Fletcher, City Attorney By: Ryan O. Hodge Deputy City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARTHA RAMIREZ, Secretary of the Planning Commission, do hereby attest to and certify the attached Resolution No. 2010-13 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on August 23, 2010. Date: Secretary of the Planning Commission City of Santa Ana Resolution No. 2010-13 Page 6 of 11 31 D-16 Conditions for Approval of Conditional Use Permit Nos. 2010-04 2010-05 and 2010-06 Conditional Use Permit Nos. 2010-04, 2010-05, and 2010-06 are approved subject to compliance, to the reasonable satisfaction of the Planning Commission, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below prior to exercising the rights conferred by these conditional use permits. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permits. Failure to comply with each and every condition may result in the revocation of the conditional use permits. (Added language underlined, deleted language in strikeout.) A. Planning Division The banquet facility shall comply with the following development and operational standards. a. All banquet facilities require a kitchen facility including, but not limited to, an oven, stove, refrigeration, freezer, exhaust hood, grease receptor, cutting and preparation areas, dishwashing area or machine, employee sink and mop, and appropriate counter/service facilities. b. All banquet facilities require sanitation facilities in compliance with the California Building Code building standards. C. Whenever there is entertainment with or without alcohol, the banquet facility shall provide a uniformed state licensed security guard, as approved by the chief of police, at the rate of one guard per 100 attendees, with a minimum of one security guard, or other security measures as approved by the chief of police. The guards shall be present until attendees have left the premises. d. All banquet facilities shall provide exterior lighting in compliance with police department standards. 2. All proposed site improvements must conform with the Site Plan Review approval of DP No. 2009-29. 3. Conditional Use Permit Nos. 2010-04, 2010-05 and 2010-06 become effective upon the approval of the remaining entitlements for the project (Lot Merger PWA-2010-397) Resolution No. 2010-13 Page 7 of 11 31 D-17 4. Any amendment to this conditional use permit must be submitted to the Planning Division and Police Department for review. At that time, staff will determine if administrative relief is available or the conditional use permit must be amended. B. Police Department The quarterly gross sales of alcoholic beverages shall not exceed the gross sales of food during the same period. These records are to be kept no less frequently than on a quarterly basis and shall be made available to the City, if requested. 2. The sale of alcoholic beverages for consumption off the premises is strictly prohibited. 3. There shall be no exterior advertising of any kind or type, including advertising directed to the exterior from within, promoting or indicating the availability of alcoholic beverages on the premises. Interior displays of alcoholic beverages or signs, which are clearly visible to the exterior, shall constitute a violation of this condition. 4. It shall be the applicant(s) responsibility to ensure that no alcoholic beverages are consumed on any property adjacent to the licensed premises under the control of the applicant(s), with the exception of the enclosed patio areas. 5. The applicant(s) or an employee of the licensee(s) will be present in the patio and theatre areas of both the Yost and Ritz (when the Phase II Ritz portion is completed) at all times that alcoholic beverages are being served or consumed. (Revised by Planning Commission August 23, 2010) 6. The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. 7. There shall be no public telephones located on the exterior of the premises. All interior pay phones must be designed to allow outgoing calls only. 8. Any graffiti painted or marked upon the premises or on any adjacent area under the control of the licensee(s) shall be removed or painted within 7-2 24 hours of being applied. (Revised by Planning Commission August 23, 2010) 9. There shall be no pool tables, amusement machines or video games maintained on the premises at any time. Resolution No. 2010-13 Page 8 of 11 31 D-18 10. Amplified music shall not be played outside the premises. Music/noise shall not be audible beyond 20 feet from the exterior of the premises in any direction. 11. Queuing lines shall be managed in an orderly manner and all disruptive and intoxicated patrons shall be denied entry. The business owner shall be responsible for monitoring the queuing lines at all times. 12. Alcohol shall not be served to patrons waiting to enter the establishment. 13. The outdoor queuing line shall not block public walkways or obstruct the entry or exit doors of adjacent businesses. Stanchions or barriers must be used to maintain order at all times the queue exceeds 25 patrons. 14. The applicant shall submit a monthly schedule of concerts and events to the police department. 15. The applicant must submit a security plan for police department review and approval. 16. At all times that dancing and/or entertainment is being conducted, the applicant shall employ a minimum of one uniformed, licensed security guard for every 100 persons in attendance per event, for keeping the peace. 17. In addition to the above number of guards, the applicant shall provide a minimum of one State licensed uniformed security guard to ensure patron safety when going to and from the detaGhed surface parking lot at Third and Birch Streets and the Fiesta MaFketplaGe parking structures at Spurgeon and Fifth Streets. Said guard is specifically assigned to this function until all activity on the premises has ceased and patrons have cleared the parking area. (Revised by Planning Commission August 23, 2010) 18. The Chief of Police or his designate shall first approve every security guard employed by you. If there is a marked or noticeable increase in the number of police-related incidents on or near the premises, as such increase may be determined by the Chief of Police, the permittee shall increase the number of uniformed, licensed security guards to a total number of guards as determined by the Chief of Police Department. 19. This land use authorization is only for a Type 47 on-sale beer & wine, public eating-place, any other license use at this location will require a new land use clearance. Resolution No. 2010-13 Page 9 of 11 31 D-19 20. Neither the applicant, nor any person or entity operating the premises with the permission of the applicant, shall violate the City's adult entertainment ordinance contained in SAMC section 12-1 and 12-2. 21. The premises shall not be operated as an adult entertainment business as such term is defined in Santa Ana Municipal Code section 41-1701.6. 22. This conditional use permit shall be reviewed at six months, at one year and then annually thereafter by the Police Department for any modification to the conditions of approval. 23. Existing building must conform to the provisions of Chapter 8, Article II, Division 3 of the Santa Ana Municipal Code (Building Security Ordinance). These code conditions will require that the existing project's lighting, door/window locking devices and addressing be upgraded to current code standards. 24. Applicant is to diFeGt all attendees to paFk at the FiestaFnaFket paFking +r,e-will provide permanent directional signage instructing patrons to park in either of the parking structures located to the north of the project site at Spurgeon Street and Fifth Street. Any iRfORnatien 06 tG GGG61F OR all An r promotional materials for events to be held at the Theater project site also shall include parking instructions directing patrons to use the Spurgeon Street and Fifth Street parking structures. (Revised by Planning Commission August 23, 2010) C. Fire Department Plans must note fire alarm system when submitted for plancheck. Resolution No. 2010-13 Page 10 of 11 31 D-20 PROOF OF SERVICE (C.C.P. SECTION 1013(a), 2015.5) STATE OF CALIFORNIA. COUNTY OF ORANGE I am employed in the aforesaid county; I am over the age of eighteen and not a party to the within action; my business address is 20 Civic Center Plaza, Ross Annex 2nd Floor, Santa Ana, California 92702. I served the foregoing document described as: 2010-13 (Conditional Use Permit Nos. 2010-04 2010-05 and 2010-06 in this action y placing a true copy thereof enclosed in sealed envelopes addressed as follows: Dennis Lluy Yost and Ritz Inc. 307 North Spurgeon Street Santa Ana, CA 92701 Ryan Chase Fiesta Marketplace Partners 129 West Wilson St., Suite 100 Costa Mesa, CA 92627 Dennis Lluy 208 North Spurgeon Street Santa Ana, CA 92701 [ ] I caused to be delivered by courier, such envelope by hand to the office of the addressee(s). [X] BY MAIL I am readily familiar with my employer's practice of collection and processing correspondence for mailing. Under that practice it would be deposited with U.S. Postal Service on that same day with postage thereon fully prepaid at Santa Ana, California in the ordinary course of business. I am aware that on motion of the party served, service is presumed invalid if postal cancellation date or postage meter date is more than one day after date of deposit for mailing in affidavit. [ ] The document was transmitted by facsimile transmission and was reported as complete and without error. I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct. Executed on [date] at Santa Ana, California. MARTHA RAMIREZ Resolution No. 2010-13 Page 11 of 11 31D-21 31 D-22 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: DENSITY BONUS AGREEMENT AND APPLICATION NO. 2010-01 AND TENTATIVE TRACT MAP NO. 2009-01 TO ALLOW A FIVE- UNIT RESIDENTIAL DEVELOPMENT AT 5301 WEST SILVER DRIVE - EDWARD PADILLA, JR., APPLICANT r CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1s` Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER 1. Receive and file the staff report approving Density Bonus Application No. 2010-01 and Tentative Tract Map No. 2009-01 (County Map No. 17323) as conditioned. 2. Authorize the City Manager and Clerk of the Council to execute the attached Density Bonus agreement with Integrity Builders & Associates, Inc., subject to nonsubstantive changes approved by the City Manager and City Attorney for the development of an affordable for sale unit. PLANNING COMMISSION ACTION On August 9, 2010, the Planning Commission adopted a resolution approving deviations from the Two-Family Residence (R2) development standards contained in Section 41-246 et seq. of the Santa Ana Municipal Code (SAMC) as allowed by SAMC 41-1608 and the State of California Government Code Section 65915-65918 as an incentive to affordable housing production; and adopted a resolution approving Tentative Tract Map No. 2009-01 (County Map No. 17323) as conditioned by a vote of 4:1 (Acosta opposed; Betancourt and Gartner absent) to allow a five-unit residential development at 5301 West Silver Drive located in the Two Family Residential (R2) zoning district. Planning Commission made no changes to the recommended conditions of approval outlined in the attached staff report (Exhibit A). DISCUSSION Density Bonus Agreement The State density bonus law was created to encourage the production of quality affordable housing by allowing cities to approve qualified projects that would have units, or densities, in excess of cities' statutory density caps established under General Plans and zoning. Under this 32A-1 DBA No. 2010-01 TTM No. 2009-01 September 7, 2010 Page 2 article, developers wishing to construct projects that meet the requirement for a specified percentage of affordable housing units may request to enter into a Density Bonus Agreement with the City. Under the proposed density bonus agreement, its approval will produce one additional unit that will be sold to a low income household (80 percent of Area Median Income). The price for the home will be set at completion of construction per the agreement guidelines for a low-income homebuyer. The term of the affordability is 45 years during which the unit must be owner occupied. If the property is transferred during the term of the agreement, the subsequent homebuyer must also meet the income requirements. Construction of these homes will assist the Agency in meeting their replacement and inclusionary housing obligations and will assist the City in meeting the Regional Housing Needs Assessment (RHNA) goals identified in the Housing Element (Exhibit B). FISCAL IMPACT There is no fiscal impact associated with this action. r. L- J M. Trevino Executive Director Planning & Building Agency LL: rb LL\reports\pc&za\dba10-01ttm09-01 5301 Silver Dr.cc Exhibits: A. Planning Commission Staff Report B. Density Bonus Agreement 32A-2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: AUGUST 9, 2010 TITLE: PUBLIC HEARING - FILED BY EDWARD PADILLA, JR FOR DENSITY BONUS APPLICATION NO. 2010-01 AND TENTATIVE TRACT MAP NO. 2009-01 TO ALLOW A FIVE-UNIT RESIDENTIAL DEVELOPMENT AT 5301 WEST SILVER DRIVE Prepared by Lucy Linnaus -A Executive Director RECOMMENDED ACTION PLANNING COMMISSION SECRETARY APPROVED ? As Recommended ? As Amended ? Set Public Hearing For DENIED ? Applicant's Request ? Staff Recommendation CONTINUED TO Llz? Al, _2 Planning Man ger 1. Adopt a resolution approving deviations from the Two-Family Residence (R2) development standards contained in Section 41-246 et seq. of the Santa Ana Municipal Code (SAMC) as allowed by SAMC 41-1608 and the State of California Government Code Section 65915-65918 as an incentive to affordable housing production. 2. Adopt a resolution approving Tentative Tract Map No. 2009-01 (County Map No. 17323) as conditioned. DISCUSSION Request of the Applicant Edward Padilla of Integrity Builders & Associates, Inc., owner of the subject property, is requesting approval of a five-unit residential project located at 5301 West Silver Drive. The proposed project would be in excess of the maximum number of units allowed on the property pursuant to the General Plan land use designation of Low Density Residential (LR-7) and Zoning of Two-Family Residence (R2). In addition, the proposed project would require deviations from the development standards contained within the R2 zone. In order to allow this project, the applicant is requesting deviations from the Two-Family Residence (R2) development standards contained in Section 41-246 et seq. of the Santa Ana Municipal Code (SAMC) as allowed by SAMC 41-1608 and the State of California Government Code Section 65915-65918 as an incentive to affordable housing production. Additionally, the applicant is requesting approval of Tentative Tract Map No. 2009-01 (County Map No. 17323) for condominium purposes, to subdivide the property to allow the sale of the units. Property Description The project site is located at the western edge of the City, west of Euclid Street and north of Fifth Street. The site is a rectangular shaped, flat parcel with an area of 16,879 square feet. The site is vacant, but was previously developed with a residence and various accessory structures that were demolished in 2007. The site is located within the Two-Family Residence (R2) zoning district and 32A-3 Exhibit A 2 DBA 2010-01 and TTM 2009-01 August 9, 2010 Page 2 has a General Plan Land Use designation of Low Density Residential (LR-7) that allows residential development at a maximum density of seven dwelling units per acre. The project site is surrounded by residential uses to the north, south, east and west (Exhibits 1 and 2). Proiect Description Integrity Builders is proposing to construct five two-story residential units. Two of the units will be detached single-family dwellings located towards the front of the lot. The remaining three units will be attached in a townhome configuration and located towards the rear of the lot. In compliance with the Citywide Design Standards, all units will be oriented towards the street, with direct pedestrian access to the street though a small common open space. Each unit will have three bedrooms, two full bathrooms and a powder room, an attached two-car garage and laundry facilities. Access to four of the five garages will be off a common driveway to the east of the property. One of the single family residences will have direct access to the street via a private driveway, which will provide additional parking for that residence. The unit sizes will vary from 1,400 to 1,500 square feet. Each unit will have private open space, which will exceed the minimum requirement. Perimeter block walls along the west, north and east sides are proposed for privacy. A landscape buffer will be provided along the driveway along the northern and eastern property lines to provide a visual barrier, as well as provide for storm water retention. (Exhibits-3 and 4) The project has been designed in a contemporary Mediterranean style. In order to create architectural variety, each building will have slightly different detailing. The walls will be painted in muted natural tones and accented with stone veneer bases. The windows will be multi-pane with decorative wrought iron railing on the balconies. The primary entrance to each unit will be through covered porches, accented with simple columns. The roof will be tile in a terra cotta color. To maintain architectural consistency, the residences will incorporate enhanced architectural elements, including complete architectural treatments on all sides of each building (Exhibit 5). Lastly, a tract map for condominium purposes is proposed, since the units will be offered for sale. Common open space, driveways and common landscape will be held in common ownership, under the administration of a homeowners' association (HOA), while each unit and their corresponding private open space and garages will be held in individual ownership (Exhibit 6). Density Bonus Law Background The State density bonus law was created to encourage the production of quality affordable housing by allowing cities to approve qualified projects that would have units, or densities, in excess of cities' statutory density caps established under General Plans and zoning. The rationale here being that baseline density, in part, establishes a property's market value. By allowing more units to be constructed on the property than would otherwise be allowed under the existing zoning, it 32A-4 DBA 2010-01 and TTM 2009-01 August 9, 2010 Page 3 creates an economic advantage to the developer, which could then be used to subsidize any gap between market rents or sales prices and the price at which the unit would be affordable to those making less than the area median income. Under this law California cities, including charter cities, were required to adopt implementing legislation, which Santa Ana did in 2001 with the adoption of SAMC Article XVI.I - Density Bonus for Affordable Housing. Under this article, developers wishing to construct projects that meet the requirement for a specified percentage of affordable housing units may request to enter into a Density Bonus Agreement with the City and, pending approval of such an agreement, may also request deviations from the City's existing density caps and development standards that would be necessary to facilitate the development of the project. Under the State Density Bonus Law cities must grant the request of the applicant, unless it adopts written findings, based upon substantial evidence, that the request is not necessary in order to provide affordable housing, or that there would be a specific adverse impact upon public health and safety, or the physical environment, or on specified historic properties, and for which there is no feasible way of mitigating or avoiding the impact without rendering the project unaffordable to low and moderate income households. The City further supported the provisions of the State Density Bonus Law through the adoption of policies contained within the 2006-2014 Housing Element. In particular, Housing Program No. 25 of the Housing Implementation Summary states that the City will implement the density bonus ordinance to assist in the development of extremely low, very low, and low income rental units, and moderate income condos, and senior housing. Density Bonus Implementation of the Proposed Project Pursuant to the State law, the applicant is seeking an increase in density to that allowed by the Zoning district and General Plan, as well as deviations from the City's adopted development standards. As such, the developer has requested to enter into a Density Bonus Agreement with the City. The Density Bonus Agreement will be considered separately by the City Council and is not the subject of this request. Any recommendations for approval of the deviations from densities and development standards will be pending until approval of the Agreement. Both the State Density Bonus Law and the SAMC state that the law only applies to projects of five or more units. The proposed project meets this standard. There is a difference between the State law and the SAMC regarding the total number of units which may be constructed in excess of adopted densities. In the case of the SAMC, the development shall be permitted a density bonus of the amount of units requested by the applicant, up to a total project dwelling unit count of 125 percent. Under State law, the minimum bonus for projects providing 20 percent of the units to Lower income households is 35 percent. The following table details the percentage increases as they pertain to this project. 