HomeMy WebLinkAbout FULL PACKET_2012-05-07MINUTES OF THE REGULAR MEETING
OF THE CITY COUNCIL OF THE CITY OF
SANTA ANA, CALIFORNIA
APRIL 16, 2012
CLOSED SESSION MEETING
CALLED TO ORDER POLICE COMMUNITY ROOM
60 CIVIC CENTER PLAZA
SANTA ANA, CA
5:15 P.M.
ATTENDANCE COUNCILMEMBERS Present:
MIGUEL PULIDO, Mayor (5:17 p.m.)
CLAUDIA ALVAREZ, Mayor Pro Tern
P. DAVID BENAVIDES
CARLOS BUSTAMANTE
MICHELE MARTINEZ
VINCENT F. SARMIENTO
SAL TINAJERO
COUNCILMEMBERS Absent:
None
STAFF Present:
PAUL M. WALTERS, Interim City Manager
SONIA R. CARVALHO, City Attorney
MARIA D. HUIZAR, Clerk of the Council
PUBLIC COMMENTS - None
COUNCIL RECESSED to Police Chief's Conference Room, 4th Floor, 60 Civic Center
Plaza for Closed Session discussion at 5:16 p.m.
CLOSED SESSION ITEMS
1A CONFERENCE WITH LEGAL COUNSEL--EXISTING LITIGATION
pursuant to Government Code Section 54956.9(a)
Robert Braun v. City of Santa Ana; WCAB Case No. ADJ3804973 and
WCAB Case No. Unassigned;
Peebler et al v. City of Santa Ana; OCSC 385859;
CITY COUNCIL MINUTES 1 APRIL 16, 2012
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Roberta Rodqers v. City of Santa Ana; United States District Court,
Central District Case No. SACV 12-132;
Brett Lozano v. City of Santa Ana; Orange County Superior Court Case
No. 30-2010-00398323.
Saddleback Inn, LLC v. City of Santa Ana; OCSC 30-211-00497447
1B PUBIC EMPLOYEE EMPLOYMENT AND APPOINTMENT pursuant to
Government Code Section 54957(b)(1)
Title: City Manager
CLOSED SESSION REPORT - See Item 19A for Report.
ADJOURNED THE CLOSED SESSION MEETING AT 6:08 P.M. AND CONVENED TO
THE REGULAR OPEN MEETING
CITY COUNCIL MINUTES 2 APRIL 16, 2012
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OPEN SESSION MEETING
CALLED TO ORDER POLICE COMMUNITY ROOM
60 CIVIC CENTER PLAZA
SANTA ANA, CA
6:10 P.M.
ATTENDANCE COUNCILMEMBERS Present:
MIGUEL PULIDO, Mayor (6:15 p.m.)
CLAUDIA ALVAREZ, Mayor Pro Tern
P. DAVID BENAVIDES (6:15 p.m.)
CARLOS BUSTAMANTE
MICHELE MARTINEZ
VINCENT F. SARMIENTO
SAL TINAJERO
COUNCILMEMBERS Absent:
None
PLEDGE OF ALLEGIANCE
CLOSED SESSION REPORT
STAFF Present:
PAUL M. WALTERS, Interim City Manager
SONIA R. CARVALHO, City Attorney
MARIA D. HUIZAR, Clerk of the Council
Councilmember Martinez
See Agenda Item 19A for Report.
PUBLIC COMMENTS
• Paulien Lombard, spoke about Church of Scientology move from the city of Tustin to
Santa Ana; concerned with some of their practices.
• Irma Macias, thanked the City Council, Councilmembers Sarmiento and Benavides,
and Police Chief Walters for resolving issues in her neighborhood; requested
assistance for her neighborhood (Evelyn Rodriguez).
o Councilmember Sarmiento referred to Legal Aid Foundation who may be able to
help.
Evelyn Rodriguez, recently purchased a property that has an existing easement with
another property - abuts her backyard; concerned with her safety because easement
being used as a parking lot to dispense illegal drugs and other unlawful activities;
requested assistance.
Rosa Pizano, member of OCCOG, thanked Mayor Pro Tern Alvarez and
Councilmembers Benavides and Tinajero for support; requested support for
upcoming May Day event; and advocated for AB1081.
CITY COUNCIL MINUTES 3
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APRIL 16, 2012
• Miguel Hernandez, community organizer; thanked the City Council for amending the
City's towing policy; seek support in approving a resolution in support of AB1081.
• Jose Tinajero (spoke in Spanish) thanked the City Council for amending towing
policy; requested support of AB1081.
• Hermelindo Saldana (spoke in Spanish) echoed comments in support of AB1081.
• Massimo Marini, representing Occupy Santa Ana, established Necessity Village due
to the lack of beds at shelter homes during cold weather; opined that homeless
persecuted for act of sleeping; County not addressing problem.
• Mohammed Aly, stated that homelessness is global issue; concerned with overall
poverty rates; shelter beds limited; suggested a moratorium on issuance of citations
for sleeping overnight; mid-range solution could be the use of CDBG funds to help
problem.
• Robert Watson, shared that he is homeless, disabled, legally blind, and receiving
small income that is not sufficient to live off.
• Devina Stein, participant of Necessity Village, suggested City amend camping
ordinance to allow sleeping from 6 p.m. to 6 a.m.
• George Olivo, of Necessity Village, noted that Veterans being cited for violating
camping ordinance; urged the City Council to amend ordinance.
• Greg Diamond, attorney, supports Necessity Village; disturbed that some people
have received up to 5 citations in a week; thanked the Police Department for not
citing participants of Necessity Village in the past 6 days.
• Hailey Holmes, graduate student at California State University, Fullerton (CSUF);
encouraged the City Council to support the Heart Program; criminalizing
homelessness is more expensive.
• Jacqueline Huerta, graduate student at CSUF, supports the Heart Program that
would assess the current number of homeless in the area; last study was in 2004
• Debbie Friedman, incoming President of Friends of the Santa Ana Zoo (FOSAZ),
introduced self and spoke about the great partnership with the City; concerned with
reports of City considering privatization of the Zoo; hope City would discuss with
Foundation on partnership opportunities before moving forward with consideration of
privatization.
• Armando Armenta, boardmember of FOSAZ, would like to partner with the City in
continuing fundraising opportunities such as Zoofari.
• Sharon Tepton, opined that current practice of dealing with homelessness violates
human rights; proposed that the City review the City of Laguna Beach's ordinance.
CONSENT CALENDAR ITEMS
MOTION: Approve Consent Calendar Items 10A through 25E with the
following modifications:
• Mayor Pulido pulled Agenda Item 11A for separate discussion;
• Mayor Pro Tern Alvarez requested a correction to the Minutes of April 2,
2012 - amend language on Item 25H to note that the City did not seek
proposals; and
CITY COUNCIL MINUTES 4 APRIL 16, 2012
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• Councilmembers Martinez and Sarmiento abstained on Agenda Item 22B
due to a conflict of interest (campaign contribution).
MOTION: Bustamante
VOTE: AYES:
NOES:
ABSTAIN:
ABSENT:
SECOND: Benavides
Alvarez, Benavides, Bustamante, Martinez, Pulido,
Sarmiento, Tinajero (7)
None (0)
None (0)
None (0)
Items removed for separate action or modified are highlighted. Separate actions show
the actual vote. Items without votes are adopted as part of the consent motion.
ADMINISTRATIVE MATTERS
MINUTES
10A MINUTES FROM THE REGULAR OPEN MEETING OF APRIL 2, 2012
MOTION: Approve Minutes.
*Mayor Pro Tern Alvarez requested a correction on Agenda Item 25H.
ORDINANCES/SECOND READING
In the event a Councilmember recorded an "abstention" before consideration of the
following ordinance(s) on first reading, such abstention will also be reflected in the
minutes for second reading.
11A ORDINANCES - SECOND READING - APPROVE ZONING
ORDINANCE AMENDMENT NO. 2012-01, 200 EAST FIRST AMERICAN
WAY AND APPROVE AMENDMENT TO DEVELOPMENT
AGREEMENT NO. 2004-03 BETWEEN THE CITY OF SANTA ANA AND
VINEYARDS DEVELOPMENT CORPORATION AT THE MET, LLC -
Planning and Building Agency
Published in the Orange County Reporter on March 23, 2012.
Placed on first reading at the March 19, 2012 City Council meeting and
approved by a vote of 6-1 (Bustamante Voted No); Continued from the
April 2, 2012 by a vote of 5-1 (Bustamante, Voted No; Pulido, absent)
CITY COUNCIL MINUTES 5 APRIL 16, 2012
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Councilmember Bustamante asked if any changes had been made to the
ordinance since the first reading. Jay Trevino, Executive Director of
Planning and Building noted that only change was to reflect amended
motion as approved by the City Council.
Mayor Pro Tern Alvarez motioned to approve ordinance; indicated that
developer has met with staff and neighborhood associations over the past
14 months; developer has committed a significant amount of money into
the project and that it would bring over 700 jobs to the City in the next 2
years; City Council requested an increase in open space size which was
agreed upon by the Developer.
MOTION: Place ordinances on second reading and adopt.
MOTION: Alvarez SECOND: Tinajero
Councilmember Bustamente noted for the record that the reason he would
not support project was because it was not consistent with Council's vision
for site. Offered a substitute motioned to continue matter for 30 days.
Mayor Pulido seconded for purposes of discussion.
SUBSTITUTE MOTION: Continue consideration of matter for 30
days.
MOTION: Bustamante SECOND: Pulido
Mayor Pro Tern Alvarez requested a clarification on Robert's Rules of
Order regarding member's ability to request a motion to continue who
originally opposed the motion. City Attorney Carvalho stated that the rule
applies when a motion to reconsider is being deliberated.
Mayor Pulido askd Planning and Building Director to address the housing
inclusionary component. Director Trevino noted that the development
agreement includes language on the fee, but a reduced amount of $3,000
per unit. New fee would be calculation based on rent prices. Council
could continue consideration to amend fee, if so desired.
Councilmember Sarmiento stated that larger remnant parcel would allow
for development of at least partial vision for the site; proposed
development is not City vision, but important to maximize area and
consider current economic conditions.
Developer Robert "Bob" Bisno okay with larger remnant lot; considered
lien to insure performance in processing the entitlements; does not want to
violate CEQA; and propose to develop the remnant .8 acres as soon as
the market allows.
CITY COUNCIL MINUTES
APRIL 16, 2012
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Councilmember Bustamante concerned with possibility of Developer's
quick transfer/sale of pojects and requested assurance from developer.
Councilmember Sarmiento suggested that original motion be amended to
include condition of approval include a prohibition on assignment/transfer
of property for at least 2 years.
Developer noted that language in the development agreement already
includes alienation and conditional approval on lien; do not want to delay
entitlements.
Mayor Pulido requested a recess to consult with the City Attorney.
COUNCIL RECESSED AT 7:25 p.m. and RECONVENED with same members present
at 8:03 p.m
Mayor Pulido considered Agenda Items 55A and 75A before resuming consideration of
Agenda Item 11A.
Mayor requested that makers of previous motions be removed from the
table; makers agreed.
Mayor Pro Tern Alvarez requested an amendment to the motion related to
trust and expectation of the project; requested the following amendment to
the motion that is good faith effort by both the City and the Developer:
Direct the City Attorney and staff to draft language prohibiting sale
or transfer of the property within two years of the effective date of
the approvals (effective today) and include in that language, issues
such as financing and creation of related entities for purposes of
prohibiting transfers. Spoke with the applicant pertaining to the
language of creating related entities and understand that it would be
inclusive of all entities under their control.
Mayor Pulido seconded the motion. Mayor Pulido invited Developer to
comment on proposed amended motion, personal values, reputation, and
commitment to come back to the City Council with the entitlement for a
high-rise building within 180 days.
Developer agreed and noted that he was working with Ryan Ogulnick and
his wife Rachel on designing a high-rise building, completing the
application and submitting for staff review within the next 180 days.
Councilmember Sarmiento asked the City Attorney if condition to the
development agreement becomes legally binding.
City Attorney Carvalho stated that it was (binding); amended language in
the development agreement will include prohibition against a transfer by
developer. Developer has represented that they agree and if not then
CITY COUNCIL MINUTES 7 APRIL 16, 2012
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matter would return to the City Council for consideration. However,
Developer has agreed to the language, thus binding once included in the
development agreement.
Developer Bisno said yes, for the record.
Councilmember Sarmiento thanked developer for representations.
Mayor Pro Tern Alvarez made a point of clarification; noted that trust and
representations by Developer were discussed earlier, don't require CEQA
review.
City Attorney Carvalho confirmed that proposed language is consistent
with what was read into the record and Developer has agreed, and if
Developer disagrees then it would invalidate approvals.
Mayor Pulido called for the question.
AMENDED MOTION:
1. Place ordinances on second reading and adopt; and
ORDINANCE NO. NS-2830 - AN ORDINANCE OF THE CITY
COUNCIL OF THE CITY OF SANTA ANA AMENDING SPECIFIC
DEVELOPMENT NO. 43 (SD-43) TO ALLOW THE CONSTRUCTION
OF A MULTIFAMILY RESIDENTIAL PROJECT WITH 278 UNITS AT
200 EAST FIRST AMERICAN WAY (ZOA NO. 2012-01)
ORDINANCE NO. NS-2831 - AN ORDINANCE OF THE CITY
COUNCIL OF THE CITY OF SANTA ANA APPROVING AN
AMENDED DEVELOPMENT AGREEMENT BETWEEN THE CITY OF
SANTA ANA AND VDC AT THE MET, LLC, A CALIFORNIA LIMITED
LIABILITY COMPANY
2. Direct the City Attorney and staff to draft language (in the
development agreement) that prohibits the sale or transfer of the
property for two years of the effective date of the approval (April
16, 2012), and include in the language, issues such as financing
and creation of related entities for purposes of prohibiting
transfers.
MOTION: Alvarez SECOND: Pulido
VOTE: AYES: Alvarez, Benavides, Bustamante, Martinez,
Pulido, Sarmiento, Tinajero (7)
NOES: None (0)
CITY COUNCIL MINUTES 8 APRIL 16, 2012
1 0A-8
ABSTAIN: None (0)
ABSENT: None (0)
BOARDS / COMMISSIONS / COMMITTEES
13A BOARDS AND COMMISSIONS BIANNUAL ATTENDANCE REPORT -
OCTOBER 2011 THROUGH MARCH 2012 - Clerk of the Council Office
MOTION: Receive and file.
MISCELLANEOUS ADMINISTRATION
19A CLOSED SESSION REPORT - City Attorney's Office
MOTION: Approve compromise and release settlement agreement.
Robert Braun v. City of Santa Ana; WCAB Case No. ADJ3804973 and
WCAB Case No. Unassigned; in the amount of $46,046.15
19B EXCUSED ABSENCES - None
19C QUARTERLY REPORT OF INVESTMENTS AS OF MARCH 31, 2012 -
Finance & Management Services
MOTION: Receive and file report.
BUDGETARY MATTERS
APPROPRIATION ADJUSTMENTS
20A APPROPRIATION ADJUSTMENT FOR LED STREET LIGHTS - Public
Works Agency
MOTION: Approve an appropriation adjustment. (Requires five
affirmative votes)
APPROPRIATION ADJUSTMENT NO - 2012-155 - Recognizing
$157,378 in funding from Southern California Edison account and
appropriating the same amount to the Street Lighting Program account for
the installation of LED street lights.
CITY COUNCIL MINUTES 9 APRIL 16, 2012
1 0A-9
SPECIFICATIONS - PURCHASE OF EQUIPMENT AND SERVICES
MOTION: Award in accordance with Request for Council Action.
(Items 22A through 2213)
22A SPEC. NO. 09-010 - ON-CALL SANITARY SEWER LINING SERVICES -
Renew the contract with RePipe-California, Inc. for a one-year period in an
amount not to exceed $500,000. (Public Works Agency) - Finance &
Management Services
22B SPEC. NO. 12-025 - VEHICLE BODY REPAIR - Award contracts for a six-
month period for an aggregate amount not to exceed $75,000 to the
following vendors: (Finance & Management Services)
Vendor Location
Doffo Automotive Inc. Santa Ana
Kelly's Body Shop Santa Ana
Top Finish Collision Center Inc. Santa Ana
*Item 22B continued from the April 2, 2012 City Council meeting due to
insufficient votes to consider the item.
**Councilmembers Martinez and Sarmiento abstained due to a conflict
of interest (campaign contribution).
PROJECTS/CHANGE ORDERS
23A CONTRACT AWARD FOR HAZARD AVENUE REHABILITATION FROM
EUCLID TO HARBOR (PROJECT NO. 116749) AND ALTON -
GREENVILLE INTERSECTION IMPROVEMENTS (PROJECT NO.
116750) - Public Works Agency
MOTION:
1. Award a contract to All American Asphalt, Inc., the lowest
responsible bidder, in accordance with unit bid prices in the
estimated amount of $984,984 for construction of the Hazard
Avenue Rehabilitation from Euclid to Harbor Project and the Alton
- Greenville Intersection Improvements Project.
2. Approve a funding analysis with a total estimated construction
cost of $1,280,749.
AGREEMENTS
CITY COUNCIL MINUTES 10 APRIL 16, 2012
1 0A-10
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 and/or
actions as noted on the Request for Council Action report. (Item 25A
through 25E)
25A AGMT NO. 2012-078 - PROVIDE AND MAINTAIN LANDBASE DATA,
DIGITAL ORTHOPHOTOGRAPHY AND ACCESS TO MAP-VIEWING
APPLICATION - With Digital Map Products for a five-year agreement in an
annual amount not to exceed $70,500 - Public Works Agency
25B AGMT NO. 2012-079 - COMPUTER SOFTWARE MAINTENANCE - With
Environmental Systems Research Institute, Inc. (ESRI) in an amount not
to exceed $45,000 annually - Public Works Agency
25C AGMT NO. 2012-080 - DATA CENTER MAINTENANCE & SUPPORT
SERVICES - With Signature Technology Group, Inc. (STG), for a three-
year period with an option for two one-year renewals in an amount not to
exceed $75,000 per year (Police Department) - Finance & Management
Services
25D AGMT NO. 2012-081 - COMPREHENSIVE FINANCIAL AUDIT
SERVICES - With Macias Gini & O'Connell, LLP, for three years and the
option to renew annually for two succeeding years in an annual amount
not to exceed $208,000 - Finance & Management Services
25E AGMT NO. 2012-082 - AMENDMENT - MERCHANT PAYMENT
SERVICES - With TransFirst, LLC in an aggregate limit not to exceed
$165,000, during the extension of the agreement through September,
2012 - Finance & Management Services
**END OF CONSENT CALENDAR**
BUSINESS CALENDAR ITEMS
RESOLUTIONS
55A RESOLUTION AND AUTHORIZATION TO SUBMIT BICYCLE
TRANSPORTATION ACCOUNT PROJECT APPLICATIONS - Public
Works Agency
CITY COUNCIL MINUTES 11 APRIL 16, 2012
1 0A-11
Councilmember Martinez thanked staff for moving forward and efforts in
applying for grant funds.
MOTION: Adopt a resolution.
RESOLUTION NO. 2012-012 - A RESOLUTION OF THE CITY COUNCIL
OF THE CITY OF SANTA ANA AUTHORIZING THE SUBMISSION OF
PROJECTS FOR FUNDING UNDER THE BICYCLE TRANSPORTATION
ACCOUNT
MOTION: Martinez
VOTE: AYES:
NOES:
ABSTAIN
ABSENT:
PUBLIC HEARINGS
SECOND: Sarmiento
Benavides, Bustamante,
Sarmiento, Tinajero (6)
Martinez, Pulido,
None (0)
None (0)
Alvarez (1)
75A PUBLIC HEARING - COMMUNITY DEVELOPMENT BLOCK GRANT
PROGRAM FISCAL YEAR 2012-2013 - Community Development Agency
Legal Notice published in the Orange County Register on March 19, 2012.
Public hearing opened and closed on April 2, 2012;
Continued from the April, 2, 2012 City Council meeting by a vote of 6-0
(Pulido absent)
MOTION: Continue consideration of matter to the May 7, 2012 City
Council Meeting.
MOTION: Martinez SECOND: Benavides
VOTE: AYES: Alvarez, Benavides, Bustamante, Martinez,
Pulido, Sarmiento, Tinajero (7)
NOES: None (0)
ABSTAIN: None (0)
ABSENT: None (0)
CITY COUNCIL MINUTES 12 APRIL 16, 2012
1 0A-12
COMMENTS
90A CITY MANAGER'S COMMENTS - None
90B CITY COUNCILMEMBER COMMENTS
Councilmember Benavides:
• Invited all to the "Cinco de Mayo" celebration taking place on Saturday,
May 5th and 6th in Downtown Santa Ana.
Councilmember Martinez:
ADJOURNED-
Maria D. Huizar,
Clerk of the Council
Extended an invitation to the annual Health and Fitness Fair the at
Godinez Fundamental High School on May 19tH;
Indicated that the homeless issue is public safety matter; sensitive to
the issue; County problem that requires all cities to work together; and
Spoke about her recent experience in having her bicycle stolen; bicycle
was registered, thus allowing the Police Department to track and
recover; encouraged all to register bicycles; need to set policy that
allows the Downtown to be pedestrian and bicycle friendly.
8:20 p.m. The next meeting of the City Council is scheduled for
Monday, May 7, 2012 at 5:00 p.m. for the Closed Session Meeting
immediately followed by the Regular Open Business Meeting at
6:00 p.m. in the Council Chamber, 22 Civic Center Plaza, Santa
Ana, CA.
CITY COUNCIL MINUTES 13 APRIL 16, 2012
1 0A-13
1 0A-14
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
MAY 7, 2012
TITLE:
DESTRUCTION OF
OBSOLETE CITY RECORDS
?]L
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
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: May 1, 2012
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.
19C-3
CITY OF SANTA ANA
OBSOLETE RECORDS DESTRUCTION SCHEDULE
CITY MANAGER'S OFFICE
2012
RECORD RECORD RECORD EXPIRATION
CATEGORY SERIES DESCRIPTION DATES
Chronological Files Staff Memoranda and Correspondence May 1. 2010
and prior
Correspondence/ May 1. 2010
Chronological Files
Councilmember
Self-explanatory and prior
Council Requests Mayor Inquiries processed for Mayor May 1. 2010
and pror
Wards 1 through 6 Inquiries processed for Councilmembers May 1. 2010
and pro,,
Correspondence General Correspondence Self-explanatory May 1. 2010
and prior
Staff Inquiries processed for Staff May 1. 2010
and prior
Monthly Status City Manager Self-explanatory May 1. 2010
Reports and prior
Payroll Records Council/Staff Self-explanatory May 1 2010
and prior
May 1, 2010
Travel Folders Council/Staff Self-explanatory and prior
APPROVE:
?2--
P ul M. Walters Date
Interim City Manager
RECORDS DESTROYED:
Volume
in Cubic Feet
Weight
in Pounds
CONSENT:
Sonia R. C alho Date
City Attorney
AUDITED BY:
Mark Lawrence Date
Exec. Assistant to the City Manager
19C-4
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
MAY 7, 2012
TITLE:
QUARTERLY REPORT OF CONTRACTS
ENTERED INTO BY THE CITY
MANAGER
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 Quarterly Report of Contracts entered into between January 1, 2012 to
March 31, 2012 valued at $25,000 and less.
DISCUSSION
On November 7, 2006, the voters approved a Charter Amendment increasing the authority of the
City Manager to enter into contracts and agreements up to a value of $25,000. Section 421 of the
Charter requires the City Manager to report to the City Council quarterly on the contracts entered
into under his authority for informational purposes. The report is required to include the names of
contractors and the amounts of each contract.
Exhibit A is a listing of all purchase orders, agreements, and change notices entered into
between January 1, 2012 to March 31, 2012 valued at amounts between $500 and $25,000.
Unless included under a blanket contract, the City as a general rule does not purchase goods or
services valued at under $500 through either a purchase order or an agreement. Purchase
orders and service agreements valued at greater than $25,000 require approval by City Council.
FISCAL IMPACT
There is no fiscal impact associated with this action.
Exhibit A: Quarterly Report of Contracts
RC
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19D-7
19D-8
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
MAY 7, 2012
TITLE:
REQUEST FOR PROPOSALS - PARKING
MANAGEMENT PLAN AT SARTC
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
Authorize the Public Works Agency to issue a Request for Proposals for a parking management
plan at the Santa Ana Regional Transportation Center.
DISCUSSION
The Santa Ana Regional Transportation Center (SARTC) is the focal point of transportation in
Orange County with an overall estimated weekday visitor count of 2,995 a day. The facility covers
6.75 acres and contains a 47,000-square-foot terminal, two surface parking lots with 273 vehicle
spaces, and one four-story parking structure with 404 vehicle spaces, totaling 677 vehicle parking
spaces. The terminal building is open from 5:00 AM to midnight daily. The parking structure is
open to the public from 4:00 AM to midnight daily. Parking is provided free of charge.
The Public Works Agency (PWA) currently manages the facility and is tasked with minimizing the
budgetary impact on the General Fund by moving the SARTC towards a self-sustaining operation.
Although significant reductions in operating costs have been achieved, the SARTC no longer
receives any General Fund subsidy and staff is evaluating various avenues to raise needed
revenues to ensure a professionally managed facility that is attractive, safe, and responsive to the
needs of travelers and the community.
A potential strategy to generate revenue to offset the operational cost of providing parking facilities
is to implement a paid parking management plan. Staff recommends issuing a Request for
Proposals to seek firms experienced in developing such plans for municipal entities. The attached
proposed Scope of Work includes developing a parking management plan that serves the
SARTC's current and projected needs over a minimum of five years and is aligned with the City's
Transit Vision. Elements include analysis and recommendations on pricing and rate structures that
are responsive to the parking demand and types of facility users; payment methods and
technologies that best meets facility management's need for accurate parking control, ease of use
by patrons, and cost-effectiveness to implement and operate; parking control enforcement; user
19E-1
Request for Proposals - Parking Management
Plan at SARTC
May 7, 2012
Page 2
outreach, information, and signage; mitigation of impacts to the surrounding area; and a site
specific implementation plan.
FISCAL IMPACT
There is no fiscal impact associated with this action.
Raul Godinez II
Executive Director
Public Works Agency
RG/AF
Exhibit: 1. Scope of Work
19E-2
DRAFT
REQUEST FOR PROPOSALS
SANTA ANA REGIONAL TRANSPORTATION CENTER
PARKING MANAGEMENT PLAN
SCOPE OF WORK
INTRODUCTION
The City of Santa Ana (City) is seeking proposals from qualified firms (consultant) to develop a
parking management plan for the Santa Ana Regional Transportation Center (SARTC) project
site in order to generate revenue to recoup operating costs associated with providing parking
facilities. The City desires a parking management plan which will comprehensively address
parking for the entire facility and its various types of users and tenants. The parking
management plan should serve the SARTC's current and projected needs over a minimum of
five years and be aligned with the facility's following program goals:
• Maintain a landmark regional transportation center in Orange County that is aligned with
Santa Ana's Transit Vision.
• Ensure a professionally managed facility that is attractive, safe, and responsive to the
needs of travelers and the community.
• Maintain positive relationships with tenants and transit partners and assure high quality
services in a cost-effective manner.
• Support programs and activities that promote sustainability and encourage alternative
commuting options.
PROJECT SITE OVERVIEW
The Santa Ana Regional Transportation Center (SARTC) is a focal point of transportation in
Orange County. It combines Amtrak, Metrolink, Orange County Transit Authority, intercity and
interstate bus transportation, and airport and taxi services all in one location. The SARTC is in
close proximity to five freeways and only minutes from the Orange County airport, Disneyland,
MainPlace Mall, Bowers Museum, the civic center complex and the Downtown historical
district. Future plans include the SARTC as the centerpiece of the Station District Master Plan.
The facility covers 6.75 acres and contains a 47,000-square-foot terminal, two surface parking
lots with a total of 273 vehicle spaces, and one four-story parking structure with 404 vehicle
spaces. The terminal building is open from 5:00 AM to midnight daily. The parking structure is
open to the public from 4:00 AM to midnight daily.
The SARTC terminal building contains approximately 35,000 square feet of rental space, plus a
five-story theme tower that includes small meeting/conference rooms on the 4th and 5th floors.
Tenants include Amtrak, Greyhound Lines, Crucero, Transportes Intercalifornias, Tres Estrellas
Exhibit 1
19E-3
DRAFT
de Oro, County of Orange Social Services, State of California EDD, the City of Santa Ana
WORK Center, Cafe Express, and K. Lee Gifts Shop. The overall weekday foot traffic count for
the SARTC is estimated at 2,995 a day.
Rail Services
The SARTC is served daily by 22 Amtrak trains (24 trains on Friday) and 33 Metrolink trains on
weekdays with a mean daily rail passenger count of 1,766. Metrolink service begins at 4:32 AM
at the station and the last train departs at 7:21 PM. Peak Metrolink train frequency occurs
between the hours of 6:00 AM to 8:30 AM and 4:00 PM to 6:30 PM. The Amtrak service begins
at 6:53 AM and the last train leaves at 11:06 PM. Amtrak train frequency is consistent
throughout the day providing about one train per hour.
Weekend service at the Santa Ana station is less frequent and includes 24 Amtrak trains and 8
Metrolink trains. Three Metrolink trains are provided during weekend morning hours and five
Metrolink trains are provided during weekend evening hours. Amtrak provides weekend service
of approximately one train per every half hour between 7:30 AM to 9:00 AM and 10:30 AM to
1:30 PM. At least one Amtrak Pacific Surfliner train is provided every hour from 2:30 PM to
11:30 PM.
Bus Services
Ten bus bays are located on the west side of the terminal with access and egress off Santiago
Street. OCTA bus Local routes 59 and 83 and Station Link routes 462, 463, and 464 serve the
station. On average, there are approximately 220 weekday OCTA boardings and less than 10
weekend boardings at SARTC. Greyhound, Transportes Intercalifornias, and Tres Estrellas de
Oro offer long distance bus service at the station between 5:00 AM and midnight. These three
long distance bus service providers report a total average of 700 boardings and alightings per
day. Amtrak bus service provides service at the Santa Ana station, in lieu of Amtrak trains,
during select off-peak hours. The Amtrak bus service operates between the hours of 12:00 AM to
5:00 AM for the Pacific Surfliner route.
Workforce Development Services
The Santa Ana WORK Center is located within the SARTC. The WORK Center combines
resources from various agencies to provide integrated job and workforce development services,
including job search assistance, employee referrals and placement, unemployment insurance
filing, and career counseling for adults and youths. As part of the WORK Center, the State of
California EDD leases an administrative office on the first floor which averages 5 client visits
per day. The City of Santa Ana and the State EDD lease the two suites on the second floor. The
administrative suite averages 14 client visits per day and the referral center suite averages 254
Exhibit 1
19E-4
DRAFT
client visits per day. The WORK Center offices on the first and second floors are open from
8:00 AM to 5:00 PM Monday thru Thursday and every other Friday. The County of Orange
Social Services Agency leases the suite on the third floor and averages 26 client visits per day.
The third floor suite is open from 8:00 AM to 5:00 PM, Monday thru Friday.
Public Safety
As a regional transportation hub and public services facility, various local, state, and federal
authorities have law enforcement jurisdiction within the facility. The lead authority is the Santa
Ana Police Department. The Orange and Los Angeles County Sheriffs, the California Highway
Patrol, OCTA Police, Amtrak Police, and the Department of Homeland Security are amongst the
other law enforcement agencies that hold jurisdiction. In partnership with these law enforcement
agencies, the SARTC hosts a Regional Transportation Center Public Safety Office within the
facility. In addition, the SARTC is designated as a Homeland Security critical infrastructure
locale and has contracted private security guard services 24-hours a day, seven days a week.
MINIMUM QUALIFICATIONS
Consultant shall have at least five (5) years experience within the past five (5) years in providing
comprehensive planning, studies, and analysis which are consistent with the needs and criteria
set forth in the Scope of Work for municipal entities under its current business name.
REQUIRED COMPONENTS AND TASKS
The consultant shall develop a parking management plan which comprehensively addresses the
parking needs of the entire facility and its various types of users and tenants. The parking
management plan should serve the SARTC's current and projected needs over a minimum of
five years while accounting for future plans and projects involving the project site.
The City shall provide the consultant various documents, plans, and studies related to the zoning,
roadway modification, and other efforts that are currently underway or planned for the project
site and surrounding area. The consultant is responsible for utilizing and incorporating the
information provided in the documents for development of the parking management plan. I
A number of these documents are related to the City's Transit Vision. The Transit Vision aims
to serve residents, workers, local businesses, and the transit-dependent, with the dual goals of
improving mobility and strengthening connections to surrounding communities and cities. The
Transit Vision focuses on development of the Santa Ana-Garden Grove Fixed Guideway
1 Relevant documents are posted on the RFP website.
Exhibit 1
19E-5
DRAFT
(Streetcar) Project, the Santa Ana Boulevard Grade Separation, and the SARTC Master Plan. It
is further supported by the Transit Zoning Code and the Station District Plan. In addition, the
consultant is expected to utilize and incorporate relevant findings of the 2011 Orange County
Transportation Authority (OCTA) Metrolink Station Parking Management Study.
Specific components of the proposal and tasks necessary to complete a comprehensive parking
management plan will at minimum include, but shall not be limited to:
• Review of existing relevant documents, plans and studies as outlined above.
• Understanding of existing conditions, current parking management, demand, and utilization -
a substantial amount of this research shall be provided and included in the existing
documents the consultant is responsible for reviewing. Consultant shall clearly indicate if
additional research or data collection is proposed or recommended.
• Analysis and recommendation of pricing and rate structure that is responsive to the parking
demand and types of facility users (commuters, overnight, short-term, long-term, visitors,
employees, etc.)
• Assessment and recommendation of payment method and technology that best meets facility
management's need for accurate parking control, ease of use by patrons, and cost-effective to
implement and operate.
• Evaluation and recommendation for parking control enforcement - whether existing
contracted security officers can effectively fulfill this duty or third party parking management
services are recommended.
• Recommendations for improved user information, signage, and outreach to inform users
about parking availability, regulations, and price.
• Discussion of how proposed parking management plan mitigates potential impacts on
surrounding area, especially neighborhood on-street parking.
• Development and provision of a site specific implementation plan on how to best implement
the proposed parking management plan, including costs, projected revenues, key steps, and
timeframes.
Consultant shall complete other tasks deemed necessary to complete a comprehensive parking
management plan. Consultant shall be expected to expand on the above-noted components
where appropriate, and provide suggestions which might lead to efficiencies and enhance the
results or usefulness of the plan.
EVALUATION CRITERIA
All submitted proposals shall be evaluated based on the qualifications listed within the RFP,
reference checks and technical criteria. The evaluation process will use the following general
selection criteria and shall be weighted as indicated:
Exhibit 1
19E-6
DRAFT
A. Responsiveness to RFP 40%
1. Proposal's compliance with the requirements of the RFP.
2. Thoroughness and clarity of proposal.
3. Scope of services offered including project organization, work plan
and implementation strategy.
B. Experience of Firm and Personnel 40%
1. The history, experience, resources, and qualifications of the firm
and individuals assigned to this account.
2. Relevant experience and past performance with similar accounts
and public agency clients, including such factors as reliability and
compliance with contract terms and conditions.
C. Compensation 20%
1. Competitiveness of overall cost proposal.
2. Reasonableness and affordability of the proposed hourly rates and
other costs.
3. Adequacy of data in support of figures quoted and task budgets.
Exhibit 1
19E-7
19E-8
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
MAY 7, 2012
TITLE
APPROPRIATION ADJUSTMENT
ACCEPTING PROPOSITION 69 DNA
FUNDING
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
Approve the Appropriation Adjustment recognizing Prop-69 DNA reimbursements funds of $16,365
into Police Special Revenue account (account no. 02414002-57000) and appropriate same into the
Police Department Special Revenue - General Account expenditure account (account no.02414400-
various) for the reimbursement cost associated with the collection of DNA collection in the amount of
$16,365.
DISCUSSION
In November 2004 California voters passed the Proposition 69, "DNA Fingerprint, Unsolved Crime
and Innocence Protection Act," to expand and modify state law regarding the collection and use of
criminal offender DNA samples and palm print impressions. California Penal Code was modified
and dictate that each agency is responsible for the collection and administrative management of
said offender DNA samples. On January 1, 2009 per Proposition 69, agencies became responsible
for collecting DNA samples from all adult felony arrestees. The Department's Forensic Services
Section is responsible for the evaluation and collection of all crime scene DNA samples. It is also
tasked with the management of DNA cases including the tracking of all department initiated analysis
requests and all related DNA analysis results.
The now routine practice of DNA collection has required Crime Scene personnel to perform more
complicated and time-consuming forensic investigative tasks while at each scene. The collection of
potential DNA evidence samples for property crimes continues to see a significant increase of "on-
scene" time compared to non-property crime DNA collection. In 2011, more than 39% of calls for
service resulted in DNA collection.
20A-1
Request for Appropriation Adjustment
PROP 69 - DNA Collections.
May 7, 2012
Page 2
Management of the now 5,000 crime scene DNA submissions remains tedious in nature and further
includes the intricate tracking of DNA cold hit notification and due diligence, as well as the potential
for John Doe Warrant candidates. The Forensic Services Section is also responsible for the
purchase of all consumables related to crime scene DNA collection for the entire police department.
FISCAL IMPACT
Approval of the appropriation with the acceptance of Prop 69 funds and transfer of funds available in
the City's Police Special Revenue Account (account #02414002-57000) in the amount of $16,365,
will increase the same into the Police Department Special Revenue - General expenditure account
(account no.02414400-various).
APPROVED AS TO FUNDS AND ACCOUNTS:
0 L---
Paul M. Walters
Chief of Police
Police Department
>
Francisco Gutierrez (abl
20A-2
Executive Director
Finance & Mngmt. Services Agency
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
MAY 7, 2012
TITLE:
CONTRACT RENEWALWITH ANYTIME
PRINTING FOR OFFSET PRINTING
SERVICE
(SPEC. NO.08-066)
CITY MANAGER
CLERK OF COUNCIL USE ONLY:
APPROVED
? As Recommended
? As Amended
? Ordinance on 152 Reading
? Ordinance on 2"d Reading
? Implementing Resolution
? Set Public Hearing For
CONTINUED TO
FILE NUMBER
RECOMMENDED ACTION
Renew the contract with Anytime Printing for offset printing service for a one-year period in an
annual amount not to exceed $80,000.
DISCUSSION
The Central Services section of the Finance and Management Services Agency supervises the
duplicating and printing of letterhead, NCR forms, flyers, posters, reports and envelopes for
various City agencies. Jobs of less than 5,000 copies are produced in-house. Higher volume
and enhanced jobs are cost justified for offset printing by a third party vendor.
On November 17, 2008, the City Council awarded to Anytime Printing, a Santa Ana vendor, a
contract for a three-year period, with provisions for two one-year renewals. The vendor has
performed satisfactorily during the initial contract period and has not requested a price increase in
two years. However, due to rising costs of supplies, gasoline, and other operating expenses,
Anytime Printing has requested a ten percent increase in the rate structure for print jobs. Staff
has checked the market and, even with the new increase, this Santa Ana vendor remains
competitively priced. Additionally, due to the City's trend towards more network communication
and less hard copy documents, even with the increased job cost, a 20 percent decrease in the
overall dollar amount for the next contract period is recommended by staff.
FISCAL IMPACT
Funds are available in the various departmental Other Contractual Services (account 62300).