32A-5 DBA 2010-01 and TTM 2009-01 August 9, 2010 Page 4 City of Santa Ana Permitted Densities No. of units allowed under LR-7 General Plan 2 No. of units allowed under R2 Zoning 4 No. of units proposed 5 - 20% increase from zoning/250% increase from GP Because the City's existing Density Bonus Law has not been amended to comply with the most current State Density Bonus Law and because the SAMC states that it shall be in compliance with the State law "as it may be amended from time to time," the provisions of the State law will take precedence in this case. The State law and the SAMC state that "density bonus" means a density increase over the otherwise maximum allowable residential density under the applicable zoning ordinance and land use element of the general plan. State law, however, does not interpret the granting of a density bonus in excess of the density found within the agency's General Plan to constitute inconsistency with the General Plan. The City's Zoning and General Plan land use designations for this property are inconsistent with each other. As such, staff finds that the density provisions of the R2 zone are the most appropriate to apply in this case, which results in an effective density increase of 20 percent. Under State Law, in order to be eligible for this density increase, the applicant must provide a minimum of 10 percent of the units to Lower income households. In this case, the applicant will be providing one unit, or 20 percent, of the proposed development to a low income household, which is in excess of the minimum requirement. The applicant is also requesting two deviations from the development standards to facilitate the construction of the affordable unit. The R2 zoning district establishes a minimum lot area for lots containing two or more dwellings. It requires 6,000 square feet for the first unit, and 3,000 square feet for each additional unit. Since the lot is 16,879 square feet, a total of four units are allowed. A lot size of 18,000 square feet would be required to construct five units. The applicant is requesting a deviation from the minimum lot size of 18,000 square feet for five units, to 16,879 square feet - a reduction of 1,121 square feet. The R2 zone requires that no more than two dwelling units, other than townhouses, be attached together. The applicant could have developed this site using the Townhouse standards, but these are intended for much larger developments and would have been incompatible with the scale and character of the neighborhood. The applicant is requesting a deviation from this standard to allow three units, rather than two, to be attached. With the approval of the two deviations requested by the applicant, the project will comply with all applicable development standards established in the R2 zoning district and the Citywide Design Guidelines. Additionally the project will be consistent with the purpose of the General Plan Land Use Element, as it will further the goals and policies of the plan and not obstruct their attainment. Specifically, it would further the following General Plan Land Use Element goals and policies: 32A-6 DBA 2010-01 and TTM 2009-01 August 9, 2010 Page 5 Goal 3 Preserve and improve the character and integrity of existing neighborhoods. Policy 3.1 Support development which provides a positive contribution to neighborhood character and identity. Policy 3.5 Encourage new development and/or additions to existing development that is compatible in scale, and consistent with the architectural style and character of the neighborhood. Policy 5.5 Encourage development which is compatible with, and supportive of surrounding land uses. Tentative Tract Map In order to allow the sale of the units, the applicant is proposing a tentative tract map for condominium purposes. Since the topography of the site is flat and its geometry is rectangular, the site has been determined to be physically suitable for a residential development at the proposed density since there are no physical constraints on the site to preclude development. In summary, the density bonus deviations requested will allow for the construction of one additional affordable unit, increasing the total supply of affordable for-sale units available in the community for that level of affordability. Staff recommends that the Planning Commission adopt a resolution approving the requested deviations from Chapter 41of the Santa Ana Municipal Code (SAMC), contained in Density Bonus Application No. 2010-01 and adopt a resolution approving Tentative Tract Map No. 2009-01, as conditioned. CEQA Compliance In accordance with the California Environmental Quality Act, the proposed project is exempt from CEQA review per Section 15332, class 32. The Class 32 exemption allows infill development projects occurring on lots less than five acres, where the site has no value as a habitat for endangered species, is adequately served by all required utilities and public services, will not result in any significant effects relating to traffic, noise, air and water quality, and is consistent with the applicable general plan, zoning and other policies. A Notice of Exemption for Environmental Review No. 2008-115 will be filed for this project. Lu Linn us, AIA Senior P nner LL:jm LL\reports\pc&za\dba10-01ttm09-01 5301 Silver Dr.pc Vince Fregoso, AI P Principal Planner 32A-7 Al GENERAL AGRICULTURAL -B PARKING MODIFICATION Cl COMMUNITY COMMERCIAL C1-MD COMMUNITY COMMERCIAL-MUSEUM DISTRICT C2 GENERAL COMMERCIAL C3 CENTRAL BUSINESS C3-A CENTRAL BUSINESS-ARTISTS' VILLAGE C4 PLANNED SHOPPING CENTER C5 ARTERIAL COMMERCIAL CR COMMERCIAL RESIDENTIAL C-SM SOUTH MAIN STREET COMMERCIAL DISTRICT -F FLOOR AREA RATIO GC GOVERNMENT CENTER M7 LIGHT INDUSTRIAL M2 HEAVY INDUSTRIAL MO MILITARY OPERATIONS 0 OPEN SPACE -OZ OVERLAYZONE P PROFESSIONAL PCD PLANNED COMMUNITY DEVELOPMENT PD PLANNED DEVELOPMENT PRD PLANNED RESIDENTIAL DEVELOPMENT R7 SINGLE-FAMILY RESIDENCE R2 TWO-FAMILY RESIDENCE R3 MULTIPLE-FAMILY RESIDENCE R4 SUBURBAN APARTMENT RE RESIDENTIAL ESTATE SD SPECIFIC DEVELOPMENT SP SPECIFIC PLAN DBA 2010-1/TTM 09-1 SILVER DRIVE RESIDENTIAL DEVELOPMENT K-. 5301 WEST SILVER DRIVE " = 1000 FEET - - = 500 FEET 1 P L A N N I N G A N D B U I L D I N G A G E N C Y VICINITY MAP EXHIBIT 1 32A-8 J J RHONDA AVE. ?FAM. 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I- ? r a I W °m LU 2( L- m ? .f 7 d m?awtl ` `? ~ N O I Z Gl O 4 °u sue- ?Jl- c ?-->?- wi h 5 7 y 'y h ?9 d' a Pr ?j a r H,w DBA 10-11TTM 09-1 EXHIBIT 6 32A-19 32A-20 JF 8/9/10 RESOLUTION NO. 2010-08 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING TENTATIVE TRACT MAP NO. 2009-01 AND DENSITY BONUS APPLICATION NO. 2010-01 TO ALLOW A FIVE-UNIT RESIDENTIAL DEVELOPMENT AT 5301 WEST SILVER DRIVE BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. Applicant is requesting approval of Tentative Tract Map No. NO. 2009-01 to five condominiums at 5301 W. Silver Drive. B. Applicant also is requesting approval of Density Bonus Application 2010- 01 approving deviations from the Two-Family Residence (R2) pursuant to Government Code Sections 65915, et seq. C. The Planning Commission of the City of Santa Ana held a duly noticed public hearing on August 9, 2010. Section 2. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as to Tentative Tract Map No. No. 2009-01 as follows: A. The proposed project, as conditioned, and its design and improvements are consistent with the Single-Family Residential (LR-7) designation on the General Plan and are otherwise consistent with all other Elements of the General Plan. The project will be consistent with purpose of the general plan land use element, as it will further the goals and policies of the plan and not obstruct their attainment. Specifically, it will further Goal 3, Preserve and improve the character and integrity of existing neighborhood; Policy 3.1, Support development which provides a positive contribution to neighborhood character and identity; Police 3.5, Encourage new development and/or additions to existing development that is compatible in scale, and consistent with the architectural style and character of the neighborhood and Policy 5.5, Encourage development which is compatible with, and supportive of surrounding land uses. Additionally, the project provides infill housing, increases the housing stock, and preserves the character and integrity of the surrounding residential Resolution No. 2010-08 Page 1 of 7 32A-21 neighborhoods. The project is not located within any specific plan area of the city. B. The proposed project, as conditioned, conforms to all applicable requirements of the zoning and subdivision codes as well as other applicable city ordinances. The proposed project meets the letter and intent of the State of California Subdivision Map Act and conforms to Chapters 34 and 41 of the Santa Ana Municipal Code, which pertain to the subdivision, development standards for the site and the density bonus law. Additionally, the project will conform to other applicable codes and city ordinances as identified during the Site Plan Review process (DP No. 2008-36). Covenants, Conditions and Restrictions (CC&Rs) are required for the project, which need to be approved by the City prior to the City Council approval of the final map. C. The project site is physically suitable for the type and density of the proposed project. The proposed site consists of approximately 16,879 within the Two- Family Residence (R2) zoning district. The site's lot frontage, which is 97.5 feet, exceeds the minimum required, providing ample area to provide the requested two driveways off Silver Street. Since the topography of the site is flat and its geometry is rectangular, the site has been determined to be physically suitable for a residential development at the proposed density since there are no physical constraints on the site to preclude development. D. The design and improvements of the proposed project will not cause substantial environmental damage or substantially and avoidable injure fish or wild life or their habitat. The project site is located in an urbanized area and was previously developed with a single family dwelling and accessory structures. The project can be characterized as an infill development adequately served by all required utilities and public services. There are no known fish or wildlife populations existing on the site. Therefore, the proposed subdivision will not cause any substantial environmental damage or substantially and avoidably injure fish and wildlife or their habitat. E. The design or improvements of the proposed project will not cause serious public health problems. The design or improvements of the proposed development will not cause serious public health problems. The proposed project will Resolution No. 2010-08 Page 2 of 7 32A-22 comply with all applicable Title 24, California Building Code, and all other applicable regulations intended to safeguard the public. As a residential use, there will be no hazardous material, noxious fumes or vibrations generated by the use. F. The design or improvements of the proposed project will not conflict with easements acquired by the public at large for access through or use of property within the proposed project. Approval of the tentative tract map for condominium purposed for this project will not create conflicts with any easements necessary for the public access through the subject property, as there are none identified on the most current title report. Section 3. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as to Density Bonus Application No. 2010-01 as follows: A. The proposed development will materially assist in accomplishing the goal of providing affordable housing opportunities in economically balanced communities throughout the city. The proposed five-unit residential development will materially assist in accomplishing the goal of providing affordable housing opportunities in an economically balanced community. The applicant will hold and convey one unit, representing 20 percent of the proposed development, to Low Income Households, thus increasing the total supply of affordable units available for that level of affordability. B. The development will not be inconsistent with the purpose of the underlying zone or applicable designation in the general plan land use element. As proposed, the project will be consistent with the purpose of the underlying zone. With the approval of the two deviations requested by the applicant, the project will comply with all applicable development standards established in the R2 zoning district and the guidelines within Citywide design standards. Additionally, the project will be consistent with purpose of the general plan land use element, as it will further the goals and policies of the plan and not obstruct their attainment. Specifically, it will further Goal 3, Preserve and improve the character and integrity of existing neighborhood; Policy 3.1, Support development which provides a positive contribution to neighborhood character and identity; Police 3.5, Encourage new development and/or additions to existing development that is compatible in scale, and consistent with the architectural style and character of the neighborhood and Policy 5.5, Encourage development which is compatible with, and supportive of surrounding land uses. Resolution No. 2010-08 Page 3 of 7 32A-23 C. The deviation is necessary to make it economically feasible for the applicant to utilize a density bonus authorized for the development pursuant to section 41- 1604. The deviations of the development standards requested are necessary to make the project economically feasible. Section 4. In accordance with the California Environmental Quality Act, the proposed project is exempt from CEQA review per Section 15332, class 32. The Class 32 exemption allows infill development projects occurring on lots less than five acres, where the site has no value as a habitat for endangered species, is adequately served by all required utilities and public services, will not result in any significant effects relating to traffic, noise, air and water quality, and is consistent with the applicable general plan, zoning and other policies. A Notice of Exemption for Environmental Review No. 2008-115 will be filed for this project. Section 5. The Planning Commission after conducting the public hearing hereby approves Tentative Tract Map No. NO. 2009-01 and Density Bonus Application 2010-01 as conditioned in Exhibit "A" attached hereto and incorporated herein. This decision is based upon the evidence submitted at the abovesaid hearing, which includes but is not limited to: the Request for Planning Commission Action dated August 9, 2010 and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. ADOPTED this 9th day of August, 2010 by the following vote: AYES: Commissioners: Alderete, Turner, Walters, Yrarrazaval (4) NOES: Commissioners: Acosta (1) ABSENT: Commissioners: Betancourt, Gartner (2) ABSTENTIONS: Commissioners: None (0) Eric Alderete Chairman Resolution No. 2010-08 Page 4 of 7 32A-24 APPROVED AS TO FORM: Joseph W. Fletcher City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, Martha Ramirez, Planning Commission Secretary, do hereby attest to and certify the attached Resolution No. 2010-08 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on August 9, 2010. Date: Planning Commission Secretary City of Santa Ana Resolution No. 2010-08 Page 5 of 7 32A-25 CONDITIONS Of APPROVAL FOR DENSITY BONUS APPLICATION NO. 2010-01 AND TENTATIVE TRACT MAP NO. 2009-01 Conditions for Approval Tentative Tract Map No. 2009-01 and Density Bonus Application No. 2010-01 are approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the Title 24, California Building Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below prior to exercising the rights conferred by this tentative tract map. The applicant must remain in compliance with all conditions listed below throughout the life of the tract map. Failure to comply with each and every condition may result in the revocation of the vesting tentative tract map. A. Planning Division All proposed site improvements must conform to the Site Plan Review approval of DP No. 2008-36. 2. The Tentative Tract Map, Final Map, and all improvements required of the subdivider shall be in accordance with the design standards and specifications of the Santa Ana Municipal Code and the requirements of the State Subdivision Map Act. 3. The covenants, conditions, and restrictions (CC&Rs) shall be reviewed and approved prior to approval of the final tract map, and shall be recorded prior to the issuance of building permits. 4. The final tract map shall be recorded within one year of the date of approval of the tentative map by the City Council. 5. The final tract map shall be approved and recorded prior to issuance of building permits. 6. Two copies of the recorded final map and CC&Rs shall be submitted each to the Planning Division, Fire Department, Building Division, and Public Works Agency within 10 days of recordation. All easements shall be recorded prior to or concurrent with the final map. 7. All utility meters and boxes shall be placed in vaults below grade. Any above grade meter and/or box shall be reviewed by the Planning Division Manager to ensure all options have been reviewed. Resolution No. 2010-08 Page 6of7 32A-26 8. Common area improvements shall be installed, inspected, and approved prior to the utility release of the first unit. 9. The applicant shall obtain written consent from every adjacent owner prior to the demolition and construction of the common perimeter wall to the west and north and east of the project. Resolution No. 2010-08 Page 7 of 7 32A-27 DENSITY BONUS HOUSING AGREEMENT THIS DENSITY BONUS HOUSING AGREEMENT (the "Agreement") is hereby entered into as of this day of , 20, by and between INTEGRITY BUILDERS & ASSOCIATES, INC., a California corporation ("Owner") and the CITY OF SANTA ANA, a charter city and municipal corporation ("City") RECITALS A. Owner is the fee title absolute owner of certain real property within the City of Santa Ana, County of Orange, State of California commonly known as 5301 Silver Drive and legally described in Attachment No. 1 hereto which is incorporated herein by this reference (the "Property"). B. Section 41-1600 et seq. of the Santa Ana Municipal Code and section 65915 et seq. of the California Government Code set forth a process to provide increased residential densities to property owners who guarantee that a portion of their residential development will be available to low income, very low-income, or senior (also known as "qualified") households. These regulations are intended to materially assist the housing industry in providing adequate and affordable shelter for all economic segments of the community and to provide a balance of housing opportunities for low income, very low-income, and senior households throughout the city. C. Owner is proposing to the City to develop five residential for-sale, condominium units on the Property (the "Project"), as more particularly set forth in Tentative Tract Map No. 2009-1 (County Map No. 17323) , Density Bonus Application No. 2010-1, Environmental Review No. 2008-115, and Development Plan Review No. DP 2008-36. D. The parties hereto desire by this Agreement for Owner to agree to hold and convey one (1) unit within the Project (the "Affordable Unit") to Low Income Households, and in return for the City to agree to provide for additional units beyond that which is allowed pursuant to the City's General Plan together with other concessions to Owner. Section 41-1602 of the Municipal Code referenced above, require such agreement to be the subject of a density housing bonus agreement. E. In light of the purpose of the City and State density bonus law, and the express provisions of section 65915(n), the City has determined to grant Owner's application for a density bonus and related concessions and waivers. F. In addition to the density bonus granted to Owner, the Project has been granted waivers and concessions of City development standards including (i) reduction of minimum lot size for five (5) units from 18,000 to 16,879 feet, and (ii) increasing the number of attached units in the R2 zone from 2 units to 3 units. EXHIBIT B 1 32A-28 NOW, THEREFORE, Owner and City hereby agree as follows: 1. Definitions. The following terms which are used herein shall have the following definitions: "Affordable Housing Cost" means a price which is established at a level which ensures that the monthly housing costs of (a) any Low Income Household purchaser which earns not greater than eighty percent (80%) of the Area Median Income adjusted for household size, does not exceed the product of thirty percent (30%) multiplied by seventy percent (70%) of the Area Median Income adjusted for Household Size Appropriate to the Unit, and (b) any Low Income Household purchaser which earns not less than seventy percent (70%) or more than eighty percent (80%) of Area Median Income adjusted for household size, the payment of which does not exceed thirty percent (30%) of the gross income of such purchaser. Such housing costs (including mortgage payments, a reasonable utility allowance and similar costs) shall not exceed the maximum amount applicable to lower income households pursuant to California Health and Safety Code section 50052.5. Such housing costs (including mortgage payments, a reasonable utility allowance and similar costs) shall not exceed the maximum amount applicable to low income households pursuant to California Health and Safety Code Section 50052.5(b)(3). "Affordable Unit" is defined in Recital D of this Agreement. "Agreement" means this Density Housing Bonus Agreement between the City and the Owner. "Area Median Income" means the median income figures for Orange County adopted by the State of California pursuant to Health and Safety Code section 50093, as amended from time to time. "City" means the City of Santa Ana, a charter city and municipal corporation. "Household Size Appropriate for Unit" for the purpose of determining Affordable Housing Cost only, means three persons for a two bedroom Affordable Unit and four persons for a three bedroom Affordable Unit. Household Size Appropriate for Unit is not intended to constitute a limitation on the number of persons who may live in the Unit. "Low Income Household" shall mean a person and family whose income does not exceed the qualifying limits for lower income families in Orange County as established by the State of California pursuant to Health and Safety Code section 50079.5, as such qualifying limit is amended from time to time. corporation. "Owner" shall mean Integrity Builders & Associates, Inc., a California "Project" means the construction of five (5) for-sale condominium units, including one (1) Affordable Unit, the sale thereof to a qualified purchaser of the Affordable Unit at an Affordable Housing Cost and any other activities undertaken in connection therewith. 2. Provision of Affordable Ownership Housing. One for-sale, condominium residential unit which are required to be developed as part of Project shall be sold to a Low Income Household at the prices set forth in paragraph 3 hereof (the "Affordable Unit"). The specific location of the Affordable Unit is as shown on the map attached hereto as Attachment No. 2, which is incorporated herein by this reference. 2 32A-29 3. Maximum Sales Price. Owner covenants and agrees that the Affordable Unit shall be sold at no more than the Affordable Housing Cost to Low Income Household. 4. Selection of Buyer. Owner shall be responsible for the selection of buyers for the Affordable Unit in compliance with the criteria set forth in paragraph 5 of this Agreement. Owner shall develop a plan for the marketing of the Houses and the selection of buyers of the Affordable Unit, consistent with California Redevelopment law. Such marketing plan shall be submitted to the City for its reasonable approval, and Owner shall carry out the marketing in accordance with such approved plan. Preference shall be given to buyers who have been displaced by redevelopment activities by City in the implementation of its redevelopment plans. Owner covenants and agrees that no sales of Affordable Unit shall be made to any person or family related, within the fourth (4th) degree of consanguinity, to Owner or to any member, shareholder or partner of Owner, or anyone related by blood or marriage to any such shareholder or partner; provided, however, that the foregoing shall not prevent the sale of the Affordable Unit to an employee of Owner who is otherwise unrelated to any member, shareholder or partner of the Owner provided such employee otherwise meets the requirements set forth in this Agreement for the sale of an Affordable Unit. 5. Income of Buyers. Owner shall, upon execution of this Agreement, prepare and submit to the City for review and approval, which shall not be unreasonably withheld, a marketing plan for prospective buyers of the Affordable Unit. Based upon the marketing plan, Owner shall prepare and keep a written list of prospective buyers for the Affordable Unit. No later than ninety (90) days before the Affordable Unit is ready for occupancy, Owner shall contact all persons or families on the list and ask each to submit a income computation and certification form; provided, however, that City and Owner shall cooperate to determine terms and conditions under which buyers may pre-qualify to purchase an Affordable Unit. As early as practicable, but at least sixty (60) days prior to the sale of the Affordable Unit, the Owner shall submit to City a completed income computation and certification form signed by the prospective buyer under penalty of perjury, in such form as may be provided by City for each prospective buyer, together with all information it has reviewed and considered in its selection process (the "Notice of Intended Sale"). City shall have ten (10) working days to approve or reject the Notice of Intended Sale. City's decision shall be final. For each buyer approved by the City, Owner shall use its best efforts to provide and cause, a true and correct copy of the complete lender's package shall be submitted to the City at the time of submission to the prospective lender, for City confirmation of income status. The lender's package submitted to the City shall be a true and correct copy of the complete package submitted by the unit's buyer to the prospective lender. City shall complete its review of the complete lender's package within fourteen (14) working days. Owner shall and hereby does covenant that no sale shall be made of the Affordable Unit unless and until the City has issued a certificate approving that the proposed buyer qualifies as a Low Income Household. In the event a sale is made in violation of the terms of this Agreement or false or misleading statements are made in any documents submitted to the City, the City shall have the right to file an appropriate action at law or in equity unless Owner substitutes another otherwise qualifying unit as the Affordable Unit. In the event that Owner 32A-30 fails to comply with this provision, costs, liabilities and obligations incurred by Owner and the buyer of the Affordable Unit for the return of any monies paid or received or for any costs and legal expenses shall be borne jointly and severally by the Owner and the buyer and such parties shall hold the City harmless and reimburse its costs and expenses, excluding attorneys' fees. Gross income shall be determined in accordance with Section 8 guidelines and California Health and Safety Code section 50093 (together with interpreting Regulations). Owner shall obtain a certification from each buyer purchasing an Affordable Unit demonstrating that such buyer is a Low Income Household and meets the eligibility requirements established for the Affordable Unit. Owner shall verify the income certification of the proposed buyer as set forth below. Owner shall verify the income of each proposed purchaser of the Affordable Unit by at least one of the following methods as appropriate to the proposed purchaser: a. obtain two (2) paycheck stubs from the prospective buyers two (2) most recent pay periods. b. obtain a true copy of the last two income tax returns from the prospective buyers for the last two (2) tax years in which a return was filed. C. obtain an income verification certification from the employer of the prospective buyers. d. obtain an income verification certification from the Social Security Administration and/or the California Department of Social Services if the prospective buyers receive assistance from such agencies. e. obtain an alternate form of income verification reasonably acceptable to the Agency, if none of the above forms of verification is available to the Developer. f. City may reasonably request additional information regarding the buyer and/or the proposed transaction as is already in the custody of Owner, and Owner shall provide such information as soon as is practicable. 6. Non-Discrimination Covenant. Owner, on behalf of itself and its successors and assigns, Owner herein covenants by and for itself, its successors and assigns, that there shall be no discrimination against or segregation of, any person or group of persons on account of any basis listed in subdivision (a) or (d) of Section 12955 of the Government Code, as those bases are defined in Sections 12926, 12926. 1, subdivision (m) and paragraph (1) of subdivision (p) of Section 12955, and Section 12955.2 of the Government Code, in the sale, lease, sublease, transfer, use, occupancy, tenure, or enjoyment of the premises herein conveyed, nor shall the grantee or any person claiming under or through him or her, establish or permit any practice or practices of discrimination or segregation with reference to the selection, location, number, use or occupancy of tenants, lessees, subtenants, sublessees, or vendees in the premises herein conveyed. The foregoing covenants shall run with the land. Notwithstanding the immediately preceding paragraph, with respect to familial status, the immediately preceding paragraph shall not be construed to apply to housing for older persons, as defined in Section 12955.9 of the Government Code. With respect to familial status, nothing in the immediately preceding paragraph shall be construed to affect Sections 51.2, 51.3, 51.4, 51.10, 51.11, and 799.5 of the Civil Code, relating to housing for senior citizens. Subdivision (d) of Section 51 and Section 1360 of the Civil Code and subdivisions (n), (o), and (p) of Section 4 32A-31 12955 of the Government Code shall apply to the immediately preceding paragraph. All deeds, leases or contracts entered into by Owner relating to the Affordable Unit on the Property shall contain or be subject to substantially the following nondiscrimination or nonsegregation clauses: a. In deeds: "The grantee herein covenants by and for himself or herself, his or her heirs, executors, administrators, and assigns, and all persons claiming under or through them, that there shall be no discrimination against or segregation of, any person or group of persons on account of any basis listed in subdivision (a) or (d) of Section 12955 of the Government Code, as those bases are defined in Sections 12926, 12926. 1, subdivision (m) and paragraph (1) of subdivision (p) of Section 12955, and Section 12955.2 of the Government Code, in the sale, lease, sublease, transfer, use, occupancy, tenure, or enjoyment of the premises herein conveyed, nor shall the grantee or any person claiming under or through him or her, establish or permit any practice or practices of discrimination or segregation with reference to the selection, location, number, use or occupancy of tenants, lessees, subtenants, sublessees, or vendees in the premises herein conveyed. The foregoing covenants shall run with the land. "Notwithstanding the immediately preceding paragraph, with respect to familial status, the immediately preceding paragraph shall not be construed to apply to housing for older persons, as defined in Section 12955.9 of the Government Code. With respect to familial status, nothing in the immediately preceding paragraph shall be construed to affect Sections 51.2, 51.3, 51.4, 51.10, 51.11, and 799.5 of the Civil Code, relating to housing for senior citizens. Subdivision (d) of Section 51 and Section 1360 of the Civil Code and subdivisions (n), (o), and (p) of Section 12955 of the Government Code shall apply to the immediately preceding paragraph." b. In leases: "The lessee herein covenants by and for himself or herself, his or her heirs, executors, administrators, and assigns, and all persons claiming under or through him or her, and this lease is made and accepted upon and subject to the following conditions: "That there shall be no discrimination against or segregation of any person or group of persons, on account of any basis listed in subdivision (a) or (d) of Section 12955 of the Government Code, as those bases are defined in Sections 12926, 12926. 1, subdivision (m) and paragraph (1) of subdivision (p) of Section 12955, and Section 12955.2 of the Government Code, in the leasing, subleasing, transferring, use, occupancy, tenure, or enjoyment of the premises herein leased nor shall the lessee himself or herself, or any person claiming under or through him or her, establish or permit any such practice or practices of discrimination or segregation with reference to the selection, location, number, use, or occupancy, of tenants, lessees, sublessees, subtenants, or vendees in the premises herein leased. "Notwithstanding the immediately preceding paragraph, with respect to familial status, the immediately preceding paragraph shall not be construed to apply to housing for older persons, as defined in Section 12955.9 of the Government Code. With respect to familial status, nothing in the immediately preceding paragraph shall be construed to affect Sections 51.2, 51.3, 51.4, 51.10, 51.11, and 799.5 of the Civil Code, relating to housing for senior citizens. Subdivision (d) of Section 51 and Section 1360 of the Civil Code and subdivisions (n), (o), and (p) of Section 12955 of the Government Code shall apply to the immediately preceding paragraph." C. In contracts: "There shall be no discrimination against or segregation of, any person or group of persons on account of any basis listed in subdivision (a) or (d) of Section 32A-32 12955 of the Government Code, as those bases are defined in Sections 12926, 12926.1, subdivision (m) and paragraph (1) of subdivision (p) of Section 12955, and Section 12955.2 of the Government Code, in the sale, lease, sublease, transfer, use, occupancy, tenure, or enjoyment of the premises which are the subject of this Agreement, nor shall the grantee or any person claiming under or through him or her, establish or permit any practice or practices of discrimination or segregation with reference to the selection, location, number, use or occupancy of tenants, lessees, subtenants, sublessees, or vendees in the premises herein conveyed. The foregoing covenants shall run with the land." "Notwithstanding the immediately preceding paragraph, with respect to familial status, the immediately preceding paragraph shall not be construed to apply to housing for older persons, as defined in Section 12955.9 of the Government Code. With respect to familial status, nothing in the immediately preceding paragraph shall be construed to affect Sections 51.2, 51.3, 51.4, 51.10, 51.11, and 799.5 of the Civil Code, relating to housing for senior citizens. Subdivision (d) of Section 51 and Section 1360 of the Civil Code and subdivisions (n), (o), and (p) of Section 12955 of the Government Code shall apply to the immediately preceding paragraph." d. The foregoing covenants shall, without regard to technical classification and designation, be binding for the benefit and in favor of Agency, its successors and assigns, any occupants of the Affordable Unit, and any successor in interest to the Affordable Unit. The covenants against discrimination shall remain in effect in perpetuity. In no event shall anything in this paragraph 6 be construed as authority to lease the Affordable Unit. 7. Notice of Resale Restrictions and Declaration of Conditions, Covenants and Restrictions. a. The parties agree and acknowledge that Attachment No. 3 to this Agreement shall be executed by Owner and recorded prior to City approval of the final map for this Project. b. The parties agree and acknowledge that Attachment No. 3 to this Agreement is intended and shall be interpreted to restrict the use of the unit to owner-occupancy, and shall restrict subsequent resales of the Affordable Unit to Low Income Households, at an Affordable Housing Cost, who agree to occupy the Affordable Unit as their principal place of residency; and that this restriction shall continue to apply to each Affordable Unit until the forty- fifth (45th) anniversary of the issuance of a Certificate of Occupancy by Santa Ana for the Affordable Unit. C. The parties further agree and acknowledge that this Agreement is intended and shall be interpreted to provide that, for purposes of this Agreement, an individual or family who qualifies as a Low Income Household at the time he or she or they first takes title to the Affordable Unit shall be deemed a Low Income Household so long as he or she or they continue to hold title to such Affordable Unit even though the Low Income Household subsequently ceases to meet the income or other requirements of a Low Income Household; and that when the owner of an Affordable Unit releases title to an Affordable Unit, such unit shall be deemed as occupied by a Low Income Household if it is held vacant and available for such occupancy until title is transferred to another Low Income Household pursuant to this Agreement. 8. Reserved. 9. Indemnity. 