Francisco Gutierrez
Executive Director
Finance and Management Services Agency
km
22A-1
22A-2
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
CLERK OF COUNCIL USE ONLY:
MAY 7, 2012
TITLE:
CONTRACT AWARDS FOR VARIABLE
FREQUENCY DRIVES AND MOTOR
CONTROL CENTER UPGRADES
(SPEC NO. 12-015)
CITY MANAGER
APPROVED
? As Recommended
? As Amended
? Ordinance on 1St Reading
? Ordinance on 2"d Reading
? Implementing Resolution
? Set Public Hearing For_
CONTINUED TO
FILE NUMBER
RECOMMENDED ACTION
Award contracts for variable frequency drives and motor control center upgrades for a one-year
period, with provision for two one-year renewals in an annual aggregate amount not to exceed
$200,000 with the following vendors:
Vendor
Carter Industrial, Inc.
Academy Electric, Inc.
F.M. Electric, Inc.
Location
Los Alamitos
Orange
Rancho Cucamonga
DISCUSSION
The Public Works Agency operates 20 active water wells and seven water pumping stations to
supply the City's drinking water. In order to maintain a smooth running water system, staff has
upgraded many of the water facilities with Variable Frequency Drives (VFD) and Motor Control
Centers (MCC) with new programmable logic controllers (PLC). These devices monitor and
control the pumps and motors that produce the City's potable water. Additionally, this equipment
reduces the amount of electricity the City uses to power the pumps and motors. Updating aging
pump and well controllers with up to date VFDs, MCCs and PLCs will allow staff to improve the
control of the pressure and flow of water throughout the City.
22B-1
Award a Contract for Variable Frequency Drive and Motor Control Center Upgrades
May 7, 2012
Page 2
A notice inviting bids was advertised on March 12, 2012, and bids were solicited. A Summary of
the bid invitations and bid received is as follows:
19 Invitations for Bid mailed
1 Invitation for Bid mailed to a Santa Ana vendor
6 Bids received
The bids were received, opened on March 28, 2012 and evaluated (Exhibit 1). The bids received
from Carter Industrial, Inc., Academy Electric, Inc. and F.M. Electric, Inc. are responsive to the
specifications and meet the City's requirements. Staff recommends awarding contracts to the
three vendors with the lowest bids to allow for competitive quotes on any given job.
FISCAL IMPACT
Funds are available in the Water Utility Water Production & Supply account (no. 06017640-
62300).
APPROVED AS TO FUNDS AND ACCOUNTS:
Raul Godinez
Executive Director
Public Works Agency
SP
Francisco Gutierrez
Executive Director
Finance & Mgmt. Services Agency
22B-2
ABSTRACT OF BIDS
CONTRACT AWARD FOR VARIABLE FREQUENCY DRIVES AND MOTOR
CONTROL CENTERS UPGRADES
(12-015)
Vendor Academy Carter F. M. Electric, Inc.
Electric, Inc. Industrial, Inc.
Location
Total Orange, CA
$106,699.91 Los Alamitos, CA
$100,886.00 Rancho Cucamonga, CA
$108,765.57
Vendor Leed Electric, Inc. Littlejohn-Reuland Miron Electric
Corporation Construction, Corp.
Location Norwalk, CA Vernon, CA Chatsworth, CA
Total $120,403.00 $140,721.75 $147,000.00
Exhibit 1
22B-3
22B-4
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
MAY 7, 2012
TITLE:
CONTRACTS AWARD FOR
MISCELLANEOUS PLUMBING
SUPPLIES
(SPEC. NO. 12-011)
CITY M NAGER
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
Award contracts for miscellaneous plumbing supplies for a one-year period, with provision for
four, one-year renewals, in an annual aggregate amount not to exceed $120,000 with the
following vendors:
Vendor:
Ferguson Enterprises, Inc.
Irvine Pipe & Supply, Inc.
Plumbing & Industrial Supply
Smardan Supply Co.
DISCUSSION
Location:
Pomona
Santa Ana
Fullerton
Fountain Valley
The City of Santa Ana maintains in excess of 50 buildings, including City Hall, the Corporate
Yard, the Police Administration and Holding Facility, recreation and senior centers, libraries, and
park facilities. Many of the facilities are over 20 years old and all require ongoing maintenance,
repair and replacement of aging parts and material. Plumbing supplies - including pipes, valves,
bushings and tools -- are purchased through the Central Stores warehouse for distribution to the
agencies. The contracts are designed to provide quality products at significant savings based on
quantity pricing.
The notice inviting bids was advertised on March 29, 2012, and bids were solicited. A summary
of the bid invitations and bids received is as follows:
6 Invitations For Bid mailed
4 Invitations For Bid mailed to Santa Ana vendors
4 Bids received
1 Bid received from a Santa Ana vendor
22C-1
Contracts Award for Misc. Plumbing Supplies
May 7, 2012
Page 2
Bids were received, opened on April 9, 2012 and evaluated by price, range of commodities, and
vendor location. The bids received from Ferguson Enterprises, Inc., Irvine Pipe & Supply, Inc., a
Santa Ana vendor, Plumbing & Industrial Supply, and Smardan Supply Co. are responsive to the
specifications and meet the City's requirements. To ensure that necessary materials are
available when required and to allow for competitive quote at time of purchase, staff
recommends awarding contracts to four local suppliers guaranteeing timely delivery. The annual
amount is based on past usage and staff's projection for the next year.
FISCAL IMPACT
Funds are available in the various departmental Miscellaneous Operating Expenses (account
63001).
Francisco Gutierrez
Executive Director
Finance & Mgmt. Services Agency
EG
22C-2
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
MAY 7, 2012
TITLE:
CONTRACT AWARD TO
CYBER COMPUTERS INC
FOR HP STORAGE EQUIPMENT
(SPEC. NO. 12-027)
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
Award a contract to Cyber Computers Inc for HP Storage equipment in an amount not to exceed
$41,500.
DISCUSSION
The Santa Ana Police Department and the City Hall Data Centers together house 77 of the total
118 physical computer servers in the City - 58 in the City Data Center and 19 in the Police Data
Center. These servers host 84 departmental applications, six enterprise applications and 34
citywide computer infrastructure services. To increase capacity, server virtualization is utilized to
enable a single physical server to act like multiple servers, referred to as "virtual servers." A
component of the Information Service Division's Virtualization Project is to utilize shared storage
for the virtual servers. By using virtual technology, savings are realized on physical replacement,
energy, and annual maintenance costs.
During the project's initial phase, an incremental approach to providing the shared storage was
adopted. Rather than one big purchase of shared storage, smaller, modular, incremental storage
systems are being acquired on an as needed basis. The Community Development Agency is the
next agency scheduled for conversion to virtualization of supporting servers. Additionally,
archival fire service data and data from daily City business operations necessitate an increase in
computer data storage capacity. The Information Services' Data Center Support Team
recommends adding incremental shared storage capacity for use with the servers in the data
center within City Hall.
On March 19 of this year, the City Council approved an increase of shared storage for the Police
Department Data Center. Along with this expansion of stored data comes an increased
requirement for protective backup and recovery services. The current backup and recovery
hardware in the Police Department Data Center was installed in 2008. Since then, the Police
Department's data has doubled and has outpaced the system's performance and capacity. In
22D-1
Contract Award for HP Storage Equip
May 7, 2012
Page 2
order for the existing hardware to meet the increased operational requirements, the Information
Services' Data Center Support Team recommends adding direct attached storage to three of the
existing backup data servers to allow for "Disk to Disk" backups. This will extend the storage
environment and prevent a complete upgrade of hardware at this time.
The notice inviting bids was advertised on March 29, 2012, and bids were solicited. A summary
of the bid invitations and bids received is as follows:
6 Invitations For Bid mailed
5 Bids received
Bids were received and opened on April 9, 2012 and evaluated (Exhibit 1). The bid received from
Cyber Computers Inc is responsive to the specifications and meet the City's requirements.
FISCAL IMPACT
Funds are available in the Information Services Maintenance & Support Machinery & Equipment
account (no. 10910147- 66400). Of the $41,500 expenditure, $34,300 would be for the additional
shared data storage and backup and recovery capacity in the City Hall Data Center and $7,200
would be for the additional backup and recovery capacity for the Police Data Center.
5
Francisco Gutierrez
Executive Director
Finance & Management Services Agency
EG
22D-2
ABSTRACT OF BIDS
CONTRACT AWARD FOR HP STORAGE EQUIPMENT (12-027)
Vendor Cyber Computers Govplace DI Technology
Inc. Corp. Group
Location
Total Irvine, CA
$41,272.56 Irvine, CA Cerritos, CA
$49,542.75 $53,114.89
Vendor Impex Business
Technologies, Inc Services
Location Torrance, CA San Diego, CA
*Non-
Total $54,883.84 Responsive
Exhibit 1
22D-3
22D-4
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
CLERK OF COUNCIL USE ONLY:
MAY 7, 2012
TITLE: APPROVED
CONTRACT AWARD WITH ? As Recommended
GREENLAND CONSTRUCTION INC. ? As Amended
Reading
1st
FOR PLAZA SANTA ANA PROJECT E] Ordinance on
El Ordinance on 2n "d Reading
NO. 127532, NON-GENERAL FUND) ? Implementing Resolution
? Set Public Hearing For
CONTINUED TO
FILE NUMBER
CITY MANAGER
RECOMMENDED ACTION
Award a contract to Greenland Construction, Inc., the lowest responsible bidder, in the
estimated amount of $180,967 for construction of the Plaza Santa Ana project.
2. Approve a Funding Analysis with a total estimated construction cost of $226,165.
DISCUSSION
The Plaza Santa Ana project is an 8,785 square-foot open-air plaza located at the northwest
corner of 4th and French Streets in downtown Santa Ana (Exhibit 1). The City acquired the property
in 1984 and licensed the site for use by El Faison Mercado from 1984 to 2005. In 2010, the site
was cleared and has been available as public open space for the surrounding neighborhoods.
A concept plan was prepared by the Parks, Recreation and Community Services Agency (PRCSA)
to provide improvements that will enhance the location and provide better use as neighborhood
open space. Improvements include additional lighting, ADA enhancements, raised planters,
landscaping and irrigation, and repair and replacement of the existing concrete and bricks.
On November 28, 2011, this concept plan was presented to a three-member Council
Subcommittee on Parks, Recreation, Education and Youth (PREY), that reviewed the plan and
recommended it for approval by the City Council. On March 5, 2012, in response to concerns
brought forth to the City Council, staff reviewed the concept again with the PREY Council
subcommittee and made minor revisions.
23A-1
Contract Award For Plaza Santa Ana
May 7, 2012
Page 2
The Notice Inviting Bids was advertised on March 23 and 24, 2012 and bids were opened on April
11, 2012. A summary of the bid invitations mailed, the bids received, and the bid results are as
follows:
Santa Ana Contractors receiving notices: 15
Contractors requesting bidding documents: 8
Bids received: 3
Bids received from Santa Ana Contractors: 1
NAME OF RESPONSIVE BIDDER CITY BID AMOUNT
1. Greenland Construction, Inc. Canoga Park $180,967
2. Hondo Company, Inc. Santa Ana $222,656
3. STL Landscape Los Angeles $400,000
A total of three bids were received and all were responsive. The lowest bid was submitted by
Greenland Construction, Inc., for $180,967. The Engineer's estimate was $120,000. The additional
cost is primarily due to the additional work needed for ADA compliance and additional lighting
improvements that were not in the original scope of work.
ENVIRONMENTAL IMPACT
Environmental Review #ER-2011-85 has been completed and a Notice of Exemption has been
filed pursuant to the California Environmental Quality Act. In addition, a Certificate of Categorical
Exclusion has been prepared in accordance with the National Environmental Policy Act (NEPA).
FISCAL IMPACT
The Funding Analysis shows a total estimated construction cost of $226,165 for the project
(Exhibit 2). Funds are available in the Community Development Block Grant Fund (accounting unit
13518783-66220).
Raul Godinez II
Executive Director
Public Works Agency
APPROVED AS TO FUNDS AND ACCOUNTS:
Francisco Gutierrez
Executive Director
Finance & Management Services Agency
f
Gerardo Mouet, Nancy T. Ed ards
Executive Director Interim Executive Director
Parks, Recreation, and Community Community Development Agency
Services Agency
RG/SA
Exhibit 1: Project Location Map w_?
2: Funding Analysis 23A
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PROJECT 12-7532
PLAZA SANTA ANA
23A-4
FUNDING ANALYSIS
PROJECT NO. 12-7532
PLAZA SANTA ANA
Construction Contract
Contract Administration
Inspection and Testing
Survey
Contingencies
TOTAL ESTIMATED CONSTRUCTION COSTS
Exhibit 2
$180,967
$9,050
$10,851
$7,200
$18,097
226 165
23A-5
23A-6
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
MAY 7, 2012
TITLE:
HISTORIC PROPERTY PRESERVATION
AGREEMENT NO. 2011-06 FOR THE
PROPERTY LOCATED AT 932 NORTH
FRENCH STREET
--
CITY MANAGER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
APPROVED
? As Recommended
? As Amended
? Ordinance on 1" Reading
? Ordinance on 2n° Reading
? Implementing Resolution
? Set Public Hearing For_
CONTINUED TO
FILE NUMBER
Authorize the City Manager and Clerk of the Council to execute the attached agreement with
Jerome Morin, property owner, for the structure located at 932 North French 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 Jerome Morin, property owner, for the structure located at
932 North French Street, subject to non-substantive changes approved by the City Manager and
City Attorney at its April 5, 2012 meeting by a vote of 8:0.
DISCUSSION
After the public hearing on April 5, 2012, 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. 2011-06
May 7, 2012
Page 2
FISCAL IMPACT
The Historic Property Preservation Agreement will reduce the property tax revenue to the City by
an estimated $69.47 to $347.64 annually, for a period of not less than ten years.
APPROVED AS TO FUNDS AND ACCOUNTS:
??' I
Ja . Trevino
Executive Director
Planning & Building Agency
HS:rb
Whistoric infolmills act agreementsftpal1-06_932NFrench.cc
Francisco Gutierrez
Executive Director
Finance & Management Services Agency
Exhibit: A. Historic Resources Commission Staff Report
25A-2
REQUEST FOR
Historic Resources Commission Action
HISTORIC RESOURCES COMMISSION NEETM DATE:
APRIL 5, 2012
HISTORIC RESOURCES CONMISM SECRETARY
TITLE:
HISTORIC PROPERTY PRESERVATION
AGREEMENT NO. 2011-06 FOR THE PROPERTY
LOCATED AT 932 NORTH FRENCH STREET
Prepared by Hally Soboleske
APPROVED
? As Recommended
? As Amended
? Set Public Hearing For
CONTINUED TO
V OAXAA
Executive Director Planning Manager
RECOMMENDED ACTION
Recommend that the City Council direct the City Attorney to prepare and authorize the City
Manager and the Clerk of the Council to execute an agreement with Jerome Morin for the structure
located at 932 North French Street.
DISCUSSION
Request of Applicant
The applicant, Jerome Morin, requests the approval of Historic Property Preservation Agreement
No. 2011-06 (Mills Act) between the applicant and the City of Santa Ana.
Property Description
The subject property includes a two-story residence, and is within the French Park National
Register District zone SD19 (Exhibit 1). Surrounding land uses are all residential with multi-family
adjacent to the west, and Flat Iron Park immediately across French Street to the east.
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.
C
25A-3
HPPA No. 2011-06
April 5, 2012
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 and
categorized as Key in November 2000 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). A review of the property indicates that this Stick/Eastlake
styled structure is in excellent condition. As a result, a supplemental property rehabilitation plan
will not be required as part of this agreement. Photos of the property are included with the
agreement as well as a photo location map. 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 not
considered a project, and as such, is not subject to further environmental review.
Hally Sobol e
Associate P Onnner
HS:jm
hslhistoft infokm91s act agreements\hppal l-t)fi_932NFrench.hrc
Attachments:
Exhibit 1 - Radius Map
Exhibit 2 - Executive Summary
Exhibit 3 - Mills Act Agreement
25A-4
9 119 1120
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500' RADIUS
HPPA-2011-06
932 North French Street
PLANNING AND BUILDING AGENCY
25A-6
NAME Rutan House REF. NO. 151
ADDRESS 932 North French Street
CITY Santa Ana ZIP 92701 ORANGE COUNTY
YEAR BUILT circa 1895 LOCAL REGISTER CATEGORY: Key
HISTORIC DISTRICT French Park NEIGHBORHOOD French Park
NATIONAL REGISTER CRITERIA FOR EVALUATION A, C NATIONAL REGISTER STATUS CODE 1D
Location: ? Not for Publication ® Unrestricted
USGS 7.5" Quad Date: T R ''A of ''A of Sec B.M.
? Prehistoric ® Historic ? Both
ARCHITECTURAL STYLE: circa 1895 Stick/Eastlake with 1920 Colonial Revival elements
DESCRIPTION/BACKGROUND RELATED TO PERIOD ARCHITECTURE:
The architectural style terminology is adapted from the National Register Bulletin 16A.
The Stick/Eastlake style is one of the Late Victorian styles that flourished between 1860 -1890. This style is defined primarily by
decorative detailing-the characteristic multi-textured wall surfaces and roof trusses whose stickwork faintly mimics the exposed
structural members of the Medieval half timbered houses. Identifying features include gabled roof, usually steeply pitched with cross
gables; gables commonly show decorative trusses at (lie apex; overhanging eaves, usually with exposed rafter ends; wooden wall
cladding interrupted by patterns of horizontal, vertical or diagonal boards (stickwork) raised from the wall surface for emphasis;
porches commonly show diagonal or curved braces.
Page I of 4
LL1H RC'calegories1ruf an
10-5-00 EXHIBIT 2
25A-7
CONSTRUCTION HISTORY: (Construction data, alterations, and date of alterations)
Year Built: circa 1895
Screen Porch: August 13, 1924
Alterations: October 30, 1929
5x10 addition to residence: July 2, 1945
Repair brick footings at porch: December 8,1998
RELATED FEATURES: (Other important features such as barns, sheds, fences, prominent or unusual trees, or landscape)
None identified
DESCRIPTION: (Describe resource and its major elements. Include design, materials, condition, altera(ions, size, settings, and
boundaries.)
The nicely detailed prominent front gable and narrow clapboard siding indicates that this house was probably built in the 1890's.
Vertical venhvork of varying widths and diagonal molding-edged trim provide a pleasing pattern in the gables that face the front and
sides of this tall building, with double cross-gable roof Pairs of ten-light casement windows are used throughout the second story. A
large arched plate glass window, located in the center of the front fagade, was probably installed in the late 1920's, at the same time as
the casement windows. Enclosed porches, featuring ribbons of ten-light windows, flank tine large window in the center of the front
fagade. The Sanborn map of 1924 shows the original open entry porch on the north side and an open porch on the south side. Both
originally stopped at the edge of the front fagade of the house. Brick wainscotting was installed when the porches were enclosed.
Because the alterations occurred more than filly years ago, they are considered part of the historic fabric. However the jalousie
windows on the north and south sides are more recent. The most identifiable features, which make this building a Stick/Eastlake style
include: the decorative trusses at the apex of the gables, the vertical ventwork, the steeply gabled roof, the narrow clapboard siding
and the elongated windows.
HISTORIC HIGHLIGHTS:
This house first shows up on the Sanborn map in 1895. However' it is not until 1909 that it is listed in the directories. William
Thomas, a local attorney, is the first resident listed at this address in 1909. Wallace and Mabel Rutann owned the house during the
1910's. He was a prominent attorney with the firm of Rutan and Tucker. The firm still is in existence today. Willard and Marie
Patterson owned the house from the 1920's through the 1940's. He was the manager of the General Bottling and Distribution
Company at 1420 W. 5`h St. and later, tine Whistle Bottling Company.
RESOURCE ATTRIBUTES: (List attributes and codes from Appendix 4 of Instructions for Recording Historical Resources, Office
of Historic Preservation.)
HP2 Single Family properly
Page 2 of 4
LUI I ROcatcgozie5\rutan
10-5-00
25A-8
RESOURCES PRESENT:
® Building ? Stricture ? Object
MOVED? ® No ? Yes ? Unknown
? Site
Date:
Original Location:
? Other
STATEMENT OF SIGNIFICANCE: (Discuss importance in terms of historical or architectural context as defined by thence,
period, geographic scope, and integrity.)
This example of residential architecture during the City of Santa Ana's early formation years is located in French Park Historic
District. This two story single family residence was built during the early development years of French Park, a residential district
nicknamed as the "Nob Hill" of Orange County. French Park, one of the first residential developments in the City, was home to many
prominent businessmen, doctors, bankers, attorneys and civil servants from 1880 to the early 1940's. This house is in excellent
condition, and on its original site. The Rutan House is listed as a contributing structure to the historic architectural integrity of French
Park Historic District.
SUMMARY/CONCLUSION:
This building is characteristic of a significant period in the history of the City of Santa Ana. Although it was altered in 1920, it
maintains the characteristics of the Victorian Stick style. Because the alterations to the porches occurred more than fifty years ago,
they are considered part of the historic fabric. Most of the identifiable characteristic of the style, such as the decorative trusses at the
apex of the gables, the vertical ventwork, the steeply gabled roof, the elongated windows and the narrow clapboard siding are still
present in this house.
OWNER AND ADDRESS: Jensen Barry Jay & Donna Emery
932 N. French Street
Santa Ana, Ca 92701
Page 3 of 4
LLU IRO.catcgorieslrutan
10.5-00
25A-9
? District ? Element of District
RECORDED BY: (Name, affiliation, and address)
Lucy Linnaus
City of Santa Ana, Planning Division
20 Civic Center Plaza M-20, Santa Ana, CA 927-2
DATE RECORDED: November 9, 2000
SURVEY TYPE: (Intensive, reconnaissance, or other)
Reconnaissance
REPORT CITATION: (Cite survey report and other sources)
National Register of Historic Places Application for French Park Historic District
Santa Ana Historic Register Application Form
REFERENCES: (List documents, date of publication, and page numbers. May also include oral interviews.)
National Register Bulletin 16A
A Field Guide to American Houses by Virginia & Lee McAlester
of Santa Ana Building Division Records
EVALUATOR: DATE OF EVALUATION:
EXPLANATION OF CODES:
National Register Criteria for Evaluation: (From Appendix 7 of Instructions for Recording Historical Resources, Office of
Historic Preservation)
A: that are associated with events that have made a significant contribution to the broad patterns of our history
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)
11): Contributor to a listed district.
Page 4 of 4
LI V IRO,categories\rutan
10-5-00
25A-10
MILLS ACT AGREEMENT
932 North French Street
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 May 7, 2012 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 Jerome Morin, (hereinafter referred to as "Owner"), owner of real property
located at 932 North French Street, 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 owners 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 possesses fee title in and to that certain qualified real property
together with associated structures and improvements thereon, located at 932
North French Street, 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.
-r-
781AT 11
MILLS ACT AGREEMENT
932 North French Street
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 May 7, 2012, 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
nonrenewai 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-
25A-12
MILLS ACT AGREEMENT
932 North Freuch Street
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-
25A-13
MILLS ACT AGREEMENT
932 North French Street
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 has 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 has 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
932 North French Street
Santa Agra, 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 subjects the Historic Property, located at 932 North French
Street, Assessor Parcel Number, 398-013-10, 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's 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 shal
respective parties as specified below or at other addresses that
parties hereto.
City; City of Santa Ana
Attn: City Clerk
20 Civic Center Plaza (M-30)
Santa Ana, CA 92702
Owner: Jerome Morin
932 North French Street,
Santa Ana, CA 92701
1 be sent to the address of the
may be later specified by the
-5-
25A-15
MILLS ACT AGREEMENT
932 North Trench Street
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 fi-om 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's 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.
£ 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.
-G-
25A-16
MILLS ACT AGREEMENT
932 North French Street
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
Property Owners:
Date:
APPROVED AS TO FORM:
JOSEPH A. STRAKA
Interim City Attorney
By:
Ryan O. Hodge
Assistant City Attorney
CITY OF SANTA ANA
PAUL M. WALTERS
Interim City Manager
By:
Jerome Morin
-7-
25A-17
MILLS ACT AGREEMENT
932 North French Street
Santa Ana, CA 92701
Exhibit A
PORTERS ADD LOT 2 BLK B E108 1 T
Assessor Parcel No. 398-013-10
-8-
25A-18
MILLS ACT AGREEMENT
932 North French Street
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:
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-
25A-19
MILLS ACT AGREEMENT
932 North French Street
Santa Area, 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 stricture would be unimpaired.
-10-
250-20
MILLS ACT AGREEMENT
932 Not-Ili French Street
Santa Aim, CA 92701
Exhibit C (photographs attached)
25A-21
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25A-22
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
MAY 7, 2012
TITLE:
HISTORIC PROPERTY PRESERVATION
AGREEMENT NO. 2012-01 FOR THE
PROPERTY LOCATED AT 2335 N. NORTH
PARK BOULEVARD
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
Jose Louis Correa and Maria Ester Reynoso, property owners, for the structure located at 2335
N. North Park Boulevard, 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 Jose Louis Correa and Maria Ester Reynoso, property
owners, for the structure located at 2335 N. North Park Boulevard, subject to non-substantive
changes approved by the City Manager and City Attorney at its April 5, 2012 meeting by a vote of
8:0.
DISCUSSION
After the public hearing on April 5, 2012, 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. 2012-01
May 7, 2012
Page 2
FISCAL IMPACT
The Historic Property Preservation Agreement will reduce the property tax revenue to the City by
an estimated $27.76 to $138.81 annually, for a period of not less than ten years.
APPROVED AS TO FUNDS AND ACCOUNTS:
Jayj. vino
Executive Director
Planning & Building Agency
HS:rb
hslhistoric info\mills act agreementsftpal2-01_2335NNorthPark.cc
Francisco Gutierrez
Executive Director
Finance & Management Services Agency
Exhibit: A. Historic Resources Commission Staff Report
25B-2
REQUEST FOR
Historic Resources Commission Acfion
HISTORIC RESOURCES COMMISSION NIEETM DATE:
APRIL 5, 2012
yl?3q
HISTORIC RESOURCES C.oNrV11SSION SECRETARY
TITLE:
HISTORIC PROPERTY PRESERVATION
AGREEMENT NO. 2012-01 FOR THE PROPERTY
LOCATED AT 2335 N. NORTH PARK BOULEVARD
Prepared by Hally Soboleske
Executive Director
RECOMMENDED ACTION
APPROVED
? As Recommended
? As Amended
? Set Public Hearing For
CONTINUED TO
K Mana r
Recommend that the City Council direct the City Attorney to prepare and authorize the City
Manager and the Clerk of the Council to execute an agreement with Jose Louis Correa and Maria
Ester Reynoso for the structure located at 2335 N. North Park Boulevard.
DISCUSSION
Request of Applicant
The applicants, Jose Louis Correa and Maria Ester Reynoso, request the approval of Historic
Property Preservation Agreement No. 2012-01 (Mills Act) between the applicants and the City of
Santa Ana.
Property Description
The subject property includes a two-story residence and a detached two-car garage located at
2335 N. North Park Boulevard, and is within the Floral Park neighborhood (Exhibit 1). Surrounding
land uses are residential.
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.
X
25B-3
HPPA No. 2012-01
April 5, 2012
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 and
categorized as Landmark in March 2003 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). A review of the property indicates that this Mission/Spanish
Colonial Revival styled structure is in excellent condition. As a result, a supplemental property
rehabilitation plan will not be required as part of this agreement. Photos of the property are
included with the agreement as well as a photo location map. 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 Quality Act, the recommended action is not
considered a project, and as such, is not subject to further environmental review.
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Associate Principal anni
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hslhistoric iniolmills act agreementslhppal2-01_2335NNorthPark.hrc
Attachments:
Exhibit 1 - Radius Map
Exhibit 2 - Executive Summary
Exhibit 3 - Mills Act Agreement
25B-4
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HPPA-2012-01
2335 N. North Park Boulevard
PLANNING AND BUILDING AGENCY
15
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25B-6
EXECUTIVE SUMMARY
EMISON-GEORGIEFF HOUSE
2335 North Park Boulevard
Santa Ana, CA 92706
NAME Emison-Georgieff House REF. NO.
ADDRESS 2335 North Park Boulevard
CITY Santa Ana ZIP 92701 ORANGE COUNTY
YEAR BUILT Circa 1928 LOCAL REGISTER CATEGORY: Landmark
HISTORIC DISTRICT N/A NEIGHBORHOOD Floral Park
NATIONAL REGISTER CRITERIA FOR EVALUATION C NATIONAL REGISTER STATUS CODE 2D
Location: ? Not for Publication ® Unrestricted
? Prehistoric ® 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 espadaila); 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-
California Exposition in San Diego in 1915, where lavish interpretations of Spanish and Mexican prototypes were showcased. Easily
recognizable hallmarks of (lie Spanish Colonial Revival are low-pitched roofs, usually with tittle 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 decorative elements of wood, wrought iron, tile, or stone.
SUMMARY/CONCLUSION:
The Emison-Georgieff House has been determined eligible for listing in the National Register of Historic Places as a contributor to a
North Broadway Park historic district that is bounded by Riverside Drive, Santa Clara Avenue, North Broadway, and North Flower
Street. Under the regulations implementing the California Register of Historical Resources, the Emison-Georgieff House has been
listed in the California Register. It also qualifies for listing in the Santa Ana Register of Historical Property under Criterion I for its
exemplification of the "distinguishing characteristics" of the Spanish Colonial Revival style. The house also contributes to the
historic character of (lie Floral Park neighborhood through its age, style, scale, and historic association with important members of the
local business and professional communities. Additionally, the house has been categorized as "Landmark" because it has been
determined eligible for (lie National Register, has been listed in the California Register, has "unique architectural significance" as an
example of the Spanish Colonial Revival style, and contributes to a district that has "historical/cultural significance to the City" as an
example of the City Beautiful planning movement.
EXPLANATION Or 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 constriction, 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)
2D1: Contributor to a district determined eligible by the Keeper.
EXHIBIT 2
Page 1 of 5
25B-7
State of California -The Resources Agency Primary
#
DEPARTMENT OF PARKS AND RECREATION HRI #
PRIMARY RECORD Trinomial
NRHP Status Code
Other Listings
Review Code Reviewer Date
Page 1 of A. Resource name(s) or number (assigned by recorder) Emison-Georgieff House
P1. Other Identifier:
*P2. Location: ?Not for Publication ¦Unrestricted *a. County Orange County
*b. USGS 7.5' Quad Orange TCA 1725 Date:
*c. Address 2335 North Park Boulevard City Santa Ana Zip 92706
*e. Other Locational Data: Assessor's Parcel Number: 002-133-15 N TR 425 Lot: 124
*133a. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and boundaries.)
Located on a prominent, wedge-shaped lot at the Intersection of North Park Boulevard and Riverside Drive, this large, two-
story residence features Spanish Colonial Revival styling with Monterey Revival elements. Red tiles cover the low-pitched,
hipped roof of the "V-shaped, asymmetrical house. Smooth stucco finishes the exterior walls. Windows are slightly
recessed and primarily multi-pane wood casements In type. The south-facing house Is centered by a broad, round tower
crowned with a conical red file roof and pierced by rectangular wood casement windows on both stories. A cantilevered,
Monterey Revival style wraparound balcony occupies the southeast corner of the house. Exposed beams and triangular
brackets support the balcony's wood floor. Decorative iron railings enclose the balcony space. Square wood posts topped
by carved brackets ("zapatas) support the visible rafter tells of the principal roof. A cant bay window lies below the balcony
on the east elevation. A red brick exterior chimney Is located at the rear. West of the center tower, a one-story wing
(See Continuation Sheet 3 of 4.)
*P3b. Resource Attributes: (list attributes and codes) HP2. Single-family Property
*P4. Resources Present: ¦Buiiding ?Structure ?Object ?Site ?District ¦Element of District ?Other
Photo
P5b. Photo: (view and dale)
South and east elevations
January 2003
*P6. Date Constructed/Age and
Sources: ¦hstoric
Circa 1928
*P7. Owner and Address:
Georgieff George Trust
2335 North Park Boulevard
Santa Ana, CA 92706
*P8. Recorded by:
Leslie J. Neumann, Peter C. Moruzzi
SAIC
35 S. Raymond Ave. # 204
Pasadena, CA 91105
*P9. Date Recorded:
January 27, 2003
*P10. Survey Type:
Intensive Survey Update
*P11. Report Citation: (Cite survey report and other sources, or enter none')
California Department of Transportation, Broadway Overcrossing Historic Property Survey, March 1979.
*Attachments: ?None OLocation Map ?Sketch Map ¦Continuation Sheet ¦Buiiding, Structure, and Object Record
?Archaeologicai Record ?District Record ?Unear Feature Record ?Milling Station Record ?Rock Art Record
?Artifact Record ?Photograph Record ? Other (list)
DPR 523A (1195)
'Required Information
Page 2 of 5
25B-8
State of California-The Resources Agency Primary #
DEPARTMENT OF PARKS AND RECREATION HRI#
BUILDING, STRUCTURE, AND OBJECT RECORD
Page 2 of 4 *NRHP Status Code 2D1
'Resource Name or #: Emison-Georgieff House
B1. Historic Name: Emison-Georgieff House
B2. Common Name: Same
83. Original Use: Single-family Residence B4. Present Use: Single-family Residence
*135. Architectural Style: Mission/Spanish Colonial Revival
*136. Construction History: (Construction date, alterations, and date of alterations): Constructed circa 1928.
September 26, 1947. Alteration to garage for Mrs. Wheeler. $300.
May 2, 1951. Alteration to residence by Dr. Coomber, owner. $1, 500.
Juno 20, 1952. Patio by Dr. Coomber, owner. $2,000.
June 24, 1971. Remodel second bathroom for Dr. George Georgleff.
June 21, 1973. Decorative gazebo for Dr. George Georgieff.
June 22, 1987. 89 linear foot x 6 foot block wall.
*137. Moved? ¦No ?Yes ?Unknown Date: Original
*BS. Related Features:
Tiled fountain, mature pine, ficus, eucalyptus and magnolia trees in front yard.
139a. Architect: Unknown b. Builder: Unknown
*1310. Significance: Theme Residential Architecture Area Santa Ana
Period of Significance: circa 1888-1953 Property Type: Single-family Residence Applicable Criteria: C
(Discuss Importance in terms of historical or architectural context as defined by theme, period, and geographic scope. Also address integrity)
The Emison-Georgieff House is an architecturally distinguished residence, blending the Spanish Colonial Revival and
Monterey Revival styles, which achieves added prominence through its generous scale and prominent location. The address
first appears in the 1928 Orange County Directory with Richard A. and Esse Emison listed as owners. Mr. Emison was the
general manager of the Santa Ana Lumber Company. The Emison resided in the house until at least 1941. In 1945 Dr.
James G. and Gladys C. Herring owned the house. He was a physician and surgeon. The subsequent owner Dr. Coomber
was also a physician. Since 1969, the house has been owned and maintained by Mr. George Georgieff an orthodontist.
(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
Sanborn Maps
(Sea Continuation Sheet 4 of 4.)
B13. Remarks:
*1314. Evaluator: Leslie J. Heumann
*Date of Evaluation: January 27, 2003
(This space reserved for official comments.)
Sketch Map
1,. &
40 ®r,
t ;
EMISON-GEORGIEFF HOUSE
2335 NORTH PARK BOULEVARD
DPR 523B (1195) age 3 of 5 `Required information
256-9
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) Emison-Georgieff House
*Recorded by Leslie J. Neumann, Peter C. Moruzzi, SAIC *Date January 27, 2003 El Continuation ? Update
*123a. Description (continued):
with a moderately pitched, side-gabled roof covers a recessed porch and is supported by thick, square brick piers. Here,
too, exposed rafter tails distinguish the eaves. A tapered, exterior, stucco-covered chimney rises above the gable peak of
the west elevation. On the projecting east wing, a second floor row of four double-hung sash windows surmounts the
double-car garage. The garage doors are not original. Ornamental wrought iron sconces grace many of the exterior walls.
An original decorative tiled fountain and a round gazebo topped with a red life roof, Installed in 1973, occupy the southeast
corner of the property. The front yard is lushly landscaped with mature pine, magnolia, ficus, and eucalyptus frees, topiary,
lawns, and a winding red brick entrance path. Wrought iron fencing punctuated by an ornate monogram (G, most likely for
Dr. Georgieff, a more recent owner) forms a perimeter wall between square stuccoed posts at the sidewalk and was
probably installed in 1987. Other than the noted changes, the house appears In excellent, original condition.
*810. Significance (continued):
The Emison-Georgieff 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 wore 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 and Floral Park showcased examples of the English Tudor, French Norman, Spanish Colonial, and Colonial
Revival. 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 to 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 Ii years, Floral Park continued its development as
numerous, smaller, single-family houses were built. Continuing in the Floral Park tradition, they were mostly revival in style.
In the 1950s, low, horizontal Ranch Style houses completed the growth of Floral Park. Today (2003) Floral Park maintains
its identity as the premier neighborhood of Santa Ana, historically home to many affluent and prominent citizens.
The Emison-Georgieff House has been determined eligible for listing in the National Register of Historic Places as a
contributor to a North Broadway Park historic district that is bounded by Riverside Drive, Santa Clara Avenue, North
Broadway, and North Flower Street. Comprising the northern end of the Floral Park neighborhood, North Broadway Park
was subdivided in 1923. The Keeper of the National Register found that: "North Broadway Park reflects the City Beautiful
planning movement In Southern California during the early twentieth century. The vernacular adaptations of period revival
styles, curvilinear street pallems, street furniture, and landscape combine to create a cohesive and pleasant middle class
suburban neighborhood environment which is unique In the early historical development of the city of Santa Ana. "' Under
the regulations implementing the California Register of Historical Resources, the Emison-Georgleff House has been listed in
the California Register. It also qualifies for listing in the Santa Ana Register of Historical Property under Criterion 1 for its
exemplification of the distinguishing characteristics of the Spanish Colonial Revival style. The house combines the broad
asymmetrical massing, materials, and romanticism, epitomized by the tower, that are associated with the Spanish Colonial
Revival, with the wooden cantilevered balcony that is the hallmark of the Monterey Revival. The house also contributes to
the historic character of the Floral Park neighborhood through Its age, style, scale, and historic association with important
members of the local business and professional communities. Additionally, the house has been categorized as "Landmark"
because It has been determined eligible for the National Register, has been listed In the California Register, has unique
architectural significance" as an example of the Spanish Colonial Revival style, and contributes to a district that has
historicaUcultural significance to the City" as an example of the City Beautiful planning movement. All original and restored
exterior features of the Emison-Georgleff House are considered to be character defining and should be preserved. These
features include, but may not be limited to: materials (wood, brick, Iron, tile) and finishes (stucco); roof configuration,
materials, and treatment; massing and composition, balcony, porches, bays and projections; doors and windows;
architectural detailing (zapalas, wrought iron railings, sconces, etc.); and landscape features such as the decorative tiled
fountain and mature trees.
Determination of Eligibility, February 25, 1980.
OPR 523E 25B Q?,aed 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) Emison-Georgleff House
*Recorded by Leslie J. Heumann, Peter C. Moruzzi, SAiC *Date January27, 2003 M Continuation ? Update
"1392. 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.
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." httpa/www.floral-park.com/page2.him]
Talbert, Thomas (editor-in-chleo. Historical Volume and Reference Works including Biographical Sketches of Leading
Citizens, Volume L Whittier, Historical Publishers, 1963.
Armor, Samuel. History of Orange County. 1921.
Orange County Directories, 1927-1941, 1945, 1947.
DPR 5231. 25b ge1 'I 5
25B-12
MILLS ACT AGREEMENT
2335 N. North Park Blvd.
Santa A?ra, 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 May 7, 2012 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 Jose Louis Correa and Maria Esther Reynoso, (hereinafter referred to as
"Owners"), owners of real property located at 2335 N. North Park Boulevard, 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 owners 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 possesses fee title in and to that certain qualified real property
together with associated structures and improvements thereon, located at 2335 N.
North Park Boulevard, 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
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MILLS ACT AGREEMENT
2335 N. North Park Blvd.
Santa Ana, CA 92706
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 May 7, 2012, 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:
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MILLS ACT AGREEMENT
2335 N. North Park Blvd.
Santa Alta, 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.
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.
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256-15
MILLS ACT AGREEMENT
2335 N. North Park Blvd.
SaniaAna, 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 has 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 has 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
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MILLS ACT AGREEMENT
2335 N. North Park Blvd.
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 subjects the Historic Property, located at 2335 N. North Park
Boulevard, Assessor Parcel Number, 002-135-15, 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's 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 therefi-om 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: Jose Louis Correa and Maria Esther Reynoso
2335 N. North Park Boulevard
Santa Ana, CA 92706
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256-17
MILLS ACT AGREEMENT
2335 N. North Park Blvd
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's 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.
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MILLS ACT AGREEMENT
2335 N. North Park Blvd.
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
Property Owners:
Date:
CITY OF SANTA ANA
PAUL M. WALTERS
hiterim City Manager
By:
Date:
APPROVED AS TO FORM:
JOSEPH A. STRAKA
Interim City Attorney
By:
Ryan O. Hodge
Assistant City Attorney
Jose Louis Correa
By:
Maria Esther Reynoso
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256-19
MILLS ACT AGREEMENT
2335 N. North Park Blvd.
Santa Asia, CA 92706
Exhibit A
N TR 425 LOT 124
Assessor Parcel No. 002-133-15
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25B-20
MILLS ACT AGREEMENT
2335 N. North Park Blvd
Sa??ta 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:
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
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25B-21
MILLS ACT AGREEMENT
2335 N. North Park Blvd.
Santa Atsa, 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.
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25B-22
MILLS ACT AGREEMENT
2335 N. North Park Blvd
Santo Ana, CA 92706
Exhibit C (photographs attached)
25B-23
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256-24
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
MAY 7, 2012
TITLE:
HISTORIC PROPERTY PRESERVATION
AGREEMENT NO. 2012-02 FOR THE
PROPERTY LOCATED AT 207 WEST
SECOND STREET
CITY MANAGER
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
Authorize the City Manager and Clerk of the Council to execute the attached agreement with
Alfonso G. Cordero for Corbiz, LLC, property owner, for the structure located at 207 West
Second 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 Alfonso G. Cordero for Corbiz, LLC, property owner, for the
structure located at 207 West Second Street, subject to non-substantive changes approved by
the City Manager and City Attorney at its April 5, 2012 meeting by a vote of 8:0.
DISCUSSION
After the public hearing on April 5, 2012, 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. 2012-02
May 7, 2012
Page 2
FISCAL IMPACT
The Historic Property Preservation Agreement will reduce the property tax revenue to the City by
an estimated $70.99 to $354.93 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
Whistoric inf6mills act agreementsftpal2-02_207WSecond.cc
Francisco Gutierrez
Executive Director
Finance & Management Services Agency
Exhibit: A. Historic Resources Commission Staff Report
25C-2
REQUEST FOR
Historic Resources Commission Action
HISTORIC RESOURCES comma SION NEETMIG DATE:
APRIL 5, 2012
HISTORIC RESOURCES COMMISSION SECRETARY
TITLE:
HISTORIC PROPERTY PRESERVATION
AGREEMENT NO. 2012-02 FOR THE PROPERTY
LOCATED AT 207 WEST SECOND STREET
Prepared by Hally Soboleske
APPROVED
0 As Recommended
O As Amended
O Set Public Hearing For
CONTINUED TO
Executive Director Planning Manager
RECOMMENDED ACTION
Recommend that the City Council direct the City Attorney to prepare and authorize the City
Manager and the Clerk of the Council to execute an agreement with Corbiz, LLC for the structure
located at 207 West Second Street.
DISCUSSION
Request of Applicant
The applicant, Corbiz, LLC, requests the approval of Historic Property Preservation Agreement No.
2012-02 (Mills Act) between the applicant and the City of Santa Ana.
Property Description
The subject property includes a two-story commercial building, and is within the Downtown SD-84
zone (Exhibit 1). Surrounding land uses are all commercial, with a vacant lot adjacent to the east,
and loft residential on the opposite side of Sycamore Street.
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.
E
25C-3
HPPA No. 2012-02
April 5, 2012
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 and
categorized as Landmark in July 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). A review of the property indicates that this Georgian Revival
styled structure is in excellent condition. As a result, a supplemental property rehabilitation plan
will not be required as part of this agreement. Photos of the property are included with the
agreement as well as a photo location map. 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 Quality Act, the recommended action is not
considered a project, and as such, is not subject to further environmental review.
Hally Sobol ke
Associate P anner
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hsWstoft intoVnills act agreementslhppal2-02_207WSecond.hrc
Attachments:
Exhibit 1 - Radius Map
Exhibit 2 - Executive Summary
Exhibit 3 - Mills Act Agreement
25C-4
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207 W. Second Street
PLANNING AND BUILDING AGENCY
EXHIBIT 1
25C-5
25C-6
NAME Southern Counties Gas Company REF. NO. 4
ADDRESS 207 West Second Street
CITY Santa Ana ZIP 92701 ORANGE COUNTY
YEAR BUILT 1923 LOCAL REGISTER CATEGORY: Landmark
HISTORIC DISTRICT Downtown Santa Ana NEIGHBORHOOD N/A
NATIONAL REGISTER CRITERIA FOR EVALUATION C NATIONAL REGISTER STATUS CODE E B
Location: ? Not for Publication
USGS 7.5" Quad Date:
® Unrestricted
T R '/, of % of Sec
B.M.
? Prehistoric ® Historic ? Both
ARCHITECTURAL STYLE: Colonial Revival (Georgian Revival)
DESCRIPTION/BACKGROUND RELATED TO PERIOD ARCHITECTURE:
A variant of (lie Colonial Revival, the Georgian Revival looked specifically to the architectural vocabulary of the Georgian period (the
181h century) in the United States and Great Britain. Georgian Revival buildings are, like other Colonial Revival buildings,
symmetrical in design and rectangular in plan. Hip, gable, or gambrel roofs are classically detailed at the cornice and occasionally
topped by a railing-enclosed deck or accented by dormers. Fapades are often divided into three or five parts or pavilions, with
ahernating sections projecting and receding. Pediments over the central bay and/or the central doorway provide a focal point; the
pediments may be triangular or arched and may be closed or broken. Doorways are classically enframed, frequently topped by
fanlights, and contain paneled wood doors, sometimes with sidelights. Palladian windows are featured; other windows are typically
double-hung sash.
Page 1 of 4
cmWlodckemplatcs Sccond 207 W (So Co Gas)
1013101 EXHIBIT 2
25C-7
CONSTRUCTION HISTORY: (Construction data, alterations, and date of alterations)
March 1923. Office & storage warehouse.
May 2, 1924. Alterations.
February 18, 1925. Alterations.
January 18, 1929. Alterations.
May 8, 1933. Re-anchoring firewalls, repair stone cornice.
June 1, 1937. Repair garage.
August 24, 1937. Repairs and alterations.
May It, 1944. Repair fire damage.
July 22, 1944. Alteration to business building.
April 13, 1973. Saloon & restaurant.
July 27, 1973. Mezzanine.
August 12, 1982. Remove interior partitions & skylights.
September 20, 1982. Seismic reinforcement (completed
August 30, 1983).
December 28, 1984. Remove interior partitions.
January 31, 1985. Tenant improvements.
RELATED FEATURES: (Other important features such as barns, sheds, fences, prominent or unusual trees, or landscape)
Enclosed yard east of building
DESCRIPTION: (Describe resource and its major elements. Include design, materials, condition, alterations, size, settings, and
boundaries.)
Facing south onto Second Street, this is a one and a half story multi-colored brick building in the Georgian Revival style. The raised
parapets of the end walls flank a side gable roof. Crowned by an iron-railed deck, (lie roof features three identical dormers topped by
segmental arch roofs and pediments. The three bay division is carried through to (lie fagade, articulated by slightly raised plastered
piers with decorative caps. A denticulated frieze, which bears the legend "Southern Counties Gas Company," tops the piers. Each
bay contains a large, arched opening accented by a keystone; boarded over windows are located in the side bays and the pilaster
framed entry in the center bay. Additional arched openings are located on the side elevations. The building retains strong design
integrity on the exterior; (lie principal alterations appear to be the "Victorianization" of the entry and the boarding of the windows.
Note: This property has a fa?ade easement with Heritage Orange County.
HISTORIC HIGHLIGHTS:
The Southern Counties Gas Company building was constructed in 1923 to a design by one of the premier architectural firms of Los
Angeles, Walker and Eisen. Other well known commissions by this renowned firm include San Gabriel City Hall (San Gabriel,
1923), the Fine Arts Building (Los Angeles, 1925), the Beverly Wilshire Hotel (Beverly Hills, 1926), the El Cortez Hotel (San Diego,
1926), the Title Insurance and Trust Building (Los Angeles, 1928), Upland City Hall (Upland, 1939), and the San Luis Obispo County
Courthouse (1940). Builders of file $50,000 improvement were Clark Bros, of Los Angeles. The new building occupied the site of
the Santa Ana Gas and Electric Light Works, established at this location in 1891. In 1911 the utility was purchased by the Southern
Counties Gas Company. The Gas Company operated at this site from 1923 until the mid-1960s. From the early 1970s through late
1980, Handlebars Saloon utilized the space.
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
Page 2 of 4
cenlhistoric%templates Second 207 W (So Co Gas)
10/3101
25C-8
RESOURCES PRESENT:
® Building ? Structure ? Object
MOVED? ® No ? Yes ? Unknown
? Site
Date:
Original Location:
? Other
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 Southern Counties Gas Company building is primarily significant for its pristine version of Georgian Revival styling, said by
some to be the best example of its kind in Orange County as a whole and Santa Ana in particular (Thomas). It is also noteworthy as
an example of tine work of Walker and Eisen, whose architectural oeuvre mostly encompassed large commercial and institutional
buildings in the Beaux Arts, Italian Renaissance, and Moderne styles. Additionally, the building is symbolic of the historic
importance of gas service in Santa Ana, which began with the installation of gas mains and streetlights in 1886. Character-defining
exterior features of (lie Southern Counties Gas Company building, which should be preserved, include but may not be limited to:
building massing and organization; roof configuration, materials, and features; variegated brick exterior walls and other finishes;
architectural detailing, including frieze, piers, keystones, window and door framing; arched openings; and original glazing where
extant.
SUMMARY/CONCLUSION:
This building was listed in tlhe National Register of Historic Places in 1983 as an individual resource and again 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 "Landmark" because it "is on the national register," "is on the state register," "has historical/cultural significance
to the City of Santa Ana," and "has a unique architectural significance" (Municipal Code, Section 30-2.2).
OWNER AND ADDRESS:
Page 3 of 4
cm\historiekcmplates Second 207 w (So Co Gas)
10/3/01
25C-9
? District ® Element of District
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.
Unknown. "Southern Counties Gas. Co." National Register nomination form, no date (1982-83).
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 Weilking 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.
EVALUATOR: Leslie J. Heuunann 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)
A: that are associated with events that have made a significant contribution to the broad patterns of our history.
C: that embody the distinctive characteristics of a type, period, or method of constniction, 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)
1B: Separately listed and contributor to a listed district.
cnAhistori0templates Second 207 W (So Co Gas) Page 4 of 4
10!3!01
25C-10
MILLS ACT AGREEMENT
207 !West Second Street
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 May 7, 2012 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 Alfonso G. Cordero for Corbiz, LLC, (hereinafter referred to as "Owner"),
owner of real property located at 207 West Second Street, 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 owners 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 possesses fee title in and to that certain qualified real property
together with associated structures and improvements thereon, located at 207
West Second Street, 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-
20iIN
MILLS ACT AGREEMENT
2071 Best Second Street
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 May 7, 2012, 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
nomenewat 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-
25C-12
MILLS ACT AGREEMENT
207 Nest Second Street
Santa Ana, CA 92701
a. Owner shalt 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-
25C-13
MILLS ACT AGREEMENT
207 West Second Street
Santa Agra, 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 has 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 has 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 tinder 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-
25C-14
MILLS ACT AGREEMENT
207 West Second Street
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 subjects the Historic Property, located at 207 West Second
Street, Assessor Parcel Number, 398-267-04, 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's 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; Alfonso G. Cordero, Corbiz, LLC
207 West Second Street
Santa Ana, CA 92701
-5-
25C-15
MILLS ACT AGREEMENT
207 West Second Street
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's 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-
25C-16
MILLS ACT AGREEMENT
207 West Second Street
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
Property Owners:
Date:
CITY OF SANTA ANA
PAUL M. WALTERS
Interim City Manager
By:
APPROVED AS TO FORM:
JOSEPH A. STRAKA
Interim City Attorney
By: _
Ryan O. Hodge
Assistant City Attorney
Alfonso G. Cordero
-7-
25C-17
MILLS ACT AGREEMENT
207 West Second Street
Santa Ana, CA 92701
Exhibit A
TOWN OF SANTA ANA BLK 5 LOT 8 AND BLK 5 LOT 9
Assessor Parcel No. 398-267-04
-8-
25C-18
MILLS ACT AGREEMENT
207 West Second Street
Santo Ann, 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:
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.
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-19
MILLS ACT AGREEMENT
207 West Secotrd Street
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-20
MILLS ACT AGREEMENT
207 West Second Street
Santa Ann, CA 92701
Exhibit C (photographs attached)
-11-
25C-21
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REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
MAY 7, 2012
TITLE:
FUNDING ALLOCATIONS FOR THE
HOUSING OPPORTUNITIES FOR
PERSONS WITH AIDS PROGRAM
FISCAL YEAR 2012 - 2013
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 cooperative
agreement with the County of Orange Health Care Agency in an amount of $902,159 for a
one-year term to provide supportive housing services to HIV/AIDS individuals in the County of
Orange, 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 cooperative
agreement with the City of Santa Ana and the Housing Authority of the City of Santa Ana in
the amount of $600,000 for a one-year term for the implementation of the Housing
Opportunities for Persons with AIDS Tenant-Based Rental Assistance Program, subject to
non-substantive changes approved by the City Manager and City Attorney.
COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION ACTION
At its regular meeting on April 17, 2012, by a vote of 6:0 (Reyes absent), the Community
Redevelopment and Housing Commission approved the recommended actions.
DISCUSSION
Since 1993, the City of Santa Ana has received federal funds through the U. S. Department of
Housing and Urban Development (HUD) for the Housing Opportunities for Persons with AIDS
(HOPWA) Program to be used countywide. The HOPWA Program is designed to provide
resources and incentives for long-term comprehensive strategies to meet the housing needs of
persons with Acquired Immune Deficiency Syndrome (AIDS). The allocation to the City of Santa
Ana for fiscal year 2012-2013 is $1,548,618.
Eligible activities for the HOPWA Program include: 1) new construction, acquisition and
rehabilitation of affordable housing; 2) provision of tenant-based rental assistance; 3) short-term
rental and mortgage payment assistance to prevent homelessness; 4) supportive social services
25D-1
HOPWA Funding
May 7, 2012
Page 2
and housing information services; 5) technical assistance; and 6) administrative expenses incurred
by jurisdictions coordinating local programs. In allocating grant funds for eligible activities, the City
of Santa Ana is required to consider the service needs of eligible persons who reside throughout
Orange County and approve funding for projects which may be located anywhere within the
County.
In order to ensure that the limited funds are prioritized, City staff has worked closely with the
Housing Committee of the Orange County HIV Planning Council, the HIV Planning Council, and
agencies throughout the County of Orange providing services to the HIV/AIDS community. On
December 5, 2011, a strategic planning meeting was held to determine priorities for the fiscal year
2012-2013 funds. Representatives from the Orange County Health Care Agency, service
providers from throughout the county, HIV/AIDS infected and affected individuals and City staff
participated in the meeting.
Based on the strategic planning meeting, the 2012-2013 fiscal year funding recommendations
were established. The recommended funding levels are: 1) $600,000 to continue the Tenant-
Based Rental Assistance Program with the Housing Authority of the City of Santa who will
subcontract with AIDS Services Foundation Orange County to administer the wait list; 2) $902,159
to the Orange County Health Care Agency for supportive housing services to individuals
throughout Orange County; and 3) $46,459 for administrative costs.
FISCAL IMPACT
Funds are available in the HOPWA Program account (nos. 40518760-various and 40518761-
various).
APPROVED AS TO FUNDS AND ACCOUNTS:
Nancy T. Wards Francisco Gutierrez
Interim Ex utive Director Executive Director
Community Development Agency Finance & Management Services Agency
NTE/SLB/TE/mlr
Exhibits: 1. Cooperative Agreement - City & County
2. Cooperative Agreement - City & Housing Authority
25D-2
COOPERATIVE AGREEMENT
BETWEEN
COUNTY OF ORANGE
AND
CITY OF SANTA ANA
This Cooperative Agreement ("Agreement") is hereby entered into for the term of July 1,
2012 through June 30, 2013, by and between the City of Santa Ana, a charter city and
municipal corporation organized under the Constitution and laws of the State of California
("City") and the County of Orange ("County").
Recitals:
A. City, on behalf of all jurisdictions in Orange County, has been designated to
receive grant funding provided by the U.S. Department of Housing and Urban Development
(HUD) pursuant to the Housing Opportunities for Persons with AIDS (HOPWA) program;
and
B. City has entered into a HOPWA grant agreement with HUD; and
C. County has provided leadership and is responsible for planning, providing and
contracting for comprehensive HIV services and has prepared, in conjunction with the HIV
Planning Council, Orange County's HIV Plan for providing such services; and
D. City wishes to contract with County in order that County may obtain
supportive housing services by contract for persons with HIV disease, which services shall be
administered and monitored by County; and
E. County is agreeable to rendering such services on the terms and conditions
hereinafter set forth;
NOW, THEREFORE, THE PARTIES MUTUALLY AGREE AS FOLLOWS:
1. COUNTY SERVICES
A. County shall serve as "HOPWA Project Sponsor" for the purpose of
contracting with organizations to provide supportive housing services, to persons with
HIV/AIDS residing in Orange County.
B. Nothing in this Agreement shall prevent City from entering into one or more
agreements with other political subdivisions within the County, if deemed necessary and
advisable to do so by City; provided however, the obligations and rights covered by this
Agreement shall not be altered or reduced, except as mutually agreed to in writing by City
and County.
C. County shall utilize competitive bidding and contracting procedures for
supportive housing services as required in HOPWA program regulations. As HOPWA
Project Sponsor, County's responsibilities and payments cover appropriate monitoring and
administration of contracts resulting from competitive bid.
D. County shall ensure that each agency subcontractor receiving funds through
this Agreement operates in accordance with the requirements of the applicable HUD
regulations for the HOPWA Program and other federal, state and local regulations as
appropriate.
EXHIBIT 1
25D-3
E. County shall conduct an ongoing assessment of the supportive housing
services required by the participants in the program.
F. County shall assure the adequate provision of supportive services to the
participants in the program; and
G. County shall comply with such other terms and conditions, including record
keeping and reports for program monitoring and evaluation purposes, as HUD may establish
for purposes of carrying out the program in an effective and efficient manner. Quarterly and
Annual progress reports will be submitted by County within forty-five (45) days after the
quarter/year ends in a form consistent with HUD publication HUD-40110-D or any other
form that HUD may require. [See Exhibit A (Annual Report) attached hereto and
incorporated herein by reference]. The report shall include.copies of all Requests For
Proposals (RFPs) released by County pursuant to this Agreement, copies of contracts
between County and service providers, as well as a summary of program budgets and
financial disbursements made under the terms of this Agreement.
H. "Contract Officers" means the County's Health Care Agency Contract
Development and Management Manager or designee and the City's Housing and
Neighborhood Development Manager.
L County shall ensure that any County Subgrantee/Subcontractor receiving
funds through this Agreement is informed that it must abide by the same terms and
conditions and responsibilities as set forth in this Agreement for the County to follow.
II. BUDGET
A. The following budget is an estimate only, of the costs of providing the services
hereunder. This budget may be modified by mutual written agreement of the Contract
Officers. The maximum obligation hereunder is $902,159.
Supportive Housing Services $839,008
Administration* (see B. below) 63,151
$902,159
B. The Administration costs shall be seven percent (7%) of the actual expended
grant funds.
C. All services and expenditures will be performed by June 30, 2013 and invoiced by
August 15, 2013. Any remaining funds under this Agreement will be de-obligated upon
termination of this Agreement.
III. PAYMENTS/COST REPORT
A. City shall pay County for the actual costs of providing the services hereunder,
whether provided directly by County or its subcontractors, provided, however, the total of all
payments to County shall not exceed the Maximum Obligation as specified hereinabove.
B. County shall invoice City monthly, in arrears, based on the actual cost of providing
and contracting for the services hereunder. County shall submit each invoice within forty-
five (45) days after the end of each month. City shall pay County no later than thirty (30)
2
25D-4
days following receipt of such invoice and complete documentation of services performed,
cost and number of persons served. Final invoice must be submitted by August 15, 2013.
C. All invoices submitted by County shall be accompanied by source documentation
including, but not limited to, journals, time sheets, canceled checks, invoices and records of
services provided.
D. At such times and in such a format as the Contract Officers mutually agree in writing,
County shall prepare and submit to, City report(s) of administrative costs incurred by County
in the performance of this Agreement.
E. The Cost Report(s) shall be financial and statistical report(s) submitted by County to
City, and shall serve as the basis for Final Settlement of this Agreement. The Cost Report (s)
shall detail all costs incurred by County to provide services hereunder.
F. Final Settlement shall be based upon the actual costs incurred by County to provide
services hereunder. If the Cost Report(s) indicates the total of City's payments to County are
less than County's cost to provide the services hereunder, City shall pay County the
difference; provided, however, the total payment shall not exceed the Maximum Obligation.
Payment due pursuant to the Cost Report(s) shall be made within thirty (30) days of the Final
Settlement determination.
IV. DISPUTE RESOLUTION
A. Either party may give written notice to the other, setting forth in specific terms the
existence and nature of any unresolved matter or concern related to the purposes and
obligations of this Agreement. Such notice shall be provided by and to the Contract Officers
on behalf of the parties. The Officers shall have fifteen (15) working days following such
notice to obtain resolution of any issue(s) identified in this manner, provided, however, by
mutual consent this period of time may be extended to thirty (30) days.
B. If the Officers are unable to obtain resolution of the issue(s), they shall submit a joint
written Statement describing the facts of the issue, within thirty (30) days after the written
notice described above to the Orange County Health Care Agency (HCA) Director and to the
Executive Director of the Community Development Agency (CDA) or designee for
resolution. If the Officers are unable to prepare a joint statement, each shall submit separate
statements to the HCA Director and Executive Director of City's Community Development
Agency within the thirty (30) day period. Such persons shall meet and make their best effort
to resolve the matter within thirty (30) days following submission of the statements.
Resolution of the dispute, or lack thereof, by the HCA Director and CDA Director or
designee shall be documented in the form of written correspondence exchanged by such
persons within ten (10) days following their meeting.
V. INDEMNIFICATION
Each party agrees to indemnify and hold harmless the other party, its officers, agents,
and employees from all liability, claims, losses and demands, including defense costs,
3
25D-5
whether resulting from court action or otherwise, arising out of the acts or omissions of the
indemnifying party, its officers, agents or employees or the condition of property used in the
performance of this Agreement.
VI. INSPECTIONS AND AUDITS
A. Any authorized representative of City, any authorized representative of the State of
California, the Secretary of the United States Department of Health and Human Services, the
Comptroller General of the United States Department of Housing and Urban Development or
any of their authorized representatives, shall have access to County books, documents, and
records, which such persons deem pertinent to the Agreement, for the purpose of conducting
an audit, evaluation, or examination, or making transcripts during the periods of retention set
forth in the Records/Confidentiality paragraph of this Agreement and the premises in which
they are provided.
B. County shall actively participate and cooperate with any person specified in
subparagraph A. above in any evaluation or monitoring of the services provided pursuant to
this Agreement, and shall provide the above mentioned persons adequate office space to
conduct such evaluation or monitoring.
VII. LICENSES AND LAW
A. County, its officers, agents, employees, and subcontractors shall, throughout the term
of this Agreement, maintain all necessary licenses, permits, approvals, certificates, waivers
and exemptions necessary for the provision of the services hereunder and required by the
laws and regulations of the United States Department of Health and Human Services, State of
California, County and any other applicable governmental agencies.
B. County shall comply with all laws, rules or regulations applicable to the services
provided hereunder, as any may now exist or be hereafter changed. These laws, rules, and
regulations shall include, but not be limited to the following:
1. United States Code (U.S.C.A.), Title 42, Section 12901-12912, AIDS Housing
Opportunity Act.
2. Code of Federal Regulations (CFR), Title 24, Part 574, Housing Opportunities
for Persons with AIDS.
3. CFR Title 24, Part 85, Common Rule to the Community Development Block
Grant Entitlement Program.
4. Office of Management and Budget (OMB) Circular No. A-87, Cost Principles
for State and Local Governments.
5. OMB Circular No. A-128, Single Audit Act of 1984.
VIII. NONDISCRIMINATION
A. EMPLOYMENT - County warrants that it has developed and does maintain an
Affirmative Action program for employment which includes goals and timetables for
employment of women and minorities, which program meets the Affirmative Action
4
25D-6
Guidelines of the United States Equal Opportunity Commission and all appropriate state and
federal laws and regulations.
B. SERVICES, BENEFITS, AND FACILITIES -Neither County, nor any of its
contractors, shall discriminate in the provision or services, the allocation of benefits, or in the
accommodation in facilities on the basis of ethnic group identification, race, religion,
ancestry, creed, color, sex, marital status, national origin, age (40 and over), sexual
preference, medical condition, or physical or mental handicap in accordance with Title VI of
the Civil Rights Act of 1964, 42 U.S.C.A. §2000d and all other pertinent rules and
regulations promulgated pursuant thereto, and as otherwise provided by State law and
regulations, as all may now exist or be hereafter amended or changed.
C. DISABLED INDIVIDUALS - County and its contractors shall agree to comply with
the provisions of Section 504 of the Rehabilitation Act of 1973 (29 U.S.C.A 794 et seq., as
implemented in 45 CFR 84.1 et seq.), and the Americans with Disabilities Act of 1990 (42
U.S.C.A. 12101 et seq.), pertaining to the prohibition of discrimination against qualified
disabled persons in all programs or activities, as they exist now or may be hereafter amended
together with succeeding legislation.
D. RETALIATION - Neither County, nor its employees, agents, or contractors shall
intimidate, coerce or take adverse action against any person for the purpose of interfering
with rights secured by Federal or State laws, or because such person has filed a complaint,
certified, assisted or otherwise participated in an investigation, proceeding, hearing or any
other activity undertaken to enforce rights secured by Federal or State law.
IX. NOTICES
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, California 92702-1988
telefacsimile (714) 647-6956
With courtesy copies to:
City of Santa Ana
HOPWA Coordinator
20 Civic Center Plaza (M-27)
Santa Ana, California 92702-1988
25D-7
To County: County of Orange
Health Care Agency
Contract Development and Management
405 West 5th Street, 6th Floor
Santa Ana, CA 92701
A party may change its address by giving notice in writing to the other party. Thereafter, any
notice, tender, demand, delivery, or other communication shall be addressed and transmitted
to the new address. If sent by mail, any notice, tender, demand, delivery, or other
communication shall be effective or deemed to have been given three (3) days after it has
been deposited in the United States mail, duly registered or certified, with postage prepaid,
and addressed as set forth above. If sent by telefacsimile, any notice, tender, demand,
delivery, or other communication shall be effective or deemed to have been given twenty-
four (24) hours after the time set forth on the transmission report issued by the transmitting
facsimile machine, addressed as set forth above. For purposes of calculating these time
frames, weekends, federal, state, County or City holidays shall be excluded.
X. RECORDS/CONFIDENTIALITY
a. The parties, and any subcontractors, shall prepare and maintain any records
required by laws, regulations and procedures applicable to their responsibilities under this
Agreement.
b. The parties agree to maintain the confidentiality of any records which pertain to
this Agreement in accordance with applicable state and federal laws and regulations.
Financial records related to this Agreement shall be maintained for two (2) years after
termination of this Agreement.
c. "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.
XI. JURISDICTIONNENUE
This Agreement and all questions relating to its validity, interpretation, performance, and
enforcement shall be governed and construed in accordance with the laws of the State of
California. This Agreement has been executed and delivered in the State of California and
the validity, interpretation, performance, and enforcement of any of the clauses of this
Agreement shall be determined and governed by the laws of the State of California. Both
parties further agree that Orange County, California, shall be the venue for any action or
proceeding that may be brought or arise out of, in connection with or by reason of this
Agreement.
6
25D-8
XII. SEVERABILITY
If a court of competent jurisdiction declares any provision of this Agreement or
application thereof to any person or circumstances to be invalid or if any provision of this
Agreement contravenes any Federal, State, or County statute, ordinance, or regulation, the
remaining provisions of this Agreement or the application thereof shall remain valid, and the
remaining provisions of this Agreement shall remain in full force and effect, and to that
extent the provisions of this Agreement are severable.
XIII. INDEPENDENT CONTRACTOR
County is, and shall at all times be deemed to be, an independent contractor and shall
be wholly responsible for the manner in which it performs the services required of it by the
terms of this Agreement. County is entirely responsible for compensating staff and
consultants employed by County. This Agreement shall not be construed as creating the
relationship of employer and employee, or principal and agent, between County and City or
any of County's employees, agents, or subcontractors, or principal and agent, between
County and City or any of County's employees,. County assumes exclusively the
responsibility for the acts of its employees, agents or subcontractors as they relate to the
services to be provided during the course and scope of their employment. County, its agents,
employees, or subcontractors, shall not be entitled to any rights or privileges of City
employees and shall not be considered in any manner to be City employees.
XIV. TERM
The term of this Agreement shall commence and terminate as specified herein, unless
otherwise sooner terminated as provided in this Agreement; provided, however, County shall
be obligated to perform such duties as would normally extend beyond this term, including
but not limited to, obligations with respect to indemnification, audits, reporting and
accounting.
XV. TERMINATION
A. Either party may terminate this Agreement, without cause, upon ninety (90)
days written notice given the other party.
B. Either party may terminate this Agreement, upon thirty (30) days written
notice given the other party for material breach after failure to resolve the breach pursuant to
the Dispute Resolution paragraph of this Agreement.
C. The rights and remedies of County or City provided in this Termination
paragraph shall not be exclusive, and are in addition to any other rights and remedies
provided by law or under this Agreement.
7
25D-9
XVI. THIRD PARTY BENEFICIARY
Neither party hereto intends that this Agreement shall create rights hereunder in third
parties including but not limited to any subcontractors or any patients provided services
hereunder.
XVII. WAIVER OF DEFAULT OR BREACH
Waiver of any default by County or City shall not be considered a waiver of any
subsequent default. Waiver of any breach of County or City of any provision of this
Agreement shall not be considered a waiver of any subsequent breach. Waiver of any default
or any breach by County or City shall not be considered a modification of the terms of this
Agreement.
XVIII. 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.
25D-10
IN WITNESS WHEREOF, the parties hereto have executed this Agreement in the County of
Orange, State of California, on the date and year first above written.
ATTEST:
Maria D. Huizar
Clerk of the Council
CITY OF SANTA ANA:
Paul Walters
Interim City Manager
APPROVED AS TO FORM:
Sonia R. Carvalho, City Attorney
By:
Lisa E. Storck
Assistant City Attorney
COUNTY OF ORANGE
BY:
CHAIRMAN OF THE BOARD OF SUPERVISORS
SIGNED AND CERTIFIED THAT A COPY
OF THIS DOCUMENT HAS BEEN DELIVERED
TO THE CHAIRMAN OF THE BOARD.
DARLENE J. BLOOM
Clerk of the Board of Supervisors
of Orange County, California
APPROVED AS TO FORM:
OFFICE OF THE COUNTY COUNSEL
ORANGE COUNTY, CALIFORNIA
BY:
DEPUTY
9
25D-11
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Housing Opportunities for Persons with AIDS
(HOPWA) Program
Consolidated Annual Performance and
Evaluation Report (CAPER)
Measuring Performance Outcomes
Final Released 1/12/12
OMB Number 2506-0133 (Expiration Date: 1013112014)
The CAPER report for HOPWA formula grantees provides annual information on program accomplishments
that supports program evaluation and the ability to measure program beneficiary outcomes as related to:
maintain housing stability; prevent homelessness; and improve access to care and support. This information is
also covered under the Consolidated Plan Management Process (CPMP) report and includes Narrative
Responses and Performance Charts required under the Consolidated Planning regulations. The public reporting
burden for the collection of information is estimated to average 42 hours per manual response, or less if an
automated data collection and retrieval system is in use, along with 60 hours for record keeping, including the
time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information. Grantees are required to report on the activities
undertaken only, thus there may be components of these reporting requirements that may not be applicable. This
agency may not conduct or sponsor, and a person is not required to respond to a collection of information unless
that collection displays a valid OMB control number.
Previous editions are obsolete
form HUD-40110-D (Expiration Date: 10/31/2014)
EXHIBIT A
25D-12
Overview. The Consolidated Annual Performance and Evaluation Report
(CAPER) provides annual performance reporting on client outputs and
outcomes that enables an assessment of grantee performance in achieving the
housing stability outcome measure. The CAPER, in conjunction with the
Integrated Disbursement Information System (IDIS), fulfills statutory and
regulatory program reporting requirements and provides the grantee and
HUD with the necessary information to assess the overall program
performance and accomplishments against planned goals and objectives.
HOPWA formula grantees are required to submit a CAPER, and complete
annual performance information for all activities undertaken during each
program year in the IDIS, demonstrating coordination with other
Consolidated Plan resources. HUD uses the CAPER and IDIS data to obtain
essential information on grant activities, project sponsors, Subrecipient
organizations, housing sites, units and households, and beneficiaries (which
includes racial and ethnic data on program participants). The Consolidated
Plan Management Process tool (CPMP) provides an optional tool to integrate
the reporting of HOPWA specific activities with other planning and reporting
on Consolidated Plan activities.
Table of Contents
PART 1: Grantee Executive Summarv
1. Grantee Information
2. Project Sponsor Information
3. Administrative Subrecipient Information
4. Program Subrecipient Information
5. Grantee Narrative and Performance Assessment
a. Grantee and Community Overview
b. Annual Performance under the Action Plan
c. Barriers or Trends Overview
d. Assessment of Unmet Housing Needs
PART 2: Sources of Leveraging and Program Income
1. Sources of Leveraging
2. Program Income and Resident Rent Payments
PART 3• Accomplishment Data: Planned Goals and Actual Outputs
PART 4: Summary of Performance Outcomes
1. Housing Stability: Permanent Housing and Related Facilities
2. Prevention of Homelessness: Short-Tenn )rousing Payments
3. Access to Care and Support: Housing Subsidy Assistance with
Supportive Services
PART 5: Worksheet - Determining Housing Stability Outcomes
PART 6: Annual Certification of Continued Use for HOPWA Facility-
Based Stewardship Units (Only)
PART 7: Summarv Overview of Grant Activities
A. Information on Individuals, Beneficiaries and Households Receiving
HOPWA Housing Subsidy Assistance (TBRA, STRMU, PHP Facility
Based Units, Master Leased Units ONLY)
B. Facility-Based Housing Assistance
Continued Use Periods. Grantees that received HOPWA funding for new
construction, acquisition, or substantial rehabilitations are required to operate
their facilities for HOPWA-eligible beneficiaries for a ten (10) years period.
If no further HOPWA funds are used to support the facility, in place of
completing Section 713 of the CAPER, the grantee must submit an Annual
Certification of Continued Project Operation throughout the required use
periods. This certification is included in Part 6 in CAPER. The required use
period is three (3) years if the rehabilitation is non-substantial.
In connection with the development of the Department's standards for
Homeless Management Information Systems (HMIS), universal data
elements are being collected for clients of I IOPWA-funded homeless
assistance projects. These project sponsor/subrecipicnt records would
include: Name, Social Security Number, Date of Birth, Ethnicity and Race,
Gender, Veteran Status, Disabling Conditions, Residence Prior to Program
Entry, Zip Code of Last Permanent Address, Housing Status, Program Entry
Date, Program Exit Date, Personal Identification Number, and Household
Identification Number. These are intended to match the elements under
HMIS. The HOPWA program-level data elements include: Income and
Sources, Non-Cash Benefits, HIV/AIDS Status, Services Provided, and
Housing Status or Destination at the end of the operating year. Other
suggested but optional elements are: Physical Disability, Developmental
Disability, Chronic Health Condition, Mental Health, Substance Abuse,
Domestic Violence. Date of Contact, Date of Engagement, Financial
Assistance, Housing Relocation & Stabilization Services, Employment,
Education, General Health Status, , Pregnancy Status, Reasons for Leaving,
Veteran's Information, and Children's Education. Other HOPWA projects
sponsors may also benefit from collecting these data elements.
Final Assembly of Report. After the entire report is assembled, please
number each page sequentially.
Filing Requirements. Within 90 days of the completion of each program
year, grantees trust submit their completed CAPER to the CPD Director in
the grantee's State or Local HUD Field Office, and to the HOPWA Program
Office: at HOPWA a hud.¢ov. Electronic submission to HOPWA Program
office is preferred; however, if electronic submission is not possible, hard
copies can be mailed to: Office of HIV/AIDS Housing, Room 7212, U.S.
Department of Housing and Urban Development, 451 Seventh Street, SW,
Washington, D.C..
Record Keeping. Names and other individual information must be kept
confidential, as required by 24 CFR 574.440. However, HUD reserves the
right to review the information used to complete this report for grants
management oversight purposes, except for recording any names and other
identifying information. In the case that HUD must review client level
data, no client names or identifying information will be retained or
recorded. Information is reported in aggregate to HUD without
personal identification. Do not submit client or personal information in
data systems to HUD.
Definitions
Adjustment for Duplication: Enables the calculation of unduplicated
output totals by accounting for the total number of households or units that
received more than one type of HOPWA assistance in a given service
category such as HOPWA Subsidy Assistance or Supportive Services. For
example, if a client household received both TBRA and STRMU during the
operating year, report that household in the category of HOPWA Housing
Subsidy Assistance in Part 3, Chart 1, Column [ 1 b] in the following manner:
[11 Outputs:
Subsidy
HOPWA Housin
g Number of
Assistance
Households
1. Tenant-Based Rental Assistance I
Permanent Housing Facilities:
2a. Received Operating
Subsidies/Leased units
Transitional/Short-term Facilities:
2b. Received Operating Subsidies
Permanent Housing Facilities:
3a Capital Development Projects placed
. in service during the operating year
Transitional/Short-term Facilities:
3b Capital Development Projects placed
. in service during the operating year
4 Short-term Rent, Mortgage, and
I
Utility Assistance
5 Adjustment for duplication
I
subtract
TOTAL Housing Subsidy
6. Assistance (Sum of Rows 1-4 minus I
Row 5
Previous editions are obsolete Page i form HUD-40110-D (Expiration Date: 10/31/2014)
25D-13
Administrative Costs: Costs for general management, oversight,
coordination, evaluation, and reporting. By statute, grantee administrative
costs are limited to 3% of total grant award, to be expended over the life of
the grant. Project sponsor administrative costs are limited to 7% of the
portion of the grant amount they receive.