6 32A-33 a. The parties agree that City neither undertakes nor assumes any responsibility to review, inspect, supervise, approve or inform Owner of any matter in connection with the construction of the Project, including matters relating to contractors, subcontractors and materialmen, or the workmanship of or materials used by any of them, and Owner shall entirely on its own judgment with respect to such matters and acknowledges that any review, inspection, supervision, approval or information supplied to Owner by City in connection with such matters is solely for the protection of City and neither Owner nor any third party is entitled to rely upon it. b. The parties agree and acknowledge that City is not a partner, joint venturer, alter-ego, manager, controlling person or other business associate or participant of any kind with Owner and that City does not intend to ever assume such status. C. The parties agree and acknowledge that City's activities in connection with the Affordable Unit or the Project shall not be "outside the scope of activities of a lender of money" within the meaning of California Civil Code section 3434, as amended from time to time, and City does not intend nor shall this Agreement be interpreted to imply that the City has assumed any responsibility to any person for the quality or safety of the Affordable Unit or the Project. d. The parties agree and acknowledge that City shall not be deemed responsible for, or participant in any acts, omissions or decisions of Owner. e. The parties agree and acknowledge that City shall not be directly or indirectly liable or responsible for any loss or injury of any kind to any person or property arising from any construction on, or occupancy of, the Affordable Unit or the Project, whether alleged to arise from: i. any defect in any building, grading, landscaping, or other onsite or offsite improvements constructed by Owner; ii. any act or omission of Owner or of any of Owner's agents, employees, independent contractors, licensees, invitees or volunteers; or any accidents relating to the Affordable Unit or Project or any fire or other casualty or hazard thereon. f. Owner agrees to guarantee its work from defects for a period of at least one (1) year after construction is complete, with a five (5) year guarantee for the roof of each Unit. Owner shall provide the buyer of the Affordable Unit with all of the manufacturer's warranties and product information. Owner shall also provide the buyer of the Affordable Unit with a commercially reasonable Homeowner Protection Plan. g. Owner agrees to and shall indemnify and hold harmless City, its officers, agents, employees, consultants, special counsel, and representatives from liability: (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including health, and claims for property damage, which may arise from or relating to (i) Owner's obligations of actions undertaken pursuant to this Agreement; ( ii) a claim, demand or other cause of action that any person has or asserts against Owner; ( iii) any act or omission of Owner or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the Affordable Unit or the Project; or ( iv) the Owner's initial sale of the Affordable Unit or Project, except to the extent such matters are caused by the negligence or willful misconduct of City or its officers, employees, agents, consultants, special counsel or representatives. This indemnity and hold harmless agreement 32A-34 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 paragraph or by reason of the terms of, or effects, arising from this Agreement. The Owner further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs to the extent there is no conflict of interest, Owner should be allowed to use the legal counsel which is also representing Owner 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. Owner's obligations under this paragraph shall survive the termination of this Agreement. 10. Compliance with Laws. a. Except as set forth expressly herein, the Owner shall carry out the design and construction of the Project in conformity with all applicable laws, including all applicable state labor standards, the City zoning and development standards, building, plumbing, mechanical and electrical codes, and all other provisions of the City of Santa Ana Municipal Code, and all applicable disabled and handicapped access requirements, including without limitation the Americans With Disabilities Act. 42 U.S.C. section 12101, et seq., Government Code section 4450, et seq. b. During the time of Owner's ownership of the Property, the Owner shall maintain the Property and all improvements thereon, including all landscaping, in compliance with the terms of all applicable provisions of the City of Santa Ana Municipal Code. Each homeowner shall be responsible for maintenance of their own property after transfer of title. 11. Successors and Assigns. This Agreement shall be binding upon and shall inure to the benefit of Owner and Santa Ana and their respective successors and assigns. 12. Governing Law. This Agreement has been entered into, is to be performed entirely within, and shall be governed by and construed in accordance with the laws of the State of California. 13. Further Assurances. Each party hereto covenants and agrees to perform all acts and things, and to prepare, execute, and deliver such written agreements, documents, and instruments as may be reasonably necessary to carry out the terms and provisions of this Agreement. 14. No Third Parties Benefited. This Agreement is made for the purposes of setting forth rights and obligations of Owner and Santa Ana, and no other person shall have any rights hereunder or by reason hereof. 8 32A-35 15. Notices. Any notice which a party may desire to give to the other parry under this Agreement must be in writing and may be given by first class mail, postage prepaid, personal delivery or reputable overnight delivery service, addressed to the parry to whom the notice is directed as set forth below, or at any other address as that party may later designate by notice. To City: City of Santa Ana 20 Civic Center Plaza Santa Ana, California 92701 Attention: Clerk of the Council To Owner: Integrity Builders & Associates, Inc. 1220 Pioneer Street, Unit D Brea, California 92821 Attention: Edward A. Padilla, Jr. Any written notice, demand or communication shall be deemed received upon delivery or refusal to accept delivery if delivered by hand, shall be deemed delivered on the next business day if delivered by reputable overnight delivery service, and shall be deemed received on the third day from the date it is postmarked if delivered by registered or certified mail. 16. Non-Discrimination in Employment. In performing its obligations under this Agreement, Owner shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other related activities. Owner affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations 17. No Conflict of Interest. No member, official or employee of the City shall have any personal interest, direct or indirect, in this Agreement, nor shall any such member, official or employee participate in any decision relating to the Agreement which affects his or her personal interests or the interests of any corporation, partnership or association in which he or she is, directly or indirectly, interested. 18. Nonliability of Santa Ana Officials and Employees. No member, official or employee of Santa Ana shall be personally liable to the Owner, or any successor-in-interest, in the event of any default or breach by the City or for any amount which may become due to Owner or to its successor, or on any obligation under the terms of this Agreement. 19. Effective Date of Agreement. This Agreement shall be dated and effective as of the date of the action by the City by which it approves this Agreement. 20. Entirety of Agreement. This Agreement integrates all of the terms and conditions mentioned herein or incidental hereto, and supersedes all negotiations or previous agreements between the parties with respect to the matters contained herein. 32A-36 None of the terms, covenants, agreements or conditions set forth in this Agreement shall be deemed to be merged with any grant deed conveying title to the Property, and this Agreement shall continue in full force and effect before and after such conveyance. All waivers of the provisions of this Agreement must be in writing and signed by the appropriate authorities of City and the Owner, and all amendments hereto must be in writing and signed by the appropriate authorities of City and the Owner. 21. Legal Advice. Each party represents and warrants to the other the following: they have carefully read this Agreement, and in signing this Agreement, they do so with full knowledge of any right which they may have; they have received independent legal advice from their respective legal counsel as to the matters set forth in this Agreement, or have knowingly chosen not to consult legal counsel as to the matters set forth in this Agreement; and, they have freely signed this Agreement without any reliance upon any agreement, promise, statement or representation by or on behalf of the other parry, or their respective agents, employees, or attorneys, except as specifically set forth in this Agreement, and without duress or coercion, whether economic or otherwise. 22. Time of Essence. Time is expressly made of the essence with respect to the performance by the City and the Owner of each and every obligation and condition of this Agreement. 23. Cooperation. Each party agrees to cooperate with the other in this transaction and, in that regard, to sign any and all documents which may be reasonably necessary, helpful, or appropriate to carry out the purposes and intent of this Agreement including, but not limited to, releases or additional agreements. (Signatures on page below) 10 32A-37 NOW, THEREFORE, the parties hereto have executed this Agreement as of the date set forth above. INTEGRITY BUILDERS & ASSOCIATES, INC., a California corporation By: EDWARD A. PADILLA, JR. Responsible Managing Officer, Chief Executive Officer, President CITY OF SANTA ANA a charter city and municipal corporation ATTEST: Maria D. Huizar David N. Ream Clerk of the Council City Manager APPROVED AS TO FORM: JOSEPH W.FLETCHER City Attorney By: Lisa E. Storck Assistant City Attorney 32A-38 ATTACHMENT NO. I LEGAL DESCRIPTION 12 32A-39 ATTACHMENT NO.2 MAP SHOWING LOCATION OF AFFORDABLE UNIT 13 32A-40 ATTACHMENT NO.3 City of Santa Ana 20 Civic Center Plaza P.O. Box 1988 Santa Ana, California 92702 Attention: Clerk of the Council NOTICE OF RESALE RESTRICTIONS AND DECLARATION OF CONDITIONS, COVENANTS AND RESTRICTIONS FOR PROPERTY THIS NOTICE OF RESALE RESTRICTIONS AND DECLARATION OF CONDITIONS, COVENANTS AND RESTRICTIONS FOR PROPERTY (the "Declaration") is hereby made as of this day of , by and between INTEGRITY BUILDERS & ASSOCIATES, INC., a California corporation ("Covenantor"); and the CITY OF SANTA ANA, a charter city ("City" or "Covenantee") RECITALS A. Covenantor is the fee title absolute owner of certain real property within the City of Santa Ana, County of Orange, State of California commonly known as 5301 Silver Drive and legally described in Exhibit A hereto which is incorporated herein by this reference (the "Property"). B. On , 20 , the City Council of the City approved a Density Housing Bonus Agreement with Covenantor and Tentative Tract Map No. . The City imposed conditions of approval on Covenantor to agree to the execution of the Density Housing Bonus Agreement and to execute and record these Declaration to provide that 20% of the total number of units to be constructed by Covenantor on the Property, or one (1) unit to be for-sale, condominium affordable housing for low income households, as defined in California Health and Safety Code (H&SC) sections 50079.5, 50105 and 50106. NOW THEREFORE, the parties hereto agree and covenant as follows: 1. Affordability Covenant. Covenantor agrees for itself and its successor and assigns, and for every successor to Covenantor's interest in the affordable unit, or any part thereto, that the property located at 5301 Silver Drive, Santa Ana, California, consisting of one (1) unit, shall be designated as affordable for low income households and shall be held subject to this Declaration for forty-five (45) years from the date of City issuance of a Notice of Completion for said unit, as follows: a. The affordable unit shall only be owned and occupied by "Low Income Households" which shall mean persons or families earning not more than eighty percent (80%) or 14 32A-41 less of the Orange County median income, adjusted for household size appropriate for the unit as determined by the City based on statistics published by the United States Department of Housing & Urban Development or established by the State of California pursuant to Health & Safety Code section 50093, or successor statute. b. The affordable unit shall only be sold at an "Affordable Housing Cost" to Low Income Households. Affordable Housing Cost shall be the permitted gross sales price of the unit as established by the Agency, upon request of the Covenantor or owner of the affordable unit. C. The term of this agreement shall commence on the date this Declaration is recorded with the Recorder's Office of the County of Orange and shall continue for forty-five (45) years from the date a Notice of Completion is issued by the City ("Affordability Period"). d. The covenant contained in this Section I shall run with the affordable unit and shall automatically terminate and be of no further force and effect upon the expiration of the Affordability Period. 2. Transfer of Affordable Unit. No transfer of the affordable unit shall occur until the Covenantee determines (a) that the prospective purchaser intends to occupy the affordable unit as the proposed purchaser's principal residence, (b) that the proposed purchaser qualifies as a Low Income Household, and (c) that the proposed transfer will occur at an Affordable Housing Cost. In the event that Covenantor, including successors and assigns, desires to sell the unit, Covenantor shall send written notice thereof to the Covenantee at the following addresses: To City: City of Santa Ana 20 Civic Center Plaza Santa Ana, California 92701 Attention: Clerk of the Council a. Within days of such notice, the Covenantor, or its successor and assigns, shall submit to Covenantee a transfer application. Such transfer application shall include (a) a certification of the proposed purchaser's intent to occupy the affordable unit as the proposed purchaser's principal residence, (b) a certification to demonstrate that the purchaser qualifies as a Low Income Household, and (c) an affidavit disclosing that the proposed purchase price is equal to or less than the Affordable Housing Cost, and (d) a disclosure statement executed by the proposed purchaser which certifies that the proposed purchaser may only sell the unit at an Affordable Housing Cost to a Low Income Household, that the maximum permitted sales price may be less than fair market value of the affordable unit, and that the affordable unit must be owner-occupied at all times and shall not be rented or leased. If Covenantee has pre-existing forms regarding such certifications and affidavits, such forms shall be used by Covenantor. b. Covenantor, or its successor and assigns, shall cooperate with Covenantee in providing such forms to the prospective purchaser and assisting prospective purchasers to prepare such forms and provide such required information to the Covenantee. C. The Covenantee shall review and approve the transfer only if it finds that the Covenantor (and proposed purchaser) have submitted all such forms necessary to make the determinations required pursuant to Section 1 of this Declaration. The City shall endeavor to make such determination within fourteen (14) days from the submission of the completed forms. If the Covenantee fails to approve or disapprove a submission within such fourteen (14) day period, the 15 32A-42 Covenantee shall be deemed to have denied such transfer. THE COVENANTOR AND EACH SUCCESSOR, HEIR, OR ASSIGN OF THE COVENANTOR UNDERSTANDS THAT THE DETERMINATION OF THE AFFORDABLE HOUSING COST CAN BE MADE ONLY AT THE TIME OF THE PROPOSED TRANSFER, TAKING INTO CONSIDERATION INTEREST RATES, THE TERMS OF SALE OFFERED TO AND THE ECONOMIC CIRCUMSTANCES OF THE PROPOSED PURCHASER, AND ECONOMIC CIRCUMSTANCES OF THE PROPOSED PURCHASER AND OTHER FACTORS THAT CANNOT BE ACCURATELY PREDICTED, AND THAT THE TRANSFER PRICE PERMITTED UNDER THIS DECLARATION MAY BE LES THAN THE FAIR MARKET VALUE OF THE PROPERTY AND MAY NOT INCREASE OR DECREASE IN THE SAME MANNER AS OTHER SIMILAR REAL PROPERTY WHICH IS NOT ENCUMBERED BY THIS DECLARATION. EACH SUCCESSOR, HEIR, OR ASSIGN OF COVENANTOR FURTHER ACKNOWLEDGES THAT AT ALL TIMES IN SETTING THE TRANSFER PRICE, THE PRIMARY OBJECTIVE OF THE COVENANTEE AND THIS DECLARATION IS TO PROVIDE HOUSING TO LOW INCOME HOUSEHOLDS AT AN AFFORDABLE HOUSING COST. Covenantor's Initials 3. Subsequent Covenants. Covenantor, and its successor and assigns, shall include in the escrow instructions and Purchase and Sale Agreements with subsequent purchasers a provision which requires each subsequent purchaser to record a covenant which will run with the land and bind all successors-in-interest or assignees that will ensure that all subsequent buyers and occupants quality as Low Income Households. Said covenant(s) shall remain in full force and effect for the Affordability Period set forth in Section I of this Declaration. 4 Annual Monitoring. Throughout the term of this Agreement, Covenantor, and its successor and assigns, shall comply with all applicable record keeping and monitoring requirements established by California law and this Agreement. Covenantor, and its successor and assigns, shall cooperate with the City's monitoring requirements established by California law. 5. Non-Discrimination Covenant. Covenantor, on behalf of itself and its successors and assigns, covenants and agrees that there shall be no discrimination against or segregation of any, nor shall Covenantor itself or any person claiming under or through Covenantor permit any such practice or practices of discrimination or segregation with reference to the selection, location, number or use of the affordable unit. Covenantor shall include in each 16 32A-43 grant deed for the affordable unit a provision substantially similar to the following: "The grantee herein covenants by and for itself, its successors and assigns, and all persons claiming under or through them, that there shall be no discrimination against or segregation of, any person, or group of persons, on account of race, color, religion, sex or gender, marital status, national origin or ancestry in the sale, lease, sublease, transfer, use, occupancy, tenure or enjoyment of the property herein conveyed, nor shall the grantee itself or any person claiming under or through it, establish or permit any such practice or practices of discrimination or segregation with reference to the selection, location, number, use or occupancy of tenants, lessees, subtenants, sublessees or vendees in the property herein conveyed. The foregoing covenants shall run with the land. 6. Covenants Do Not Impair Lien. No violation or breach of this Declaration shall defeat or render invalid or in any way impair any lien or charge of any mortgage or deed of trust or security agreement recorded against the Property. 7. Covenants for Benefit of Covenantee. This Declaration and all covenants contained herein without regard to technical classification shall be binding for the benefit of Covenantee and such covenants shall run in favor of Covenantee for the entire period during which time such covenants shall be in full force and effect. 