Benericiary(ies): All members of a household who received HOPWA
assistance during the operating year including the one individual who
qualified the household for HOPWA assistance as well as any other
members of the household (with or without HIV) who benefitted from the
assistance.
Central Contractor Registration (CCR): The primary registrant
database for the U.S. Federal Government. CCR collects, validates, stores,
and disseminates data in support ofagency acquisition missions, including
Federal agency contract and assistance awards. Both current and potential
federal government registrants (grantees) are required to register in CCR
in order to be awarded contracts by the federal government. Registrants
must update or renew their registration at least once per year to maintain
an active status. Although recipients ofdirect federal contracts and grant
awards have been required to be registered with CCR since 2003, this
requirement is now being extended to indirect recipients of federal funds
with the passage of ARRA (American Recovery and Reinvestment Act).
Per ARRA and FFATA (Federal Funding Accountability and
Transparency Act) federal regulations, all grantees and sub-grantees or
subcontractors receiving federal grant awards or contracts must have a
DUNS (Data Universal Numbering System) Number.
Chronically Homeless Person: An individual or family who : (i) is
homeless and lives or resides individual or family who: (i) Is homeless and
lives or resides in a place not meant for human habitation, a safe haven, or
in an emergency shelter, (ii) has been homeless and living or residing in a
place not meant for human habitation, a safe haven, or in an emergency
shelter continuously for at least I year or on at least 4 separate occasions in
the last 3 years; and (iii) has an adult head of household (or a minor head
of household if no adult is present in the household) with a diagnosable
substance use disorder, serious mental illness, developmental disability (as
defined in section 102 of the Developmental Disabilities Assistance and
Bill of Rights Act of 2000 (42 U.S.C. 15002)), post traumatic stress
disorder, cognitive impairments resulting from a brain injury, or chronic
physical illness or disability, including the co-occurrence of 2 or more of
those conditions. Additionally, the statutory definition includes as
chronically homeless a person who currently lives or resides in an
institutional care facility, including ajail, substance abuse or mental health
treatment facility, hospital or other similar facility, and has resided there
for fewer than 90 days if such person met the other criteria for homeless
prior to entering that facility. (See 42 U.S.C. 11360(2))This does not
include doubled-up or overcrowding situations.
Disabling Condition: Evidencing a diagnosable substance use disorder,
serious mental illness, developmental disability, chronic physical illness,
or disability, including the co-occurrence of two or more of these
conditions. In addition, a disabling condition may limit an individual's
ability to work or perfonn one or more activities of daily living. An
HIV/AIDS diagnosis is considered a disabling condition.
Facility-Based Housing Assistance: All eligible HOPWA Housing
expenditures for or associated with supporting facilities including
community residences, SRO dwellings, short-term facilities, project-based
rental units, master leased units, and other housing facilities approved by
HUD.
Faith-Based Organization: Religious organizations ofthree types: (1)
congregations; (2) national networks, which include national
denominations, their social service arms (for example, Catholic Charities,
Lutheran Social Services), and networks of related organizations (such as
YMCA and YWCA); and (3) freestanding religious organizations, which
are incorporated separately from congregations and national networks.
Grassroots Organization: An organization headquartered in the local
community where it provides services; has a social services budget of
$300,000 or less annually, and six or fewer full-time equivalent
employees. Local affiliates of national organizations are not considered
"grassroots."
HOPWA Eligible Individual: The one (1) low-income person with
HIV/AIDS who qualifies a household for HOPWA assistance. This person
may be considered "Head of Household." When the CAPER asks for
information on eligible individuals, report on this individual person only.
Where there is more than one person with HIV/AIDS in the household, the
additional PWH/A(s), would be considered a beneficiary(s).
HOPWA Housing Information Services: Services dedicated to helping
persons living with HIV/AIDS and their families to identify, locate, and
acquire housing. This may also include fair housing counseling for eligible
persons who may encounter discrimination based on race, color, religion,
sex, age, national origin, familial status, or handicap/disability. .
HOPWA Housing Subsidy Assistance Total: The unduplicated number
of households receiving housing subsidies (TBRA, STRMU, Permanent
Housing Placement services and Master Leasing) and/or residing in units
of facilities dedicated to persons living with HIV/AIDS and their families
and supported with HOPWA funds during the operating year.
Household: A single individual or a family composed of two or more
persons for which household incomes are used to determine eligibility and
for calculation of the resident rent payment. The tern is used for
collecting data on changes in income, changes in access to services, receipt
of housing information services, and outcomes on achieving housing
stability. Live-In Aides (see definition for Live-In Aide) and non-
beneficiaries (e.g. a shared housing arrangement with a roommate) who
resided in the unit are not reported on in the CAPER.
Housing Stability: The degree to which the HOPWA project assisted
beneficiaries to remain in stable housing during the operating year. See
Part 5: Determininglfousing Stability Outcomes for definitions of stable
and unstable housing situations.
In-kind Leveraged Resources: These involve additional types ofsupport
provided to assist HOPWA beneficiaries such as volunteer services,
materials, use of equipment and building space. The actual value of the
support can be the contribution of professional services, based on
customary rates for this specialized support, or actual costs contributed
from other leveraged resources. In determining a rate for the contribution
of volunteer time and services, use the rate established in HUD notices,
such as the rate often dollars per hour. The value of any donated material,
equipment, building, or lease should be based on the fair market value at
time of donation. Related documentation can be from recent bills of sales,
advertised prices, appraisals, or other information for comparable property
similarly situated.
Leveraged Funds: The amount of funds expended during the operating
year from non-HOPWA federal, state, local, mid private sources by
grantees or sponsors in dedicating assistance to this client population.
Leveraged funds or other assistance are used directly in or in support of
HOPWA program delivery.
Live-In Aide: A person who resides with the HOPWA Eligible Individual
and who meets the following criteria: (1) is essential to the care and well-
being of the person; (2) is not obligated for the support of the person; and
(3) would not be living in the unit except to provide the necessary
supportive services. See the Code of Federal Regulations Title 24. Part
5.403 and the FIOPWA Grantee Oversight Resource Guide for additional
reference.
Master Leasing: Applies to a nonprofit or public agency that leases units
of housing (scattered-sites or entire buildings) from a landlord, and
subleases the units to homeless or low-income tenants. By assuming the
tenancy burden, the agency facilitates housing of clients who may not be
able to maintain a lease on their own due to poor credit, evictions, or lack
ofsufflcient income.
Operating Costs: Applies to facility-based housing only, for facilities
that are currently open. Operating costs can include day-to-day housing
Previous editions are obsolete Page ii form HUD-401 10-D (Expiration Date: 10/3112014)
25D-14
function and operation costs like utilities, maintenance, equipment,
insurance, security, furnishings, supplies and salary for staffcosts directly
related to the housing project but not staff costs for delivering services.
Outcome: The degree to which the HOPWA assisted household has been
enabled to establish or maintain a stable living environment in housing that
is safe, decent, and sanitary, (per the regulations at 24 CFR 574.310(6))
and to reduce the risks of homelessness, and improve access to HIV
treatment and other health care and support.
Output: The number of units of housing or households that receive
HOPWA assistance during the operating year.
Permanent Housing Placement: A supportive housing service that helps
establish the household in the housing unit, including but not limited to
reasonable costs for security deposits not to exceed two months of rent
costs.
Program Income: Gross income directly generated from the use of
HOPWA funds, including repayments. See grant administration
requirements on program income for state and local governments at 24
CFR 85.25, or for non-profits at 24 CFR 84.24.
Project-Based Rental Assistance (PBRA): A rental subsidy program
that is tied to specific facilities or units owned or controlled by a project
sponsor or Subrecipient. Assistance is tied directly to the properties and is
not portable or transferable.
Project Sponsor Organizations: Any nonprofit organization or
governmental housing agency that receives funds under a contract with the
grantee to provide eligible housing and other support services or
administrative services as defined in 24 CFR 574.300. Project Sponsor
organizations are required to provide performance data on households
served and funds expended. Funding flows to a project sponsor as
follows:
HUD Funding --> Grantee ----> Project Sponsor
Short-Term Rent, Mortgage, and Utility (STRMU) Assistance: A
time-limited, housing subsidy assistance designed to prevent homelessness
and increase housing stability. Grantees may provide assistance for up to
21 weeks in any 52 week period. The amount of assistance varies per
client depending on funds available, tenant need and program guidelines.
Stewardship Units: Units developed with HOPWA, where HOPWA
funds were used for acquisition, new construction and rehabilitation that
no longer receive operating subsidies from HOPWA. Report information
for the units is subject to the three-year use agreement if rehabilitation is
non-substantial and to the ten-year use agreement if rehabilitation is
substantial.
Previous editions are obsolete Page iii
Subrecipient Organization: Any organization that receives funds from a
project sponsor to provide eligible housing and other support services
and/or administrative services as defined in 24 CFR 574.300. If a
Subrecipient organization provides housing and/or other supportive
services directly to clients, the subrecipient organization trust provide
performance data on household served and funds expended. Funding
flows to subrecipients as follows:
HUD Funding -> Grantee •--y Project Sponsor --> Subrecipient
Tenant-Based Rental Assistance (TBRA): TBRA is a rental subsidy
program similar to the Housing Choice Voucher program that grantees can
provide to help low-income households access affordable housing. The
TBRA voucher is not tied to a specific unit, so tenants may move to a
different unit without losing their assistance, subject to individual program
rules. The subsidy amount is determined in part based on household
income and rental costs associated with the tenant's lease.
Transgender: Transgender is defined as a person who identifies with, or
presents as, a gender that is different from his/her gender at birth.
Veteran: A veteran is someone who has served on active duty in the
Armed Forces of the United States. This does not include inactive military
reserves or the National Guard unless the person was called up to active
duty.
form HUD-40110-D (Expiration Date: 10/31/2014)
25D-15
Housing Opportunities foe Person with AIDS (HOPWA) ',
Collsciladated Annual-Perforinance and Evaluation Repoet (CAPER) _
x . ?.
Measui ing Performance Outputs and Outcomes
OMB Number 2506-0133 (Expiration Date: 10/3112014)
Part 1 ,Grantee Executive Summary
As applicable, complete the charts below to provide more detailed information about the agencies and organizations responsible
for the administration and implementation of the HOPWA program. Chart I requests general Grantee Information and Chart 2 is
to be completed for each organization selected or designated as a project sponsor, as defined by CFR 574.3. In Chart 3, indicate
each subrecipient organization with a contract/agreement of $25,000 or greater that assists grantees or project sponsors carrying
out their administrative or evaluation activities. In Chart 4, indicate each subrecipient organization with a contract/agreement to
provide HOPWA-funded services to client households. These elements address requirements in the Federal Funding and
Accountability and Transparency Act of 2006 (Public Law 109-282).
Note: Please see the definition section for distinctions between project sponsor and subrecipient.
Note: If any information does not apply to your organization, please enter N/A. Do not leave any section blank.
1. Grantee Information
HUD Grant Number Operating Year for this report
From (inni/ddl*) To (nini/dd/yy)
Grantee Name
Business Address
City, County, State, Zip
Employer Identification Number (EIN) or
Tax Identification Number (TIN)
DUN & Bradstreet Number (DUNS): Central Contractor Registration (CCR):
Is the grantee's CCR status currently active?
? Yes ? No
If yes, provide CCR Number:
*Congressional District of Grantee's Business
Address
*Congressional District of Primary Service
Areas
*City(ies) and County(ies) of Primary Service Cities: Counties:
Area(s)
Organization's Website Address Is there awaiting list(s) for HOPWA Housing Subsidy Assistance
Services in the Grantee service Area? ? Yes ? No
If yes, explain in the narrative section what services maintain a waiting
list and how this list is administered.
* Service delivery area information only needed for program activities being directly carried out by the grantee.
Previous editions are obsolete Page 1 form HUD-40110-D (Expiration Date: 10/31/2014)
25D-16
2. Project Sponsor Information
Please complete Chart 2 for each organization designated or selected to serve as a project sponsor, as defined by CFR 574.3.
Use this section to report on organizations involved in the direct delivery of services for client households. These elements
address requirements in the Federal Financial Accountability and Transparency Act of 2006 (Public Law 109-282).
Note: Please see the definitions for distinctions behi,een project sponsor and szibreeipient.
Note: If any information does not apply to your organization, please enter N/A.
Project Sponsor Agency Name Parent Company Name, if applicable
Name and Title of Contact at Project
S onsorA enc
Email Address
Business Address
Phone Number (with area code)
Address, City, County, State
Employer Identification Number (EIN) or
Tax Identification Number (TIN) Fax Number (with area code)
DUN & Bradstreet Number (DUNS):
Congressional District of Project Sponsor's
Business Address
Congressional District(s) of Primary Service
Area(s)
City(ies) and County(ies) of Primary Service
Area(s) Cities Counties
Total HOPWA contract amount for this
Organization for the operating year
Organization's Website Address
Is the sponsor a nonprofit organization? ? Yes ? No
Please check ifyes and afaith-based organization. ?
Please check if yes and a grassroots organization. ? Does your organization maintain awaiting list? ? Yes ? No
If yes, explain in the narrative section how this list is administered.
Previous editions are obsolete Page 2 form HUD-401 10-D (Expiration Date: 10/31/2014)
25D-17
3. Administrative Subrecipient Information
Use Chart 3 to provide the following information for each subrecipient with a contract/agreement of $25,000 or greater that
assists project sponsors to carry out their administrative services but no services directly to client households. Agreements
include: grants, subgrants, loans, awards, cooperative agreements, and other forms of financial assistance; and contracts,
subcontracts, purchase orders, task orders, and delivery orders. (Organizations listed may have contracts with project sponsors)
These elements address requirements in the Federal Funding and Accountability and Transparency Act of 2006 (Public Law 109-
282).
Note: Please see the definitions for distinctions between project sponsor and subrecipient.
Note: If any information does not apply to your organization, please enter N/A.
Subrecipient Name Parent Company Name, ifapplicable
Name and Title of Contact at Subrecipient
Email Address
Business Address
City, State, Zip, County
Phone Number (with area code) Fax Number (include area code)
Employer Identification Number (EIN) or
Tax Identification Number (TIN)
DUN & Bradstreet Number (DUNS):
North American Industry Classification
System (NAICS) Code
Congressional District of Subrecipient's
Business Address
Congressional District of Primary Service
Area
City (ies) and County (ies) of Primary Service
Area(s) Cities Counties
Total HOPWA Subcontract Amount of this
Organization for the operating year
Previous editions are obsolete Page 3 form HUD-40110-D (Expiration Date: 10/31/2014)
25D-18
4. Program Subrecipient Information
Complete the following information for each Subrecipient organization providing HOPWA-funded services to client households.
These organizations would hold a contract/agreement with a project sponsor(s) to provide these services. For example, a
Subrecipient organization may receive funds from a project sponsor to provide nutritional services for clients residing within a
HOPWA facility-based housing program. Please note that subrecipients who work directly with client households must provide
performance data for the grantee to include in Parts 2-7 of the CAPER.
Note: Please see the definition of a subreeipient for more information.
Note: Types of contracts/agreements may include: grants, sub-grants, loans, awards, cooperative agreements, and otherfornrs
offinancial assistance; and contracts, subcontracts, purchase orders, task orders, and delivery orders.
Note: If any information is not applicable to the organization, please report N/A in the appropriate box. Do not leave boxes
blank.
Sub-recipient Name Parent Company Name, ifapplicable
Name and Title of Contact at Contractor/
Sub-contractor Agency
Email Address
Business Address
City, County, State, Zip
Phone Number (included area code) Fax Number (include area code)
Employer Identification Number (EIN) or
Tax Identification Number (TIN)
DUN & Bradstreet Number (DUNS)
North American Industry Classification
System (NA1CS) Code
Congressional District of the Sub-recipient's
Business Address
Congressional District(s) of Primary Service
Area
City(ies) and County(ies) of Primary Service
Area Cities: Counties:
Total HOPWA Subcontract Amount of this
Organization for the operating year
Previous editions are obsolete Page 4 form HUD-40110-D (Expiration Date: 10/31/2014)
25D-19
S. Grantee Narrative and Performance Assessment
a. Grantee and Community Overview
Provide a one to three page narrative summarizing major achievements and highlights that were proposed and completed during
the program year. Include a brief description of the grant organization, area of service, the name(s) of the program contact(s),
and an overview of the range/type of housing activities provided. This overview may be used for public information, including
posting on HUD's website. Note: Tex1 fields are expandable.
b. Annual Performance under the Action Plan
Provide a narrative addressing each of the following four items:
1. Outputs Reported. Describe significant accomplishments or challenges in achieving the number of housing units supported
and the number households assisted with HOPWA funds during this operating year compared to plans for this assistance, as
approved in the Consolidated Plan/Action Plan. Describe how HOPWA funds were distributed during your program year among
different categories of housing and geographic areas to address needs throughout the grant service area, consistent with approved
plans.
2. Outcomes Assessed. Assess your program's success in enabling HOPWA beneficiaries to establish and/or better maintain a
stable living environment in housing that is safe, decent, and sanitary, and improve access to care. Compare current year results
to baseline results for clients. Describe how program activities/projects contributed to meeting stated goals. If program did not
achieve expected targets, please describe how your program plans to address challenges in program implementation and the steps
currently being taken to achieve goals in next operating year. If your program exceeded program targets, please describe
strategies the program utilized and how those contributed to program successes.
3. Coordination. Report on program coordination with other mainstream housing and supportive services resources, including
the use of committed leveraging from other public and private sources that helped to address needs for eligible persons identified
in the Consolidated Plan/Strategic Plan.
4. Technical Assistance. Describe any program technical assistance needs and how they would benefit program beneficiaries.
c. Barriers and Trends Overview
Provide a narrative addressing items 1 through 3. Explain how barriers and trends affected your program's ability to achieve the
objectives and outcomes discussed in the previous section.
1. Describe any barriers (including regulatory and non-regulatory) encountered in the administration or implementation of
the HOPWA program, how they affected your program's ability to achieve the objectives and outcomes discussed, and,
actions taken in response to barriers, and recommendations for program improvement. Provide an explanation for each
barrier selected.
A/HUD Regulations
? Discrimination/Confidentiality ? Multiple Diagnoses ? Eligibility
? Supportive Services ? Credit History ? Rental History
? Housing Affordability ? Geography/Rural Access ? Other, please explain further
? Rent Determination and Fair Market
Rents
? Technical Assistance or Training
? Criminal Justice Ilistory
Previous editions are obsolete Page 5 form HUD-40110-D (Expiration Date: 10/31/2014)
25D-20
2. Describe any trends in the community that may affect the way in which the needs of persons living with HIV/AIDS
are being addressed, and provide any other information important to the future provision of services to this population.
3. Identify any evaluations, studies, or other assessments of the HOPWA program that are available to the public.
d. Unmet Housing Needs: An Assessment of Unmet Housing Needs
In Chart 1, provide an assessment of the number of HOPWA-eligible households that require HOPWA housing subsidy
assistance but are not currently served by any HOPWA-funded housing subsidy assistance in this service area.
In Row 1, report the total unmet need of the geographical service area, as reported in Unniet Needs for Persons ivith HIV/AIDS,
Chart 1B of the Consolidated or Annual Plan(s), or as reported under HOPWA worksheet in the Needs Workbook of the
Consolidated Planning Management Process (CPMP) tool.
Note: Report most current data available, through Consolidated or Annual Plan(s), and account for local housing issues, or
changes in HIV/AIDS cases, by using combination of one or more of the sources in Chart 2.
If data is collected on the type of housing that is needed in Rows a. through c., enter the number of HOPWA-eligible households
by type of housing subsidy assistance needed. For an approximate breakdown of overall unmet need by type of housing subsidy
assistance refer to the Consolidated or Annual Plan (s), CPMP tool or local distribution of funds. Do not include clients who are
already receiving HOPWA-funded housing subsidy assistance.
Refer to Chart 2, and check all sources consulted to calculate unmet need. Reference any data from neighboring states' or
municipalities' Consolidated Plan or other planning efforts that informed the assessment of Unmet Need in your service area.
Note: In order to ensure that the unmet need assessment for the region is comprehensive, HOP WA formula grantees should
include those unmet needs assessed by HOP1,VA competitive grantees operating lvithin the service area.
1. Planning Estimate of Area's Unmet Needs for HOPWA-Eli ible Households
1. Total number of households that have unmet
housing subsidy assistance need.
2. From the total reported in Row 1, identify the
number of households with unmet housing needs
by type of housing subsidy assistance:
a. Tenant-Based Rental Assistance (TBRA)
b. Short-Tenn Rent, Mortgage and Utility payments
(STRMU)
• Assistance with rental costs
• Assistance with mortgage payments
• Assistance with utility costs.
c. Housing Facilities, such as community residences,
SRO dwellings, other housing facilities
Previous editions are obsolete Page 6 form HUD-401 10-D (Expiration Date: 10/31/2014)
25D-21
2 Recommended Data Sources for Assessing Unmet Need check all sources used
X = Data as reported in the area Consolidated Plan, e.g. Table 1 B, CPMP charts, and related narratives
=Data established by area HIV/AIDS housing planning and coordination efforts, e.g. Continuum of Care
= Data from client information provided in Homeless Management Information Systems (HMIS)
= Data from project sponsors or housing providers, including waiting lists for assistance or other assessments on need including those
completed by HOPWA competitive grantees operating in the region.
= Data from prisons or jails on persons being discharged with HIV/AIDS, if mandatory testing is conducted
= Data from local Ryan White Planning Councils or reported in CARE Act Data Reports, e.g. number of clients with permanent
housing
= Data collected for HIV/AIDS surveillance reporting or other health assessments, e.g. local health department or CDC surveil lance data
End of PART 1
Previous editions are obsolete Page 7 form HUD-401 10-D (Expiration Date: 10/31/2014)
25D-22
PART 2: Sources of Leveraging and Program income
1. Sources of Leveraging
Report the source(s) of cash or in-kind leveraged federal, state, local or private resources identified in the Consolidated or
Annual Plan and used in the delivery of the HOPWA program and the amount of leveraged dollars. In Column [1], identify the
type of leveraging. Some common sources of leveraged funds have been provided as a reference point. You tray add Rows as
necessary to report all sources of leveraged funds. Include Resident Rent payments paid by clients directly to private landlords.
Do NOT include rents paid directly to a HOPWA program as this will be reported in the next section. In Column [2] report the
amount of leveraged funds expended during the operating year. Use Column [3] to provide some detail about the type of
leveraged contribution (e.g., case management services or clothing donations). In Column [4], check the appropriate box to
indicate whether the leveraged contribution was a housing subsidy assistance or another form of support.
Note: Be sure to report on the number of households supported with these leveraged funds in Part 3, Chart 1, Column A. A.
Source of Leveraging Chart
[2] Amount
of Leveraged [3] Type of [4] Housing Subsidy
T _ [l] Source of Leveraging Funds Contribution Assistance or Other Support
-
,RubIicTuadti e
?Housing Subsidy Assistance
Ryan White-Housing Assistance []Other Support
?Housing Subsidy Assistance
Ryan White-Other []Other Support
?Housing Subsidy Assistance
Housing Choice Voucher Program []Other Support
?Housing Subsidy Assistance
Low Income Housing Tax Credit []Other Support
?Housing Subsidy Assistance
HOME []Other Support
?Housing Subsidy Assistance
Shelter Plus Care []Other Support
?Housing Subsidy Assistance
Emergency Solutions Grant []Other Support
?Housing Subsidy Assistance
Other Public: []Other Support
?Housing Subsidy Assistance
Other Public: ?OtherSupport
?Housing Subsidy Assistance
Other Public: []Other Support
?Housing Subsidy Assistance
Other Public: []Other Support
?Housing Subsidy Assistance
Other Public: []Other Support
Private Funding
?Housing Subsidy Assistance
Grants []Other Support
?Housing Subsidy Assistance
In-kind Resources []Other Support
?Housing Subsidy Assistance
Other Private: []Other Support
?Housing Subsidy Assistance
Other Private: []Other Support
Other Fundi ug _
?Housing Subsidy Assistance
Grantee/Project Sponsor/Subrecipient (Agency) Cash []Other Support
R
id
R
b Cli
i
L
P
P
dl
d
es
ent
ent
ent to
r
vate
ayments
an
or
TOTAL Sum of all Rows
Previous editions are obsolete Page 8 form HUD-40110-1) (Expiration Date: 10/31/2014)
25D-23
2. Program Income and Resident Rent Payments
In Section 2, Chart A., report the total amount of program income and resident rent payments directly generated from the use of
HOPWA funds, including repayments. Include resident rent payments collected or paid directly to the HOPWA program. Do
NOT include payments made directly from a client household to a private landlord.
Note: Please see report directions section for definition of prot?i am income. (Additional information on program income is
available in the HOPWA Grantee Oversight Resource Guide).
A. Total Amount Program Income and Resident Rent Payment Collected During the Operating Year
Total Amount of
Program Income
Program Income and Resident Rent Payments Collected (for this operating
year)
1. Program income (e.g. repayments)
2. Resident Rent Payments made directly to HOPWA Program
3. Total Program Income and Resident Rent Payments (Sum of Rows I and 2)
B. Program Income and Resident Rent Payments Expended To Assist HOPWA Households
In Chart B, report on the total program income and resident rent payments (as reported above in Chart A) expended during the
operating year. Use Row I to report Program Income and Resident Rent Payments expended on Housing Subsidy Assistance
Programs (i.e., TBRA, STRMU, PHP, Master Leased Units, and Facility-Based Housing). Use Row 2 to report on the Program
Income and Resident Rent Payment expended on Supportive Services and other non-direct Housing Costs.
Total Amount of
Program Income
Expended
Program Income and Resident Rent Payment Expended on HOPWA (for this operating
year)
programs
1. Program Income and Resident Rent Payment Expended on Housing Subsidy Assistance costs
2. Program Income and Resident Rent Payment Expended on Supportive Services and other non-direct housing
costs
3. Total Program Income Expended (Sum of Rows I and 2)
End of PART 2
Previous editions are obsolete Page 9 form HUD-40110-D (Expiration Date: 10/31/2014)
25D-24
PART 3: `Accomplishment Data Plagncd Goa1 and Actual Outputs
In Chart 1, enter performance information (goals and actual outputs) for all activities undertaken during the operating year
supported with HOP WA funds. Performance is measured by the number of households and units of housing that were supported
with HOP WA or other federal, state, local, or private funds for the purposes of providing housing assistance and support to
persons living with HIV/AIDS and their families.
Note: The total households assisted with HOP RA funds and reported in PART 3 of the CAPER should be the same as reported
in the annualyear-endIDIS data, andgoals reportedshould be consistent with the Annual Plan information. Any discrepancies
or deviations should be explained in the narrative section of PART 1.
1 HOPWA Performance Planned Goal and Actual Out outs
-VIII Outliut: Huu elwlds 12LO iitlrul.llmdin,
IIOPA!'.i ?--ctcr.?Red ?+
C, ltQu;e holtv_- _llt?lwA 1A„??,
HOPWA Performance
Planned Goal a. b. c. d. e. f.
and Actual
d
C7
¢ a
C7
¢ 0 a
°x of a z
°x
sttn c
IiOkrA'?ousLg ?ull?ich t _ t oai'i(r.Irmrdci?rtati..;. z" our?ur t??_nd?,
I . _
fenant-Based Rental Assistance
a. Permanent Housing Facilities:
Received Operating Subsidies/Leased units (Households Served
b. Transitional/Short-term Facilities:
Received Operating Subsidies/Leased units (I louseholds Served)
Households Served)
a. Permanent Housing Facilities:
[
apital Development Projects placed in service during the operating year
Households Served)
b. r"nsitional/Short-term Facilities:
apital Development Projects placed in service during the operating year
Households Served
port-Tenn Rent, Mortgage and Utility Assistance
5. Permanent Housing Placement Services
Adjustments for duplication (subtract)
-
7. Total HOPWA Housing Subsidy Assistance '. -
(Columns a. - d. equal the sum of Roivs 1-5 minus Row 6; Columns e. and f. equal
-
he sum of Rows 1-5) --- _ - --- L r .--
tlousin Developrggpt (Consti action and SCetvn ilshtp,offacihtYbased housin )
- L Out'titt -?"0US Ia tWW .121 omt ot: unitm -
8. I-acility-uased units; -- - T
Capital Development Projects not yet opened (Housing Units)
9. Stewardship Units subject to 3 or 10 year use agreements
10, Total Housing Developed
(Sum of Rows 78 & 9)
-
-
iiN6HiyeSeI ices
.
.:: - ...
? 1 'Out trtllauscholds =
-
T 7
.
12106 uC'rhih hn .,. :.
1 I a. _.
-
upportive Services provided by project sponsors/subrecipient that also delivered _
_
HOPWA housing subsidy assistance
Ilb Supportive Services provided by project sponsors/subrecipientthat only provided
supportive services.
12. Adjustment for duplication (subtract)
13. Total Supportive Services
(Columns a. - d. equal the sum of Rows 11 a. & b. minus Row 12; Columns e. and f.
equal the sum of Rows Ala. & 11 b.) -
- Housing --Information Services II) output Huuseholds 121 outpun Funding . ;
14. ousing Information Services
15. Total Housing Information Services
Previous editions are obsolete Page 10 form BUD-40110-D (Expiration Date: 10/31/2014)
25D-25
1 r [ J ilf) n? tpi,t llau rl uld
,rlfirAdnsmishn and t7tlicr 4ch i tes ,a+i,?p ??
nlp f 7 n?
, 13j_0
16 Y, . -
•
coordinate and develop housing assistance resources
Resource Identification to establish '
. ?
,
e ,a
17. Technical Assistance
ifa roved in grant agreement)
. Y a ?? ? rt a
18. rantee Administration " R
.? .R E 3
Y?Y 8 kz, '?w9
maximum 3% of total HOPWA grant)
19.
Rc
roject Sponsor Administration a' s ^ °x*?* * "*
maximum 7% of onion of HOPWA rant awarded ' " ffi
0..: _otnl Grant Administration and Other Activities
Sum of Rows 17-20)
.
i h
Qpi it
n
E ed
?Y
r
kt.:.r uil e .
,
I: Total Expenditures for program year (Sum of Rows 7, 10, 13, 15, afid20)
2. Listing of Supportive Services
Report on the households served and use of HOPWA funds for all supportive services. Do NOT report on supportive services
leveraged with non-HOPWA funds.
Data check: Total unduplicated households and expenditures reported in Row 17 equal totals reported in Part 3, Chart 1, Row 13.
Supportive Services ]I] Output: Number of Households ]2] Output: Amount of HOPWA Funds
Expended
1. Adult day care and personal assistance
2. Alcohol and drug abuse services
3. Case management
4. Child care and other child services
5. Education
6. Employment assistance and training
7. Health/medical/intensive care services, if approved
Note: Client records must conform with 24 CFR 574.310
8. Legal services
9. Life skills management outside of ease management)
10. Meals/nutritional services
11. Mental health services
12. Outreach
13. Transportation
14. Other Activity (if approved in grant agreement).
Specify:
5.
Sub-Total Households receiving Supportive Services
(Sum of Rows 1-14 Y
it Ye}A^xY< Y'i R1?T Y'? A$'
, aYY?a s` , Y =,Y? , * ti
-
y
16.
Adjustment for Duplication subtract Y 4
Ske ',
r? a` ?• ' ' '
17. TOTAL Unduplicated Households receiving
Supportive Services (Column il] equals Row 15
minus Row 16; Column 121 equals sum of Rows 1-14
Previous editions are obsolete Page 11 form HUD-40110-D (Expiration Date: 10/31/2014)
25D-26
3. Short-Term Rent, Mortgage and Utility Assistance (STRMU) Summary
In Row a., enter the total number of households served and the amount of HOPWA funds expended on Short-Term Rent,
Mortgage and Utility (STRMU) Assistance. In Row b., enter the total number of STRMU-assisted households that received
assistance with mortgage costs only (no utility costs) and the amount expended assisting these households. In Row c., enter the
total number of STRMU-assisted households that received assistance with both mortgage and utility costs and the amount
expended assisting these households. In Row d., enter the total number of STRMU-assisted households that received assistance
with rental costs only (no utility costs) and the amount expended assisting these households. In Row e., enter the total number of
STRMU-assisted households that received assistance with both rental and utility costs and the amount expended assisting these
households. In Row f., enter the total number of STRMU-assisted households that received assistance with utility costs only (not
including rent or mortgage costs) and the amount expended assisting these households. In row g., report the amount of STRMU
funds expended to support direct program costs such as program operation staff.
Data Check: The total households reported as served with STRMU in Row a., column [1] and the total announl of HOP WA funds reported as
expended in Row a., cohunn [2] equals the household and expenditure total reported for STRMU in Part 3, Chart 1, Row 4, Columns b. and f.,
respectively.
Data Cheek: The total number ofhouseholds reported in Column [1], Rows b., c., d., e., and f. equal the total number ofSTRMU households
reported in Column [1], Row a. The total amount reported as expended in Cohonn [21, Rows b., c., d., e., f., and g. equal the total amount of
STRMU expenditures reported in Cohmnn [2], Row a.
Ill Output: Number of 121 Output: Total
Households Served HOPWA Funds Expended
Housing Subsidy Assistance Categories (STRMU) on STRMU during
Operating Year
Total Short-tern mortgage, rent and/or utility (STRMU)
a. assistance
Of the total STRMU reported on Row a. total who received
b. assistance with mortgage costs ONLY.
Of the total STRMU reported on Row a, total who received
C. assistance with mortgage and utility costs.
Of the total STRMU reported on Row a, total who received
d. assistance with rental costs ONLY.
Of the total STRMU reported on Row a, total who received
e. assistance with rental and utility costs.
Of the total STRMU reported on Row a, total who received
f assistance with utility costs ONLY.
Direct program delivery costs (e.g., program operations staff
time)
9.
End of PART 3
Previous editions are obsolete Page 12 form HUD-401 10-D (Expiration Date: 10/31/2014)
25D-27
Part 4: Summary of Performance Outcomes
In Column [1], report the total number of eligible households that received HOPWA housing subsidy assistance, by type.
In Column [2], enter the number of households that continued to access each type of housing subsidy assistance into next
operating year. In Column [3], report the housing status of all households that exited the program.
Data Check: The sum of Columns [2] (Number of Households Continuing) and [3] (Exited Households) equals the total reported in Colunm[l].
Note: Refer to the housing stability codes that appear in Part S: Worksheet - Determining Housing Stability Outcomes.
Section 1. Housing Stability: Assessment of Client Outcomes on Maintaining Housing Stability (Permanent Housing and
Related Facilities)
A Pero,anont t1nncino Cnbsirly Assistance
III Output: Total ]2] Assessment: Number of [3] Assessment: Number of
Number of Households that Continued Households that exited this (4] HOPWA Client
Households Receiving HOPWA Housing HOPWA Program; their Housing Outcomes
Served Subsidy Assistance into the Next Status after Exiting
Operating Year
I Emergency Shelter/Streets Unstable Arrangements
2 Temporary Housing Temporarily Stable, ivith Reduced
Risk of Homelessness
3 Private Housing
Tenant-Based 4 Other HOPWA
Rental i
(PH)
t H
bl
/P
S
Assistance 5 Other Subsidy ous
ermanen
ng
ta
e
6 Institution
7 Jail/Prison
bl
t
U
A
rrangemen
s
nsta
e
8 Disconnected/Unknown
9 Death Life Event
I Emergency Shelter/Streets Unstable Arrangements
2 Temporary Housing Temporarily Stable, with Reduced
Risk of Homelessness
3 Private Housing
Permanent
4 Other HOPWA
Supportive (PH
t H
i
S
bl
/P
Housing
5 Other Subsidy )
ermanen
ous
ng
ta
e
Facilities/ Units
6 Institution
7 Jail/Prison
8 Disconnected/Unknown Unstable Arrangements
9 Death Life Event
B. Transitional Housine Assistance
[1] Output: Total [2] Assessment: Number of [3] Assessment: Number of
Number of Households that Continued Households that exited this
Households Receiving HOPWA Housing HOPWA Program; their [4] HOPWA Client Outcomes
Served Subsidy Assistance into the Next Mousing Status after Exiting
Operating Year
1 Emergency Shelter/Streets Unstable Arrangements
2 Temporary Housing Temporarily Stable lvith Reduced
Risk ofHontelessness
Transitional/
Short-Term 3 Private Housing
Housing 4 Other HOPWA
i
PH
bl
/P
H
S
Facilities/ Units ous
ng (
)
ta
e
ermanent
5 Other Subsidy
6 Institution
7 Jail/Prison
bl
A
U
e
rrangements
nsta
8 Disconnected/unknown
9 Death Life Event
Previous editions are obsolete Page 13 form HUD-40110-D (Expiration Date: 10/31/2014)
25D-28
I B I :Total number of households receiving transitional/short-term housing
assistance whose tenure exceeded 24 months
Section 2. Prevention of Homelessness: Assessment of Client Outcomes on Reduced Risks of Homelessness
(Short-Term Housing Subsidy Assistance)
Report the total number of households that received STRMU assistance in Column [1].
In Column [2], identify the outcomes of the households reported in Column [1] either at the time that they were known to have
left the STRMU program or through the project sponsor or subrecipient's best assessment for stability at the end of the operating
year.
Information in Column [3] provides a description of housing outcomes; therefore, data is not required.
At the bottom of the chart:
• In Row la., report those households that received STRMU assistance during the operating year of this report, and the
prior operating year.
• In Row lb., report those households that received STRMU assistance during the operating year of this report, and the
two prior operating years.
Data Check: The total households reported as served with STRt111U in Column [1] equals the total reported in Part 3, Chart 1,
Rou, 4, Column b.
Data Check: The stmt of Cohann [2] should equal the number of households repotted in Column [I].
Assessment of Households that Received STRMU Assistance
[1] Output: Total [2] Assessment of Housing Status 131 HOPWA Client Outcomes
number of
households
Maintain Private Housing without subsidy
(e.g. Assistance provided/completed and client is stable. not
likely to seek additional support)
Other Private Housing without subsidy
(e.g. client switched housing units and is now stable, not likely
to seek additional support) Stable/Permanent Housing (PH)
Other HOPWA Housing Subsidy Assistance
Other Housing Subsidy (PH)
Institution
(e.g. residential and long-teen care)
Likely that additional STRMU is needed to maintain current
housing arrangements
Transitional Facilities/Short-term Temporarily Stable, lvith
(e.g. temporary or transitional a•rangeniea) Reduced Risk of Homelessness
Temporary/Non-Permanent Housing arrangement
(e.g. gave up lease, and moved in with family orftiends but
expects to lire there less than 90 days)
Emergency Shelter/street
Jail/Prison Unstable Arrangements
Disconnected
Death Life Event
I a. Total number of those households that received STRMU Assistance in the operating year of this report that also received
STRMU assistance in the prior operating year (e.g. households that received STRMU assistance in two consecutive operating
years).
1 b. Total number of those households that received STRMU Assistance in the operating year of this report that also received
STRMU assistance in the two prior operating years (e.g. households that received STRMU assistance in three consecutive
operating years).