8. Governing Law. This Agreement has been entered into, is to be performed entirely within, and shall be governed by and construed in accordance with the laws of the State of California. (Signatures commence on next page) 17 32A-44 NOW, THEREFORE, the parties hereto have executed this Agreement as of the date set forth above. COVENANTOR: INTEGRITY BUILDINGS & ASSOCIATES, INC., a California Corporation By: EDWARD A. PADILLA, JR. Responsible Managing Officer, Chief Executive Officer, President CITY OF SANTA ANA, a charter city ATTEST: Maria D. Huizar David N. Ream Clerk of the Council City Manager APPROVED AS TO FORM: JOSEPH W.FLETCHER City Attorney By: Lisa E. Storck Assistant City Attorney 18 32A-45 EXHIBIT "A" LEGAL DESCRIPTION 19 32A-46 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: PUBLIC FACILITIES NAMING NO. 2010-01 TO NAME THE PLAYGROUND AT ANGELS COMMUNITY PARK, LOCATED AT 914 WEST THIRD STREET, THE "VIRGINIA AVILA PLAYGROUND" CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 151 Reading ? Ordinance on 2"d Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the staff report and affirm the naming of the playground at Angels Community Park the Virginia Avila Playground (Public Facilities Naming No. 2010-01). BOARD OF RECREATION AND PARKS ACTION On June 30, 2010, the Board of Recreation and Parks unanimously approved Public Facilities Naming No. 2010-01 by a vote of 4:0 (five absences) to name the playground at Angels Community Park the Virginia Avila Playground. PLANNING COMMISSION ACTION On July 26, 2010, the Planning Commission approved Public Facilities Naming No. 2010-01 by a vote of 7:0 naming the playground at Angels Community Park the Virginia Avila Playground at 914 West Third Street in the Open Space (O) zoning district. The Planning Commission made no changes to the name change identified in the attached staff report (Exhibit A). FISCAL IMPACT There is no fiscal impact associated with this action. AM. Trevino Executive Director Planning & Building Agency VF:rb of/reports/pfn10-01 Avila Park.cc Gerardo Mouet Executive Director Parks, Recreation & Exhibit: A. Planning Commission Staff Report mm. Svcs. Agency 39A-1 39A-2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: JULY 26, 2010 TITLE: PUBLIC FACILITIES NAMING NO. 2010-01 TO NAME THE PLAYGROUND AT ANGELS COMMUNITY PARK, LOCATED AT 914 WEST THIRD STREET, THE "VIRGINIA AVILA PLAYGROUND" Prepared by Vince Fregoso Executive Director RECOMMENDED ACTION PLANNING COMMISSION SECRETARY APPROVED ? As Recommended ? As Amended ? Set Public Hearing For DENIED ? Applicant's Request ? Staff Recommendation CONTINUED TO 44-4-? ?76? Planning Managed Approve Public Facilities Naming No. 2010-01 naming the playground at Angels Community Park the Virginia Avila Playground.. BOARD OF RECREATION AND PARKS ACTION On June 30, 2010, the Board of Recreation and Parks unanimously approved Public Facilities Naming No. 2010-01 by a vote of 4:0 (five absences) to name the playground at Angels Community Park the Virginia Avila Playground. DISCUSSION On May 26, 2010, the Assistance League of Santa Ana submitted a letter to the Parks, Recreation and Community Services Agency requesting that the playground at Angels Community Park be dedicated to and named after Mrs. Virginia Avila, who recently passed away (Exhibit 1). On June 7, 2010, the Flower Park Neighborhood Association submitted a letter supporting the request to name the playground after Virginia Avila (Exhibit 2). Virginia Avila was President of the Flower Park Neighborhood Association for over 15 years. She was a key member of the neighborhood who communicated regularly with the City on any issues or problems at Angels Community Park. She was very active and dedicated to her neighborhood, as well as the City, and strived to make improvements to the park and neighborhood that made both a safe place for children. She was active in getting the police to focus in her neighborhood and combat the drug and alcohol problems in the community. And, she was one of the leaders who convinced the California Angels baseball team to donate funds for the renovation of Flower Park, which was later renamed Angels Community Park. 3 3AA-3 Public Facilities Naming No. 2010-01 July 26, 2010 Page 2 Sections 33-5 and 33-6 of the Municipal Code govern the naming of streets and public facilities, including parks, park playgrounds and other recreational facilities. The code includes guidelines for the naming of these facilities and identifies policy guidelines for the naming of public facilities. In general, the naming of parks and public facilities should consider: A name which serves to identify the location of the subject area. 2. A name which references the history of the site or area. 3. A name which identifies a person or family which made extraordinary donation of land or funds to promote the improvement of the public facility. 4. A name which recognizes a person or family who made a significant contribution to the well being of the city, including city council, commissioners, officers and employees of the city, but not anyone who currently holds such position. Analysis of the Issues Based on the guidelines established in the Municipal Code and in consideration of what would best identify the naming of the playground, the following analysis was considered for the naming of the playground. Existing Name: • Currently no name has been approved for the playground at Angels Community Park. 2. Proposed Name: • "Virginia Avila Playground" recognizes a community resident that made a significant contribution through her volunteer efforts that resulted in improvements to Angels Community Park. • Virginia Avila provided numerous volunteer hours towards the improvement of the park and seeing the park be used by the children. Further, she communicated regularly with staff to provide information on vandalism/misuse in the park and suggested improvements. • Virginia Avila was president of the Flower Park Neighborhood Association for numerous years and was one of the key individuals instrumental in obtaining funding to make a major renovation to the park. Based on the above analysis, staff recommends that the Planning Commission approve the naming of the playground at Angels Community Park the "Virginia Avila Playground." 39A-4 Public Facilities Naming No. 2010-01 July 26, 2010 Page 3 CEQA Compliance This project was reviewed in accordance with the Guidelines for the California Environmental Quality Act. The recommendation is exempt from further review pursuant to Section 15061 (b)(3) under the General Rule Exemption. Environmental Review No. 2010-104 will be filed for this project. .ht-? ?-? Gerardo Mouet Executive Director Parks, Recreation & Co munity Services S Vince Fre ICP Principal Planner VF:jm vdreports/pfn10-01 Avila Park.pc assistance league' Santa Ana May 26, 2010 Gerardo Mouet, Executive Director Parks, Recreation Community. Services Agency 20 Civic Center Plaza P. O. Box 1988, •M-.75 Santa Ana, CA 92702 Dear Mr. Mouet: Virginia Avila; the President of the Flower Street Neighborhood Association, was very active and dedicated, not only to her neighborhood, but to the City of Santa Ana Her tireless efforts transformed Angels Park into a safe place where children are able to play and enjoy the facility. The Assistance League of Santa Ana was a partner with Virginia, and the neighborhood association, in this transformation of the park. The Flower Street Park Neighborhood Association held monthly meetings at our facility on First Street. As you are aware, Mrs. Avila passed away in April. The Assistance League of Santa Ana would like to recognize Mrs. Avila for her efforts for Santa Ana The Chapter Board of the Assistance League of Santa Ana recommends that the City of Santa Ana dedicate the playground in Angels Park to Mrs. Avila by naming the playground "The Virginia Avila Playground". It would be a fine tribute to name the playground after Mrs. Avila - it would be a lasting remembrance for her family, and for the people of Santa Ana, and especially for those whose lives she has touched over the years. Sincerely, Margaret Hart President Exhlbit A 1037 West First Street, Santa Anti. Califnrnia 92703 ppEPAMONSCWpL SELL, DENTAL CENTER TttRIfTSMOP SEE tel 714.664.0547 tax 714.647.0209 www.assiatkids.org I 714.971.1523 I 714.835.6727 I 714.543.1120 I 714.664.0547 rederal Tax Identification Number: 95-2 1 2698 2 - EXHIBIT 1 t^A Is Flower Park Neighborhood Association P.O. Box 1988 Santa Ana, California 92702 June 7, 2010 Gerardo Mouet, Executive Director Santa Ana Parks and Recreation P.O. Box 1988 Santa Ana, CA 92702 Dear Mr. Mouet: The Assistance League Santa Ana recently sent you a letter regarding the naming of Angel Park playground after Virginia Avila, the former President of our neighborhood association. The leadership committee of the Flower Park Neighborhood met this past week to discuss the naming of the playground after Virginia Avila and we unanimously support this Idea. We would like to do this dedication to her for her efforts and support. She worked so hard for the neighborhood and the city of Santa Ana. We feel it will be a great remembrance for the neighborhood to honor her memory for all the great dedication she gave to the community. We would really appreciate this consideration. At the bottom of this letter, you will see the signature of each Board member agreeing for this recognizing of a grateful and generous Virginia Avila. She will be greatly missed. Thank you very much. Sincerely, Be Ct, I r 12 ?0f) Ge BaC vKC eL"QV6L ?- A,,& Nn'T p et Cz Beatriz Ponce 1102 W. 2nd Street #C Irma Garcia 1102 W. 2nd Street #B Beatriz Cuevas 1039 W. 3`d Street Trisha Torres 623 N. Bristol Street #71 Exhibit B Marie Ellen Perez 1005 W. 2nd St. EXHIBIT 2 39A-8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: AUGUST 16, 2010 TITLE: RESOLUTION APPROVING RELOCATION PLAN FOR AGENCY ACQUISITIONS IN THE STATION DISTRICT CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1st Reading ? Ordinance on 2"d Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO 9- 1(-oF010 FILE NUMBER Adopt a resolution approving the Relocation Plan for the properties located at 812 E. Santa Ana Blvd., 602-604 E. 5th Street, 607 E. 6th Street, 609 E. 6th Street, 613 E. 6th Street, 615 E. 6th Street, 911 Brown Street, and 409-411 N. Minter. DISCUSSION The Community Redevelopment Agency (Agency) has acquired numerous parcels along the Santa Ana Boulevard corridor for the purpose of improving this critical gateway into the City. The Agency has selected a master developer (Related) for the area and is proceeding with a residential project. The Agency and Related have identified a number of additional parcels whose acquisition would result in a more cohesive site plan. Three occupied parcels located at 609, 613 and 615 E. 6th Street were approved for acquisition and subsequently purchased by the Agency on July 16 and 22, 2010, while the others remain under consideration. All households in these three parcels and, those living in the remaining five parcels to be acquired, will be required to permanently relocate. California law requires that a relocation plan be prepared and followed to ensure these households are relocated to suitable housing and are paid appropriate relocation benefits. The attached relocation plan (Plan) (Exhibit 1) was prepared by Overland, Pacific and Cutler (OPC), the Agency's relocation consultant. The Plan indicates that there are more than adequate replacement housing resources available to the affected households. It also indicates that OPC will work with these households to determine their eligible benefits and to assist them to find suitable replacement housing. The Plan estimates that relocation payments, including a 10 percent contingency, will not exceed $456,000. In accordance with California law, all households residing in the eight parcels received a draft copy of the Plan on July 12, 2010, and were given 30 days to comment. No comments were received. Residents of the recently acquired 6th Street properties received an Informational 90-Day Vacate Notice on July 30, 2010, that provided them with a general written description of the Agency's 55A-1 Resolution Approving Relocation Plan for Agency Acquisitions in the Station District August 16, 2010 Page 2 relocation program and information about their rights. Relocation law also requires that the legislative body adopt a resolution approving the relocation plan. Following approval of the resolution, the residents in the 6th Street properties will be given 60 days to complete their relocation. If the Agency does acquire them, residents in the other five properties will receive 90- Day Vacate Notices immediately after acquisition is complete. All residents will be afforded the opportunity to consider leasing or purchasing any of the new units being developed by Related. ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, Environmental Impact Report No. 2006-02 was prepared for the proposed redevelopment, including the demolition of existing structures, of properties owned by the Community Redevelopment Agency of the City of Santa Ana in the Station District. On June 7, 2010, the City Council adopted a resolution certifying the Final Environmental Impact Report, adopted the CEQA Findings of Fact and Statement of Overriding Considerations, and adopted the Mitigation Monitoring and Reporting Program for the project. No additional CEQA is required for this project. FISCAL IMPACT Funds are available in the Tax Increment Housing Set-Aside account (no. 50718830- 66220/03716601138) in the amount of $456,000. APPROVED AS TO FUNDS AND ACCOUNTS: Cynthia J. Nelson Deputy City Manager for Development Services Community Development Agency Francisco Gutierrez Executive Director Finance & Management Services Agency CJN/SLB/LF/kg Exhibits: 1. Draft Relocation Plan 2. Resolution 55A-2 The Station District Project Phase I Residential Development DRAFT RELOCATION PLAN Prepared for: The Community Redevelopment Agency of the City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 By: Overland, Pacific & Cutler, Inc. 20 Fairbanks, Suite 178 Irvine, California 92618 949-951-5263 May 24, 2010 EXHIBIT 1 55A-3 TABLE OF CONTENTS INTRODUCTION PROJECT DESCRIPTION A. REGIONAL LOCATION B. PROJECT SITE LOCATION AND DESCRIPTION IL ASSESSMENT OF RELOCATION NEEDS 7 A. SURVEY METHOD 7 B. FIELD STUDY DATA 7 1. Current Occupants 7 2. Replacement Housing Needs 7 3. Income g 4. Ethnicity/Language g 5. Senior/Handicapped Households g 6. Preferred Relocation Areas g III. RELOCATION RESOURCES 9 A. METHODOLOGY 9 B. REPLACEMENT HOUSING AVAILABILITY 9 1. Residential Rental Housing 9 2. Residential Housing for Purchase 9 3. Summary 9 C. RELATED ISSUES 10 1. Concurrent Residential Displacement 10 2. Temporary Housing 10 IV. THE RELOCATION PROGRAM 11 A. ADVISORY ASSISTANCE 11 B. RELOCATION BENEFITS 12 1. Residential Moving Expenses 13 2. Rental Assistance to Tenants Who Choose to Rent 13 3. Downpayment Assistance to Tenants Who Choose to Purchase 15 4. Payments to Non-Tenured Residential Tenants 15 5. Replacement Housing Assistance for Homeowners ........15 C. DETERMINATION OF COMPARABLE HOUSING 17 D. GENERAL INFORMATION REGARDING THE PAYMENT OF RELOCATION BENEFITS 17 E. LAST RESORT HOUSING 18 V. ADM INISTRATIVE PROVISIONS 19 A. NOTICES 19 B. PRIVACY RECORDS 20 C. GRIEVANCE PROCEDURES 20 D. EVICTION POLICY 20 E. CITIZEN PARTICIPATION 20 F PROJECTED DATES OF DISPLACEMENT 21 G. ESTIMATED RELOCATION COSTS 21 55A-4 LIST OF TABLES TABLE 1: 2000 Census Population - City of Santa Ana & Impacted Tract 744.05, Block 1006 TABLE 2: 2000 Census Population - City of Santa Ana & Impacted Tract 750.02, Block 1002 TABLE 3: 2000 Census Population - City of Santa Ana & Impacted Tract 744.05, Block 3005 TABLE 4: 2000 Census Housing units- City of Santa Ana & Impacted Tract 744.05, Block 1006 TABLE 5: 2000 Census Housing units - City of Santa Ana & Impacted Tract 750.02, Block 1002 TABLE 6: 2000 Census Housing units - City of Santa Ana & Impacted Tract 744.05, Block 3005 TABLE 7: Availability and Cost of Replacement Rental Housing ........................................... TABLE 8: Schedule of Fixed Moving Payments TABLE 9: Computation of Rental Assistance Payments LIST OF EXHIBITS EXHIBIT A: Residential Interview Form EXHIBIT B: HUD Income Levels - Orange County EXHIBIT C: Residential Informational Brochure EXHIBIT D: Public Comments and Response 4 4 4 5 5 6 9 13 14 55A-5 The Station District Project INTRODUCTION The Community Redevelopment Agency of the City of Santa Ana ("Agency") has authorized the preparation of a relocation plan to be undertaken in connection with the commencement of their proposed Station District Project. On June 7, 2010 the Agency entered into a Developer's Disposition Agreement (DDA) with the Related Companies ("Developer") that will govern the development of 48 non-contiguous parcels totaling approximately 6.76 acres located in the District. The parcels were acquired by the City or the Community Redevelopment Agency over a period of fifteen years by means of voluntary sales. None of the buildings still in place on these 48 parcels have tenants. The DDA calls for the City/Agency to convey these parcels to Related for development as a mix of for-sale and rental housing that offers a variety of architectural styles, bedroom sizes and levels of affordability. The development proposal also foresees the creation of approximately 1.5 acres of new public open space that would include a public park, a public tot lot, and a 10,000 square foot community building. Development will occur in three phases that may be financed and constructed separately, with separate closings for each phase. Eight additional properties located adjacent or in close proximity to the existing 48 may be acquired by the Agency during the time frame established for the DDA, and subsequently conveyed to the Developer for inclusion in the development. These eight parcels encompass approximately .79 acres. Their acquisition will allow for creation of as many as ten additional new housing units and reconfiguration of the parking and landscaping for others. Development of these eight additional acquisitions will require relocation of approximately eleven tenant households and one owner-occupied household, and subsequent demolition of twelve residential units. The needs and characteristics of the displacee population, available relocation resources and the Agency's program to provide assistance to each affected person are general subjects of this Relocation Plan ("Plan".) Funding for the Project will be provided by housing set aside funds and tax credits. This Plan conforms to the requirements of the California Relocation Assistance Law, Government Code Section 7260, et seq. (Law), the Relocation Assistance and Real Property Acquisition Guidelines adopted by the Department of Housing and Community Development and Title 25, California Code of Regulations Section 6000, et seq. (Guidelines). This Plan is organized in five sections: 1. Project description (SECTION I); 2. Assessment of the relocation needs of persons subject to displacement (SECTION II); Assessment of available replacement housing units within the City of Santa Ana (SECTION III); 4. Description of the Agency's relocation program (SECTION IV); Description of the Agency's outreach efforts, Project timeline and budget (SECTION V). 55A-6 The Station District Project 1. PROJECT DESCRIPTION A. REGIONAL LOCATION The Project is located in the City of Santa Ana within Orange County. Santa Ana is located in the mid-region of Orange County, approximately 33 miles southeast of downtown Los Angeles and is immediately accessible from Interstate 5 and Highway 55. Adjacent communities include Orange, Tustin, Costa Mesa, Fountain Valley and Garden Grove. (See Figtn•e 1: Regional Pi-oject Location) ` S ;, o6ull?rt ?1 _ ?Placentt? ? ?, , JA l I I _ P._ NIT7 s - - r L I I f _ 6 ei i s ?siz { SiOIy f _-l.. ???7C9h1?Ave Baq R tsr1F I iJ_i3.1 A } d S?? Bap Rd W 1 l o ?. l Perk _ , l l 1, ,,_L on ?V K_ e Ayg? _ Par l c rtt 301 rren 1 Or (1I r A r d! ON?Ye 2:;zz Sheriff's Crept salt I p I . .I Pro t Site St/ In or, Village ark A I SIt1t' .1?? >rrl G ry Park 030 ll erA1[fl _ ??r A.Yey c# Limestone'; i ?? ""(?'j t(((a Lesko J Canyon '. rner Ave ice ParY , ?d Va aY 1 ;f b6 r,;` X301 a? Regional 1. olsa Chica 1-1 Perk Ecological 14i Reserve er?ielt! live (` I f -_. r iruf?l? 4 IceClst`Il Huntingto AdaMs A ?