Previous editions are obsolete Page 14 form HUD-40110-D (Expiration Date: 10/31/2014)
25D-29
Section 3. HOPWA Outcomes on Access to Care and Support
Ia. Total Number of Households
Line [I]: For project sponsors/subrecipients that provided HOPWA housing subsidy assistance during the operating year
identify in the appropriate row the number of households that received HOPWA housing subsidy assistance (TBRA,
STRMU, Facility-Based, Permanent Housing Placement Services, and Master Leasing) and HOPWA funded case
management services. Use Row c. to adjust for duplication among the service categories and Row d. to provide an
unduplicated household total.
Line [2]: For project sponsors/subrecipients that did NOT provide HOPWA housing subsidy assistance identify in the
appropriate row the number of households that received HOPWA funded case management services.
Note: These numbers will help you to determine which clients to report Access to Care and Support Outcomes for and will be
used by HUD as a basis for analyzing the percentage of households tvho demonstrated or maintained connections to care and
support as identified in Chart 1b. below.
Total Number of Households
I, horPro tSpo?sosS>bra }icnlsthat,pro3ideillfOPR'A`Housi?gSubidyASist?nce iy: 1 offitl.eia
ccened the:fQho?C?ng"?CiOAded`servjces ?.
A,n [d that
=
a. Housing Subsidy Assistance (duplicated)-TBRA, STRMU, PHP, Facility-Based Housing, and Master Leasing
b. Case Management
C. Adjustment for duplication (subtraction)
d. Total Households Served by Project Sponsors/Subrecipients with Housing Subsidy Assistance (Sum of Rows a.+
b. minus Row c.)
lair f ropfi'$ponsot•s7Subrecipi?nls did1VQT pr?rvideHf?Pll Hoosinj' Subaid 'Asci?tnnSc??Jtnlll}n e bid ??
two t
?'. -='.-
je f04igtig~HOYWA=fiinded Benue
d
1' 'recetvcd
old Rif,,
_
_
_ _
a. HOPWA Case Management
b. Total Households Served by Project Sponsors/Subrecipients without Housing Subsidy Assistance
lb. Status of Households Accessing Care and Support
Column [1]: Of the households identified as receiving services from project sponsors/subrecipients that provided HOPWA
housing subsidy assistance as identified in Chart 1 a., Row 1 d. above, report the number of households that demonstrated
access or maintained connections to care and support within the program year.
Column [2]: Of the households identified as receiving services from project sponsors/subrecipients that did NOT provide
HOPWA housing subsidy assistance as reported in Chart 1 a., Row 2b., report the number of households that demonstrated
improved access or maintained connections to care and support within the program year.
Note: For information on types and sources of income and medical insurance/assistance, refer to Charts below.
[11 For project [2] For project
sponsors/subrecipients that
that
sponsors/subrecipients
Categories of Services Accessed provided HOPWA housing subsidy did NOT provide HOPWA
housing subsidy assistance, Outcome
Indicator
assistance, identify the households identify the households who
who demonstrated the following: demonstrated the followin :
Support for
1. Has a housing plan for maintaining or establishing stable on- Stable
going housing Housing
2. Had contact with case manager/benefits counselor consistent
with the schedule specified in client's individual service plan Access to
(may include leveraged services such as Ryan White Medical Support
Case Management)
3. Had contact with a primary health care provider consistent Access to
with the schedule specified in client's individual service plan Health Care
Access to
4. Accessed and maintained medical insurance/assistance Health Care
5. Successfully accessed or maintained qualification for sources Sources of
of income Income
Previous editions are obsolete Page 15 form HUD-40110-D (Expiration Date: 10/31/2014)
25D-30
Chart 1b., Line 4: Sources of Medical Insurance and Assistance include, but are not limited to the following
(Reference only)
• MEDICAID Health Insurance Program, or • Veterans Affairs Medical Services
use local program AIDS Drug Assistance Program (ADAP) Ryan White-funded Medical or Dental
name State Children's Health Insurance Program Assistance
• MEDICARE Health Insurance Program, or (SCH1P), or use local program name
use local program name
Chart lb., Row 5: Sources of Income include, but are not limited to the following (Reference out
• Earned Income • Child Support • General Assistance (GA), or use local
• Veteran's Pension • Social Security Disability Income (SSDI) program name
• Unemployment Insurance • Alimony or other Spousal Support • Private Disability Insurance
• Pension from Former Job • Veteran's Disability Payment • Temporary Assistance for Needy
• Supplemental Security Income (SSI) • Retirement Income from Social Security Families (TANF)
Worker's Compensation • Other Income Sources
lc. Households that Obtained Employment
Column [1]: Of the households identified as receiving services from project sponsors/subrecipients that provided HOPWA
housing subsidy assistance as identified in Chart I a., Row I d. above, report on the number of households that include
persons who obtained an income-producing job during the operating year that resulted from HOPWA-funded Job training,
employment assistance, education or related case management/counseling services.
Column [2]: Of the households identified as receiving services from project sponsors/subrecipients that did NOT provide
HOPWA housing subsidy assistance as reported in Chart I a., Row 2b., report on the number of households that include
persons who obtained an income-producing job during the operating year that resulted from HOPWA-funded Job training,
employment assistance, education or case management/counseling services.
Note: This includes jobs created by this project sponsor/subrecipients or obtained outside this agency.
Note: Do not include jobs that resulted from leveraged job training, employment assistance, education or case
manageniendeounseling services.
11 For project sponsors/subrecipients that 121 For project sponsors/subrecipients that did
Categories of Services Accessed provided HOPWA housing subsidy NOT provide HOPWA housing subsidy assistance,
assistance, identify the households who identify the households who demonstrated the
demonstrated the followin : followin :
Total number of households that
obtained an income- roducin job
End of PART 4
Previous editions are obsolete Page 16 form HUD-40110-D (Expiration Date: 10/3112014)
25D-31
PART '5: Worksheet -`Determining Housil ng'Stability Outcomes (optional)
1. This chart is designed to assess program results based on the information reported in Part 4 and to help Grantees determine
overall nroeram nerformance. Completion of this worksheet is optional.
PermanentV Stable Housing Temporary Housing Unstable Life Event
Housing Subsidy (# of households (2) Arrangements (9)
Assistance remaining in program (1+7+8)
plus 3+4+5+6)
Tenant-Based
Rental Assistance
(TBRA)
Permanent Facility-
based Housing
Assistance/Units
Transitional/Short-
Term Facility-based
Housing
Assistance/Units
Total Permanent
HOPWA Housing
Subsidy Assistance
Reduced Risk of Stable/Permanent Temporarily Stable, with Reduced Risk of Unstable Life Events
Homelessness: Housing Homelessness Arrangements
Short-Term
Assistance
Short-Term Rent,
Mortgage, and
Utility Assistance
(STRMU
Total HOPWA
Housing Subsidy
Assistance
Background on HOPWA Housing Stability Codes
Stable Permanent Housing/Ongoing Participation
3 = Private Housing in the private rental or home ownership market (without known subsidy, including permanent placement
with families or other self-sufficient arrangements) with reasonable expectation that additional support is not needed.
4 = Other HOPWA-funded housing subsidy assistance (not STRMU), e.g. TBRA or Facility-Based Assistance.
5 = Other subsidized house or apartment (non-HOPWA sources, e.g., Section 8, HOME, public housing).
6 = Institutional setting with greater support and continued residence expected (e.g., residential or long-term care facility).
Temporary Housing
2 = Temporary housing - moved in with family/friends or other short-term arrangement, such as Ryan White subsidy, transitional
housing for homeless, or temporary placement in institution (e.g., hospital, psychiatric hospital or other psychiatric facility,
substance abuse treatment facility or detox center).
Unstable Arrangements
1 = Emergency shelter or no housing destination such as places not meant for habitation (e.g., a vehicle, an abandoned building,
bus/train/subway station, or anywhere outside).
7 = Jail /prison.
8 = Disconnected or disappeared from project support, unknown destination or no assessments of housing needs were
undertaken.
Life Event
9 = Death, i.e., remained in housing until death. This characteristic is not factored into the housing stability equation.
Tenant-based Rental Assistance: Stable Housing is the sum of the number of households that (i) remain in the housing and (ii)
those that left the assistance as reported under: 3, 4, 5, and 6. Temporary Housing is the number of households that accessed
assistance, and left their current housing for a non-permanent housing arrangement, as reported under item: 2. Unstable
Situations is the sum of numbers reported under items: 1, 7, and 8.
Permanent Facility-Based Housing Assistance: Stable Housing is the sum of the number of households that (i) remain in the
housing and (ii) those that left the assistance as shown as items: 3, 4, 5, and 6. Temporary Housing is the number of households
Previous editions are obsolete Page 17 form 111ID-40110-D (Expiration Date: 10/3I/2014)
25D-32
that accessed assistance, and left their current housing for a non-permanent housing arrangement, as reported under item 2.
Unstable Situations is the sum of numbers reported under items: 1, 7, and 8.
Transitional/Short-Term Facility-Based Housing Assistance: Stable Housing is the sum of the number of households that (i)
continue in the residences (ii) those that left the assistance as shown as items: 3, 4, 5, and 6. Other Temporary Housing is the
number of households that accessed assistance, and left their current housing for a non-permanent housing arrangement, as
reported under item 2. Unstable Situations is the sum of numbers reported under items: 1, 7, and 8.
Tenure Assessment. A baseline of households in transitional/short-term facilities for assessment purposes, indicate the number
of households whose tenure exceeded 24 months.
STRMU Assistance: Stable Housing is the sum of the number of households that accessed assistance for some portion of the
permitted 21-week period and there is reasonable expectation that additional support is not needed in order to maintain
permanent housing living situation (as this is a time-limited form of housing support) as reported under housing status: Maintain
Private Housing with subsidy; Other Private with Subsidy; Other HOPWA support; Other Housing Subsidy; and Institution.
Temporarily Stable with Reduced Risk of Homelessness is the sum of the number of households that accessed assistance for
some portion of the permitted 21-week period or left their current housing arrangement for a transitional facility or other
temporary/non-permanent housing arrangement and there is reasonable expectation additional support will be needed to maintain
housing arrangements in the next year, as reported under housing status: Likely to maintain current housing arrangements, with
additional STRMU assistance; Transitional Facilities/Short-term; and Temporary/Non-Permanent Housing arrangements
Unstable Situation is the sum of number of households reported under housing status: Emergency Shelter; Jail/Prison; and
Disconnected.
End of PART 5
Previous editions are obsolete Page 18 form HUD-40110-D (Expiration Date: 10/31/2014)
25D-33
PART 6: Annual Certification of Continued Usage for HOPWAFFacility-Based Stewardship Units (ONLY)
The Annual Certification of Usage for HOPWA Facility-Based Stewardship Units is to be used in place of Part 7B of the
CAPER if the facility was originally acquired, rehabilitated or constructed/developed in part with HOPWA funds but no
HOPWA funds were expended during the operating year. Scattered site units may be grouped together on one page.
Grantees that used HOPWA funding for new construction, acquisition, or substantial rehabilitation are required to
operate their facilities for HOPWA eligible individuals for at least ten (10) years. If non-substantial rehabilitation funds
were used they are required to operate for at least three (3) years. Stewardship begins once the facility is put into
operation.
Note: See definition ofSteivardship Units.
1. VCIICl Al llll Vl ula Ll Vll
Operating Year for this report
From (mm/dd/yy) To (mm/dd/yy) ? Final Yr
HUD Grant Number(s)
? Yr 1; ? Yr 2; ? Yr 3; ? Yr 4; ? Yr 5; ? Yr 6;
? Yr 7; ? Yr 8; ? Yr 9; ? Yr 10;
Grantee Name Date Facility Began Operations (mm/dd/yy)
N b r 1r 't and Non-HOPWA Expenditures
2. um er o n1 s
Facility Name: Number of Stewardship Units Amount of Non-HOPWA Funds Expended in Support of the
Developed with IIOPWA Stewardship Units during the Operating Year
funds
Total Stewardship Units
subject to 3- or 10- year use periods)
2 T..4 :1.. ..t' Ur nt Lit
J. L aIIJ V
e
Project Sites: Name of HOPWA-funded project
Site Information: Project Zip Code(s)
Site Information: Congressional District(s)
Is the address of the project site confidential? ? Yes, protect information: do not list
? Not con tdential: information can be made available to the public
If the site is not confidential:
Please provide the contact information, phone,
email address/location, ifbusiness address is
different from facility address n
I certify that the facility that received assistance for acquisition, rehabilitation, or new construction from the Housing Opportunities
for Persons with AIDS Program has operated as a facility to assist HOPWA-eligible persons from the date shown above. I also
certify that the grant is still serving the planned number of HOPWA-eligible households at this facility through leveraged resources
and all other requirements of the grant agreement are being satisfied.
I hereby certify that all the information stated herein, as well as any ht ormation provided in the accompaniment herewith, is true and accurate.
Name & Title of Authorized Official of the organization that continues Signature & Date (mm/dd/yy)
to operate the facility:
Name & Title of Contact at Grantee Agency Contact Phone (with area code)
(person who can ansiver questions about the report and program)
End of PART 6
Previous editions are obsolete Page 19 form HUD-401 10-D (Expiration Date: 10/3112014)
25D-34
Part 7:- Summary Overview of Grant Activities
A. Information on Individuals, Beneficiaries, and Households Receiving HOPWA Housing Subsidy Assistance
(TBRA, STRMU, Facility-Based Units, Permanent, Housing Placement and Master Leased Units ONLY)
Note: Reportingfor this section should include ONLY those individuals, beneficiaries, or households that received and/or
resided in a household that received HOPNIA Housing Subsidy Assistance as reported in Part 3, Chart 1, Row 7, Cohrnan b.
(e.g., do not include households that received HOP 1,11/1 supportive services ONL)).
Section 1. HOPWA-Eligible Individuals who Received HOPWA Housing Subsidy Assistance
a. Total HOPWA Eligible Individuals Living with HIV/AIDS
In Chart a., provide the total number of eligible (and unduplicated) low-income individuals living with HIV/AIDS who qualified
their household to receive HOPWA housing subsidy assistance during the operating year. This total should include only the
individual who qualified the household for HOPWA assistance, NOT all HIV positive individuals in the household.
Individuals Served with Housing Subsidy Assistance Total
Number of individuals with HIV/AIDS who qualified their household to receive HOPWA housing subsidy assistance.
Chart b. Prior Living Situation
In Chart b., report the prior living situations for all Eligible Individuals reported in Chart a. In Row 1, report the total number of
individuals who continued to receive HOPWA housing subsidy assistance from the prior operating year into this operating year.
In Rows 2 through 17, indicate the prior living arrangements for all new HOPWA housing subsidy assistance recipients during
the operating year.
Data Check: The total number of eligible individuals served in Row 18 equals the total number of individuals served through
housing subsidy assistance reported in Chart a. above.
Category Total HOPWA
Eligible Individuals
Receiving Housing
Subsid Assistance
1. Continuing to receive HOPWA support from the prior operating year
New Individuals who received HOPWA Housing Subsidy Assistance support during Operating Year
2 Place not meant for human habitation
(such as a vehicle, abandoned building, bus/train/subway station/airport, or outside
3. Emergency shelter (including hotel, motel, or campground paid for with emergency shelter voucher)
4. Transitional housing for homeless persons
5: Total nninbei-of new Eligible Individuals wbo received iJOPWAHousing Subside Assistance lyith a Prior
Living Situation that.meets,HUD definition of hontele_ssness (Sum of Rows 2 - 4
6 Permanent housing for formerly homeless persons (such as Shelter Plus Care, SHP, or SRO Mod
Rehab
7. Psychiatric hospital or other psychiatric facility
8. Substance abuse treatment facility or detox center
9. Hospital (non-psychiatric facility)
10. Foster care home or foster care group home
11. Jail, prison or juvenile detention facility
12. Rented room, apartment, or house
13. House you own
14. Staying or living in someone else's (family and friends) room, apartment, or house
15. Hotel or motel paid for without emergency shelter voucher
16. Other
17. Don't Know or Refused
18. TOTAL Number of HOPWA Eligible individuals (sum of Rows 1 and 5-17)
Previous editions are obsolete Page 20 form HUD-40110-D (Expiration Date: 10/31/2014)
25D-35
c. Homeless Individual Summary
In Chart c., indicate the number of eligible individuals reported in Chart b., Row 5 as homeless who also are homeless Veterans
and/or meet the definition for Chronically Homeless (See Definition section of CAPER). The totals in Chart c. do not need to
equal the total in Chart b., Row 5.
Number of Number of Chronically
Category Homeless Homeless
Veteran(s)
HOPWA eligible individuals served with
HOPWA Housing Subsidy Assistance
Section 2. Beneficiaries
In Chart a., report the total number of HOPWA eligible individuals living with HIV/AIDS who received HOPWA housing
subsidy assistance (as reported in Part 7A, Section 1, Chart a.), and all associated members of their household who benefitted
from receiving HOPWA housing subsidy assistance (resided with HOPWA eligible individuals).
Note: See definition of HOPWA Eligible Individual
Note: See definition of Trans ems.
Note: See definition of Beneficiaries.
Data Check: The sum of each of the Charts b. & c. on the following two pages equals the total number of beneficiaries served
with HOPWA housing subsidy assistance as determined in Chart a., Row 4 below.
a. Total Number of Beneficiaries Served with HOPWA Housine Subsidv Assistance
'Individuals and Families; Served. with`HOPWA Housing Subsidy Assistance Total Number
1. Number of individuals with HIV/AIDS who qualified the household to receive HOPWA housing subsidy
assistance (equals the number of HOPWA Eligible Individuals reported in Part 7A, Section 1, Chart a.)
2. Number of ALL other persons diagnosed as HIV positive who reside with the HOPWA eligible individuals
identified in Row 1 and who benefitted from the HOPWA housing subsidy assistance
3. Number of ALL other persons NOT diagnosed as HIV positive who reside with the HOPWA eligible
individual identified in Row 1 and who benefited from the HOPWA housing subsidy
4. TOTAL number of ALL beneficiaries served with Housing Subsidy Assistance (Sum of Rows 1,2, & 3)
Previous editions are obsolete Page 21 form HUD-40110-D (Expiration Date: 10131/2014)
25D-36
b. Age and Gender
In Chart b., indicate the Age and Gender of all beneficiaries as reported in Chart a. directly above. Report the Age and Gender of
all HOPWA Eligible individuals (those reported in Chart a., Row l) using Rows 1-5 below and the Age and Gender of all other
beneficiaries (those reported in Chart a., Rows 2 and 3) using Rows 6-10 below. The number of individuals reported in Row 11,
Column E. equals the total number of beneficiaries reported in Part 7, Section 2, Chart a., Row 4.
H-0PWA Eli iW Individuals Chart a Row l
A. B. C. D. E.
Male
Female
Trans ender M to F
Trans ender F to M TOTAL (Sum of
Columns A-D)
1. Under 18
2. 18 to 30 ears
3. 31 to 50 ears
4. 51 years and
Older
5. Subtotal (Sum
of Rows 1-4
All Qther Beneficiaries Chart , Rows 2 an[13
A. B. C. D. E.
Male
Female
Trans ender M to F
Trans ender F to M TOTAL (Sum of
Columns A-D
6. Under 18
7. 18 to 30 years
8. 31 to 50 years
9. 51 years and
Older
10. Subtotal (Sum
of Rows 6-9)
Total Beneficiaries Chart a, Rpw 4
11. TOTAL (Sum
of Rows 5 & l0)
Previous editions are obsolete Page 22 form HUD-40110-D (Expiration Date: 10/31/2014)
25D-37
c. Race and Ethnicity*
In Chart c., indicate the Race and Ethnicity of all beneficiaries receiving HOPWA Housing Subsidy Assistance as reported in
Section 2, Chart a., Row 4. Report the race of all HOPWA eligible individuals in Column [A]. Report the ethnicity of all
HOPWA eligible individuals in column [B]. Report the race of all other individuals who benefitted from the HOPWA housing
subsidy assistance in column [C]. Report the ethnicity of all other individuals who benefitted from the HOPWA housing subsidy
assistance in column [D]. The summed total of columns [A] and [C] equals the total number of beneficiaries reported above in
Section 2, Chart a., Row 4.
s 410P1V'A' l.hgihle Lidrvidualss ''Ail Other Re cridaries
[A] Race
[BI Ethnicity IC1 Race
[total of
ID] Ethnicity
}
y s [all individuals
[Also identified
individuals
[Also identified
t
j orted in
rep
as Hispanic or
reported in
as Hispanic or
Section 2, Chart
Latinol
Section 2, Chart
Latino]
.: a., Row 11 a., Rows 2 & 31
I . American Indian/Alaskan Native
2. Asian
3. Black/African American
4. Native Hawaiian/Other Pacific Islander
5. White
American Indian/Alaskan Native &
6 White
7. Asian & White
8. Black/African American & White
American Indian/Alaskan Native &
9
Black/African American
10. Other Multi-Racial
11. Column Totals (Sum of Rows 1-10)
Data Cbeck: Sum of Row 11 Column A and Row 11 Column C equals the total number HOPWA Beneficiaries reported in Part 3A,
Section 2, Chart a., Row 4.
*Reference (data requested consistent with Form HUD-27061 Race and Ethnic Data Reporting horn)
Section 3. Households
Household Area Median Income
Report the area median income(s) for all households served with HOPWA housing subsidy assistance.
Data Check: The total number of households served with HOPWA housing subsidy assistance should equal Part 3C, Row 7,
Cohimn b and Part 7A, Section 1, Chart a. (Total HOPWA Eligible Individuals Served with HOPWA Housing Subsidy
Assistance).
Note: Refer to http•//wivip huduser.oMIportal/datasets/il/il2OlO/select Geography mfr.odn for information on area median
incnme in vour community.
Percentage of Area Median Income Households Served with HOPWA Housing Subsidy
Assistance
1. 0-30% of area median income (extremely low)
2. 31-50% of area median income (very low)
3. 51-80% of area median income (low)
4. Total (Sum of Rows 1-3)
Previous editions are obsolete Page 23 form HIID-40110-D (Expiration Date: 10/31/2014)
25D-38
,art 7 Summary Overview of Grant Activities
t. Facility-Basecl Housing Assistance
Complete one Part 7B for each facility developed or supported through HOPWA funds.
Do not complete this Section for programs originally developed with HOPWA funds but no longer supported with
IIOPWA funds. If a facility was developed with HOPWA funds (subject to ten years of operation for acquisition, new
construction and substantial rehabilitation costs of stewardship units, or three years for non-substantial rehabilitation costs), but
HOPWA funds are no longer used to support the facility, the project sponsor or subrecipient should complete Part 6: Annual
Certification of Continued Usage for HOPWA Facility-Based Stewardship Units (ONLY).
Complete Charts 2a., Project Site Information, and 2b., Type of HOPWA Capital Development Project Units, for all
Development Projects, including facilities that were past development projects, but continued to receive HOPWA operating
dollars this reporting year.
Project Sponsor/subrecipient Agency Name (Required)
2. Capital Development
2a. Project Site Information for HOPWA Capital Development of Projects (For Current or Past Capital
Development Projects that receive HOPWA Operating Costs this reporting year)
4 _..;m- --f __ 17-- - -rl vn?or h- nrr-i]ihi tarito ".Gnlforad .Cilo.c ,•
HOPWA Name of Facility:
Type of Funds Non-HOPWA funds
Development Expended Expended
this operating this operating (if applicable)
year year
if applicable)
? New construction $ $ Type of Facility [Check only one box.]
? Permanent housing
? Rehabilitation $ $ ? Short-tern Shelter or Transitional housing
El Supportive services only facility
El Acquisition $ $
? Operating $ $
a. Purchase/lease of property: Date (mm/dd/yy):
b. Rehabilitation/Construction Dates: Date started: Date Completed:
C. Operation dates: Date residents began to occupy:
? Not et occupied
d. Date supportive services began: Date started:
? Not yet providing services
e. Number of units in the facility: IIOPWA-funded units = Total Units=
Yes ? No
E]
f Is a waiting list maintained forthe facility? Ifpes, ;cumber ofparticipan7s on the list at the end of operating pear
g. What is the address ofthe facility (ifditterent from business address)?
h. Is the address of the project site confidential? ? Yes, protect information: do not publish list
? No. can be made available to the public
Previous editions are obsolete Page 24 form HUD-40110-11) (Expiration Da(e: 10/31/2014)
25D-39
2b. Number and Type of HOPWA Capital Development Project Units (For Current or Past Capital
Development Projects that receive HOPWA Operating Costs this Reporting Year)
For units entered above in 2a. please list the number of HOPWA units that fulfill the following criteria:
Number Designated Number
Designated to
Number Energy-
for the Chronically
Assist the
Star Compliant Number 504 Accessible
Homeless Homeless
Rental units constructed
(new) and/or acquired
with or without rehab
Rental units rehabbed
Homeownership units
constructed (if approved)
3. Units Assisted in Types of Housing Facility/Units Leased by Project Sponsor or Subrecipient
Charts 3a., 3b. and 4 are required for each facility, In Charts 3a. and 3b., indicate the type and number of housing units in the
facility, including master leased units, project-based or other scattered site units leased by the organization, categorized by the
number of bedrooms per unit.
Note: The number units may not equal the total number of households served.
Please complete separate charts for each housing facility assisted. Scattered site units may be grouped together.
3a. Check one only
? Permanent Supportive Housing Facility/Units
? Short-term Shelter or Transitional Supportive Housing Facility/Units
3b. Type of Facility
Complete the following Chart for all facilities leased, master leased, project-based, or operated with HOPWA funds during the
reporting year.
Name of Project Sponsor/Agency Operating the Facility/Leased Units:
Total Number of Units in use during the Operating Year
Type of housing facility operated by the Cate orized b the Number of Bedrooms per Units
project sponsor/subrecipient SRO/Studio/0
bdrm 1 bdrm 2 bdrm 3 bdrm 4 bdrm 5+bdrm
a. Single room occupancy dwelling
b. Community residence
c. Project-based rental assistance units or leased units
d.
Other housing facility
Specify'
4. Households and Housing Expenditures
Enter the total number of households served and the amount ofHOPWA funds expended by the project sponsor/subrecipient on
subsidies for housing involving the use of facilities, master leased units, project based or other scattered site units leased by the
organization.
Housing Assistance Category: Facility Based Housing Output: Number of
Households Output: Total HOPWA Funds Expended during
Operating Year b Project S onsor/subreci lent
a Leasing Costs
b Operating Costs
C. Project-Based Rental Assistance (PBRA) or other leased
units
d Other Activity (if approved in grant agreement) Specify:
e Adjustment to eliminate duplication (subtract)
f• TOTAL Facility-Based Housing Assistance
Sum Ro%vs a. through d. minus Row c.)
Previous editions are obsolete Page 25 form IIUD-40110-D (Expiration Date: 10131/2014)
25D-40
COOPERATIVE AGREEMENT BETWEEN
THE CITY OF SANTA ANA AND
THE SANTA ANA HOUSING AUTHORITY
This Cooperative Agreement entered into this 1St day of July, 2012, which date is
enumerated for purpose of reference only, is by and between the City of Santa Ana
("City") and the Santa Ana Housing Authority ("Project Sponsor"). This Agreement
shall be administered by the City of Santa Ana.
RECITALS :
A. City on behalf of all jurisdictions in Orange County, has been designated to
receive grant funding provided by the U.S. Department of Housing and Urban
Development ("HUD") pursuant to the Housing Opportunities for Persons With AIDS
("HOPWA") Program; and
B. City has entered into a HOPWA grant agreement with HUD; and
C. Project Sponsor has provided leadership and is responsible for planning and
providing comprehensive HIV services for clients throughout Orange County and will
maintain the wait list for the program; and
D. Project Sponsor will provide services to support the Tenant-Based Rental
Assistance Program which consists of financial eligibility of tenants, HQS inspections,
and financial responsibility for housing assistance payments to landlords; and
E. The parties have cooperatively written and agree to an Administrative Plan
which identifies guidelines for the operation of the HOPWA Tenant-Based Rental
Assistance Program.
NOW, THEREFORE, the parties mutually agree as follows:
1. ALTERATION OF TERMS
A. The parties anticipate that this Agreement may be amended, or followed by additional
agreements, to implement additional services and funding of the type covered by
this Agreement.
B. This Agreement fully expresses all understanding of City and Project Sponsor
with respect to the subject matter of this Agreement, and shall constitute
the total Agreement between the parties for these purposes. No addition to, or
alteration of, the terms of this Agreement, whether written or verbal, shall be valid
unless made in writing and formally approved and executed by each party.
EXHIBIT 2
25D-41
II. SERVICES
A. City shall serve as "HOPWA Grantee" for the purpose of contracting with
organizations to provide Tenant-Based Rental Assistance to persons disabled
due to HIV/AIDS residing in Orange County.
B. Nothing in this Agreement shall prevent City from entering into one or more
agreements with the other agencies or contractors within the County, if
deemed necessary and advisable to do so by City; provided however, the
obligations and rights covered by this Agreement shall not be altered or
reduced, except as mutually agreed to in writing by City and Project Sponsor.
C. City shall conduct an ongoing assessment of the Tenant-Based Rental
Assistance Program.
D. Project Sponsor shall assure the adequate provision of supportive services to
applicants/participants to ensure program success.
E. Project Sponsor shall comply with such other terms and conditions, including
record keeping and reports for program monitoring and evaluation purposes, as
HUD may establish for purposes of carrying out the program in an effective and
efficient manner. Annual progress reports will be prepared by Project Sponsor in
a form consistent with HUD publications HUD-401 10-C (8/94). In addition,
Project Sponsor shall forward quarterly narrative reports to City identifying
accomplishments as HOPWA Project Sponsor for Tenant-Based Rental
Assistance for persons with HIV disease. These reports are to be submitted in
conjunction with payment/cost reports identified in Section IV of this Agreement
along with a summary of program budgets and financial disbursements made
under the terms of this Agreement.
F. "Contract Officers" means the City's Housing Manager or designee and
Project Sponsor's designee.
III. BUDGET
The following budget is an estimate only of the cost of providing the services hereunder
for the term July 1, 2012 through June 30, 2013. This budget may be modified by mutual
written agreement of the Contract Officers.
Administration $ 42,000.00
Housing Assistance Payments/Program Expense $558,000.00
TOTAL (Maximum Obligation) $600,000.00
2
25D-42
IV. PAYMENTS/COST REPORT
A. 1) City shall pay Project Sponsor for the actual costs of providing the
administration of services hereunder, whether provided directly by
Project Sponsor, provided, however, the total of all
payments to Project Sponsor shall not exceed the Maximum
Obligation as specified in Section III of the Agreement.
2) City shall draw down HOPWA funds designated for rental subsidy
payments on a monthly basis after receipt of certification of
individual of individual tenant subsidy amounts. After final
approval by City, funds will be disbursed to landlords.
B. Project Sponsor shall invoice City monthly exclusive of rental subsidy
payments, in arrears, based on the actual cost of providing and contracting for
the services hereunder. City shall pay Project Sponsor no later than thirty (30)
days following receipt of such invoice. Monthly payments are interim
payments only, and are subject to final settlement and reconciliation to the
final Cost Report submitted by Project Sponsor.
C. All billings by Project Sponsor shall be accompanied by copies of source
documentation including, but not limited to, journals, time sheets, canceled
checks, and records of cost incurred by Project Sponsor in the performance of
this Agreement.
D. At such times and in such a format as the Contract Officers mutually agree in
writing, Project Sponsor shall prepare and submit to City reports of cost
incurred by Project Sponsor in the performance of this Agreement.
E. The Cost Report(s) shall be financial and statistical reports(s) submitted by
Project Sponsor to City, and shall serve as the basis for final Settlement of this
Agreement. The Cost Reports(s) shall detail all costs incurred by Project
Sponsor to provide services hereunder.
F. Final Settlement shall be based upon the actual costs incurred by Project
Sponsor to provide services hereunder. If the Cost Report(s) indicates the total
of City's payments to Project Sponsor are less than Project Sponsor's cost to
provide the services hereunder, City shall pay Project Sponsor the difference;
provided, however, the total payment shall not exceed the Maximum
Obligation. If the Cost Report(s) indicates the total of City's payments to
Project Sponsor are higher than Project Sponsor's cost of providing the
services hereunder, Project Sponsor shall pay City the difference. Payment
due pursuant to the Cost Report(s) shall be made within thirty (30) days of
the Final Settlement determination.
3
25D-43
G. Any funds not expended by fiscal year end, June 30, 2013 shall be returned to
City. Said unexpended funds shall be reallocated by City through the
HOPWA Program.
V. DISPUTE RESOLUTION
A. Any party may give written notice to the other setting forth in specific terms the
existence and nature of any unresolved matter or concern related to the purposes and
obligations of this Agreement. Such notice shall be provided by and to the Contract
Officers on behalf of the parties. The Officers shall have fifteen (15) working days
following such notice to obtain resolution of any issues(s) identified in this manner;
provided, however, by mutual consent this period of time may be extended to thirty
(30) days.
B. If the Officers are unable to obtain resolution of the issue(s), they shall submit a joint
written Statement describing the facts of the issue, within thirty (30) days after the
written notice described above to the Executive Director of the Community
Development Agency ("Executive Director") and to City's Housing Manager for
resolution. If the Officers are unable to prepare a joint statement, each shall submit
separate statements to the previously listed within the thirty (30) day period. Such
persons shall meet and make their best effort to resolve the matter within thirty (30)
days following submission of the statements. Resolution of the dispute, or lack
thereof, by the Executive Director and the Santa Ana City Manager shall be
documented in the form of written correspondence exchanged by such persons within
ten (10) days following their meeting.
VI. INDEMNIFICATION
Each party agrees to indemnify, defend, and hold harmless the other party, its
officers, agents and employees from all liability, claims, losses and demands, including
defense costs, whether resulting from court action or otherwise, arising out of the acts or
omissions of the indemnifying party, its officers, agents or employees or the condition of
property used in the performance of this Agreement.
VII. INSURANCE
With respect to performance of work under this Agreement, Project Sponsor shall
maintain and shall require its subcontractors, if any, to maintain insurance as described
below:
1. Worker's compensation insurance within statutory legal limits, and
2. Commercial General Liability insurance with limits of not less than
$1,000,000 per accident/incident.
Project Sponsor shall: (a) prior to exercising any right under this Agreement, furnish
properly executed certificates of insurance and additional insured endorsement to the City
4
25D-44
which shall clearly evidence all coverages required above; (b) provide that such insurance
shall not be materially changed or terminated except on 30 days prior written notice to
the City; (c) maintain such insurance for the period covered by this Agreement; and (d)
replace such certificates for policies expiring prior to the expiration of this Agreement.
VIII. INSPECTIONS AND AUDITS
A. Any authorized representative of City, the Comptroller General of the United States,
the United States Department of Housing and Urban Development or any of their
authorized representatives, shall have access to City books, documents, records,
which such persons deem pertinent to this Agreement, for the purpose of conducting
an audit, evaluation, or examination, or making transcripts during the periods of
retention set forth in the Records/Confidentiality paragraph of this Agreement and the
premises in which they are provided.
B. City shall actively participate and cooperate with any persons specified in
subparagraph A above in any evaluation or monitoring of the services provided
pursuant to the Agreement, and shall provide the above mentioned persons adequate
office space to conduct such evaluation or monitoring.
IX. LICENSES AND LAW
A. Project Sponsor, its officers, agents, employees, and subcontractors shall, throughout
the term of this Agreement, maintain all necessary licenses, permits, approvals,
certificates, waivers and exemptions necessary for the provision of the services
hereunder and required by the laws and regulations of the United States, State of
California, City, and any other applicable governmental agencies.
B. Project Sponsor shall comply with all laws, rules, or regulations applicable to the
services provided hereunder, as any may now exist or be hereafter changed. These
laws, rules, and regulations shall include, but not limited to the following:
1. United States Code (U.S.C.), title 42, Section 12901-12912, AIDS Housing
Opportunity Act.
2. Code of Federal Regulations (CFR), Title 24, Part 574, Housing
Opportunities for Persons with AIDS.
3. Office of Management and Budget (OMB) Circular No. A-122, Cost
Principles for nonprofit organizations.
4. OMB Circular No. A-133, Audits of Institutions of Higher Education and
Other Nonprofit Institutions.
25D-45
IX. NONDISCRIMINATION
A. Employment - Project Sponsor warrants that it has developed and does maintain an
Affirmative Action program for employment which includes goals and timetables for
employment of women and minorities, which program meets the Affirmative Action
Guidelines of the Federal Equal Opportunity Commission and all appropriate state
laws and regulations.
B. Services, Benefits, and Facilities - Project Sponsor and its contractors, shall not
discriminate in the provision of services, the allocation of benefits, or in the
accommodation in facilities on the basis of ethnic group identification, race, religion,
ancestry, creed, color, sex, marital status, national origin, age, sexual preference,
medical condition, or physical or mental handicap in accordance with Title VI of the
Civil Rights Act of 1964, 42 U.S.C. §2000d and all other pertinent rules and
regulations promulgated pursuant thereto, and as otherwise provided by state law and
regulations, as all may now exist or be hereafter amended or changed.
C. Disabled Individuals - Project Sponsor and its contractors agree to comply with the
provisions of Section 504 of the Rehabilitation Act of 1973 (20 U.S.C. 794 et seq., as
implemented in 45 CFR 84.1 et seq.), pertaining to the prohibition of discrimination
against qualified handicapped persons in all programs or activities, as they exist now
or may be hereafter amended together with succeeding legislation.
D. Retaliation -Project Sponsor and its employees, agents, or contractors shall not
intimidate, coerce or take adverse action against any person for the purpose of
interfering with rights secured by federal or state laws, or because such person has
filed a complaint, certified, assisted or otherwise participated in an investigation,
proceeding, hearing or any other activity undertaken to enforce rights secured by
federal or state law.
X. NOTICES
A. Unless otherwise specified, all notices, claims, correspondence, reports and/or
statements authorized or required by this Agreement shall be effective when
written and deposited in the United States mail, first class postage prepaid and
addressed as specified in this Agreement.
B. Termination Notices shall be effective when written and deposited in the United
States mail, certified, return receipt requested, and addressed as specified below.
C. For purposes of this Agreement, any notice to be provided by City may be given
by Contract Officers.
Notices to City and Project Sponsor shall, unless otherwise requested in writing, be sent by
U.S. Mail, postage prepaid, and addressed as follows:
25D-46
city
City of Santa Ana
Attn: Executive Director CDA
20 Civic Center Plaza (M-25)
Santa Ana, CA 92701
Project Sponsor:
Santa Ana Housing Authority
Attn: Housing Manager
20 Civic Center Plaza (M-27)
Santa Ana, CA 92701
XI. RECORDS/CONFIDENTIALITY
A. The parties, and any subcontractors, shall prepare and maintain any records required
by laws, regulations, and procedures applicable to their responsibilities under this
Agreement.
B. The parties agree to maintain the confidentiality of any records which pertain to this
Agreement in accordance with applicable state and federal laws and regulations.
Financial records related to this Agreement shall be maintained for two (2) years after
termination of this Agreement.
XII. SEVERABILITY
If a court of competent jurisdiction declares any provision of this Agreement or
application thereof to any person or circumstances to be invalid or if any provision of
this Agreement contravenes any federal, state or county statute, ordinance, or regulation,
the remaining provisions of this Agreement or the application thereof shall remain valid,
and the remaining provisions of this Agreement shall remain in full force and effect, and
to that extent the provisions of this Agreement are severable.
XIII. STATUS OF CONTRACTOR
The Housing Authority is, and at all times shall be deemed to be, an independent
contractor and shall be wholly responsible for the manner in which they perform the
services required by the terms of this Agreement. The Housing Authority is, and at all
times shall be deemed to be, entirely responsible for compensating staff and consultants
employed by the Housing Authority. This Agreement shall not be construed as creating
the relationship of employer and employee, or principal and agent, between City and the
Housing Authority employees, agents, or subcontractors. The Housing Authority
assumes exclusively the responsibility for the acts of its employees, agents or
subcontractors as they relate to the services to be provided during the course and scope of
their employment. The Housing Authority, its agents, employees, or subcontractors, shall
7
25D-47
not be entitled to any rights or privileges of City employees and shall not be considered in
any manner to be City employees.
XIV. NON-ASSIGNABILITY AND DELEGATION
Project Sponsor shall not assign any rights under this Agreement except upon
written authorization from City.
XV. TERM
The term of this Agreement shall commence July 1, 2012 and terminate June 30,
2013, unless terminated earlier as provided in this Agreement; provided, however, the
Santa Ana Housing Authority shall be obligated to perform such duties as would
normally extend beyond this term, including but not limited to, obligations with respect
to indemnification, audits, reporting and accounting.
XVI. TERMINATION
A. Any party may terminate this Agreement, without cause, upon ninety (90) days
written notice given the other parties.
B. Any party may terminate this Agreement, upon thirty (30) days written notice given
the other parties for material breach after failure to resolve the breach pursuant to the
Dispute Resolution paragraph of this Agreement.
C. The rights and remedies of City and the Housing Authority provided in this
Termination paragraph shall not be exclusive, and are in addition to any other rights
and remedies provided by law or under this Agreement.
XVIL THIRD PARTY BENEFICIARY
No party hereto intends that this Agreement shall create rights hereunder in third
parties including but not limited to any subcontractors or any patients provided services
hereunder.
XVIII. WAIVER OF DEFAULT OR BREACH
Waiver of any default the Housing Authority or City shall not be considered
a waiver of any subsequent default. Waiver of any breach by the Housing Authority or
City of any provision of this Agreement shall not be considered a waiver of any
subsequent breach. Waiver of any default of any breach by the Housing Authority or
City shall not be considered a modification of the terms of this Agreement.
25D-48
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date
stated above.
ATTEST:
Maria D. Huizar
Clerk of the Council
APPROVED AS TO CONTENT:
Paul Walters
Interim City Manager
APPROVED AS TO FORM:
Sonia R. Carvalho, City Attorney
By: Lisa E. Storck
Assistant City Attorney
9
HOUSING AUTHORITY
Nancy T. Edwards
Interim Executive Director
25D-49
25D-50
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
CLERK OF COUNCIL USE ONLY:
MAY 7, 2012
TITLE APPROVED
AMENDMENT TO AGREEMENTS WITH ? As Recommended
OCTA FOR STEP 2 AND STEP 3 WORK ? As Amended
l't
FOR SANTA ANA-GARDEN GROVE El Ordinance on Reading
171 Ordinance on 2 n "d Reading
FIXED GUIDEWAY PROJECT (PROJECT ? Implementing Resolution
126766) NON-GENERAL FUND ? Set Public Hearing For_
CITY MANAGER
CONTINUED TO
FILE NUMBER
RECOMMENDED ACTION
Authorize the City Manager and Clerk of the Council to execute an amendment to the
cooperative agreements with the Orange County Transportation Authority (OCTA), to reallocate
$488,000 in funding from Step 3 Preliminary Engineering to Step 2 Environmental Analysis for
the Santa Ana-Garden Grove Fixed Guideway Project (Project), subject to nonsubstantive
changes approved by the City Manager and City Attorney.
BACKGROUND
The Cities of Santa Ana and Garden Grove are working collaboratively with OCTA on the Santa
Ana-Garden Grove Fixed Guideway project. Santa Ana and OCTA have entered into two
cooperative agreements for development of the Project to define their respective roles and
responsibilities. A Step 2 agreement for Environmental Analysis was executed in 2008 for an
amount of $5.9 million and a Step 3 agreement for Project Development (Preliminary
Engineering) was executed in 2011 for an amount not to exceed $5,541,700, contingent on the
project being accepted into FTA's Section 5309 New Starts/Small Starts Program.
In early 2010, with the prolonged economic downturn affecting potential local funding sources,
OCTA directed the City of Santa Ana to prepare the project for Federal Transit Administration
(FTA) Section 5309 New Starts/Small Starts grant funding because the project was considered
to be a strong candidate under this program. FTA became actively involved in discussions with
OCTA and the cities of Santa Ana and Garden Grove soon thereafter, and project deliverables
were revised and refined to satisfy the specific requirements of FTA and submitted to FTA for
approval.
DISCUSSION
In late March, Cordoba Corporation, the City's consultant for Step 2, contacted the City
requesting additional funds to complete Step 2. The consultant stated that the process was
significantly altered with the decision to prepare the Project to compete for FTA New
Starts/Small Starts funding. The involvement of an additional reviewing/approving agency
25E-1
Amendment to Agreements
for Step 2 and Step 3 Work
for the Fixed Guideway Project
May 7, 2012
Page 2
(FTA), in the process has resulted in additional document review cycles, and thus, increased
time needed to complete the project, resulting in added costs. Additionally, a major sub-
consultant, who was responsible for preparation of the environmental analysis for the project,
has been unable to deliver the environmental documents in a timely manner and of a quality
acceptable to the City and OCTA. Consequently, on April 16, 2012, the City contacted OCTA
regarding the budget shortfall and the additional funds needed to complete Step 2.
OCTA and the City are both committed to the successful development and completion of the
Fixed Guideway project, and have worked closely to address project issues and to identify
potential funding to resolve them. It was determined that the City can request a reallocation of
the 10% of Measure M2 Project S funds from the Step 3 Preliminary Engineering, to Step 2 to
complete the environmental documents, project management support, and agency coordination.
Attached Exhibit 1 shows the current funding for Project Development and the reallocation. This
will result in an equivalent shortfall for the Step 3 Preliminary Engineering funding, which will be
filled with City funds. Further, if the project does not advance to the next step (Preliminary
Engineering Phase), the City will be required to reimburse to OCTA the reallocated funds.
Amendment to cooperative agreements is scheduled to be approved by the Transit Committee
on May 10, 2012 and subsequently by the OCTA Board on May 14, 2012.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
Funds for the reallocation from Step 3 ($488,000 in Project S) to Step 2 are available in
Measure M2 Street Construction (accounting unit 03217662-66220, project 126766). The City
will be required to backfill this amount with City dollars for the completion of Step 3. Exhibit 2 is
the detailed funding analysis for Step 2 & Step 3.
APPROVED AS TO FUNDS AND ACCOUNTS:
r
Raul Godinez I Francisco Gutierrez
Executive Director Executive Director
Public Works Agency Finance & Management Services Agency
RG/SA
Exhibit 1: Reallocation of Step 3
Exhibit 2: Funding Analysis
25E-2
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LU
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
MAY 7, 2012
TITLE:
AGREEMENTS WITH J & G
INDUSTRIES, INC. AND AMERICAN
WRECKING, INC. FOR DEMOLITION
SERVICES FOR CIP PROJECTS
(NON GENERAL FUND)
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 agreements for
demolition services, subject to nonsubstantive changes approved by the City Manager and City
Attorney with:
• J & G Industries Incorporated in an amount not to exceed $400,000.
• American Wrecking Incorporated in an amount not to exceed $400,000.
DISCUSSION
On February 6, 2012, the City Council authorized the Public Works Agency to release a Request
for Proposals (RFP) to qualified consulting firms to provide demolition services, as needed, in
support of the City's Capital Improvement Program (CIP). These services will be utilized for
current CIP projects, including the Grand Avenue widening and Bristol Street widening projects.
The RFP for the above services was advertised in the Orange County Register and on the City's
Website. Additionally, the RFP was sent to 29 contractors. Of these, 22 expressed further
interest and 12 contractors attended the pre-proposal meeting. Of those, seven contractors
submitted proposals. Additionally, a special effort to contact ten Santa Ana contractors was
made and only two submitted proposals. Each firm was rated according to its qualifications and
experience. Following is the list of the firms and their respective scores:
25F-1
Agreements for Demolition
Services for CIP Projects
May 7, 2012
Page 2
NAME OF FIRM
J & G Industries Incorporated
American Wrecking Incorporated
Unlimited Environmental Inc.
Accord Engineering
Interior Demolition Incorporated
Miller Environmental Incorporated
Real Estate Consulting & Services
RANKING
91
84
79
76
68
66
65
Based on the ratings and their experience with the City, staff recommends that the firms of J & G
Industries Incorporated and American Wrecking Incorporated be retained for the demolition
services. Services will be used on an as-needed basis until the contract amount is exhausted.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
These services are on-call and will be used when funds are available in the Capital Improvement
Program.
APPROVED AS TO FUNDS AND ACCOUNTS:
V[00'1?"Y
Raul Godinez IN
V
Executive Director
Public Works Agency
RG/SA
Exhibit 1: Agreements
Francisco Gutierrez
Executive Director
Finance & Management Services Agency
25F-2
EXHIBIT 1
DEMOLITION SERVICES AGREEMENT
THIS AGREEMENT, made and entered into this 7`h day of May, 2012, by and between
J&G INDUSTRIES, INC., a California corporation (hereinafter "Contractor"), and the City of
Santa Ana, a charter city and municipal corporation organized and existing under the Constitution
and laws of the State of California (hereinafter "City").
RECITALS
A. The City desires to retain a contractor having special skill and knowledge in the field of
demolition and land clearing services.
B. Contractor represents that it is able and willing to provide such services for Santa Ana.
C. In undertaking the performance of this Agreement, Contractor represents that it is
knowledgeable in its field and that any services performed by Contractor under this
Agreement will be performed in compliance with such standards as may reasonably be
expected from a professional demolition contractor.
NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the
terms and conditions hereinafter set forth, the parties agree as follows:
1. SCOPE OF SERVICES
Contractor shall provide demolition services on an on-call basis, as set forth in City's
Request for Proposals for Demolition Services (hereinafter "RFP"), and as more specifically
described "Scope of Work, attached hereto as Exhibit A, and Contractor's Proposal, attached as
Exhibit A-1. City's RFP and all Exhibits shall be incorporated by reference. All work shall be
assigned by Contract Task Order (CTO), based upon the designated Contractor's ability to
perform the required work within the project schedule and budget. The project fee and scope of
work will be defined in each approved CTO.
2. COMPENSATION
a. City agrees to pay, and Contractor agrees to accept as total payment for its services,
the rates and charges identified in each Contract Task Order, as set forth in above. The total sum
to be expended under this Agreement shall not exceed $400,000.00 during the term of this
Agreement.
b. Payment by City shall be made within thirty (30) days following receipt of proper
invoice evidencing work performed, subject to City accounting procedures. The invoice shall
include a detailed breakdown of the services provided, the project title, the tasks, the hours, and
hourly rates. Payment need not be made for work which fails to meet the standards of
performance set forth in the Recitals which may reasonably be expected by City.
3. TERM
This Agreement shall commence on May 1, 2012 and terminate on the later of June 30,
2013, or the expenditure of allocated funds, unless terminated earlier in accordance with Section
12, below. The City shall have the option to extend the term for an additional one-year period.
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4. INDEPENDENT CONTRACTOR
Contractor shall, during the entire term of this Agreement, be construed to be an
independent contractor and not an employee of the City. This Agreement is not intended nor
shall it be construed to create an employer-employee relationship, a joint venture relationship, or
to allow the City to exercise discretion or control over the professional manner in which
Contractor performs the services which are the subject matter of this Agreement; however, the
services to be provided by Contractor shall be provided in a manner consistent with all applicable
standards and regulations governing such services. Contractor shall pay all salaries and wages,
employer's social security taxes, unemployment insurance and similar taxes relating to employees
and shall be responsible for all applicable withholding taxes.
5. INSURANCE
Prior to undertaking performance of work under this Agreement, Contractor shall
maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described
below:
a. Commercial General Liability Insurance. Contractor shall maintain commercial
general liability insurance which shall include, but not be limited to protection against claims
arising from bodily and personal injury, including death resulting therefrom and damage to
property, resulting from any act or occurrence arising out of Contractor's operations in the
performance of this Agreement, including, without limitation, acts involving vehicles. The
amounts of insurance shall be not less than the following: single limit coverage applying to bodily
and personal injury, including death resulting therefrom, and property damage, in the total
amount of $1,000,000 per occurrence, $2,000,000 in the aggregate. Such insurance shall (a)
name the City, its officers, employees, agents, volunteers and representatives as additional
insured(s); (b) be primary and not contributory with respect to insurance or self-insurance
programs maintained by the City; and (c) contain standard separation of insureds provisions.
b. Business automobile liability insurance, or equivalent form, with a combined single
limit of not less than $2,000,000 combined single limit. Such insurance shall include coverage
for owned, hired and non-owned automobiles.
c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300
of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against
liability for worker's compensation or to undertake self-insurance. Prior to commencing the
performance of the work under this Agreement, Contractor agrees to obtain and maintain any
employer's liability insurance with limits not less than $1,000,000 per accident.
d. The following requirements apply to the insurance to be provided by Contractor
pursuant to this section:
(i) Contractor shall maintain all insurance required above in full force and effect
for the entire period covered by this Agreement.
(ii) Certificates of insurance shall be furnished to the City upon execution of this
Agreement and shall be approved in form by the City Attorney.
(iii) Certificates and policies shall state that the policies shall not be canceled or
reduced in coverage or changed in any other material aspect without thirty (30)
days prior written notice to the City.
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e. If Contractor fails or refuses to produce or maintain the insurance required by this
section or fails or refuses to furnish the City with required proof that insurance has been procured
and is in force and paid for, the City shall have the right, at the City's election, to forthwith
terminate this Agreement. Such termination shall not effect Contractor's right to be paid for its
time and materials expended prior to notification of termination. Contractor waives the right to
receive compensation and agrees to indemnify the City for any work performed prior to approval
of insurance by the City.
6. INDEMNIFICATION
Contractor 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 for
personal injury, including death, and claims for property damage, which may arise from the direct
or indirect operations of the Contractor or its contractors, subcontractors, agents, employees, or
other persons acting on their behalf which relates to the services described in section 1 of this
Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just
compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered,
by reason of the events referred to in this Section. The Contractor further agrees to indemnify,
hold harmless, and pay all costs for the defense of the City, including fees and costs for special
counsel to be selected by the City, regarding any action by a third party asserting that personal
injury, damages, just compensation, restitution, judicial or equitable relief due to personal or
property rights arises by reason of the terms of, or effects arising from this Agreement. City may
make all reasonable decisions with respect to its representation in any legal proceeding.
7. CONFIDENTIALITY
If Contractor receives from the City information which due to the nature of such
information is reasonably understood to be confidential and/or proprietary, Contractor agrees that
it shall not use or disclose such information except in the performance of this Agreement, and
further agrees to exercise the same degree of care it uses to protect its own information of like
importance, but in no event less than reasonable care. "Confidential Information" shall include
all nonpublic information. Confidential information includes not only written information, but
also information transferred orally, visually, electronically, or by other means. Confidential
information disclosed to either party by any subsidiary and/or agent of the other party is covered
by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to
any information that (a) has been disclosed in publicly available sources; (b) is, through no fault
of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the
Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of
law; or (e) is independently developed by the Contractor without reference to information
disclosed by the City.
8. CONFLICT OF INTEREST CLAUSE
Contractor covenants that it presently has no interests and shall not have interests, direct
or indirect, which would conflict in any manner with performance of services specified under this
Agreement.
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9. NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this
Agreement shall be in writing and shall be deemed to be properly given if delivered in person or
mailed by first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic
communication in the manner provided in this Section, to the following persons:
To City: Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M-30)
P.O. Box 1988
Santa Ana, CA 92702-1988
facsimile (714) 647-6956
With courtesy copies to:
Public Works - Design Engineering
City of Santa Ana
20 Civic Center Plaza (M-36)
P.O. Box 1988
Santa Ana, California 92702
facsimile (714) 647-5635
and City Attorney
City of Santa Ana
20 Civic Center Plaza (M-29)
P.O. Box 1988
Santa Ana, California 92702
facsimile (714) 647-6515
To Contractor: James K. Cain
J & G Industries, Inc.
18627 Brookhurst St. 4302
Fountain Valley, California 92708
facsimile (714) 903-2003
A party may change its address by giving notice in writing to the other party. Thereafter,
any communication shall be addressed and transmitted to the new address. If sent by mail,
communication shall be effective or deemed to have been given three (3) days after it has been
deposited in the United States mail, duly registered or certified, with postage prepaid, and
addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to
have been given twenty-four (24) hours after the time set forth on the transmission report issued
by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating
these time frames, weekends, federal, state, County or City holidays shall be excluded.
10. EXCLUSIVITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and
Contractor, and supersedes any and all other agreements, oral or written, between the parties. In
the event of a conflict between the terms of this Agreement and any attachments hereto, the terms
of this Agreement shall prevail. This Agreement may not be modified except by written
instrument signed by the City and by an authorized representative of Contractor. The parties
agree that any terms or conditions of any purchase order or other instrument that are inconsistent
25F-6
with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor nor
the City. Each party to this Agreement acknowledges that no representations, inducements,
promises or agreements, orally or otherwise, have been made by any party, or anyone acting on
behalf of any party, which are not embodied herein.
11. ASSIGNMENT
Inasmuch as this Agreement is intended to secure the specialized services of Contractor,
Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior
written consent of the City and any such assignment, transfer, delegation or subcontract without
the City's prior written consent shall be considered null and void. Nothing in this Agreement shall
be construed to limit the City's ability to have any of the services which are the subject to this
Agreement performed by City personnel or by other consultants retained by City.
12. TERMINATION
This Agreement may be terminated by the City upon thirty (30) days written notice of
termination. In such event, Contractor shall be entitled to receive and the City shall pay Contractor
compensation for all services performed by Contractor prior to receipt of such notice of termination,
subject to the following conditions:
a. As a condition of such payment, the Executive Director may require Contractor to deliver
to the City all work product completed as of such date, and in such case such work product shall be
the property of the City unless prohibited by law, and Contractor consents to the City's use thereof
for such purposes as the City deems appropriate. However, any use of unfinished work product shall
be at City's sole risk.
b. Payment need not be made for work which fails to meet the standard of performance
specified in the Recitals of this Agreement.
13. DISCRIMINATION
Contractor shall not discriminate because of race, color, creed, religion, sex, marital
status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by
applicable law, in the recruitment, selection, training, utilization, promotion, termination or other
employment related activities. Contractor affirms that it is an equal opportunity employer and
shall comply with all applicable federal, state and local laws and regulations.
14. JURISDICTION - VENUE
This Agreement has been executed and delivered in the State of California and the
validity, interpretation, performance, and enforcement of any of the clauses of this Agreement
shall be determined and governed by the laws of the State of California. Both parties further
agree that Orange County, California, shall be the venue for any action or proceeding that may be
brought or arise out of, in connection with or by reason of this Agreement.
15. PROFESSIONAL LICENSES
Contractor shall, throughout the term of this Agreement, maintain all necessary licenses,
including either a Class A General Engineering, Class B General Building or C-21 Building
Moving, Demolition License; permits, approvals, waivers, and exemptions necessary for the
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provision of the services hereunder and required by the laws and regulations of the United States,
the State of California, the City of Santa Ana and all other governmental agencies. Contractor
shall notify the City immediately and in writing of its inability to obtain or maintain such permits,
licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this
Agreement.
16. MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature hereinbelow has the power,
authority and right to bind their respective parties to each of the terms of this Agreement, and shall
indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to
City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn.
b. Captions and headings in this Agreement, including the title of this Agreement, are for
convenience only and are not to be considered in construing this Agreement.
c. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set
forth in the body of this Agreement.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year
first above written.
ATTEST:
CITY OF SANTA ANA
MARIA D. HUIZAR
Clerk of the Council
APPROVED AS TO FORM:
PAUL M. WALTERS
Interim City Manager
J & G INDUSTRIES, INC.
SONIA R. CARVALHO
City Attorney
By:
Laura Sheedy
Assistant City Attorney
JAMES K. CAIN
President
Tax ID#
RECOMMENDED FOR APPROVAL:
RAUL GODINEZ, II
Executive Director - PWA
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EXHIBIT A
SCOPE OF WORK
DEMOLITION:
Contractor is responsible for the payment of all applicable permits required by the City of
Santa Ana.
Contractor is responsible for demolishing all improvements, including but not limited to:
foundations and footings, slabs, basement, detached garage and all landscaping.
Contractor is also responsible for clearing the site, grading the parcel for drainage,
importing and exporting fill dirt as needed, capping all sewer lines, and compacting to
90% density.
All work is to be done in accordance with all applicable federal, state and local
regulations, standards and codes governing demolition and any other trade work done in
conjunction with the demolition. Copies of all demolition permits, sewer cap inspection
approval and a letter of completion shall be submitted for City's files prior to the
Contractor receiving payment.
The Contractor shall supply all necessary labor, materials, services, insurance, permits,
and equipment to carry out the work in accordance with all applicable federal, state, and
local regulations. The Contractor at all times shall keep the Project site free from
accumulation of waste materials or rubbish caused by the Contractor's operations. At the
completion of each trade of the work, and at final completion prior to contractor
submitting the final invoice, Contractor shall remove all waste materials, and rubbish
from and about the project as well as tools, construction equipment, machinery, and
surplus materials.
Asbestos Abatement:
The work described herein consists of removal and disposal of ALL asbestos containing
materials (ACM-friable or nonfriable) and subsequent cleaning of the sites in accordance
with all applicable federal, state and local regulations, standards and codes governing
asbestos and any other trade work done in conjunction with the abatement. Results of
any testing that identify asbestos containing materials will be provided by the City. It is
the responsibility of the Contractor to determine if any additional asbestos removal is
required in addition to the surveys.
Lead:
The Contractor shall take all necessary precautions and follow all OSHA's guidelines
required in the handling of lead containing materials if any are detected. Please refer to
the Lead Hazard Evaluation Report.
Copies of all notifications must be submitted to City including, abatement contractor's
license, map and/or clear documentation specifying asbestos containing materials
abated; completed waste manifests; and a completion letter indicating that all asbestos
containing materials from these properties have been abated and properties are ready to
be demolished.
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Rat and/or Vermin Abatement:
Contractor, prior to performing demolition, is responsible for providing rat and/or vermin
abatement. Written certification stating that such work was performed, and that the
structures were free of infestation prior the demolition taking place must be provided to
the City as part of the demolition completion package
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EXHIBIT A-1
CONTRACTOR'S PROPOSAL
25F-11
EXHIBIT A
DEMOLITION:
SCOPE OF WORK
Contractor is responsible for the payment of all applicable permits required by the City of
Santa Ana.
Contractor is responsible for demolishing all improvements, including but not limited to:
foundations and footings, slabs, basement, detached garage and all landscaping.
Contractor is also responsible for clearing the site, grading the parcel for drainage,
importing and exporting fill dirt as needed, capping all sewer lines, and compacting to
90% density.
All work is to be done in accordance with all applicable federal, state and local
regulations, standards and codes governing demolition and any other trade work done in
conjunction with the demolition. Copies of all demolition permits, sewer cap inspection
approval and a letter of completion shall be submitted for City's files prior to the
Contractor receiving payment.
The Contractor shall supply all necessary labor, materials, services, insurance, permits,
and equipment to carry out the work in accordance with all applicable federal, state, and
local regulations. The Contractor at all times shall keep the Project site free from
accumulation of waste materials or rubbish caused by the Contractor's operations. At the
completion of each trade of the work, and at final completion prior to contractor
submitting the final invoice, Contractor shall remove all waste materials, and rubbish
from and about the project as well as tools, construction equipment, machinery, and
surplus materials.
Asbestos Abatement:
The work described herein consists of removal and disposal of ALL asbestos containing
materials (ACM-friable or nonfriable) and subsequent cleaning of the sites in accordance
with all applicable federal, state and local regulations, standards and codes governing
asbestos and any other trade work done in conjunction with the abatement. Results of
any testing that identify asbestos containing materials will be provided by the City. It is
the responsibility of the Contractor to determine if any additional asbestos removal is
required in addition to the surveys.
Lead:
The Contractor shall take all necessary precautions and follow all OSHA's guidelines
required in the handling of lead containing materials if any are detected. Please refer to
the Lead Hazard Evaluation Report.
Copies of all notifications must be submitted to City including, abatement contractor's
license, map and/or clear documentation specifying asbestos containing materials
abated; completed waste manifests; and a completion letter indicating that all asbestos
containing materials from these properties have been abated and properties are ready to
be demolished.
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Rat and/or Vermin Abatement:
Contractor, prior to performing demolition, is responsible for providing rat and/or vermin
abatement. Written certification stating that such work was performed, and that the
structures were free of infestation prior the demolition taking place must be provided to
the City as part of the demolition completion package
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EXHIBIT A-1
CONTRACTOR'S PROPOSAL
25F-14
City of Santa Ana March 26, 2012
Request for Proposals for Demolition Services
Proposed Subcontractors
The following subcontractors may be used on an as-needed basis:
Tri Span Inc. (8a/MBE/DBE) - Asbestos/Lead and Hazardous Abatement
Contact: Joe Aralza, Principal - Tel: 714-257-9680 / Fax: 714-257-9681
591 W. Explorer St, Brea, CA 92821
Licenses: #611639, Class A,B,C-10,C-33, ASB & HAZ; expires 2128113
DOSH #218; expires 7/18/13
J&G has worked with Tri Span on over 100 projects during the last 19 years.
Envirocon Contracting Inc. (SBE) - Asbestos/Lead and Hazardous Abatement
Contact: Dave Adams, Principal - Tel: 714-827-62001 Fax: 714-827-6260
5940 Lakeshore Or, Cypress, CA 90630
Licenses: #889528, Class B,C-21,C-43, ASB & HAZ; expires 1/31113
DOSH #909; expires 7118/13
J&G has worked with Envirocon Contracting on over 50 projects during the last 15 years.
T&T Environmental Inc. - Asbestos/Lead Survey
Contact: Robert Strong, Principal -- Tel: 800-400-4828 / Fax: 562-420-3742
PO Box 3433, Lakewood, CA 90711
J&G has worked with T&T Environ. on over 25 projects during the last 15 years.
On-Site Environmental Inc. (SBE) - Asbestos/Lead Survey
Contact: James McQuade, Principal - Tel: 714-920-3833 / Fax: 714-530-7108
10022 Dewey Or #101, Garden Grove, CA 92840
J&G has worked with On-Site Environ, on over 5 projects during the last 2 years.
Gittens Environmental & Engineering Inc. - Engineering/Environmental Support
Contact: John Gittems, Principal -- Tel: 949-837-9438 / Fax: 949-472-0517
22322 Platino, Mission Viejo, CA 92691
Licenses: #686535 Class A, HAZ; expires 4/30/12
Registered Professional Engineer, Civil #C43505; expires 6130/12
J&G has worked with Gittens Environ. on over 35 projects during the last 17 years.
Mueller & Associates - Safety Consulting / Job Site Safety Audits
Contact: Peter Mueller, Principal - Tel: 805-659-71761 Fax: 805-659-7177
PO Box 4579, Ventura, CA 93007-0579
J&G has worked with Mueller & Assoc. on retainer for projects during the last 12 years.
Total Exterminating, Inc. - RatiVermin Control
Contact: Dwayne Hartzell, Service Manager -- Tel: 714-630-3215 / Fax: 714-630-2048
2811 E. Gretta Ln, Anaheim, CA 92806
J&G has worked with Total Exterminating on over 25 projects during the last 11 years.
Mel Smith Electric, Inc. - Electrical Work
Contact: Brian Dimsho, PM/Sr. Estimator - Tel: 714-761-3205 / Fax: 714-761-4710
10950 Date St, Stanton, CA 90680
Licenses: #394741 Class A,B,C-1 0,C-1 2,C-2 1, HAZ; expires 11/30/12
J&G has worked with Mel Smith Electric on over 25 projects during the last 13 years.
J&G Industries
Page 12
25F-15
City of Santa Ana
Request for Proposals for Demolition Services
Van Diest Brothers, Inc. - Utility Work
Contact: Gary Van Diest, Principal - Tel: 562-633-2835 / Fax: 562-633-0414
15315 S. Lakewood Blvd, Paramount, CA 90723
Licenses: #157555 Class A,C-36; expires 7/31/13
J&G has worked with Van Diest Bros on over 20 projects during the last 15 years.
California Protective Services - Site Security
Contact: Denise Rodriguez, Dev. Manager- Tel: 310-878-1030 / Fax: 310-818-1062
436 W. Walnut St, Gardena, CA 90248
J&G has worked with CPS on several projects in the last year.
March 26, 2012
United Pumping Services, Inc. (MBE) - Plumbing, Cleaning, Lab Packing, Disposal of
Misc.Materials
Contact: Rudy Ruiz, PM/Estimator - Tel: 626-961-9326 / Fax: 626-961-3799
14000 E. Valley Blvd, Industry, CA 91746
Licenses: #617639 Class A,C-21,C-31,C-42, ASB & HAZ; expires 4130/13
J&G has worked with United Pumping on over 25 projects during the last 15 years.
G.O. Rodriguez Trucking (MBE/DBE) -- Trucking
Contact: George Rodriguez, Principal - Tel: 909-593-3747 / Fax: 626-815-8671
PO Box 2211, Irwindale, CA 91706
J&G has worked with G. 0. Rodriguez Trucking on over 100 projects during the last 9 years.
Federal Disposal Services, Inc. - Trucking
Contact: Don Shubin, Principal - Tel: 714-773-5600 / Fax: 714-773-5608
PO Box 14730, Irvine, CA 92623
J&G has worked with Federal Disposal Services on over 100 projects during the last 10 years.
National Construction Rentals - Fencing
Contact: Tori Lacey, Customer Service Rep. - Tel: 714-285-0243 / Fax: 714-568-5338
1105 East 6th St, Santa Ana, CA 92201
J&G has worked with National Construction on over 50 projects during the last 17 years.
American Fence Company - Fencing
Contact: Dave Klatch, Customer Service Rep. - Tel: 562-941-34781 Fax: 561-941-0757
8312 Allport Ave, Santa Fe Springs, CA 90670
J&G has worked with American Fence on over 20 projects during the last 8 years.
Orange County Scaffolding, Inc. - Scaffolding
Contact: Chris Aphessetche, President - Tel: 714-637-6010 / Fax: 714-637-7960
121 E. Meats Ave, Orange, CA 92865
Licenses: #290438 Class D-39: expires 2128/13
J&G has worked with OC Scaffolding on numerous projects in the last 5 years.
Brand Scaffolding - Scaffolding
Contact: John Spagnolo, Commercial Manager - Tel: 562-817-2246 / Fax: 562-630-0274
6001 Obispo Ave, Long Beach, CA 90805
J&G has worked with Brand Scaffolding on numerous projects in the last 5 years.
J&G Industries Page 13
25F-16
City of Santa Ana
Request for Proposals Demolition Services
March 26, 2012
Team Availability
AG has an experienced and committed team available to serve on this contract. Key
personnel will be available to the extent proposed for the duration of the project. No person
designated as "key" shall be removed or replaced without prior written concurrence of CSA.
Team Member Role Firm %
Available
Jim Cain Project Manager/Principal Agent AG 50-100%
John Mershimer Project Manager/Field Superintendent AG 50-100%
Todd Stewart Project Manager/Field Superintendent AG 60-100%
Peter Mueller Safety Officer Mueller & Assoc. 20-60%
Eric Cain Field Superintendent J&G 50-100%
Mauro Ruiz Field Su erintendent/O erator AG 50-100%
John Gittens Engineering / Env. Consultant Gittens Env. & En 20-60%
Four Operators Equipment Operators AG 50-100%
Ten, Laborers Laborers AG 50-100%
J&G Industries
Page 25
25F-17
City of Santa Ana March 26, 2012
Request for Proposals Demolition Services
C. Work Plan
Approach
Contract Task Order (CTO) requests will be received and reviewed by Jim Cain, President of
J&G. Mr. Cain will negotiate with the CSA the costs to complete the CTO. Mr. Cain will assign
a Project Manager and Field Superintendent for the CTO. For small and medium size CTOs,'
the Project Manager can also serve as the Field Superintendent. J&G's Project Managers are:
Jim Cain, John Mershimer, and Todd Stewart. J&G's Field Superintendents are: John
Mershimer, Todd Stewart, Mauro Ruiz, and Eric Cain.
The following is a description of our anticipated approach to implement the CTOs upon GSA's
authorization to proceed with the work.
J&G's assigned Project Manager will first manage the services that are required to be
performed within 24 hours of CTO execution. If required, fencing and boarding will be installed
to secure the site. All necessary notices, ordinances, statues rules, laws, and regulations shall
be followed in the performance of the CTO. Notifications/ permits may include: city grading,
city demolition, city sewer capping, Orange County Health Care Agency (OCHCA) tank
closure, OCHCA water well closure, OCHCA monitoring well closure, South Coast Air Quality
Management District (SCAQMD) demolition, SCAQMD asbestos abatement, SCAQMD VOC
containing tank or soil abatement, OSHA excavation, OSHA falsework, OSHA over height, and
OSHA scaffolding.
The Project Manager will direct J&G's consultant to prepare a Notice of Intent (NOI) to comply
with the terms of the general permit to discharge storm water associated with construction
activity, for sites that are one acre or larger in size. The Project Manager will submit the NOI
and permit fee to the State Water Resources Control Board. When required, the Project
Manager will direct J&G's consultant to prepare a Construction Storm Water Pollution
Prevention Plan (SWPPP). Storm water best management practices will be implemented as
needed for compliance with the SWPPP.
A site specific Health & Safety Plan will be prepared for the project. The Field Superintendent
will conduct periodic tailgate Health & Safety meetings to cover health and safety issues with
J&G Industries Page 26
25F-18
City of Santa Ana March 26, 2012
Request for Proposals Demolition Services
field workers. J&G's consultant will periodically conduct site safety inspections. Results are
given to the Project Manager for directing changes.
Underground Service Alert will be contacted to have the location of utilities marked. The
Project Manager shall contact utility companies to coordinate any required utility terminations.
Where required, sewer capping will occur at the beginning of work. The Field Superintendent
will be on site at the time the agency is scheduled to inspect the utility termination.
Care shall be taken to perform the services so as not to endanger the safety of any.person or
property. At the start of the CTO, the Field Superintendent will visually survey existing
improvements and utilities near the work site, in order to protect them from damage. Field
Superintendent will also visually survey the site for potential materials containing
regulated/hazardous wastes. The Project Manager will contact CSA of any findings.
As directed by the CSA, the Project Manger will arrange for J&G's consultant to perform an
asbestos and lead-based paint survey and an abatement plan for the asbestos and lead
containing materials removal and disposal. When an asbestos and lead-based paint survey
has been previously prepared, the Project Manager will arrange for J&G's subcontractor to
prepare an abatement plan. The abatement plan will be submitted to the SCAQMD for their
approval. The Project Manger shall confirm that all required licenses, permits and certifications
have been acquired for implementing the abatement plan. The Project Manager will submit the
SCAQMD approved abatement plan for CSA approval to proceed with its implementation.
Upon CSA's approval, J&G's abatement subcontractor will implement the abatement plan.
Field Superintendent will verify waste is properly manifested for disposal at proper facility.
Upon completion of abatement plan implementation, the Field Superintendent will conduct a
pre-demolition survey to identify: that the asbestos, lead, regulated and hazardous wastes
have been removed as per their abatement plans; verify monitoring records; verify proper
manifesting of waste disposal; visually verify no other hazardous materials are left in
demolition area; as required, verify site is secured by appropriate fencing; verify that
appropriate protection devices are in place, such as pedestrian protection canopy; verify
appropriate signing displayed (i.e. no trespassing, keep out demolition in progress, danger,
etc.); verify all utilities have been terminated; and erosion control measures are in place, as
needed and required. The Field Superintendent will use a checklist to complete the pre-
demolition survey. The Field Superintendent will confirm with the Project Manger that the
J&G Industries
Page 27
25F-19
City of Santa Ana March 26, 2092
Request for Proposals Demolition Services
demolition area is ready for demolition. Structures ready for demolished will be clearly marked
"CLEAR FOR DEMO J&G."
Field Superintendent will direct crews in: structure demolition; improvements demolition;
salvaging procedures; solid waste clearing and disposal. Where practical, concrete, asphalt,
steel, non-ferrous metals, and wood will be segregated and sent off-site for recycling. If
required, the site will be backfilled and graded. Field Superintendent will review fieldwork daily
for compliance with CTO specifications and record findings in a quality control log.
Field personnel are trained to stop work upon the discovery of suspect asbestos, regulated, or
hazardous waste. The Field Superintendent will contact the Project Manager, who in turn will
contact CSA. The Field Superintendent shall leave the work site in a clean and neat condition,
upon completion of the CTO. The Project Manager will notify those agencies required for final
inspections and sign offs.
The Project Manager will track the CTO schedule and budget by using project management
software. Schedule and budget updates will be provided to the CSA as required. Project
Manager will notify CSA to have all work inspected within 24 hours of CTO work completion.
The Project Manager will prepare all required paperwork for final closure package and billing
for the project.