` ('I , tt ak a1?jY Beach' I C sta M5 YictO?ia t. yY tii r blot) - ? ; Is Rob Robins r133 <x r ! olsa,-'j._ Parks ,. , Co 1 ht ® 2005 Microsoft Cor . andtohJts-s rase Figure 1: Regional Project Location 2 55A-7 The Station District Project B. PROJECT SITE LOCATION AND DESCRIPTION The Station Project site is generally bordered by Poinsettia Street to the east, Fourth Street to the south, Mortimer Street to the west and Civic Center Drive to the north. The Project site that is the subject of this Plan includes eight non-contiguous parcels consisting of approximately .79 aces. Addresses of the affected parcels include: 812 E. Santa Ana Boulevard, 602/604 E. 5th Street, 607 E. 61h Street, 609 E. 6th Street, 613 E. 6"' Street, 615 E. 6th Street, 911 Brown Street and 409/411 N. Minter Street (See Figure 2: Project Site Location.) Seven of the parcels have occupied residential units for a total of 12 households that will require permanent relocation services. ell E Santa Ana COO 1 "P N tP . N ' y 1 frown R gg9 ?? th St s sISE 5< Santa Ana E 6th St 4 stn St z 61h st fo 6M E Sth S< th St E 51h St $ E 5th, St M 0 E d f 1 N fdhter R ', a Ih St z Co hl® 2005 Microsoft Corp . and/or Its suppliers. Al rights reserved. Figure 2: Project Site Location 3 55A-8 The Station District Project C. GENERAL DEMOGRAPHIC AND HOUSING CHARACTERISTICS According to the 2000 U.S. Census, the population of the City of Santa Ana is 337,977, and the population of the impacted Census Tract 744.05, Block 1006 is 167, (see Table 1), Tract 750.02, Block 1002 is 41, (see Table 2) & Tract 744.05, Block 3005 is 142 (see Table 3). Corresponding Census data concerning the housing mix is shown in Tables 4 - 6. TABLE 1: 2000 Census Population - City of Santa Ana & Impacted Tract Population Tract 744.05 Block 1006 % City % Total Population 167 100.0% 337,977 100.0% White 59 35.3% 144,425 42.7% Black or African American 5 3.0% 5,749 1.7% American Indian or Alaska Native 1 0.6% 4,013 1.2% Asian 0 0.0% 29,778 8.8% Native Hawaiian or Other Pacific Islander 0 0.0% 1,160 0.3% Some Other Race 92 55.1% 137,360 40.6% Two or More Races 10 6.0% 15,492 4.6% Hispanic or Latino (of An Race) 167, 100% 257,097 76.1% TABLE 2: 2000 Census Population - City of Santa Ana & Impacted Tract Population Tract 750.02 Block 1002 % City % Total Population 41 100.0% 337,977 100.0% White 5 12.2% 144,425 42.7% Black or African American 1 2.4% 5,749 1.7% American Indian or Alaska Native 0 0.0% 4,013 1.2% Asian 1 2.4% 29,778 8.8% Native Hawaiian or Other Pacific Islander 0 0.0% 1,160 0.3% Some Other Race 33 80.5% 137,360 40.6% Two or More Races 1 2.4% 15,492 4.6% Hispanic or Latino (of An Race) 38 92.7% 257,097 76.1% TABLE 3: 2000 Census Population - City of Santa Ana & Impacted Tract Population Tract 744.05 Block 3005 % City % Total Population 142 100.0% 337,977 100.0% White 2,5 17.6% 144,425 42.7% Black or African American 0 0.0% 5,749 1.7% American Indian or Alaska Native 0 0.0% 4,013 1.2% Asian 0 0.0% 29,778 8.8% Native Hawaiian or Other Pacific Islander 0 0.0% 1,160 0.3% Some Other Race 107 75.4% 137,360 40.6% Two or More Races 10 7.0% 15,492 4.6% Hispanic or Latino (of An Race) 135 95.1% 257,097 76.1% 55A-9 The Station District Project TABLE 4: 2000 Census Housing Units - C ity of Santa An & Impacted Tract Type Tract 744.05 Block 1006 % City % Total Units 24 100.0% 74,588 100.0% Owner-Occupied 4 17.4 36,005 49.3% Renter-Occupied 19 82.6% 36,997 50.7% Vacant Housing Units 1 100.0% 1,586 2.1% Available for Sale Only (of Total Vacant Units) 0 0.0% 292 18.4% Available for Rent - Full Time Occupancy of Total Vacant Units 0 0.0% 700 44.1% Sold or Rented - Not Occupied 0 0.0% 109 6.9% Otherwise Not Available (e.g. seasonal, recreational, migratory, occasional use) 1 100.0% 102 6.4% Other Vacant 0 0.0% 383 24.1% TABLE 5: 2000 Census Housing Units -C ity of Santa An & Im acted Tract Type Tract 750.02 Block 1002 % City % Total Units 11 100.0% 74,588 100.0% Owner-Occupied 1 10.0% 36,005 49.3% Renter-Occupied 9 90.0% 36,997 50.7% Vacant Housing Units 1 100.0% 1,586 2.1% Available for Sale Only (of Total Vacant Units 0 0.0% 292 18.4% Available for Rent - Full Time Occupancy of Total Vacant Units) 1 100.00% 700 44.1% Sold or Rented - Not Occupied 0 0.0% 109 6.9% Otherwise Not Available (e.g. seasonal, recreational, migratory, occasional use 0 0.0% 102 6.4% Other Vacant 0 0.0% 383 24.1% 55A-10 The Station District Projec! TABLE 6: 2000 Census Housing Units - C i of Santa An & Impacted Tract Type Tract 744.05 Block 3005 % City % Total Units 34 100.0% 74,588 100.0% Owner-Occupied 4 13.3% 36,005 49.3% Renter-Occupied 26 86.7% 36,997 50.7% Vacant Housing Units 4 100.0% 1,586 2.1% Available for Sale Only (of Total Vacant Units) 0 0.0% 292 18.4% Available for Rent - Full Time Occupancy (of Total Vacant Units) 2 50.0% 700 44.1% Sold or Rented - Not Occupied 0 0.0% 109 6.9% Otherwise Not Available (e.g. seasonal, recreational, migratory, occasional use) 0 0.0% 102 6.4% Other Vacant 2 50.0% 383 24.1% 55A-11 The Station District Project II. ASSESSMENT OF RELOCATION NEEDS A. SURVEY METHOD To obtain information necessary for the preparation of this Plan, personal interviews with the Project occupants were conducted in February - May 2010. The interviewers were successful in obtaining survey responses from 10 of the 12 occupied households in the Project. The data in this section of the Plan are based solely on the unconfirmed responses of those individuals who participated in the survey. Inquiries made of the residential occupants concerned household size and composition, income, monthly rent, length of occupancy, ethnicity, home language, physical disabilities, and replacement housing preferences. A Sample of the residential interview form used in the interview process is presented as Exhibit A of this report. B. FIELD SURVEY DATA 1. Current Occupants There are 12 residential households to be relocated for the Project. At the time of the interviews, there were 39 adults and 25 children (17 years or younger) on-site for a total known project occupancy of 64 persons. The project households currently occupy apartment units and single-family residences (SFRs). Occupied units are comprised of. four 2-bedroom apartment units, four 1- bedroom duplex units, two 2-bedroom SFRs and two 3-bedroom SFRs. The commonly accepted standard for housing density, and the Agency's approved policy, allows two persons per bedroom and one person in the common living area. Based on this criterion and available tenant data, there appears to be eight overcrowded units among the project tenant households. 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 survey data for household size with typical replacement housing occupancy standards. These standards, generally, allow for up to three persons in a one-bedroom unit, five persons in a two- bedroom unit, seven persons in a three-bedroom unit and nine or more persons in a four- bedroom unit. Replacement rental units required for the Project occupants include: two 2-bedroom apartment units, two 3-bedroom apartment units, one 1-bedroom duplex unit, two 2- bedroom duplex units, one 3-bedroom duplex unit, one 3 bedroom SFR and two 4- 7 55A-12 The Station District Project bedroom SFRs. In addition, one 3-bedroom SFR for purchase will be required for the owner-occupant on the Project site. 3. Income All but two tenant households verbally provided information (and in some cases written documentation) regarding gross household income. According to income standards for the County of Orange (Exhibit B) adjusted for family size as published by the United States Department of Housing and Urban Development (HUD), of the 10 households that reported income: five Project households qualify as Extremely Low income (30% or less of area median income), three Project households qualify as Very Low income (31% - 50% of area median income) and two Project households qualify as Low income (51 % - 80% of area median income). The income is unknown for one tenant household. 4. Ethnicity/Language The ethnicity of I 1 households was reported as, or is known to be, Hispanic, and the ethnicity of one household is reported to be Vietnamese. Nine households (75%) are Spanish-speaking, one household speaks Vietnamese and one household is English- speaking. The preferred language of one household is unknown. 5. Senior/Handicapped Households There is one known household with a senior head of household or spouse (62 years or older) in the Project. One household reported disabilities including severe asthma and depression. No household is currently equipped with handicap improvements nor does there appear to be a need for handicap accessible replacement housing at this time. 6. Preferred Relocation Areas Most households surveyed expressed a preference to remain in the Santa Ana community in order to maintain current access to employment, schools, shopping and public transportation. Two families require to be relocated in close proximity to each other due to a care-giving situation. Additional communities of interest to a few households were Lake Forest, Garden Grove and Perris. 55A-13 The Station District Project III. RELOCATION RESOURCES A. METHODOLOGY For residential housing, a resource survey was initially conducted to identify available rental units in Santa Ana. The following sources were utilized: -- Classified rental listings from local newspapers and For Rent publications -- Contacts with real estate/property management companies serving the community -- Internet sources of rental opportunities B. REPLACEMENT HOUSING AVAILABILITY 1. Residential Rental Housing The rental replacement housing survey considered apartments and single-family residences for rent in Santa Ana. This data is summarized in Table 7 below. The individual figures for number of units found by bedroom size are presented in the table alongside the number of units needed (shown in parentheses) to meet the re-housing obligations. TABLE 7: Availabili and Cost for Re lacement Rental Housin Bedroom Size 2BR Apt 3BR Apt 1BR Duplex 2BR Duplex 3BR Duplex 3BR SFR 4BR SFR # Found (# Needed) 55 (2) 42(2) 7(1) 10(2) 8(1) 9(1) 36(2) Rent Range $880- $1,295 $1,140- $1,900 $895- $1,295 $1,200- $1,500 $1,450- $1,800 $1,200- $2,250 $1,350- $2,400 Median Rent $1,200 $1,700 $1,050 $1,395 $1,725 $1,900 $2,100 2. Residential Housing for Purchase Real estate listings were obtained for three bedroom single-family residences for sale in Santa Ana. Twenty-two available comparable homes for sale between $200,000- $374,900 were identified. The median home price was $258,000. The median rent amounts shown in the table, and the median home price listed above, are 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. 3. Summary Considering the above described availability of replacement housing resources gathered over a two-week period, it appears that there are more than adequate replacement 9 55A-14 The Station District Project resources for the residential occupants. But, while adequate replacement resources exist, based on survey results of rental opportunities and the tenant's current rent, the tenant occupants will likely have an increase in monthly rent. Possible increases, if any, will be met through the Agency's obligation under the relocation regulations, including Last Resort Housing (LHR) requirements. (See Section IV, E). C. RELATED ISSUES 1. Concurrent Residential Displacement There are no other current public projects causing significant displacements underway in the City of Santa Ana, which would compete with the Project for needed housing resources. No residential displacee will be required to move without both adequate notice and access to available affordable decent, safe and sanitary housing. 2. Temporary Housing No need for temporary housing is anticipated. 10 55A-15 The Station District Project IV THE RELOCATION PROGRAM The Agency'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 Agency has retained Overland, Pacific & Cutler, Inc. (OPC) to administer the Relocation Program. OPC has worked on more than 3,000 public Agency acquisition and relocation projects over the past 30 years. Additionally, OPC has an extensive resume of redevelopment undertaken in the City of Santa Ana and other southern California communities. Experienced Agency staff will monitor the performance of OPC and be responsible to approve or disapprove OPC recommendations concerning eligibility and benefit determinations and interpretations of the Agency's policy. The relocation program consists of two principal constituents: Advisory Assistance and Financial Assistance. A. ADVISORY ASSISTANCE Eligible individuals, who will need to move from existing homes, will receive 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 Agency • coordinate the involvement of outside service providers To follow through on the advisory assistance component of the relocation program and assure that the Agency meets its obligations under the law, relocation staff will perform the following functions: Distribute appropriate written information concerning the Agency's relocation program; 2. Inform eligible project occupants of the nature of, and procedures for, obtaining available relocation assistance and benefits. (See Exhibit C) Determine the needs of each residential displacee eligible for assistance; 4. Provide residential displacees with at least three referrals to comparable replacement housing within a reasonable time prior to displacement; Maintain an updated database of available housing resources, and distribute referral information to displacees for the duration of the Project; 55A-16 The Station District Project 6. Provide transportation to residential displacees, if necessary, to inspect replacement sites within the local area; 7. Offer special assistance to help elderly or disabled tenants find housing near friends, relatives, medical facilities, and services and convenient transportation; 8. Supply information concerning federal and state programs and other governmental programs providing assistance to displaced persons; Assist each eligible residential occupant in the preparation and submission of relocation assistance claims; 10. Provide additional reasonable services necessary to successfully relocate residents; 11. Make benefit determinations and payments in accordance with applicable law and the Agency's adopted relocation guidelines; 12. Assure that no occupant is required to move without a minimum of 90 days written notice to vacate; 13. Inform all persons subject to displacement of the Agency'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 Agency's decision with respect to relocation assistance; and, 15. Provide assistance that does not result in different or separate treatment due to race, color, religion, national origin, sex, marital status or other arbitrary circumstances. B. RELOCATION BENEFITS Specific eligibility requirements and benefit plans will be detailed on an individual basis with all displacees. In the course of personal interviews and follow-up visits, each displacee will be counseled as to available options and the consequences of any choice with respect to financial assistance. Relocation benefits will be paid to eligible displacees upon submission of required claim forms and documentation in accordance with the Agency's administrative procedures. The Agency will process advance payment requests to mitigate hardships for residential tenants who do not have access to sufficient finds 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. 12 55A-17 The Station District Project 1. Residential Moving Expense Payments All residential occupants to be relocated may 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) The displacee may elect to retain the services of a licensed professional mover, in which case the Agency will pay the actual cost of moving services, based on the lowest of two acceptable bids. (The Agency may, at its discretion, solicit competitive bids to determine the lowest, reasonable move cost.) After the move is complete, the Agency will make a direct payment to the mover. b. Fixed Payment (based on Room Count Schedule) The displacee may, while taking full responsibility for the move, elect to receive a fixed payment for moving expenses based on a room count in the displacement dwelling. The fixed payment is a one-time, all inclusive allowance that does not require back-up documentation. The current schedule for fixed payments is set forth in Table 8: TABLE 8: Schedule of Fixed Moving Payments Unfurnished Dwelling Room count 1 2 3 4 5 6 7 8 F ach Fadd t ional Amount $625 $800 $1,000 $1,1751 $1,4251 $1,6501 $1,9001 $2,150 $225 Furnished Dwelling Room count 1 each additional Amount $400 $65 Source: California Department of Transportation 2. Rental Assistance to Tenants Who Choose to Rent A tenant displaced from a dwelling may be entitled to a Replacement Housing Payment in the form of rental or downpayment assistance not-to-exceed $5,250 (prior to consideration of eligibility for Last Resort Housing benefits - see Last Resort Housing, Section IV, E), if the displacee: 1. Has actually and lawfully occupied the displacement dwelling for at least 90 days immediately prior to the initiation of negotiations; and 2. Has rented, or purchased, and occupied a decent, safe, and sanitary replacement dwelling within one year (unless the Agency extends this period for good cause) after the date he or she moves fi-orn the displacement dwelling. 13 55A-18 The Station District Project 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 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 the displacement, as determined by the Agency. For owner-occupants or households, which pay no rent, economic rent will be used as a substitute for actual rent; or (ii) Thirty percent (30%) of the displaced person's average, monthly, adjusted gross household income. If a displacee refuses, or is unable, 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. Table 9 below illustrates the computation of a rental/downpayment assistance payment amount. TABLE 9: Computation of Rental Assistance Payments 1 Old Rent $650 Old Rent, plus Utility Allowance or 2. Ability to Pay $700 30% of the Adjusted Gross Household Income* 3. Lesser of lines I or 2 $650 Base Monthly Rental Subtract From: 4. Actual New Rent $750 Actual New Rent including Utility Allowance or 5. Comparable Rent $775 Determined by Agency, includes Utility Allowance 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 14 55A-19 The Station District Project *Gross 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 received by the person who would not otherwise be able to seek employment in the absence of such care. 3. Downpayment Assistance to Tenants Who Choose to Purchase Displacees otherwise eligible to receive a Rental Assistance payment as previously described, may choose to utilize the full amount of their rental assistance eligibility amount (including Last Resort benefit) to purchase a home. Such payments shall be deposited directly into an escrow account with provisions that allow the Agency to recover its funds should the escrow be cancelled or not proceed in a timely manner. These funds can be used as a downpayment and/or to pay for eligible non-recurring closing costs. 4. Payment to Non-Tenured Residential Tenants An eligible residential tenant who has actually and lawfully occupied the displacement dwelling for less than 90 days immediately prior to the initiation of negotiations is entitled to receive a moving expense payment. Additionally, non-tenured residential tenants may qualify for a rental assistance payment under the provisions of Last Resort Housing assistance (see Last Resort Housing, Section IV, E). Such assistance is authorized when comparable replacement housing is not available at rental rates within the tenant's financial means (30% of gross monthly household income). Last Resort Housing assistance to non-tenured households is based solely on income. 5. Replacement Housing Assistance for Homeowners Homeowners displaced by this Project will be eligible for relocation replacement housing payments, if the following conditions are met: (a) The household has owned and occupied their unit for not less than 180 days prior to the Initiation of Negotiations, and (b) The household purchases and occupies a replacement unit within one year from: (i) the date that the household receives the final payment from the displacing entity for all the costs of the acquired unit - or - (ii) the date that the household vacates the acquired unit, whichever is later. Displaced homeowner households will receive assistance in locating a "comparable replacement" unit and will be eligible for the following benefits, not-to-exceed $22,500: 15 55A-20 The Station District Project 1. Purchase Price Differential: The displaced households will be entitled to receive an amount equal to the difference between the price paid for the acquired unit and the amount required to purchase a "comparable replacement" unit. The displacing entity is allowed the following options in paying any price differential as explained in section 6102 of the Guidelines: (a) Comparative Method: On a case-by-case basis, the displacing entity will determine the price of a "comparable replacement" unit, which is most representative of the acquired unit, by selecting and considering the listing price of at least three (whenever possible) "comparable replacement" units. (b) Schedule Method: The displacing entity may establish a schedule of reasonable acquisition costs of"comparable replacement" units based on a current analysis of the housing market. (c) Alternate Method: When neither the Comparative nor Schedule methods are feasible, the displacing entity may use another reasonable method. 2. Other Payments: Moreover, displaced homeowners will receive the following assistance: (a) Payments to cover the cost between the difference of the household's current debt or mortgage service and any increase in debt or mortgage costs necessary to acquire a "comparable replacement" housing unit; and (b) Incidental and reasonable one-time costs for acquiring a replacement unit, such as escrow costs, and recurring and credit reporting fees. 3. Rental Assistance Option: If a displaced homeowner household, which has purchased and occupied its current unit at least 180 days prior to the "initiation of negotiations," desires to rent instead of purchase a replacement unit, the household is eligible for all the benefits and assistance that is available to tenant households. However, such replacement housing payments may not exceed the payments for which the household would have been entitled, if it had elected to purchase a replacement unit. An owner displaced from a dwelling may be entitled to a Replacement Housing Payment in the form of rental or downpayment assistance not-to-exceed $5,250 (prior to consideration of eligibility for Last Resort Housing benefits - see Last Resort Housing, Section IV, E), if the displacee: a.. Has actually and lawfully occupied the displacement dwelling for at least 90 days immediately prior to the initiation of negotiations; and 16 55A-21 The Station District Project b. Has rented, or purchased, and occupied a decent, safe, and sanitary replacement dwelling within one year (unless the Agency extends this period for good cause) after the date he or she moves from the displacement dwelling. Rental assistance for owners who choose to rent will be calculated as outlined above for tenants. C. DETERMINATION OF COMPARABLE HOUSING Relocation staff will evaluate the cost of comparable replacement housing in the preparation of each individual Notice of Eligibility issued to eligible residential displacees. For residential tenants, the cost of comparable replacement housing will be determined primarily by the schedule method, which determines the median rent in the local market for each type of unit needed. For the owner-occupant, the cost of comparable replacement housing will be determined primarily by the comparative method. D. GENERAL INFORMATION REGARDING THE PAYMENT OF RELOCATION BENEFITS Claims and supporting documentation for relocation benefits must be filed with the Agency no later than 18 months after the date of displacement. 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. Relocation staff will review all necessary documentation including, but not limited to, income verification, personal identification, 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 relocation staff and presented to the claimant for review. Signed claims and supporting documentation will be returned to relocation staff and submitted to the Agency; 4. The Agency will review and approve claims for payment, or request additional information; 5. The Agency will issue benefit checks to claimants in the most secure, expeditious manner possible; 17 55A-22 The Station District Project 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; 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 surveys and analyses of the occupants in the Project area and costs of replacement housing resources, it is anticipated that "comparable replacement housing" will not be available as required. Specifically, for renters, when the computed replacement housing assistance eligibility exceeds $5,250 or replacement dwelling monthly rental costs (including utilities and other reasonable recurring expenses) exceeds 30% of the person's average monthly income, Last Resort Housing will have to be provided. Therefore, if the Project is to go forward, the Agency 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); hence, satisfying the requirement that "comparable replacement housing" is available. A displaced tenant 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 or replacement dwelling monthly rental costs (including utilities and other reasonable recurring expenses) exceed 30% of the person's average monthly income (financial means) or when a tenant fails to meet the 90-day occupancy requirement and comparable replacement rental housing is not available within the displaced person's financial means. Calculations of Last Resort rental assistance benefits for tenants who fail to meet the 90- day occupancy requirement will be based solely on household income. Non 90-day qualifiers must meet basic eligibility requirements applied to all other displacees. For owner-occupants/homeowners, if there is not enough "comparable replacement housing" available (related to purchase price), the displacing entity shall pay whatever costs are necessary beyond the statutory cap of $22,500 to acquire a "comparable replacement" unit, including reasonable incidental expenses. The Agency, at its discretion, may opt to pay Last Resort Housing payments in installments or in a lump sum. Recipients of Last Resort rental assistance, who intend to purchase rather than re- rent replacement housing, will have the right to request a lump sum payment of all benefits in the form of downpayment assistance. Tenant households receiving periodic payments will have the option to request a lump sum payment of remaining benefits to assist with the purchase of a decent, safe and sanitary dwelling. 18 55A-23 The Station District Project V. ADMINISTRATIVE PROVISIONS A. NOTICES Each notice, which the Agency is required to provide to a Project occupant, shall be personally delivered or sent 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 and other needed help. There are three principal notices: 1) the Informational Statement 2) the Notice of Relocation Eligibility, and 3) the 90-Day Vacate Notice. The Informational Statement is intended to provide potential relocatees with a general written description of the Agency's relocation program and basic information concerning benefits, conditions of eligibility, noticing requirements and appeal rights. A Notice of Relocation Eligibility (NOE) will be distributed to each eligible residential relocatee. The NOE to residential relocatees contains a determination of eligibility for relocation assistance and a computation of a maximum entitlement for rental assistance based on information provided by the affected household and the analysis of comparable replacement properties undertaken by the 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 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. A date-specific Notice to Vacate will not be issued to any residential displacee before a comparable replacement dwelling has been made available. In addition to the three principal notices, relocation 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: 1) are eligible for monetary benefits 2) have moved from the acquired property, and 3) have not filed a claim for benefits. Reminder Notices will be issued periodically throughout the qualification period. An attempt shall be made to make written contact with all non-responsive relocatees no later than within the last six months prior to the filing expiration date. 19 55A-24 The Station District Project B. PRIVACY OF RECORDS All information obtained from displacees is considered confidential and will not be shared without consent of the displacee or the Agency. Relocation staff will comply with federal regulations concerning 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 replacement housing referrals, or the Agency's property management practices must file a Relocation Assistance Appeal Form or any other written form of appeal with the Agency's Appeal's Board or other designate (Hearing Officer). The Agency'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. Specific details for the Developer's appeals policy will be furnished upon request. D. EVICTION POLICY The Agency recognizes that eviction is permissible only as a last resort, and that relocation records must be documented to reflect the specific circumstances surrounding any eviction. Eviction will only take place in cases of nonpayment of rent, serious violation of the rental agreement, a dangerous or illegal act in the unit, or if the household refuses all reasonable offers of alternate accommodation. A household, who is evicted for cause from the Project site, may forfeit any potential relocation benefits. E. CITIZEN PARTICIPATION As the process for considering the Project moves forward, the Agency will observe the following protocol: Provide affected tenants with frill 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; Provide technical assistance necessary to interpret elements of the Relocation Plan and other pertinent materials; 4. Issuance of a general notice concerning the availability of the Plan for public review, as required, 30 days prior to its proposed approval; and 20 55A-25 The Station District Project Inclusion of written or oral comments concerning the Plan as an attachment (Exhibit D) when it is forwarded to the City of Santa Ana Community Redevelopment Agency for approval. F. PROJECTED DATES OF DISPLACEMENT The Agency anticipates that date specific Notices to Vacate will not be issued prior to August 2010. No resident will be required to vacate without a minimum of 90 days notice. However, a resident may chose to vacate prior to a vacate notice being issued, once they have received their Notice of Eligibility, and be assured they will receive any replacement housing assistance and moving assistance to which they may be entitled. G. ESTIMATED RELOCATION COSTS The total budget estimate for relocation-related payments for this Project, including a 10 percent contingency, is $456.000. 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 to be implemented, and circumstances arise that should change either the number of residential occupants, or the nature of their activity, the Agency will authorize any additional compensable funds that may need to be appropriated. The Agency pledges to appropriate, on a timely basis, the fiords necessary to ensure the successful completion of the Project, including funds necessary for last resort housing as indicated in Section IV, E, of this Plan to meet its obligation under the relocation regulations. 21 55A-26 EXHIBIT A RESIDENTIAL INTERVIEW FORM 55A-27 EXHIBIT B HCD INCOME LIMITS - ORANGE COUNTY The following figures are approved by the U. S. Department of Housing and Community Development (H.C.D.) for use in the County of Orange to define and determine housing eligibility by income level. Area Median: $87,200 Family Size Extremely Low Very Low Lower 1 Person 19,500 32,500 52,050 2 Person 22,300 37,200 59,450 3 Person 25,100 41,850 66,900 4 Person 27,850 46,450 74,300 5 Person 30,100 50,200 80,250 6 Person 32,350 53,900 86,200 7 Person 34,550 57,600 92,150 8 Person 36,800 61,350 98,100 Figures are per the Department of Housing and Community Development (California), Division of Housing Policy Development, May 20, 2010. 55A-28 EXHIBIT C RESIDENTIAL INFORMATIONAL BROCHURE 55A-29 EXHIBIT D PUBLIC COMMENTS AND RESPONSE 55A-30 812110 les RESOLUTION NO. 2010- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE RELOCATION PLAN FOR RESIDENTIAL PROPERTY LOCATED AT 812 E. SANTA ANA BLVD., 602-604 E. 5TH STREET, 607 E. 6TH STREET, 609 E. 6TH STREET, 613 E. 6TH STREET, 615 E. 6TH STREET, 911 BROWN STREET, AND 409-411 N. MINTER. BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA, AS FOLLOWS: Section 1: The City Council of the City of Santa Ana ("Council') hereby finds, determines and declares as follows: A. The Community Redevelopment Agency ("Agency") has been acquiring parcels along the Santa Ana Boulevard corridor for the purpose of improving this critical gateway into the City. B. The Agency has selected a master developer for the area and is proceeding with the project. The Agency and the master developer have identified several additional parcels whose acquisition could make the project more successful. Should these parcels be acquired, all tenant households would be required to permanently relocate. C. California law requires that a relocation plan be prepared and followed to insure that the affected households are relocated to suitable housing and are paid appropriate relocation benefits. D. Pursuant to California Government Code section 7260, et seq., a public-entity is required to adopt a relocation plan, by resolution, whenever it enters into an agreement for acquisition of real property or an agreement for the disposition and development of property which would lead to displacement of people from their homes. E. The relocation plan has been prepared in conformance with applicable provisions of the California Government Code section 7260, et seq., Relocation Guidelines (California Code of Regulations, Title 25, Chapter 6), the federal Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (URA), as well United States Department of Housing and Urban Development regulations. F. The relocation plan is required because of the permanent displacement of the households located at 812 E. Santa Ana Blvd., 602- EXHIBIT 2 Resolution No. 2010- 55A-31 8/2/10 les 604 E. 5TH Street, 607 E. 6TH Street, 609 E. 6TH Street, 613 E. 6TH Street, 615 E. 6TH Street, 911 Brown Street, and 409-411 N. Minter. Section 2: In accordance with the California Environmental Quality Act (CEQA), Environmental Impact Report No. 2006-02 was prepared for the proposed redevelopment, including the demolition of existing structures, of properties owned by the Agency in the Station District. On June 7, 2010, the City Council adopted a resolution certifying the Final Environmental Impact Report, adopted the CEQA Findings of Fact and Statement of Overriding Considerations, and adopted the Mitigation Monitoring and Reporting Program for the project. No additional CEQA is required for this project. Section 3: The City Council hereby approves the relocation plan for the residential Property located at the aforementioned addresses, and the establishment of an account in accordance with state mandates for the payment of relocation benefits to the displaced households. Section 4: This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. Resolution No. 2010- 55A-32 812/10 les ADOPTED this day of 2010. Miguel Pulido Mayor APPROVED AS TO FORM: Joseph W. Fletcher, City Attorney By: Lisa E. Storck Assistant City Attorney AYES Councilmembers: NOES: Councilmembers: ABSTAIN: NOT PRESENT: Councilmembers: Councilmembers: CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2010- to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Clerk of the Council City of Santa Ana Resolution No. 2010- 55A-33 55A-34 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: SEPTEMBER 7, 2010 TITLE: RESOLUTION AMENDING THE RESIDENTIAL PARKING PERMIT AND SOCCER SURCHARGE FEE FOR FISCAL YEAR 2010-2011 CITY M NAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1" Reading ? Ordinance on 2"d Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution amending the Residential Parking Permit fee and the Soccer Surcharge fee for Fiscal Year 2010-2011. DISCUSSION On June 7, 2010, the City Council adopted the Miscellaneous Fee Schedule for Fiscal Year 2010-11 as part of the City's annual budget. The Miscellaneous Fee Schedule includes the Residential Parking Permit fees. The approved fee schedule currently provides for the following Residential Parking Permit fees: Option 1- $90/permit for Bi-Annual Renewal, Option 2- $50/permit for Annual Renewal. The adopted fees were increased from the previous year in an effort to achieve full recovery of the City's costs to administer the program. However, to minimize the severity of the fee increase on residents, a reduction of the Bi-Annual Renewal fee to $45/permit is recommended. In addition, to maintain continuity with past fee renewal cycles, the Annual Renewal option will be deleted, and the permits will continue to be issued solely on a bi-annual basis. For newly petitioned streets within districts which are one year or less from their bi-annual renewal cycle expiration date, the fee will be one-half ($22.50) of the full bi-annual fee for their initial permit. Additionally, staff is recommending reducing the Adult Soccer Reservation Surcharge from $14 per game to $14 per day. Currently, the seven adult organizations pay the City an average of $1,148 per week in surcharge fees at the $14 per game rate. Reducing it to $14 per day will lower the cost to an estimate amount of $392 per week. The purpose of the surcharge fee is to generate revenue to convert a natural turf field to synthetic at the Dan Young Soccer Complex. This reduction in fees will affect the timeframe for development of the new field. 55B-1 Resolution to Amend Miscellaneous Fee Schedule September 7, 2010 Page 2 Furthermore, the staff fee in the Miscellaneous Fee Schedule of $19.99 per hour helps cover the general fund expense when City field attendants supervise and monitor soccer play at the synthetic fields at DYSC and the Stadium. This fee is meant to be collected for regular adult soccer play for synthetic field use and for special events involving soccer play at any age when using the synthetic fields. The special event soccer play typically takes place on weekends and on holidays. The collection of this fee was temporarily suspended but will resume September 14, 2010. FISCAL IMPACT The proposed fee reductions will result in $90,000 less in revenue in the Residential Parking Permit fund and approximately $40,000 in less revenue in the Capital Outlay Fund 51 for soccer field development. "10 00'?t d? Raul Godin II Executive Director Public Works Agency Agency Gerardo Mouet Executive Director Parks, Recreation, and Community Services Francisco Gutierrez Executive Director Finance and Management Services Agency RG/TH Exhibit: 1. Miscellaneous Fee Schedule Update 55B-2 Miscellaneous Fee Schedule Update Revenue Departmental/Miscellaneous FY 10-11 Account Fee or Service Unit Fees SECTION XI PUBLIC WORKS AGENCY 08617002-57006 Residential Parking Permit Single Family Home - each permit $45` every 2 years Maximum 3 permits Multifamily Home (up to 4-plex) - each permit $45' every 2 years Maximum 1 permit "Note: The initial permit fee will be $22.50/permit for newly petitioned streets within permit parking districts which are within- one year or less of their biannual renewal cycle expiration date. Exhibit 1 55B-3 55B-4 Iss08/30/10 RESOLUTION NO. 2010- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING THE PERMIT PARKING FEE AND REPEALING IN PART RESOLUTION NO. 2010-023 BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1: The City Council hereby, finds, determines and declares as follows: A. On June 7, 2010, the City Council adopted a Miscellaneous Fee Schedule to collect, in a single comprehensive document, a listing of fees and service charges imposed by the City upon that limited number of persons seeking services of value from the City; and B. The City Council finds in regard to the Permit Parking District application fee, adopted by Resolution 2010-023: 1. The fee increase will substantially impact residents in Permit Parking Districts. 