Activities
Activities for the assigned personnel by job category include, but are not limited to:
Project Manager:
• First, managing services required to be performed within 24 hours of CTO execution
¦ Directing consultant to prepare a Notice of Intent (NOI) to comply with terms of general
permit to discharge storm water associated with construction activity, for sites that are one
acre or larger in size
• Submittal of the NO] and permit fee to the State Water Resources Control Board
¦ Directing consultant to prepare a Construction Storm Water Pollution Prevention Plan
(SWPPP), when required; storm water best management practices will be implemented as
needed for compliance with the SWPPP
J&G Industries Page 28
25F-20
City of Santa Ana March 26, 2012
Request for Proposals Demolition Services
• Directing changes due to results of site safety inspections
• Contacting Underground Service Alert
• Contacting utility companies to coordinate any required utility terminations
¦ Contacting CSA of any findings of Field Superintendent's visual survey of site for existing
improvements and utilities near the work site, and potential materials containing regulated/
hazardous wastes
• If requested, arranging for consultant to perform an asbestos and lead-based paint survey
and prepare an abatement plan for asbestos and lead containing materials removal and
disposal
• When an asbestos and lead-based paint survey has been previously prepared, arranging
for consultant to prepare an abatement plan
• Submittal of abatement plan to SCAQMD, if applicable
• Confirming that all required licenses, permits and certifications have been acquired for
implementing the abatement plan
• Submittal of the SCAQMD approved abatement plan for CSA approval to proceed with its
implementation
• Contacting CSA upon field superintendent notification field personnel have stopped work
upon the discovery of suspect asbestos, regulated, or hazardous waste
• Notifying agencies required for final inspections and sign-offs
• Tracking the CTO schedule and budget using project management software
• Providing schedule and budget updates to CSA as required
• Notifying OCTA to have all work inspected within 24 hours of CTO work completion
• Preparation of all required paperwork for final closure package and billing for the project
Field Superintendent:
• Conducting periodic tailgate Health & Safety meetings, to cover health and safety issues
with field workers
J&G Industries Page 29
25F-21
City of Santa Ana
Request for Proposals Demolition Services
March 26, 2012
• Being on site at the time the agency is scheduled to inspect utility termination
• Visually surveying existing improvements and utilities near the work site, in order to protect
them from damage
• Visually surveying the site for potential materials containing regulated/ hazardous wastes
• Verifying waste is properly manifested for disposal at proper facility
• Conducting a pre-demolition survey upon completion of abatement plan implementation to
identify: that the asbestos, lead, regulated and hazardous wastes have been removed as
per their abatement plans; verify monitoring records; verify proper manifesting of waste
disposal; visually verify no other hazardous materials are left in demolition area; as
required, verify site is secured by appropriate fencing; verify that appropriate protection
devices are in place, such as pedestrian protection canopy; verify appropriate signing
displayed (i.e. no trespassing, keep out demolition in progress, danger, etc.); verify all
utilities have been terminated; and erosion control measures are in place, as needed and
required
• Using a checklist to complete the pre-demolition survey
• Confirming with the Project Manger that the demolition area is ready for demolition
• Directing crews in structure demolition; improvements demolition; salvaging procedures;
and solid waste clearing and disposal
• Reviewing fieldwork daily for compliance with CTO specifications and recording findings in
a quality control log
is Notifying the Project Manager when field personnel stop work upon the discovery of
suspect asbestos, regulated, or hazardous waste
Leave the work site in a clean and neat condition, upon completion of the CTO
J&G Industries
Page 30
25F-22
City of Santa Ana March 26, 2012
Request for Proposals Demolition Services
Safety Officer:
• Preparation of site specific Health & Safety Plan
• Periodically conducting site safety inspections
Asbestos Abatement Consultant:
• Asbestos and lead-based paint survey
• Abatement plan for asbestos and lead containing materials removal and disposal
• Abatement plan implementation upon CSA approval of the SCAQMD approved abatement
Plan
AG Industries Page 31
25F-23
City of Santa Ana March 26, 2012
Request for Proposals Demolition Services
Quality Control
J&G uses quality, schedule and budget control procedures in the office and field management
of each CTO. Project schedules and work sub-task costs are prepared to start each CTO. The
Project Manager will track the CTO schedule and budget by using project management
software. Schedule and budget updates will be provided to the OCTA as required. J&G office
staff assists the Project Manager in maintaining a project file (notification records, agency
points of contact, etc.) for each CTO. Project Manager will notify CSA to have all work
inspected within 24 hours of CTO work completion. The Project Manager will prepare all
required paperwork for final closure package and billing for the project.
J&G's project files will be available for inspections by the CSA, county, state and federal
representatives, and shall be submitted to the CSA when requested.
At the start of the CTO, the Field Superintendent will visually survey existing improvements
and utilities near the work site, in order to protect them from damage. Field Superintendent will
also visually survey the site for potential materials containing regulated/hazardous wastes. The
Project Manager will contact CSA of any findings.
The Field Superintendent will use a checklist to complete the pre-demolition survey. The Field
Superintendent will confirm with the Project Manger that the demolition area is ready for
demolition. Structures ready for demolished will be clearly marked "CLEAR FOR DEMO J&G."
Field Superintendent will review fieldwork daily for compliance with CTO specifications and
record findings in a quality control log.
Issues and Resolutions
Care shall be taken to perform the services so as not to endanger the safety of any person or
property. At the start of the CTO, the Field Superintendent will visually survey existing
improvements and utilities near the work site, in order to protect them from damage. Field
Superintendent will also visually survey the site for potential materials containing
regulated/hazardous wastes. The Project Manager will contact CSA of any findings.
J&G Industries
Page 33
25F-24
City of Santa Ana
Request for Proposals Demolition Services
March 26, 2012
Enhancements
J&G has found partnering sessions to be effective for keeping large projects objectives on
track. Meetings with key people from CSA, AG, and J&G key subcontractors at the start of the
contract will clearly establish the expectations for CTOs under the contract.
On large CTOs, periodic meetings may be found to be beneficial to ensure all expectations are
being met. A review meeting after a CTO completion may provide insights to ways to improve
performance for future CTOs.
J&G Industries Page 34
25F-25
25F-26
DEMOLITION SERVICES AGREEMENT
THIS AGREEMENT, made and entered into this 7th day of May, 2012, by and between
AMERICAN WRECKING, INC., a California corporation (hereinafter "Contractor"), and the
City of Santa Ana, a charter city and municipal corporation organized and existing under the
Constitution and laws of the State of California (hereinafter "City").
RECITALS
A. The City desires to retain a contractor having special skill and knowledge in the field of
demolition and land clearing services.
B. Contractor represents that it is able and willing to provide such services for Santa Ana.
C. In undertaking the performance of this Agreement, Contractor represents that it is
knowledgeable in its field and that any services performed by Contractor under this
Agreement will be performed in compliance with such standards as may reasonably be
expected from a professional demolition contractor.
NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the
terms and conditions hereinafter set forth, the parties agree as follows:
SCOPE OF SERVICES
Contractor shall provide demolition services on an on-call basis, as set forth in City's
Request for Proposals for Demolition Services (hereinafter "UP"), and as more specifically
described "Scope of Work, attached hereto as Exhibit A, and Contractor's Proposal, attached as
Exhibit A-l. City's RFP and all Exhibits shall be incorporated by reference. All work shall be
assigned by Contract Task Order (CTO), based upon the designated Contractor's ability to
perform the required work within the project schedule and budget. The project fee and scope of
work will be defined in each approved CTO.
2. COMPENSATION
a. City agrees to pay, and Contractor agrees to accept as total payment for its services,
the rates and charges identified in each Contract Task Order, as set forth in above. The total sum
to be expended under this Agreement shall not exceed $400,000.00 during the term of this
Agreement.
b. Payment by City shall be made within thirty (30) days following receipt of proper
invoice evidencing work performed, subject to City accounting procedures. The invoice shall
include a detailed breakdown of the services provided, the project title, the tasks, the hours, and
hourly rates. Payment need not be made for work which fails to meet the standards of
performance set forth in the Recitals which may reasonably be expected by City.
3. TERM
This Agreement shall commence on May 1, 2012 and terminate on the later of June 30,
2013, or the expenditure of allocated funds, unless terminated earlier in accordance with Section
13, below. The City shall have the option to extend the term for an additional one-year period.
25F-27
4. INDEPENDENT CONTRACTOR
Contractor shall, during the entire term of this Agreement, be construed to be an
independent contractor and not an employee of the City. This Agreement is not intended nor
shall it be construed to create an employer-employee relationship, a joint venture relationship, or
to allow the City to exercise discretion or control over the professional manner in which
Contractor performs the services which are the subject matter of this Agreement; however, the
services to be provided by Contractor shall be provided in a manner consistent with all applicable
standards and regulations governing such services. Contractor shall pay all salaries and wages,
employer's social security taxes, unemployment insurance and similar taxes relating to employees
and shall be responsible for all applicable withholding taxes.
5. INSURANCE
Prior to undertaking performance of work under this Agreement, Contractor shall
maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described
below:
a. Commercial General Liability Insurance. Contractor shall maintain commercial
general liability insurance which shall include, but not be limited to protection against claims
arising from bodily and personal injury, including death resulting therefrom and damage to
property, resulting from any act or occurrence arising out of Contractor's operations in the
performance of this Agreement, including, without limitation, acts involving vehicles. The
amounts of insurance shall be not less than the following: single limit coverage applying to bodily
and personal injury, including death resulting therefrom, and property damage, in the total
amount of $1,000,000 per occurrence, $2,000,000 in the aggregate. Such insurance shall (a)
name the City, its officers, employees, agents, volunteers and representatives as additional
insured(s); (b) be primary and not contributory with respect to insurance or self-insurance
programs maintained by the City; and (c) contain standard separation of insureds provisions.
b. Business automobile liability insurance, or equivalent form, with a combined single
limit of not less than $2,000,000 combined single limit. Such insurance shall include coverage
for owned, hired and non-owned automobiles.
c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300
of the Labor Code, Contractor, if Contractor has any employees, is required to be insured against
liability for worker's compensation or to undertake self-insurance. Prior to commencing the
performance of the work under this Agreement, Contractor agrees to obtain and maintain any
employer's liability insurance with limits not less than $1,000,000 per accident.
d. The following requirements apply to the insurance to be provided by Contractor
pursuant to this section:
(i) Contractor shall maintain all insurance required above in full force and effect
for the entire period covered by this Agreement.
(ii) Certificates of insurance shall be furnished to the City upon execution of this
Agreement and shall be approved in form by the City Attorney.
(iii) Certificates and policies shall state that the policies shall not be canceled or
reduced in coverage or changed in any other material aspect without thirty (30)
days prior written notice to the City.
25F-28
e. If Contractor fails or refuses to produce or maintain the insurance required by this
section or fails or refuses to furnish the City with required proof that insurance has been procured
and is in force and paid for, the City shall have the right, at the City's election, to forthwith
terminate this Agreement. Such termination shall not effect Contractor's right to be paid for its
time and materials expended prior to notification of termination. Contractor waives the right to
receive compensation and agrees to indemnify the City for any work performed prior to approval
of insurance by the City.
6. INDEMNIFICATION
Contractor 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 for
personal injury, including death, and claims for property damage, which may arise from the direct
or indirect operations of the Contractor or its contractors, subcontractors, agents, employees, or
other persons acting on their behalf which relates to the services described in section 1 of this
Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just
compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered,
by reason of the events referred to in this Section. The Contractor further agrees to indemnify,
hold harmless, and pay all costs for the defense of the City, including fees and costs for special
counsel to be selected by the City, regarding any action by a third party asserting that personal
injury, damages, just compensation, restitution, judicial or equitable relief due to personal or
property rights arises by reason of the terms of, or effects arising from this Agreement. City may
make all reasonable decisions with respect to its representation in any legal proceeding.
7. CONFIDENTIALITY
If Contractor receives from the City information which due to the nature of such
information is reasonably understood to be confidential and/or proprietary, Contractor agrees that
it shall not use or disclose such information except in the performance of this Agreement, and
further agrees to exercise the same degree of care it uses to protect its own information of like
importance, but in no event less than reasonable care. "Confidential Information" shall include
all nonpublic information. Confidential information includes not only written information, but
also information transferred orally, visually, electronically, or by other means. Confidential
information disclosed to either party by any subsidiary and/or agent of the other party is covered
by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to
any information that (a) has been disclosed in publicly available sources; (b) is, through no fault
of the Contractor disclosed in a publicly available source; (c) is in rightful possession of the
Contractor without an obligation of confidentiality; (d) is required to be disclosed by operation of
law; or (e) is independently developed by the Contractor without reference to information
disclosed by the City.
8. CONFLICT OF INTEREST CLAUSE
Contractor covenants that it presently has no interests and shall not have interests, direct
or indirect, which would conflict in any manner with performance of services specified under this
Agreement.
25F-29
9. NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this
Agreement shall be in writing and shall be deemed to be properly given if delivered in person or
mailed by first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic
communication in the manner provided in this Section, to the following persons:
To City: Clerk of the City Council
City of Santa Ana
20 Civic Center Plaza (M-30)
P.O. Box 1988
Santa Ana, CA 92702-1988
Fax: 714- 647-6956
With courtesy copies to:
Public Works - Design Engineering
City of Santa Ana
20 Civic Center Plaza (M-36)
P.O. Box 1988
Santa Ana, California 92702
Fax: 714- 647-5635
and City Attorney
City of Santa Ana
20 Civic Center Plaza (M-29)
P.O. Box 1988
Santa Ana, California 92702
Fax: 714- 647-6515
To Contractor: Robert T. Hall
American Wrecking, Inc.
2459 Lee Avenue
South El Monte, CA 91733
Email: americanwreckinginc.com
Fax: 626-350-8322
A party may change its address by giving notice in writing to the other party. Thereafter,
any communication shall be addressed and transmitted to the new address. If sent by mail,
communication shall be effective or deemed to have been given three (3) days after it has been
deposited in the United States mail, duly registered or certified, with postage prepaid, and
addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to
have been given twenty-four (24) hours after the time set forth on the transmission report issued
by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating
these time frames, weekends, federal, state, County or City holidays shall be excluded.
10. EXCLUSIVITY AND AMENDMENT
This Agreement represents the complete and exclusive statement between the City and
Contractor, and supersedes any and all other agreements, oral or written, between the parties. In
the event of a conflict between the terms of this Agreement and any attachments hereto, the terms
of this Agreement shall prevail. This Agreement may not be modified except by written
instrument signed by the City and by an authorized representative of Contractor. The parties
25F-30
agree that any terms or conditions of any purchase order or other instrument that are inconsistent
with, or in addition to, the terms and conditions hereof, shall not bind or obligate Contractor nor
the City. Each party to this Agreement acknowledges that no representations, inducements,
promises or agreements, orally or otherwise, have been made by any party, or anyone acting on
behalf of any party, which are not embodied herein.
11. ASSIGNMENT
Inasmuch as this Agreement is intended to secure the specialized services of Contractor,
Contractor may not assign, transfer, delegate, or subcontract any interest herein without the prior
written consent of the City and any such assignment, transfer, delegation or subcontract without
the City's prior written consent shall be considered null and void. Nothing in this Agreement shall
be construed to limit the City's ability to have any of the services which are the subject to this
Agreement performed by City personnel or by other consultants retained by City.
12. TERMINATION
This Agreement may be terminated by the City upon thirty (30) days written notice of
termination. In such event, Contractor shall be entitled to receive and the City shall pay Contractor
compensation for all services performed by Contractor prior to receipt of such notice of termination,
subject to the following conditions:
a. As a condition of such payment, the Executive Director may require Contractor to deliver
to the City all work product completed as of such date, and in such case such work product shall be
the property of the City unless prohibited by law, and Contractor consents to the City's use thereof
for such purposes as the City deems appropriate. However, any use of unfinished work product shall
be at City's sole risk.
b. Payment need not be made for work which fails to meet the standard of performance
specified in the Recitals of this Agreement.
13. DISCRIMINATION
Contractor shall not discriminate because of race, color, creed, religion, sex, marital
status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by
applicable law, in the recruitment, selection, training, utilization, promotion, termination or other
employment related activities. Contractor affirms that it is an equal opportunity employer and
shall comply with all applicable federal, state and local laws and regulations.
14. JURISDICTION - VENUE
This Agreement has been executed and delivered in the State of California and the
validity, interpretation, performance, and enforcement of any of the clauses of this Agreement
shall be determined and governed by the laws of the State of California. Both parties further
agree that Orange County, California, shall be the venue for any action or proceeding that may be
brought or arise out of, in connection with or by reason of this Agreement.
15. PROFESSIONAL LICENSES
Contractor shall, throughout the term of this Agreement, maintain all necessary licenses,
including either a Class A General Engineering, Class B General Building or C-21 Building
25F-31
Moving, Demolition License; permits, approvals, waivers, and exemptions necessary for the
provision of the services hereunder and required by the laws and regulations of the United States,
the State of California, the City of Santa Ana and all other governmental agencies. Contractor
shall notify the City immediately and in writing of its inability to obtain or maintain such permits,
licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this
Agreement.
16. MISCELLANEOUS PROVISIONS
a. Each undersigned represents and warrants that its signature hereinbelow has the power,
authority and right to bind their respective parties to each of the terms of this Agreement, and shall
indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to
City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn.
b. Captions and headings in this Agreement, including the title of this Agreement, are for
convenience only and are not to be considered in construing this Agreement.
c. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set
forth in the body of this Agreement.
IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year
first above written.
ATTEST:
CITY OF SANTA ANA
MARIA D. HUIZAR
Clerk of the Council
APPROVED AS TO FORM:
PAUL M. WALTERS
Interim City Manager
AMERICAN WRECKING, INC.
SONIA R. CARVALHO
City Attorney
By:
Laura Sheedy
Assistant City Attorney
ROBERT T. HALL
Vice-President, CEO, CFO
Tax ID#
RECOMMENDED FOR APPROVAL:
RAUL GODINEZ, II
Executive Director - PWA
25F-32
EXHIBIT A
DEMOLITION:
SCOPE OF WORK
Contractor is responsible for the payment of all applicable permits required by the City of
Santa Ana.
Contractor is responsible for demolishing all improvements, including but not limited to
foundations and footings, slabs, basement, detached garage and all landscaping.
Contractor is also responsible for clearing the site, grading the parcel for drainage,
importing and exporting fill dirt as needed, capping all sewer lines, and compacting to
90% density.
All work is to be done in accordance with all applicable federal, state and local
regulations, standards and codes governing demolition and any other trade work done in
conjunction with the demolition. Copies of all demolition permits, sewer cap inspection
approval and a letter of completion shall be submitted for City's files prior to the
Contractor receiving payment.
The Contractor shall supply all necessary labor, materials, services, insurance, permits,
and equipment to carry out the work in accordance with all applicable federal, state, and
local regulations. The Contractor at all times shall keep the Project site free from
accumulation of waste materials or rubbish caused by the Contractor's operations. At the
completion of each trade of the work, and at final completion prior to contractor
submitting the final invoice, Contractor shall remove all waste materials, and rubbish
from and about the project as well as tools, construction equipment, machinery, and
surplus materials.
Asbestos Abatement:
The work described herein consists of removal and disposal of ALL asbestos containing
materials (ACM-friable or nonfriable) and subsequent cleaning of the sites in accordance
with all applicable federal, state and local regulations, standards and codes governing
asbestos and any other trade work done in conjunction with the abatement. Results of
any testing that identify asbestos containing materials will be provided by the City. It is
the responsibility of the Contractor to determine if any additional asbestos removal is
required in addition to the surveys.
Lead:
The Contractor shall take all necessary precautions and follow all OSHA's guidelines
required in the handling of lead containing materials if any are detected. Please refer to
the Lead Hazard Evaluation Report.
Copies of all notifications must be submitted to City including, abatement contractor's
license, map and/or clear documentation specifying asbestos containing materials
abated; completed waste manifests; and a completion letter indicating that all asbestos
containing materials from these properties have been abated and properties are ready to
be demolished.
25F-33
Rat and/or Vermin Abatement:
Contractor, prior to performing demolition, is responsible for providing rat and/or vermin
abatement. Written certification stating that such work was performed, and that the
structures were free of infestation prior the demolition taking place must be provided to
the City as part of the demolition completion package
25F-34
EXHIBIT A-1
CONTRACTOR'S PROPOSAL
25F-35
EXHIBIT B
FEE SCHEDULE
25F-36
EXHIBIT A
DEMOLITION:
SCOPE OF WORK
Contractor is responsible for the payment of all applicable permits required by the City of
Santa Ana.
Contractor is responsible for demolishing all improvements, including but not limited to:
foundations and footings, slabs, basement, detached garage and all landscaping.
Contractor is also responsible for clearing the site, grading the parcel for drainage,
importing and exporting fill dirt as needed, capping all sewer lines, and compacting to
90% density.
All work is to be done in accordance with all applicable federal, state and local
regulations, standards and codes governing demolition and any other trade work done in
conjunction with the demolition. Copies of all demolition permits, sewer cap inspection
approval and a letter of completion shall be submitted for City's files prior to the
Contractor receiving payment.
The Contractor shall supply all necessary labor, materials, services, insurance, permits,
and equipment to carry out the work in accordance with all applicable federal, state, and
local regulations. The Contractor at all times shall keep the Project site free from
accumulation of waste materials or rubbish caused by the Contractor's operations. At the
completion of each trade of the work, and at final completion prior to contractor
submitting the final invoice, Contractor shall remove all waste materials, and rubbish
from and about the project as well as tools, construction equipment, machinery, and
surplus materials.
Asbestos Abatement:
The work described herein consists of removal and disposal of ALL asbestos containing
materials (ACM-friable or nonfriable) and subsequent cleaning of the sites in accordance
with all applicable federal, state and local regulations, standards and codes governing
asbestos and any other trade work done in conjunction with the abatement. Results of
any testing that identify asbestos containing materials will be provided by the City. It is
the responsibility of the Contractor to determine if any additional asbestos removal is
required in addition to the surveys.
Lead:
The Contractor shall take all necessary precautions and follow all OSHA's guidelines
required in the handling of lead containing materials if any are detected. Please refer to
the Lead Hazard Evaluation Report.
Copies of all notifications must be submitted to City including, abatement contractor's
license, map and/or clear documentation specifying asbestos containing materials
abated; completed waste manifests; and a completion letter indicating that all asbestos
containing materials from these properties have been abated and properties are ready to
be demolished.
25F-37
Rat and/or Vermin Abatement:
Contractor, prior to performing demolition, is responsible for providing rat and/or vermin
abatement. Written certification stating that such work was performed, and that the
structures were free of infestation prior the demolition taking place must be provided to
the City as part of the demolition completion package
25F-38
EXHIBIT A-1
CONTRACTOR'S PROPOSAL
25F-39
Subcontractors -:94
Jose Duenas
GAMA Contracting Services, Inc
Asbestos and Lead Remediation
CSLB#780316 1 B C21 ASB HAZ) DOSH#943
1844 Tyler Avenue South El Monte, CA 91733
P: 626.442.7200 1 F: 62fi.442.7204
Armando Xochitiotzi
Tri Span, Inc
Asbestos and Lead Remediatlon
CSLB #6116391 DOSH #218
591 W Explorer St., Brea, CA 92821
P: 714.257,96801F: 714.257.9681
Carlos Huizar
So Cal Sanitation
Temporary Facilities & Temporary Fencing
1636 1h Ave., City of Industry, CA 91746
P: 800-850-8871
MBE Certified
Terry Timmons
Commercial Scaffolding
CSLB # 835630
14928 S. Maple Ave
Gardena, CA 90248
P: 310.324.70041F. 310.324.7466
American Wrecking Inc. has worked with both Environmental Remediation contracting
company's on both large and small projects. Contract values ranging from $1,500.00 -
$100,000.00. They have both been able to provide excellent service and have never been fined
by Cal-OSHA or SCAQMD. There range in contract type vary from private residential to public
projects like the North Hall Campus Demolition for San Bernardino Community College District.
So Cal Sanitation has supplied us with most of our temporary construction needs ranging from
toilets, wash stations, fencing and windscreen for the past 2-3 years. There track record with
punctuality has been impeccable.
Commercial Scaffolding has provided us with pedestrian canopies, scaffolding, trash chutes &
shoring for our single story & multi-story demolition projects. Although, they are a large
company there pricing has always been competitive.
25F-40
-Project Task Labor Hrs Operator Hrs Supervision Hrs
Environmental Remediation 120 40
Above Grade Building
Demolition
32
16
16
Below Grade Building
Demolition
16
8
8
Site Demolition 16 8 8
184 72
Key Personnel for Project Current
Position Yrs of Exp with
AWI Full or Part
Time
Gerardo Galaviz - Owner Superintendent Since Inception Full Time
Jaime Ramirez On-Site Foreman 12 Full Time
Mar arito Lopez Operator 20 Full Time
Huber Zarate Operator 18 Full Time
Alfred Bell LaboredForeman 10 Full Time
Ismael Zambrano Laborer 15 Full Time
25F-41
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25F-42
Work Plan
(I)Demolition of a single'story commercial building In sequence. Review and estimate the
removal of the asbestos and lead containing materials. If any asbestos or lead materials are
found, then next step would be to notify AQMD for the removal of resulting debris. Two weeks
after notification to AQMD we begin remediation. In between depending on schedule and
scope of work American Wrecking Inc notifies AQMD in order to demolish the building 1-2 days
after the remediation has been completed. During the remediation we would also install the
temporary pedestrian protection in order to not close any sidewalks or impede any pedestrian
from getting to point A to point B.
Once the permit is attained, pedestrian protection is installed and environmental remediation is
completed then the demolition begins. In the case of this single story building, we would
demolish the building utilizing one of our many Excavators all while making several piles of
material. Gone are the days of smash a building and sending it all to the landfill. As evident in
many of our projects we would during the demolition segregate as many material as possible.
For example, all misc metals, CMU block, roofing and wood would be segregated. The logic
behind segregation is two fold, 1- we get paid for all metals as opposed to paying for the
disposal, 2 -- the city easily any state of California's recycling requirements - AB 939. We
routinely accomplish 90% recycling on this type of demolition project.
After all above grade demolition is completed, we tackle the below grade slabs and footings.
Again, we utilize the same equipment and proceed by digging and breaking the resulting debris.
The material is broken into 2' or minus pieces so they can be taken to a concrete recycling
facility. once we are completed with the building slabs and footings, we would start on the site
asphalt and site improvements like signage or site walls. We typically leave the asphalt
pavement till the end to minimize the potential for any soil erosion and dirt trailing the end-
dump. During the loading & hauling of any material, we utilize water to minimize any dust, tarp
our loads and use a flag man to escort the truck off the premises and sweep the driveway apron.
Lastly, we search for the sewer line, call for inspection and then cap and backfill.
(2)
1. Abatement - By chosen subcontractor
2. Above Grade Demolition - Demolition Crew as per attachment
3. Below Grade Demolition- Demolition Crew as per attachment
4. Site Demolition - Demolition Crew as per attachment
5. Capping Sewer & Final -- Demolition Crew as per attachment
(3) Fast Track Schedule - See attachment
(4) Due to the vastness of American Wrecking Inc equipment list, personnel and
commitment to safety - completing tasks on time is typically not an issue for American
Wrecking. One of the most significant ways that we have been able to ensure quality
control, our budget, schedule and safety issues is what distinguishes us from our
competition. Two of the three partners are 100% on the field. Mr. Gerardo Galaviz &
25F-43
Jose (Pepe) Galaviz if an individual is out sick or whatever reason that might arise that
causes some issue these two partners step right in and control the situation.
(5) Problem, we cannot for see any issues. The only issue that arises at times is more
asbestos containing items are identified after my subcontractor has completed what was
found to contain asbestos in the original survey. However, due to our field training in
asbestos and lead awareness the crew is able to identify the suspect materials promptly.
The knowledge ensures that a serious situation is not made worse by contaminating the
entire site with asbestos containing materials because our operator for example did not
identify the suspect material.
25F-44
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
MAY 7, 2012
CLERK OF COUNCIL USE ONLY:
TITLE: APPROVED
SETTLEMENT AGREEMENT WITH ? As Recommended
EVANS ROOFING COMPANY, INC. FOR El Amended
El Or dinance on 15t Reading
RIGHT-OF-WAY FOR THE AT- GRADE ? Ordinance on 2nd Reading
RAIL SAFETY ENHANCEMENT PROJECT ? Implementing Resolution
(PROJECT 091745) NO FISCAL IMPACT ? Set Public Hearing For_
CONTINUED TO
}
IE G f/ FILE NUMBER
CITY MANAGER
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 $285,000 for right-of-way for the
At-Grade Rail Safety Enhancement Project, 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 at that location (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 St. in Santa Ana.
Council approved an initial acquisition settlement agreement on September 7, 2010 in the amount
of $132,000. At that time, this agreed-upon compensation for loss of business goodwill was based
on the estimate of the goodwill loss, as determined by an appraiser, licensed by the State of
California. Upon completion of the relocation of the tenant to 2020 S. Yale, it was determined that
the tenant was eligible for loss of business goodwill in the amount of $285,000. OCTA has
reviewed and approved this revised amount.
25G-1
Settlement Agreement With Evans Roofing Company, Inc.
Project 091745
May 7, 2012
Page 2
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.
FISCAL IMPACT
There is no fiscal impact to the City; all of the costs of this settlement are fully funded by OCTA,
per Cooperative Agreement number C-9-0823.
?e
Raul Godinez II
Executive Director'
Public Works Agency
RG/SA
Exhibit 1: Location map
Exhibit 2: Agreement
25G-2
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EXHIBIT 1
ACQUIRED PROPERTIES
SANTA ANA
City Council
Title:
SETTLEMENT AGREEMENT FOR RIGHT OF
i
- ` Agenda Date WAY FOR THE AT- GRADE RAIL SAFETY
MAY 7, 2012
PUBLIC WORKS AGENCr ENHANCEMENT PROJECT (PROJECT
091745)
25G-3
25G-4
EXHIBIT 2
ACQUISITION SETTLEMENT AGREEMENT
This Acquisition Settlement Agreement ("ASA") is entered into on , 2012
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 Evans Roofing
Company, Inc. ("Tenant"). City and Tenant may collectively be referred to in this ASA as the
"Parties."
RECITALS
A. Tenant operates a business on the Property commonly known as Evans Roofing, and
was the occupant of the real property and improvements located at 1101 E. Chestnut, Santa
Ana, California ("Property") until August 27, 2010.
B. Mark and Cindy Evans ("Landlord") were the fee owners of the Property. Landlord
and City negotiated a Purchase and Sale Agreement ("PSA") for the Property, which
resulted in the termination of Landlord's and Tenant's rights, title and/or interest in
the Property.
C. The Property is located within the Orange County Transportation Authority's Rail
Safety Enhancement Project Area and City acquired 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 relocation program and has 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 to Tenant the total sum TWO HUNDRED EIGHTY FIVE
THOUSAND AND NO/100 DOLLARS ($285,000.00), 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 Tenant may be entitled as a result of City's acquisition of the Property
for the Project.
b. City will make payment to Tenant in the amount of TWO HUNDRED EIGHTY
FIVE THOUSAND AND NO/100 DOLLARS ($285,000.00) immediately upon
City Council approval.
Acquisition Settlement Agreement
Page l of 5
25G-5
C. Payment of the consideration referenced in section 1 of this ASA shall constitute
full satisfaction of City's obligation to compensate Tenant for any and all loss of
business goodwill, leasehold interests, personal property, improvements
pertaining to realty and bonus value.
d. As a matter of record, the compensation paid to Tenant in accordance with this
ASA does not include relocation benefits.
2. Release
a. Tenant, on behalf of itself, its agents, assigns and related entities, agrees 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 Acquired
Property, including, but not limited to, trade fixtures, furniture and equipment,
leasehold interests, claims for loss of business goodwill, bonus value (if any)
and/or severance damages (if any), including claims from vendors, independent
contractors and 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.
Entire Agreement
This ASA contains the entire Agreement of the Parties hereto pertaining to the subject
matter discussed herein, and supersedes the ASA dated September 7, 2010 in the amount
of ONE HUNDRED THIRTY TWO THOUSAND DOLLARS AND NO/100
Acquisition Settlement Agreement
Page 2 of 5
25G-6
($132,000.00), which is null and void. This revised ASA may be modified only by a
writing executed by the Parties hereto.
6. Partial lnvalidity
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.
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
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.
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
Acquisition Settlement Agreement
Page 3 of 5
25G-7
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 same 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: Mark Evans
Evans Roofing Company, Inc.
2020 S. Yale St.
Santa Ana, CA 92704
Acquisition Settlement Agreement
Page 4 of 5
25G-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 2012
Mark Evans, C.E.O.
CITY OF SANTA ANA:
By: Date: 2012
Paul M. Walters
Interim City Manager
ATTEST:
By:
Maria D. Huizar
Clerk of the Council
APPROVED AS TO FORM:
Joe Straka, Interim City Attorney
By:
Jose Sandoval
Managing Senior Assistant City Attorney
Date: .2012
Acquisition Settlement Agreement
Page 5 of 5
25G-9
25G-10
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
MAY 7, 2012
TITLE:
2010-2011 ANNUAL ACTION PLAN
SUBSTANTIAL AMENDMENT - NSP3
TARGET GEOGRAPHY AREA
(" (i yi,
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
Approve a substantial amendment to the 2010-2011 Annual Action Plan expanding the NSP3
Target Geography Area and authorize its submittal to the U. S. Department of Housing and Urban
Development.
COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION ACTION
At its regular meeting on April 3, 2012, by a vote of 6:0 (Bist absent), the Community
Redevelopment and Housing Commission approved the recommended action.
DISCUSSION
On February 28, 2011, the City submitted to the U. S. Department of Housing and Urban
Development (HUD) a Substantial Amendment to its 2010-2011 Annual Action Plan which
authorized the NSP3 program. The Annual Action Plan is the document whereby the City formally
applies to HUD for the annual federal grant allocations (CDBG, HOME, ESG, and HOPWA) and
describes how those grant funds will be utilized.
Pursuant to HUD regulations, NSP funds must also follow the Annual Action Plan and the Citizen
Participation Plan. This Substantial Amendment created and established the Target Geography
Area in which the NSP3 program would operate. Since that time, there have been insufficient
foreclosed and abandoned homes within this initial area. In order to meet expenditure deadlines,
staff is recommending that the Target Geography Area (Exhibit 1) be expanded. Revision of the
Target Geography Area requires approval of a Substantial Amendment to the 2010-11 Annual
Action Plan.
HUD regulations require that the draft Substantial Amendment be made available for a 30-day
public review and comment period. On March 30, 2012, notification was published in the Orange
County Reporter that the Substantial Amendment was available for review beginning March 30,
29A-1
2010-2011 Annual Action Plan Substantial Amendment - NSP3
May 7, 2012
Page 2
2012, and that the public hearing would be held
and Nguoi Viet as well as on the City's website
April 30, 2012 at 5 p.m. All comments receive
submitted to HUD.
on April 3, 2012. It was also noticed in La Opinion
The 30-day public comment period concluded on
J will be included in the final document when it is
FISCAL IMPACT
There is no fiscal impact associated with this action.
-11 aln r t1i 4?? &(Z? do
Nancy T. ards
Interim Ex utive Director
Community Development Agency
NTE/SLB/TG/mlr
Exhibit: 1. 2010-2011 Action Plan Substantial Amendment - NSP3
29A-2
SUBSTANTIAL AMENDMENT TO THE FISCAL YEAR 2010-
2011 ACTION PLAN: NSP 3 TARGET AREA GEOGRAPHY
INTRODUCTION
They City of Santa Ana's Fiscal Year 2010-11 Annual Action Plan was submitted to the
U. S. Department of Housing and Urban Development (HUD) on May 15, 2010. The
first Substantial Amendment consisted of the City's application to HUD for $1,464,113 in
Neighborhood Stabilization Program funds made available to the city in the third round
of funding for that program (NSP 3). In order to apply, the city needed to identify a
Target Area Geography which met HUD's criteria within which it would spend these
funds. Since that time, there have been insufficient foreclosed and abandoned homes
within this initial area to meet our goals. After consultation with HUD, the city has
determined that the Target Area Geography should be changed.
Title 24 Section 91.505 of the Code of Federal Regulations stipulates that participating
jurisdictions shall amend their approved plans whenever they make one of the following
decisions:
1. To make a change in its allocation priorities or a change in the method of
distribution of funds;
2. To carry out an activity, using funds from any program covered by the
Consolidated Plan (including program income) not previously described in the
action plan; or
3. To change the purpose, scope, location, or beneficiaries of an activity.
The Regulation further requires that jurisdictions identify in their citizen participation
plans the criteria they will use for determining what constitutes a substantial
amendment.
Consistent with these requirements, the Citizen Participation Plan adopted by the City of
Santa Ana as a component of its 2010/11 - 2014115 Consolidated Five Year Plan
identifies three criteria that will require a substantial amendment:
1. Changes in the use of CDBG funds from one eligible activity to another;
2. An activity is undertaken that was not previously included in the Consolidated
Plan or subsequent action plans.
3. More than 30 percent of the most recent annual federal grant allocation is
reallocated to other eligible program activities within the fiscal year.
The proposed change does not meet any of these criteria. However, the city has
determined that its significance is such that a substantial amendment is appropriate.
i
Exhibit 1
29A-3
CITIZEN PARTICIPATION
In accordance with 24 CFR 91.105(c)(3) for local governments, the substantial
amendment Public Notice for the use of CDBG and HOME funds was released for
citizen review and comments on March 30, 2012. During the 30-day public comment
period from March 30, 2012 through April 30, 2012, the Public Notice for the Draft
Substantial Amendment was made available during regular business hours between
8:00 a.m. and 5:00 p.m., Monday through Thursday in the following locations: 1)
Housing Department, 20 Civic Center Plaza, 3rd Floor, 2) Community Development
Agency, 20 Civic Center Plaza, 6th Floor, 3) Office of the Clerk of the Council, 20 Civic
Center Plaza, Room 809, 4) the Main Public Library, 26 Civic Center Plaza, Santa Ana,
California and 5) on the city's website. The Community Redevelopment and Housing
Commission of the City of Santa Ana held a public hearing on April 3, 2012, at 6:00
p.m., at the City Council Chambers, 22 Civic Center Plaza, Santa Ana, California
92701. The City Council of Santa Ana will hear and vote on this Substantial
Amendment to the 2010-11 Action Plan on May 7, 2012. A copy of the public hearing
notice is presented in Attachment 1, along with a summary of citizen comments
received at the public hearing and the remainder of the public comment period. The
city's responses to these citizen comments are also included in Attachment 1.
PROPOSED ACTIVITY AMENDMENT
The city will substitute the Target Geography included with this document as
Attachment 2 for its existing Target Geography. NSP 3 funds will be used exclusively in
this new Area. In accordance with HUD guidelines for establishing NSP 3 production
goals, the city will adopt a production goal of 12. NSP 3 planning data for this
(Attachment 3) indicate that a minimum of 12 units must be acquired, rehabilitated and
resold to make an impact on the neighborhood.
Exhibit 1
29A-4
ATTACHMENT 1
PROOF OF PUBLICATION 30-DAY COMMENT PERIOD & PUBLIC HEARING
& SUMMARY OF PUBLIC COMMENTS
Exhibit i
29A-5
NOTICE OF PROPOSED ACTION TO BE TAKEN BY THE CITY COUNCIL OF THE
CITY OF SANTA ANA RESPECTING PROPOSED SUBSTANTIAL AMENDMENTS
TO THE CITY OF SANTA ANA 2010-2011 AND 2011-2012 CONSOLIDATED PLAN
ANNUAL UPDATES
NOTICE IS HEREBY GIVEN that the Community Redevelopment and Housing
Commission of the City of Santa Ana will conduct a public hearing on April 3, 2012 at
6:00 p.m. at the City Council Chambers, 22 Civic Center Plaza, Santa Ana, CA 92701
on proposed actions approving substantial amendments to the City's 2010-2011 and
2011-2012 Consolidated Plan Annual Updates. On April 16, 2012 on or about 6:00 p.m.
at the City Council Chambers, the City Council will take action on requests to authorize
submittal of the substantial amendments to the U.S. Department of Housing and Urban
Development (HUD). The proposed amendments will reprogram HOME and
Community Development Block Grant funds currently available to the City, and revise
the City's Target Geography Area for its NSP3 grant funds.
The draft substantial amendment will be available for public review from March 30, 2012
to April 30, 2012 at the following locations Monday through Friday during normal
business hours: Housing Department, 20 Civic Center Plaza, 3rd Floor; Community
Development Agency, 20 Civic Center Plaza, 6th Floor; Office of the Clerk of the
Council20 Civic Center Plaza, Room 809; and the Main Public Library, 26 Civic Center
Plaza, Santa Ana, California. Written comments on them must be submitted to the
Housing Division on or before April 30, 2012.
Publish: March 28, 2012
REVISION TO NOTICE OF PROPOSED ACTION TO BE TAKEN BY THE CITY
COUNCIL OF THE CITY OF SANTA ANA RESPECTING PROPOSED ANNUAL
ACTION PLAN SUBSTANTIAL AMENDMENTS
NOTICE IS HEREBY GIVEN that on May 7, 2012 at or about 6:00 p.m. in the City
Council Chambers, 22 Civic Center Plaza, Santa Ana, CA 92701 the City Council of the
City of Santa Ana will take action on requests to approve substantial amendments to
the City's 2010-2011 and 2011-2012 Annual Action Plans. The City's original Notice
published March 30, 2012 indicated that City Council would take this action on April 16,
2012.