2. The adoption of a single bi-annual fee program maintains continuity with past fee renewal cycles; and C. On June 21, 2010, the City Council amended Resolution No. 2010- 023, to set the Adult Soccer Reservation Surcharge at Fourteen Dollars ($14.00) per game; and D. The City Council finds that imposing the Adult Soccer Reservation Surcharge on a per game basis at this time, imposes a substantial burden on the adult soccer organizations. Section 2: The Permit Parking District renewal program shall be administered on a bi-annual basis. The annual Residential Parking Permit Program is eliminated. Section 3: The bi-annual Permit Parking District application fee is hereby adopted as follows: 55B-5 Permit Parking District Fee: Single Family Home - each permit $45* every 2 years Maximum 3 permits Multifamily Home (up to 4-plex) - each permit $45* every 2 years Maximum 1 permit *Note: A one-time, reduced permit fee of $22.50/permit shall be available only for newly petitioned streets which are within one year or less of their permit parking districts' biannual renewal cycle expiration date. Section 4: The City Council hereby amends the Adult Soccer Reservation Surcharge from $14.00 per game to $14.00 per day. Section 5: To the extent that any fee or service charge established pursuant to City Council Resolution No. 2010-023 is inconsistent with the fees established pursuant to this Resolution, then said Resolution No. 2010-023 is hereby repealed. Section 6: If any surcharge or fee, section, subsection, sentence, clause, phrase or word of this Resolution is for any reason held to be invalid by a court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this Resolution. The City Council hereby declares that it would have passed and adopted this Resolution, and each and all provisions hereof, irrespective of the fact that one or more provisions may be declared invalid. Section 7: 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 September, 2010. 55B-6 Miguel A. Pulido Mayor APPROVED AS TO FORM: Joseph W. Fletcher, City Attorney By: Laura Sheedy Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2010-XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Clerk of the Council City of Santa Ana 55B-7 55B-8 REQUEST FOR COUNCIL/ AGENCY ACTION MEETING DATE: SEPTEMBER 7, 2010 TITLE: JOINT PUBLIC HEARING - DISPOSITION AND DEVELOPMENT AGREEMENT AND LOAN AGREEMENTS - BUSH AND BIRCH STREET PROPERTIES CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1st Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER CITY ANAGER EXECUTIVE DIRECTOR RECOMMENDED ACTION CITY COUNCIL ACTION 1. Direct the City Attorney to prepare and authorize the Deputy City Manager and Clerk of the Council to execute a loan agreement with Santa Ana WBBB, LP in an amount not to exceed $500,000, subject to non-substantive changes approved by the Deputy City Manager and City Attorney for 217-219 South Birch Street. 2. Direct the City Attorney to prepare and authorize the Deputy City Manager and Clerk of the Council to execute a loan agreement with Santa Ana WBBB, LP in an amount not to exceed $500,000, subject to non-substantive changes approved by the Deputy City Manager and City Attorney for 435-437 South Birch Street. 3. Direct the City Attorney to prepare and authorize the Deputy City Manager and Clerk of the Council to execute a loan agreement with Santa Ana WBBB, LP in an amount not to exceed $500,000, subject to non-substantive changes approved by the Deputy City Manager and City Attorney for 2034-2038 Bush Street. COMMUNITY REDEVELOPMENT AGENCY ACTION 1. Adopt a resolution approving a Disposition and Development Agreement between the Community Redevelopment Agency and Orange Housing Development Corporation and C&C Development for the development of affordable, multi-family units at 217-219 South Birch, 435- 437 South Birch and 2034-2038 Bush Streets. 8OA-1 DDA and Loan Agreements - Bush and Birch Street Properties September 7, 2010 Page 2 2. Direct the Agency General Counsel to prepare and authorize the Executive Director and Agency Secretary to execute a loan agreement with Santa Ana WBBB, LP in an amount not to exceed $303,667, subject to non-substantive changes approved by the Executive Director and Agency General Counsel for 217-219 South Birch Street. 3. Direct the Agency General Counsel to prepare and authorize the Executive Director and Agency Secretary to execute a loan agreement with Santa Ana WBBB, LP in an amount not to exceed $303,667, subject to non-substantive changes approved by the Executive Director and Agency General Counsel for 435-437 South Birch Street. 4. Direct the Agency General Counsel to prepare and authorize the Executive Director and Agency Secretary to execute a loan agreement with Santa Ana WBBB, LP in an amount not to exceed $303,667, subject to non-substantive changes approved by the Executive Director and Agency General Counsel for 2034-2038 Bush Street. COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION ACTION At its regular meeting on August 17, 2010, by a vote of 4:0, (Verino absent), the Community Redevelopment and Housing Commission (Commission) recommended that the City Council authorize execution of loan agreements with Santa Ana WBBB, LP for properties located at 217-219 South Birch Street, 435-437 South Birch Street, and 2034-2038 Bush Street. The Commission also recommended that the Community Redevelopment Agency adopt a resolution approving a Disposition and Development Agreement between the Community Redevelopment Agency and Orange Housing Development Corporation and C&C Development (Developer) for the development of affordable, multi-family units at 217-219 South Birch, 435-437 South Birch, and 2034-2038 Bush Streets and authorized execution of loan agreements with Santa Ana WBBB, LP for properties located at 217-219 South Birch, 435-437 South Birch Street, and 2034-2038 Bush Street as outlined in the attached staff report (Exhibit 6). DISCUSSION A key objective of the Redevelopment Agency is to expand and preserve affordable housing. Staff were directed in December 2009 to negotiate a Disposition Development Agreement (DDA) with the developers resulting from a Request for Qualifications for both single family and multi-family residential units on properties owned by the Agency. Orange Housing Development Corporation (OHDC), a non-profit 501(c)(3), and C&C Development (C&C), a for-profit developer, was selected as developer for the multi-family housing parcels. They will form a Limited Partnership named Santa Ana WBBB, LP for financing purposes. Negotiations are now concluded and we are prepared to move forward with the DDA. Under the proposed DDA, the Agency will convey three of the four multi-family sites. The proposed project includes 217-219 South Birch (Exhibit 1), 435-437 South Birch (Exhibit 2) and 2034-2038 Bush (Exhibit 3). The units will all be affordable to very low-income households (50% AMI). The 8OA-2 DDA and Loan Agreements - Bush and Birch Street Properties September 7, 2010 Page 3 beginning rents will be $989 for two-bedrooms and $1,125 for three bedrooms. Site plans and elevations for the three sites are attached as Exhibit 4. The fourth multi-family site is a freeway widening remnant parcel at the corner of 22nd and Spurgeon. The developer is still exploring options for this site. Once the development is determined, staff will bring it before the Agency for approval. In accordance with redevelopment law, a Summary of Sale has been prepared by Keyser Marston Associates, which outlines in detail the financial terms of the proposed transaction. A summary of the terms and conditions contained in the proposed Disposition and Development Agreement are as follows: The Agreement requires the Developer to construct a total of 15 apartment units, as follows: • 2034-2038 North Bush Street: The Developer must construct two 2-bedroom units and three 3-bedroom units for a total of five units; • 217-219 South Birch Street: The Developer must construct two 2-bedroom units and three 3-bedroom units for a total of five units; and • 435-437 South Birch Street: The Developer must construct two 2-bedroom units and three 3-bedroom units for a total of five units. The income and affordability restrictions are defined as follows: • All 15 units must be reserved for very low income (50% Area Median Income) households; and • The income and affordability covenants must remain in place for at least 55 years. Terms of Loans: • Two loans per property ( Agency Loan and City Loan); • Repayable from the cash flow (Residual Receipts) generated by the Project; • Each Agency Loan will accrue .5% (one half percent) simple interest annually; and • Loans are 55 years. In order to fund the construction, the partnership will apply for tax exempt bonds and tax credits. The Mortgage Revenue Bond Inducement is on the agenda as a separate item for approval. The bond application will combine these projects with the proposed development on 605-611 East Washington. In addition to these funds, the project will require both City and Redevelopment Agency funds. Below is a summary of the sources and uses of the project funds. 8OA-3 DDA and Loan Agreements - Bush and Birch Street Properties September 7, 2010 Page 4 Sources 217-219 S. Birch 435-437 S. Birch 2034-2038 Bush Permanent Lender $ 287,438 $ 287,438 $ 287,438 HOME $ 500,000 $ 500,000 $ 500,000 Tax-Increment $303,667 $303,667 $303,667 General Partner Equity $ 11 $ 11 $ 11 Limited Partner Equity $ 765,341 $ 765,341 $ 765,341 Total $1,856,457 $1,856,457 $1,856,457 Uses 217-299 S. Birch 435-437 S. Birch 2034-2038 Bush Construction $ 1,100,327 $ 1,100,327 $ 1,100,327 Soft Costs $ 666,416 $ 666,416 $ 666,416 Costs Deferred Until Conversion $ 35,140 $ 35,140 $ 35,140 Financing Costs $ 54,574 $ 54,574 $ 54,574 Total $1,856,457 $1,856,457 $1,856,457 The projects are currently in the site plan review process. Once this process is completed, the Developer will submit its application to the various state funding agencies. The Developer proposes to submit for tax credits and bonds in November 2010 assuming the properties have all completed the site plan review process. Construction of these units will assist the City and Agency in meeting the Regional Housing Needs Assessment (RHNA) goals identified in the Housing Element, Consolidated Plan and the Implementation Plan. ENVIRONMENTAL COMPLIANCE In accordance with the California Environmental Quality Act, the proposed project is exempt from further review. 8OA-4 DDA and Loan Agreements - Bush and Birch Street Properties September 7, 2010 Page 5 FISCAL IMPACT Funds are available in the Tax Increment Housing Set-Aside account (no. 50718830-66220) and HOME account (no. 13018780-69151). APPROVED AS TO FUNDS AND ACCOUNTS: L QVtk4l ?? - h II Landry-Bayle Ho Wing Manager Community Development Agency Francisco Gutierrez Executive Director Q Finance & Management Services Agency CJN/SLB/mlr Exhibits: 1. Map of 217-219 S. Birch Street 2. Map of 435-437 South Birch 3. Map of 2034-2038 Bush 4. Site Plans 5. Resolution 6. Commission Staff Report 8OA-5 8OA-6 9 ST ST 04 07 15 112 116 711 1 t FrJ?.; t02 01 xs ?-n I22 „1 ?.z,, . !3 UNX LTII ? ? 1 ?0 7? WALNUT ST ' . #, . w 202 v V 2D2 B t ?A2 PEI; 2 206 2"1 14 210 11 z 31 ? 21s i3'' 214 2R0 Rr is 216 210 17 270 N 222 zZd ., 22,01 pIN ST H. 9012 ,1 soz 9 'vo a s ..• 9A6 31A S 310 Il 31D p?1 912Y C1 1- aid 314 n 91s IS 316 z 'rs a h -? t A ? -'.320 , . ?2A y 17 920 1 p . CHESTN UT AV 1 ?? lA2 - 1 ,??:, 402 102 05 4A8 175 4A6 1 1 410 408 09 06 _•.,. I1D p,Flx ,. 4111 ?1S 414 S 414 416 15 19 416 41 17 420 17 418 17 1?0 d --- 217 and 219 S. Birch Street Exhibit 1 8OA-7 8OA-8 306 H 7 40 300 310 J105L 312 Si314 3 916 320 920 19 sae 512 516 520 522 526 530 4a2 406 ' ¦ s16 42p 195 ixc;'>, 426 t39 (43 " 490 r } at ?WS?HOP ST e9 t 602 ` 7ri2 Y It 17 '"'r ? 505 Y5 a Y r It IS 1 435 and 437 S. Birch Street Exhibit 2 8OA-9 CAMILE ST CHESTNUT All 8OA-10 09 1 2122 L 211.4 2112 2106 107 2100 Jay 2040 9.4.3 2032 037 7S g 2015 Vii 201 1 402 "9 M17 919 911 N M 2 T 1910 1904 _ ?1 Ow N SANTA ANA FREEWAY 2229 224 Qp? i w z 0 a 2034 and 2038 N. Bush Street Exhibit 3 8OA-11 8OA-12 RESOLUTION NO. 2010- A RESOLUTION OF THE COMMUNITY REDEVELOPMENT AGENCY OF THE CITY OF SANTA ANA APPROVING A DISPOSITION AND DEVELOPMENT AGREEMENT BETWEEN THE AGENCY AND ORANGE HOUSING DEVELOPMENT CORPORATION AND C&C DEVELOPMENT BE IT RESOLVED BY THE COMMUNITY REDEVELOPMENT AGENCY OF THE CITY OF SANTA ANA, AS FOLLOWS: Section 1: The Board of the Community Redevelopment Agency of the City of Santa Ana hereby finds, determines and declares as follows: A. The Community Redevelopment Agency of the City of Santa Ana (hereinafter referred to as the "Agency") is engaged in activities necessary to execute and implement the Redevelopment Plan for the Merged Redevelopment Project Areas (the "Redevelopment Plan"), including strengthening of public-private partnerships to provide more affordable housing, and particularly to provide decent, safe, sanitary, and affordable housing to the lower income citizens of the City of Santa Ana. B. In order to implement the Redevelopment Plan, the Agency has agreed, subject to the approval of the City Council, to sell certain real property located at 217-219 S. Birch Street, 435-437 S. Birch Street, and 2034-2038 N. Bush Street (the "Property") pursuant to the terms and provisions of a Disposition and Development Agreement (hereinafter referred to as the "Agreement") between the Agency and Orange Housing Development Corporation (OHDC) and C&C Development (C&C) which is on file in the office of the Executive Director of the Agency, in which said real property is described. C. OHDC & C&C propose to construct five (5) multi-family residential units on each parcel to rent to qualified Very Low Income Households for the affordability term of fifty-five years. D. The Agreement contains all of the provisions, terms, conditions and obligations required by the state and local laws. EXHIBIT 5 1 8OA-13 E. OHDC and C&C possess the qualifications and financial resources necessary to acquire and insure development of the Property, in accordance with the purpose and objectives of the Redevelopment Plan. F. Pursuant to the provisions of the California Redevelopment Law, the Agency and the City Council have held a duly noticed joint public hearing on the proposed sale of the Property. Section 2. The Disposition and Development Agreement is hereby approved, and the Executive Director of the Agency is hereby authorized to execute the Agreement, with such non-substantive changes as may be approved by Agency's General Counsel. Section 3. The Executive Director of the Agency is hereby authorized to take all steps, and to sign all documents and instruments necessary to implement and carry out the Agreement on behalf of the Agency. EXHIBIT 5 2 80A-14 ADOPTED this day of 12010. Miguel A. Pulido Chair APPROVED AS TO FORM: Joseph W. Fletcher, General Counsel By: Lisa E. Storck Assistant Counsel AYES: Boardmembers: NOES: Boardmembers: ABSTAIN: Boardmembers: NOT PRESENT: Boardmembers: CERTIFICATION OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Secretary of the Agency, do hereby attest to and certify the attached Resolution No. to be the original resolution adopted by the Community Redevelopment Agency of the City of Santa Ana on 12010. Date: Secretary Community Redevelopment Agency of the City of Santa Ana EXHIBIT 5 3 8OA-15 8OA-16 REQUEST FOR COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION ACTION MEETING DATE: RECORDING SECRETARY USE ONLY: AUGUST 17, 2010 TITLE: DISPOSITION AND DEVELOPMENT AGREEMENT AND LOAN AGREEMENTS - BUSH AND BIRCH STREET PROPERTIES DEPUTY CIT ANAGER FOR DEVELOPMENT SERVICES RECOMMENDED ACTION Recommend that the City Council: APPROVED ? As Recommended ? As Amended CONTINUED TO 1. Authorize the Deputy City Manager and Clerk of the Council to execute a loan agreement with Santa Ana WBBB, LP in an amount not to exceed $500,000, subject to non-substantive changes approved by the Deputy City Manager and City Attorney for 215-217 South Birch Street. 2. Authorize the Deputy City Manager and Clerk of the Council to execute a loan agreement with Santa Ana WBBB, LP in an amount not to exceed $500,000, subject to non-substantive changes approved by the Deputy City Manager and City Attorney for 435-437 South Birch Street. 3. Authorize the Deputy City Manager and Clerk of the Council to execute a loan agreement with Santa Ana WBBB, LP in an amount not to exceed $500,000, subject to non-substantive changes approved by the Deputy City Manager and City Attorney for 2034-2038 Bush Street. Recommend that the Community Redevelopment Agency: 1. Adopt a resolution approving a Disposition and Development Agreement between the Community Redevelopment Agency and Orange Housing Development Corporation and C&C Development for the development of affordable, multi-family units at 215-217 South Birch, 435- 437 South Birch and 2034-2038 Bush Streets. 2. Authorize the Executive Director and Agency Secretary to execute a loan agreement with Santa Ana WBBB, LP in an amount not to exceed $530,000, subject to non-substantive changes approved by the Executive Director and Agency General Counsel for 215-217 South Birch Street. EXHIBIT 6 8OA-17 Disposition and Development Agreement and Loan Agreements August 17, 2010 Page 2 3. Authorize the Executive Director and Agency Secretary to execute a loan agreement with Santa Ana WBBB, LP in an amount not to exceed $530,000, subject to non-substantive changes approved by the Executive Director and Agency General Counsel for 435-437 South Birch Street. 4. Authorize the Executive Director and Agency Secretary to execute a loan agreement with Santa Ana WBBB, LP in an amount not to exceed $530,000, subject to non-substantive changes approved by the Executive Director and Agency General Counsel for 2034-2038 Bush Street. DISCUSSION A key objective of the Redevelopment Agency is to expand and preserve affordable housing. To that end, in December 2009 the Agency selected developers resulting from a Request for Qualifications for both single family and multi-family residential units on properties owned by the Agency. Orange Housing Development Corporation (OHDC), a non-profit 501(c)(3), and C&C Development (C&C), a for-profit developer, was selected as developer for the multi-family housing parcels. They will form a Limited Partnership named Santa Ana WBBB, LP for financing purposes. The proposed project includes 215-217 South Birch, 435-437 South Birch and 2034-2038 Bush. The developers are proposing to merge the adjoining parcels (Exhibit 1) for each project site into one parcel and construct five units on each combined parcel. Each site will contain 2 two- bedrooms and 3 three-bedrooms. The units will be affordable to very low-income households (50% AMI). The beginning rents will be $989 for two-bedrooms and $1,125 for three bedrooms. In order to fund the construction, the partnership will apply for tax exempt bonds and tax credits. In addition, the project will need additional funds that will be provided by the City and Redevelopment Agency. The following table summarizes the sources and uses: Sources 215-217 S. Birch 435-437 S. Birch 2034-2038 Bush Permanent Lender $ 325,347 $ 325,347 $ 325,347 HOME $ 500,000 $ 500,000 $ 500,000 Tax-Increment $ 530,000 $ 530,000 $ 530,000 General Partner Equity $ 11 $ 11 $ 11 Limited Partner Equity $ 503,143 $ 503,143 $ 503,143 Total $1,858,501 $1,858,501 $1,858,501 Uses 215-217 S. Birch 435-437 S. Birch 2034-2038 Bush Construction $ 1,100,327 $ 1,100,327 $ 1,100,327 Soft Costs $ 666,421 $ 666,421 $ 666,421 Costs Deferred Until Conversion $ 36,799 $ 36,799 $ 36,799 Financing Costs $ 54,954 $ 54,954 $ 54,954 Total $ 1,858,501 $ 1,858,501 $ 1,858,501 8OA-18 Disposition and Development Agreement and Loan Agreements August 17, 2010 Page 3 Construction of these units will assist the City and Agency in meeting the Regional Housing Needs Assessment (RHNA) goals identified in the Housing Element, Consolidated Plan and the Implementation Plan. ENVIRONMENTAL COMPLIANCE In accordance with the California Environmental Quality Act, the proposed project is exempt from further review. FISCAL IMPACT Funds are available in the Tax Increment Housing Set-Aside account (no. 5071883066220 06863601079) and HOME account (no. 1301878069152 06734001001). APPROVED AS TO FUNDS AND ACCOUNTS: ?v Shelly La ry-Bayle U Housing vision Manager Community Development Agency 1 Francisco Gutierrez Executive Director Finance & Management Services Agency 4? CJN/SLB/mlr PREPARED BY: Vicki Uehli Exhibits: 1. Map 8OA-19 • ? LA VETA RV, -?- zz GARDEN GROVE BL. A ?i r rr{ M Fw!rM ? r FAIRHAVEN RU. ?. o ¦ wMww 22 TRASK AV SANTA CLAHA AV. . tr 17TH ST, 3 WASHINGTON AV. ¦ S y CIVIC CE NTER DR, 5TH 6L STFI 57 . SANr AANA HL. aTH Sr. ? • _ 1ST ST, _ _ n f MCFAD EN AV. ° ¦ r MCFADDEI d AU. l og ?r?srr ow owl EDINGER AV, ca K] N O 5T, ANDRE W PL, ( WARNER AV. \Pa ,a ? 66 SEGERSTROM DYER Rp ?n ALTON AV. ALTON AV. ?w"..s¦ WIACARTHUR RI., SUNFLOWER AV, a; Address Address 1 217 S. Birch Street 3 2034 N. Bush Street 219 S. Birch Street 2038 N. Bush Street 2 435 S, Birch Street 437 S. Birch Street Exhibit 1 8OA-20