Publish: April 11, 2012
4
Exhibit 1
29A-6
SUMMARY OF PUBLIC COMMENTS
Exhibit 1
29A-7
ATTACHMENT 2: PROPOSED TARGET GEOGRAPHY
Exhibit 1
29A-8
Attachment 2 - Santa Ana NSP 3 - Current and Proposed Target Geography Areas
Exhibit i
29A-9
ATTACHMENT 3: NSP 3 PLANNING DATA
Exhibit 1
29A-10
Neighborhood ID: 8624786
NSP3 Planning Data
Grantee ID: 0633420E
Grantee State: CA
Grantee Name: SANTA ANA
Grantee Address: 20 Civic Center Plaza, M-37 Santa Ana CA 92702
Grantee Email: SKutner@santa-ana.org
Neighborhood Name: NSP 3 McFadden, Main, Borchard and Bristol
Date:2012-03-22 00:00:00
NSP3:Score
The neighborhoods identified by the NSP3 grantee as being the areas of greatest noel must have an
individual or average combined index score for the grantee's identified target geography that is not less than
the lesser of 17 or the twentieth percentile most needy score in an Individual state. For example, :if a state's
twentieth :percentile most needy census tract is 18; the requirement will be a minimum need of 1.7. If;
however, a state's twentieth :perebntile.most needy census'tract is '15:,.the;requirement will be a:minimum
need of 16. If more than one neighborhood is identified in the Action Plan, HUD will average the
Neighborhood. Scores, weighting the scores by the estimated number of housing units in each identified
neighborhood.
Neighborhood NSP3 Score: 19
State Minimum Threshold NSP3 Score: 17
Total Housing Units In Neighborhood: 1111
;Area Benefit Eligibilitt
:Percent Persons Less than 120% AMI: 88.84
Percent Persons :Less than 80% AMi: 65.18
Neighborhood Attributes (Estimates)
Vacanny t=sfimate
USPS data on addresses not receiving mail in the last.90 days;or "NoStat":can ,be a :useful measure of
whether or not a'target area has,! serious vacancy: problem.. For urban` noighborhoods, HUD has found that
neighborhoods with a very high number vacant addresses relative to the total addresses in an.a.rea to be. a
very good indicator of a current for potentially serious blight problem.
The USPS "NoStat" indicator can mean different:things. In rural areas, it is an indicator of'.vacancy, However,
it can also be an address that has been issued but not ever used, it can indicate units under development,
and it can be a. very distressed property (most of the still flood damaged properties in New Orleans are
NoStat). When Using this variable, users need to understand the target area identified.
In addition, the housing unit counts HUD gets from the US Census lndicatedabove are.usualiy close to the
residential address counts from the USPS below. However, If the Census and USPS counts are substantially
different for your identified. target area, users are advised to use the information below with caution. For
example If there are many NoStats in an area for units never bu€lt; the USPS residential address count may
be larger than the Census number; if the area is a rural area largely served by PO boxes it may have fewer
addresses than housing units.
USPS Residential Addresses in Neighborhood: 1086
Residential Addresses Vacant 90 or more days (USPS, March 2010):16
Residential Addresses NoStat (USPS, March 2010.): 4
29A-11
Popeclosure Estimates
HUD has developed a model for predicting where foreclosures are likely. That model estimates serious
delinquency rates using data on the leading causes of foreclosures - subprime loans (HMDA Census Tract
data on high cost and highly leveraged loans), Increasing unemployment (BLS data on unemployment rate
change), and fall in home values (FHFA data on house price change). The predicted serious delinquency rate
is then used to apportion the state total counts of foreclosure starts (from the Mortgage Bankers Association)
and REOs (from RealtyTrac) to individual block groups.
Total Housing Units to receive a mortgage between 2004 and 2007: 685
Percent of Housing Units with a high cost mortgage between 2004 and 2007: 31.2
Percent of Housing Units 90 or more days delinquent or in foreclosure: 18.15
Number of Foreclosure Starts in past year: 60
Number of Housing Units Real Estate Owned July 2009 to June 2010: 34
HUD is encouraging grantees to have small enough target areas for NSP 3 such that their dollars will have a
visible impact on the neighborhood. Nationwide there have been over 1.9 million foreclosure completions In
the past two years. NSP 1, 2, and 3 combined are estimated to only be able to address 100,000 to 120,000
foreclosures. To stabilize a neighborhood requires focused investment.
Estimated number of properties needed to make an Impact in identified target area (20% of REO In past
year): 12
Supporting Data
Metropolitan Area (or non-metropolitan area balance) percent fall in home value since peak value (Federal
Housing Finance Agency Home Price Index through June 2010):-29.3
Place (if place over 20,000) or county unemployment rate June 2005': 5.7
Place (if place over 20,000) or county unemployment rate June 2010% 14.4
'Bureau of Labor Statistics Local Area Unemployment Statistics
Market nalysis*
HUD Is providing the data above as a tool for both neighborhood targeting and to help Inform the strategy
development. Some things to consider:
1. Persistent Unemployment. Is this an area with persistently high unemployment? Serious consideration
should be given to a rental strategy rather than a homeownership strategy.
2. Home Value Change and Vacancy, is this an area where foreclosures are largely due to a combination of
falling home values, a recent spike in unemployment, and a relatively low vacancy rate? A down payment
assistance program may be an effective strategy.
3. Persistently High Vacancy. Are there a high number of substandard vacant addresses In the target area of
a community with persistently high unemployment? A demolitlonlland bank strategy with selected acquisition
rehab for rental or lease-purchase might be considered.
4. Historically low vacancy that is now rising. A targeted strategy of acquisition for homeownership and rental
to retain or regain neighborhood stability might be considered.
5. Historically high cost rental market. Does this market historically have very high rents with low vacancies?
A strategy of acquiring properties and developing them as long-term affordable rental might be considered.
Latitude and Lgngitude of corner points
-117.867980 33.728837 -117.867680 33.734369 -117.885103 33.734405 -117.885017 33.728873
29A-12
Blocks Comprising Target Neighborhood
060590746014000,060590746014005,060590746014007,060590746014009,060590746014011,
060590746014010, 060590746014008, 060590746014006, 060590746014004, 060590746014001,
060590746014003, 060590746014002, 060590746015000, 060590746015005, 060590746015007,
060590746015009,060590746015010,060590746015008,060590746015006,060590746015004,
060590746015001, 060590746015003, 060590746015002, 060590747021000, 060590747021004,
060590747021006,060590747021010,060590747021012,060590747021014,060590747021013,
060590747021011, 060590747021009, 060590747021005,060590747021003, 060590747021001,
060590747021002, 060590747022000, 060590747022003, 060590747022005, 060590747022006,
060690747022004,
29A-13
29A-14
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
MAY 7, 2012
TITLE:
CONSOLIDATED PLAN ANNUAL UPDATE
AND SUBSTANTIAL AMENDMENT TO THE
2011-2012 ACTION PLAN
CITY MANAGER
RECOMMENDED ACTION
CLERK OF COUNCIL USE ONLY:
APPROVED
? As Recommended
? As Amended
? Ordinance on I" Reading
? Ordinance on 2nd Reading
? Implementing Resolution
? Set Public Hearing For_
CONTINUED TO
FILE NUMBER
Approve the Consolidated Plan Annual Update and authorize its submittal to the U. S.
Department of Housing and Urban Development.
2. Approve the Substantial Amendment to the 2011-2012 Action Plan and authorize its submittal
to the U. S. Department of Housing and Urban Development.
COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION ACTION
At its regular meeting on April 17, 2012, by a vote of 6:0 (Reyes Absent), the Community
Redevelopment and Housing Commission approved the recommended actions.
DISCUSSION
Each year the City of Santa Ana receives funding from various formula grant allocation programs
administered by the U. S. Department of Housing and Urban Development (HUD). These funds
provide affordable and supportive housing, community development programs, public services and
economic opportunities. The programs include the Community Development Block Grant (CDGB),
the HOME Investment Partnership Grant (HOME), the Emergency Solutions Grant (ESG), and the
Housing Opportunities for Persons with AIDS (HOPWA) Grant. HOPWA funds have been
provided to the City of Santa Ana since the inception of the program for use throughout the County
to provide resources, supportive services and incentives for long-term comprehensive strategies to
meet the housing needs for persons with HIV/AIDS.
During fiscal year 2012-2013, the City anticipates receiving the following allocations:
Program Allocation Program Allocation
CDBG $5,680,480 ESG $538,354
HOME $1,228,217 HOPWA $1,548,618
29B-1
Con. Plan Annual Update and Substantial Amendment to the 2011-2012 Action Plan
May 7, 2012
Page 2
Every five years the City must submit to HUD its Consolidated Plan. This is a five-year
comprehensive planning document and application for all of these programs. It describes a
strategy to meet the needs of the community and identifies resources and programs that can be
used to address them. In May of 2010, the Five Year Plan for the period of July 1, 2010 to June
30, 2015, was submitted to HUD. Each year the City is required to submit an Annual Update to the
Consolidated Plan (Exhibit 1). This document establishes a one-year investment plan that outlines
the intended use of resources in the forthcoming fiscal year. The proposed Annual Update covers
the 2012-2013 fiscal years. It reaffirms the established policy of allocating funding in
neighborhoods where programs and resources would have a maximum impact. In addition, key
programs will continue to be operated throughout the City (and distributed Countywide for HOPWA
funds) in order to better serve the diverse needs in the community.
For FY 2011-2012, the City received a total of $471,714 in ESG funds, which was provided in two
installments. HUD divided the allocation into two installments to allow entitlement communities to
continue providing services until regulations governing the new ESG program could be created. In
order to receive the second allocation, the City is required to submit a substantial amendment to
the 2011-2012 Action Plan, which specifies how the funds will be used (Exhibit 2). The City has
already allocated $297,635.84 from the first installment of the FY 2011-2012 allocation. The
recommendations for the remaining balance of $174,078.16 are combined with the FY 2012-2013
allocation of $538,354 to comprise the FY 2012-2013 proposed ESG program and were approved
by City Council on March 19, 2012.
HUD regulations require that the draft Annual Update and the Substantial Amendment be made
available for a 30-day public review and comment period. On March 19, 2012, notification was
published in the Orange County Register that the draft plan was available for review beginning
March 19, 2012, and that the public hearing would be held on April 17, 2012. It was also noticed in
La Opinion and Nguoi Viet as well as on the City's website. The 30-day public comment period
concluded on April 19, 2012, at 5 p.m. In accordance with Federal regulations, all neighboring
jurisdictions were also informed of the draft's availability for review. All comments received,
including all funding recommendations made by the City Council on May 7, will be included in the
final document, which is due to HUD no later than May 15, 2012.
FISCAL IMPACT
There is no fiscal impact associated with this action.
II " 6
Nancy T. wards
Interim Executive Director
Community Development Agency
NTE/TE/m I r
29B-2
Con. Plan Annual Update and Substantial Amendment to the 2011-2012 Action Plan
May 7, 2012
Page 3
Exhibit: 1. Draft Annual Update
2. Draft Substantial Amendment to the 2011-2012 Action Plan
29B-3
29B-4
CITY OF SANTA ANA
JULY 1, 2012 - JUNE 30, 2013
DRAFT
CONSOLIDATED PLAN
ANNUAL UPDATE
EXHIBIT 1
29B-5
2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN 2012/13
ACTION PLAN
TABLE OF CONTENTS
PAGE
Executive Summary ....................................................................................................................1
Standard Forms 424 ...............................................................:.........................................................5
Resources .......................................................................................................................................17
Activities to be Undertaken ...........................................................................................................21
Geographic Distribution ....... ................... ...........................................................................21
Homeless and Other Special Needs ...............................................................................................24
Other Required Actions .................................................................................................................28
Program Specific Requirements .....................................................................................................35
Monitoring .....................................................................................................................................40
Certifications .................................................................................................................................. 42
EXHIBITS
Exhibit 1: Proof of Publication 30-Day Comment Period & Public Hearing
& Summary of Public Comments ...........................................................................53
Exhibit 2: Summary of Five-Year Planned Outcomes and Accomplishments .......................57
Exhibit 3: Listing of Proposed Activities 2012-2013 ..............................................................69
LIST OF MAPS
Map 1: 2012-2013 HUD-funded Planned Activities ...........................................................23
DRAFT 04/08/2012 i 2012-2013 ANNUAL ACTION PLAN
29B-6
2012/13 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN
ACTION PLAN
INTENTIONALLY BLANK
2012-2013 ANNUAL ACTION PLAN
DRAFT 04/08/2012
29B-7
2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN 2012/13
I ACTION PLAN
2012-2013 ACTION PLAN
EXECUTIVE SUMMARY
The 2012-2013 Action Plan provides specific information regarding the resources the City of
Santa Ana will utilize and the activities the City will undertake to address priority needs and
objectives during a 12-month period. The Action Plan will serve as the link between the
objectives developed to address priority housing and community needs identified in the
City's 2010-2014 Consolidated Plan/Strategic Plan with federal resources allocated to the
City by HUD. The specific timeframe for the 2012-2013 Action Plan begins July 1, 2012, and
ends June 30, 2013. This timeframe is referred to as a Fiscal Year (FY) or Program Year (PY).
The 2012-2013 Action Plan consists of several required components:
¦ Standard Form 424 - These forms serve as the City's formal application to HUD for
grant funds for the 2012-2013 Program Year
¦ Resources - Federal, non-federal and private funds expected to be available to address
priority needs and specific objectives identified in the Consolidated Plan. This estimate
includes program income for all federal grant funds. The Annual Plan also provides
information regarding leveraging of non-federal and private resources with federal grant
funds, and how the matching requirements of HUD programs will be met
¦ Description of Activities to be Undertaken - This information is provided in a format
prescribed by HUD, including a short description of the activity, the location of the
activity, and the target beneficiary population
¦ Geographic Distribution - A description of the geographic distribution of federal grant
funds, including information regarding the distribution of federally funded assistance in
areas of racial/ethnic minority concentration
¦ Homeless and other Special Needs - An outline specifying the activities that will be
undertaken during the PY to address the needs of the City's households at risk of
homelessness, those that are situational homeless, chronic homeless, and persons that
are not homeless, but have special needs
¦ Other Actions - HUD requires that the City evaluate how strategies outlined in the
Consolidated Plan will be addressed during the Program Year including strategies to:
DRAFT 04/08/2012 1 2012-2013 ANNUAL ACTION PLAN
2913-8
2012/13 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN
ACTION PLAN
¦ Address obstacles to meeting underserved needs
¦ Foster and maintain affordable housing
¦ Remove barriers to affordable housing
¦ Evaluate and reduce lead-based paint hazards
¦ Reduce the number of poverty level families
¦ Develop institutional structure
¦ Enhance coordination between public/private housing and service agencies
¦ Foster assisted housing improvements and resident initiatives
¦ Actions taken to address impediments to fair housing choice that may exist in the
City
¦ Program Specific Requirements - There are certain program requirements that must be
included in the Action Plan for each federal grant program.
¦ Monitoring - A description of the standards and procedures that the City will use to
monitor activities carried out in furtherance of the plan and ensure proper use of
federal funds.
¦ Certifications - HUD requires the City to submit various certifications related to the
implementation of federal grant programs - these are standard HUD certifications.
HUD requires that the City implement an outcomes measurement management system.
This system is outlined in the 2010-2014 Consolidated Plan. The City has incorporated
outcome measurement requirements into contracts with all sub-grantees and grantee-
funded activities. Finally, the City has utilized a portion of HUD's Consolidated Plan
Management Program (CPMP) tool to prepare the 2012-2013 Action Plan.
HUD regulations also require that the City prepare an executive summary for each Action
Plan that not only summarizes how the City will utilize HUD funds for 2012-2013, but also
reviews prior year accomplishments. Since the 2011-2012 Fiscal Year was the only partially
complete, no program/project information for this year has been reported in this plan. In
subsequent years, a more complete executive summary will be incorporated into each
Annual Plan.
The City of Santa Ana is a recipient of four significant grants from the U.S. Department of
Housing and Urban Development (HUD); these grants and the amount the City anticipates it
will receive are listed below (see TABLE 1):
2012-2013 ANNUAL ACTION PLAN 2 DRAFT 04/08/2012
29B-9
2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN 2012/13
I ACTION PLAN
TABLE 1: ANTICIPATED FEDERAL GRANT RESOURCES FOR FY 2012-2013
RESOURCES
Community Development Block Grant (CDBG)
ANTICIPATED AmOUNI
$5,680,480
CDBG Program Income $0
CDBG Prior Year Program Income $0
CDBG Reprogrammed Funds $0
HOME Investment Partnership Program (HOME) $1,228,217
HOME Program Income $0
Emergency Shelter Grant (ESG) $538,354
ESG Reprogrammed Funds (from prior years) $0
Housing Opportunities for Persons With AIDS (HOPWA) $1,548,618
Housing Opportunities for Persons With AIDS (HOPWA) - Prior Yr $0
TOTAL $8,999,669
Source: U.S. Department of Housing and Urban Development and City of Santa Ana CDA
As noted above, in addition to entitlement funds, there may be program income and prior
year unexpended funds that may be added to the amounts listed above to carry out eligible
activities.
A summary of activities planned for implementation during the 2012-2013 Fiscal Year is
found on TABLE 2. These activities include the following:
TABLE 2: PLANNED USE OF 2012-2013 HUD FUNDS *
ACTIVITY
Public Facility Development - Public Facility Improvements (Streets & Parks) FUNDING
SOURCE
CDBG AMOUNT
$1,977,312
Code Enforcement - Enforcement of housing & municipal building codes CDBG $1,300,000
Public Services - Senior, youth, anti-crime & other service programs CDBG $809,000
CDBG Administration & Planning- Program oversight & fair housing counseling CDBG $1,136,096
Housing Rehabilitation - Single-& Multi-Family Housing Rehab CDBG $415,000
ESG Homeless Assistance - Street Outreach ESG $80,000
ESG Homeless Assistance - Shelter ESG $243,000
ESG Homeless Prevention ESG 55,000
ESG Rapid Rehousing ESG 119,977
ESG Administration - Program oversight ESG $40,377
HOME Administration - Program oversight HOME $122,821
HOME CHDO Allocation HOME $184,233
HOME Multifamily Acquisition/Rehabilitation HOME $200,000
HOME Single-Family Housing Unit Acquisition for Rehab & Resale HOME $621,163
HOME Single Family Rehabilitation HOME $100,000
HOPWA Administration - Program oversight 1 HOPWA $46,459
DRAFT 04/08/2012
2012-2013 ANNUAL ACTION PLAN
29B-10
2012/13 I 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN
ACTION PLAN
HOPWA Support Services - Supportive services & housing for persons with
HIV/AIDS 2 HOPWA $902,159
HOPWA Tenant Based Rental Assistance - Rental assistance for persons with
HIV/AIDS 2 HOPWA $600,000
' "Funding Amount" is based on anticipated 12-13 grants - does not include additional prior year/reprogrammed funds or program
income
1. Santa Ana receives and administers HOPWA funds on behalf of the entire Orange County region.
2. HOPWA-funded programs and services will be available countywide.
CDBG-funded activities will be available to income-eligible households, i.e., households with
an income equal to or less than 80 percent of the County median income or in areas of the
City where HUD has determined at least 51 percent of residents meet the 80 percent
median income standard (see MAP 1).1 HOME-funded activities will also benefit
homeowners at the 80 percent income standard and renters with lower incomes. ESG will
be limited to programs that prevent eminent eviction/foreclosure or assist those
individuals/families that are already homeless and need appropriate housing and/or
support services. As indicated in TABLE 2, HOPWA funds will be utilized to support programs
that address the housing and service needs of Orange County residents living with
HIV/AIDS.
Pursuant to the Citizen Participation Plan and HUD requirements, the City prepared the
draft 2012-2013 Action Plan in compliance with the City's citizen participation process. The
draft 2012-2013 Action Plan was available for public review for a 30-day period. This
comment period began March 19, 2012 and ended April 17, 2012. Additionally, a public
hearing was held April 17, 2012 to receive additional public input on proposed 2012-2013
HUD-funded activities. A public notice regarding the 30-day comment period and public
hearing was published on March 19, 2012 (see EXHIBIT 1). A summary of public comments
received and staff's written response to comments is also incorporated into EXHIBIT 1.
1 The City is eligible to utilize HUD's uncapped 80% income standard versus the HUD's capped income limits.
Additional information regarding capped versus uncapped is found on page 22.
2012-2013 ANNUAL ACTION PLAN 4 DRAFT 04/08/2012
29B-11
STANDARD FORM 424
OMB Number: 4040-0004
Application for Federal Assistance SF-424 Version 02
*1. Type of Submission: *2. Type of Application * If Revision, select appropriate letter(s)
? Preapplication ® New
® Application ? Continuation Other (Specify)
? Changed/Corrected Application ? Revision
3. Date Received 4. Applicant Identifier:
5a. Federal Entity Identifier: *5b. Federal Award Identifier:
B-12-MC-06-0508 B-12-MC-06-0508
State Use Onl :
6. Date Received by State: 7. State Application Identifier:
8. APPLICANT INFORMATION:
*a. Legal Name: City of Santa Ana
*b. Employer/Taxpayer Identification Number (EIN/TIN): *c. Organizational DUNS:
95-6000785 083153247
d. Address:
*Street 1: 20 Civic Center Plaza
Street 2:
*City: Santa Ana
County: Orange
*State: CA
Province:
*Country: USA
*Zip / Postal Code 92702
e. Organizational Unit:
Department Name: Division Name:
Community Development Agency Administration Division
If. Name and contact information of person to be contacted on matters Involving this application:
Prefix: Ms *First Name: Nancy
Middle Name: T
*Last Name: Edwards
Suffix:
Title: Interim Executive Director, Community Development Agency
Organizational Affiliation:
*Telephone Number: 714-667-2244 Fax Number: 714-647-6713
*Email: nedwards@santa-ana.org
DRAFT 04/08/2012
2012-2013 ANNUAL ACTION PLAN
29B-12
OMB Number. 40400004
F.ni.f,-n.ro amni mna
Application for Federal Assistance SF-424 Version 02
*9. Type of Applicant 1: Select Applicant Type:
City or Township Government
Type of Applicant 2: Select Applicant Type:
Type of Applicant 3: Select Applicant Type:
*Other (Specify)
*10 Name of Federal Agency:
Housing and Urban Development
11. Catalog of Federal Domestic Assistance Number:
14-218
CFDA Title:
Community Development Block Grant
*12 Funding Opportunity Number:
NA
*Title:
NA
13. Competition Identification Number:
NA
Title:
NA
14. Areas Affected by Project (Cities, Counties, States, etc.):
City of Santa Ana, CA
*15. Descriptive Title of Applicant's Project:
Funds to be used to support improvement of public facilities in the City's Low/Mod areas, housing rehab and public services. Funds
will also be used for program administration and fair housing services.
2012-2013 ANNUAL ACTION PLAN
DRAFT 04/08/2012
29B-13
OMB Number: 4040-0004
wa
Application for Federal Assistance SF-424 Version 02
16. Congressional Districts Of:
*a. Applicant: 46 & 47 *b. Program/Project: 46 & 47
17. Proposed Project:
*a. Start Date: 07/01/2012 *b. End Date: 06/30/2013
18. Estimated Funding ($):
*a. Federal 5,680,480
*b. Applicant
*c. State
*d. Local
•e. Other (Carry Forward)
*f. Program Income
*g. TOTAL 5,680,480
*19. Is Application Subject to Review By State Under Executive Order 12372 Process?
? a. This application was made available to the State under the Executive Order 12372 Process for review on
? b. Program is subject to E.O. 12372 but has not been selected by the State for review.
® c. Program is not covered by E. 0.12372
*20. Is the Applicant Delinquent On Any Federal Debt? (If "Yes", provide explanation.)
? Yes ® No
21. *By signing this application, I certify (1) to the statements contained in the list of certifications** and (2) that the statements herein are true,
complete and accurate to the best of my knowledge. I also provide the required assurances** and agree to comply with any resulting terms if I accept
an award. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties. (U. S.
Code, Title 218, Section 1001)
0 **1 AGREE
** The list of certifications and assurances, or an internet site where you may obtain this list, is contained in the announcement or agency specific
instructions
Authorized Representative:
Prefix: Mr. *First Name: Paul
Middle Name: M.
*Last Name: Walters
Suffix:
*Title: Interim City Manager
*Telephone Number: 714-647-5200 Fax Number: 714-647-6713
* Email: pwalters@santa-ana.org
*Signature of Authorized Representative: *Date Signed:
branoara Form 424 (Revised 10/2005)
Prescribed by OMB Circular A-102
DRAFT 04/08/2012
2012-2013 ANNUAL ACTION PLAN
29B-14
O\IB NUMBER. 4040-0004
Application for Federal Assistance SF-424 Version 02
* 1. Type of Submission: *2. Type of * If Revision, select appropriate letter(s)
? Preapplication Application
® Application ® New
? Changed/Corrected Application
? Continuation
*Other (Specify)
? Revision
3. Date Received 4. Applicant Identifier:
5a. Federal Entity Identifier: *5b. Federal Award Identifier:
M-12-MC-06-0508 M-12-MC-06-0508
State Use Onl :
6. Date Received by State: 7. State Application Identifier:
8. APPLICANT INFORMATION:
*a. Legal Name: City of Santa Ana
*b. Employer/Taxpayer Identification Number (EfN/TIN): *c. Organizational DUNS:
95-6000785 083153247
d. Address:
*Street 1: 20 Civic Center Plaza
Street 2:
*City: Santa Ana
County: Orange
*State: CA
Province:
*Country: USA
*Zip / Postal Code 92702
e. Organizational Unit:
Department Name: Division Name:
Community Development Agency Housing Division
E Name and contact information of person to be contacted on matters involving this application:
Prefix: Ms *FirstName: Shelly
Middle Name:
*Last Name: Landry-Basle
Suffix:
Title: Housing Manager
Organizational Affiliation:
*Telephone Number: 714-667-22287 Fax Number: 714-647-2225
*Email: slandry-bayle@santa-ana.org
2012-2013 ANNUAL ACTION PLAN
DRAFT 04/08/2012
29B-15
OMB Number: 4040-0004
Ennvati-Date 011:1nnno
Application for Federal Assistance SF-424 Version 02
*9. Type of Applicant 1: Select Applicant Type:
City or Township Government
Type of Applicant 2: Select Applicant Type:
Type of Applicant 3: Select Applicant Type:
*Other (Specify)
*10 Name of Federal Agency:
Housing and Urban Development
11. Catalog of Federal Domestic Assistance Number:
14-239
CFDA Title:
Home Investment Partnerships Act
*12 Funding Opportunity Number:
NA
*Title:
NA
13. Competition Identification Number:
NA
Title:
NA
14. Areas Affected by Project (Cities, Counties, States, etc.):
City of Santa Ana, CA
* 15. Descriptive Title of Applicant's Project:
Funds to be used to expand and preserve the City's supply of affordable housing and program administration. ADDI funds received in
prior years will be used to assist I't homebuyers.
DRAFT 04/08/2012
2012-2013 ANNUAL ACTION PLAN
29B-16
OtiB Number: 4040.0004
m. vu, 11-wy
Application for Federal Assistance SF-424 Version 02
16. Congressional Districts Of.
*a. Applicant: 46 & 47 *b. Program/Project: 46 & 47
17. Proposed Project:
*a. Start Date: 07/01/2012 *b. End Date: 06/30/2013
18. Estimated Funding $
*a. Federal 1,228,217
*b. Applicant
*c. State
*d. Local
*e. Other
*f. Program Income
*g. TOTAL 1,228,217
*19. Is Application Subject to Review By State Under Executive Order 12372 Process?
? a. This application was made available to the State under the Executive Order 12372 Process for review on
? b. Program is subject to E.O. 12372 but has not been selected by the State for review.
® c. Program is not covered by E. O. 12372
*20. Is the Applicant Delinquent On Any Federal Debt? (If "Yes", provide explanation.)
? Yes 0 No
21. *By signing this application, I certify (l) to the statements contained in the list of certifications** and (2) that the statements herein
are true, complete and accurate to the best of my knowledge. I also provide the required assurances** and agree to comply with any
resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal,
civil, or administrative penalties. (U. S. Code, Title 218, Section 1001)
® **I AGREE
** The list of certifications and assurances, or an internet site where you may obtain this list, is contained in the announcement or
agency specific instructions
Authorized Representative:
Prefix: Mr. *First Name: Paul
Middle Name: M.
*Last Name: Walters
Suffix:
*Title: Interim City Manager
*Telephone Number: 714-647-5200 *Telephone Number: 714-647-5200
* Email: pwalters@santa-ana.org
*Signature of Authorized Representative:
A,ithnri,rri f- t -I R.-A *Date Signed:
atanaam tOrm 424 (KeMed 102005)
Prescribed by OMB Circular A-102
2012-2013 ANNUAL ACTION PLAN 10 DRAFT 04/08/2012
29B-17
01,113 Number: 4040-0004
Frnin?i..?n,?.. nl/n ronrw
Application for Federal Assistance SF-424 Version 02
* 1. Type of Submission: *2. Type of * If Revision, select appropriate letter(s)
? Preapplication Application
2 Application ® New
? Changed/Corrected Application
? Continuation
*Other (Specify)
? Revision
3. Date Received 4. Applicant Identifier:
5a. Federal Entity Identifier: *5b. Federal Award Identifier:
S-12-MC-06-0508 S-12-MC-06-0508
State Use Onl :
6. Date Received by State: 7. State Application Identifier:
8. APPLICANT INFORMATION:
*a. Legal Name: City of Santa Ana
*b. Employer/Taxpayer Identification Number (EIN/TIN): *c. Organizational DUNS:
95-6000785 083153247
d. Address:
*Street 1: 20 Civic Center Plaza
Street 2:
*City: Santa Ana
County: Orange
*State: CA
Province:
*Country: USA
*Zip / Postal Code 92702
e. Organizational Unit:
Department Name: Division Name:
Community Development Agency Administration Division
f. Name and contact information of person to be contacted on matters involving this application:
Prefix: Ms *First Name: Nancy
Middle Name: T
*LastName: Edwards
Suffix:
Title: Interim Executive Director, Community Development Agency
Organizational Affiliation:
*Telephone Number: 714-667-2244 Fax Number: 714-647-6713
*Email: nedwards@santa-ana.org
DRAFT 04/08/2012 11 2012-2013 ANNUAL ACTION PLAN
29B-18
OMB Number: 4040-0004
F-irmi-D- 01111noM
Application for Federal Assistance SF-424 Version 02
*9. Type of Applicant 1: Select Applicant Type:
City or Township Government
Type of Applicant 2: Select Applicant Type:
Type of Applicant 3: Select Applicant Type:
*Other (Specify)
*10 Name of Federal Agency:
Housing and Urban Development
11. Catalog of Federal Domestic Assistance Number:
14-231
CFDA Title:
Emergency Solutions Grant
*12 Funding Opportunity Number:
NA
*Title:
NA
13. Competition Identification Number:
NA
Title:
NA
14. Areas Affected by Project (Cities, Counties, States, etc.):
City of Santa Ana, CA
* 15. Descriptive Title of Applicant's Project:
Funds to be used to provide homeless assistance (street outreach and shelter), rapid re-housing, homelessness prevention and
program admin.
2012-2013 ANNUAL ACTION PLAN 12 DRAFT 04/08/2012
29B-19
ONn3 Number. 4040-0004
Application for Federal Assistance SF-424 Version 02
16. Congressional Districts Of.
*a. Applicant: 46 & 47 *b. Program/Project: 46 & 47
17. Proposed Project:
*a. Start Date: 07/01/2012 *b. End Date: 06/30/2013
18. Estimated Funding
*a. Federal 538,354
*b. Applicant
*c. State
*d. Local
*e. Other (Prior Year)
*f. Program Income
*g. TOTAL, 538,354
*19. Is Application Subject to Review By State Under Executive Order 12372 Process?
? a. This application was made available to the State under the Executive Order 12372 Process for review on
? b. Program is subject to E.O. 12372 but has not been selected by the State for review.
® c. Program is not covered by E. O. 12372
*20. Is the Applicant Delinquent On Any Federal Debt? (If "Yes", provide explanation.)
? Yes ® No
21. *By signing this application, I certify (1) to the statements contained in the list of certifications** and (2) that the statements herein
are true, complete and accurate to the best of my knowledge. I also provide the required assurances** and agree to comply with any
resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal,
civil, or administrative penalties. (U. S. Code, Title 218, Section 1001)
® **I AGREE
** The list of certifications and assurances, or an internet site where you may obtain this list, is contained in the announcement or
agency specific instructions
Authorized Representative:
Prefix: Mr. *First Name: Paul
Middle Name: M.
*Last Name: Walters
Suffix:
*Title: Interim City Manager
*Telephone Number: 714-647-5200 -Telephone Number: 714-647-5200
* Email: pwalters@santa-ana.org
*Signature of Authorized Representative: *Date Signed:
Standard Form 424 (Revised 1012005)
Prescribed by OMB Cirwlar A-102
DRAFT 04/08/2012 13 2012-2013 ANNUAL ACTION PLAN
29B-20
OMB Number: 4040-0004
Application for Federal Assistance SF-424 Version 02
*L Type of Submission: *2. Type of Application * If Revision, select appropriate letter(s)
? Preapplication ® New
® Application ? Continuation
*Other (Specify)
? Changed/Corrected Application ? Revision
3. Date Received 4. Applicant Identifier:
5a. Federal Entity Identifier: *5b. Federal Award Identifier:
CA 16 H12-FO75 CA 16 H12-FO75
State Use Onl :
6. Date Received by State: 7. State Application Identifier:
8. APPLICANT INFORMATION:
*a. Legal Name: City of Santa Ana
*b. Employer/Taxpayer Identification Number (EIN/TIN): *c. Organizational DUNS:
95-6000785 083153247
A. Address:
*Street l: 20 Civic Center Plaza
Street 2:
*City: Santa Ana
County: Orange
*State: CA
Province:
*Country: USA
*Zip / Postal Code 92702
e. Organizational Unit:
Department Name: Division Name:
Community Development Agency Housing Division
f. Name and contact information of person to be contacted on matters involvin this application:
Prefix: Ms *First Name: Shelly
Middle Name:
*Last Name: Landry-Basle
Suffix:
Title: Housing Manager
Organizational Affiliation:
*Telephone Number: 714-667-22287 Fax Number: 714-647-2225
*Email: slandry-bayle@santa-ana.org
2012-2013 ANNUAL ACTION PLAN 14 DRAFT 04/08/2012
29B-21
OMB Number 4040-0004
Eanlratiun Date: 01/31/2009
Application for Federal Assistance SF-424 Version 02
*9. Type of Applicant 1: Select Applicant Type:
City or Township Government
Type of Applicant 2: Select Applicant Type:
Type of Applicant 3: Select Applicant Type:
*Other (Specify)
*10 Name of Federal Agency:
Housing and Urban Development
11. Catalog of Federal Domestic Assistance Number:
14-241
CFDA Title:
Housing Opportunities for Persons with AIDS
*12 Funding Opportunity Number:
NA
*Title:
NA
13. Competition Identification Number:
NA
Title:
NA
14. Areas Affected by Project (Cities, Counties, States, etc.):
Orange County, CA
*15. Descriptive Title of Applicant's Project:
Funds to be used to provide housing and supportive services for individuals with HIV and AIDS. Funds will also be used for program
admin. Funds will be used throughout Orange County CA.
DRAFT 04/08/2012 15 2012-2013 ANNUAL ACTION PLAN
29B-22
OMB Number: 4040.0004
Application for Federal Assistance SF-424 Version 02
16. Congressional Districts Of:
*a. Applicant: 39, 41, 45, 46, 47 & 48 *b. Program/Project: 39, 41, 45, 46, 47 & 48
17. Proposed Project:
*a. Start Date: 07/01/2012 *b. End Date: 06/30/2013
18. Estimated Funding
*a. Federal 1,548,618
*b. Applicant
*c. State
*d. Local
*e. Other (Prior Yr)
*f. Program Income
*g. TOTAL 1,548,618
* 19. Is Application Subject to Review By State Under Executive Order 12372 Process?
? a. This application was made available to the State under the Executive Order 12372 Process for review on
? b. Program is subject to E.O. 12372 but has not been selected by the State for review.
® c. Program is not covered by E. O. 12372
*20. Is the Applicant Delinquent On Any Federal Debt? (If "Yes", provide explanation.)
? Yes ® No
21. *By signing this application, I certify (1) to the statements contained in the list of certifications** and (2) that the statements herein
are true, complete and accurate to the best of my knowledge. I also provide the required assurances** and agree to comply with any
resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal,
civil, or administrative penalties, (U. S. Code, Title 218, Section 1001)
® **I AGREE
** The list of certifications and assurances, or an intemet site where you may obtain this list, is contained in the announcement or
agency specific instructions
Authorized Representative:
Prefix: Mr. *First Name: Paul
Middle Name: M.
*Last Name: Walters
Suffix:
*Title: Interim City Manager
'Telephone Number: 714-647-5200 'Telephone Number: 714-647-5200
*Email: pwalters@santa-ana.org
*Signature of Authorized Representative: *Date Signed:
ZiIarmUarU YUrm 414 (KeViSed 10!2005)
Prescribed by OMB Circular A-102
2012-2013 ANNUAL ACTION PLAN 16 DRAFT 04/08/2012
29B-23
RESOURCES
FEDERAL RESOURCES
As part of the Action Plan, federal regulations require the City of Santa Ana to delineate
federal and non-federal resources expected to be available to address the priority needs
and specific objectives identified in the Consolidated Plan. TABLE 3 provides a summary of
HUD grants and program income that will be programmed during FY 2012-2013.
HUD also asks communities to outline other resources that may be available during the
program year to leverage federal grant funds in an effort to address priority needs. TABLE 3
provides a more comprehensive listing of potential federal, state and local private resources
that are or may be available to the City to undertake activities to meet housing and
community needs.
TABLE 3: POTENTIAL RESOURCES AVAILABLE FOR HOUSING & COMMUNITY DFVFLnPMFNT 2n11-2n17
PROGRAM DESCRIPTION ELIGIBLE ACTIVITIES
FEDERAL RESOURCES
This is an entitlement program that is awarded to ¦ Social Services
Community Development Block the City on a formula basis. The objectives are to ¦ Public Facilities
Grant (CDBG) fund housing activities and expand economic Improvements
opportunities. Projects must meet one of three
$5,680,480
national objectives: benefit low- and moderate- ¦ Housing Rehabilitation
(plus program income & reprogrammed income persons; aid in the prevention or ' Code Enforcement
funds) elimination of slums or blight; or meet other ' Historic Preservation
urgent needs • Admin. & Planning
HOME Investment Partnerships
(HOME) Program
Grant program for housing to expand the supply • Multi-Family
Acquisition/Rehabilitation
$1
228
217 of decent, safe, and sanitary affordable housing.
Multi-family New
,
,
(plus
program income & reprogrammed HOME is designed as a partnership program Construction
funds) between the federal, state, and local ¦ Single-Family Rehabilitation
governments, nonprofit and for-profit housing
Also includes ADDI funds -
entities to finance build/rehabilitate and manage
0 Acquisition
approximately $204,000 housing for lower-income owners and renters ' CHDO Assistance
available • Program Administration
Emergency Solutions Grant Annual grant funds are allocated on a formula ' Outreach/Assessment
(ESG) basis. Funds are intended to assist with the ¦ Homelessness Prevention
$538,354 provision of shelter and social services for the ¦ Shelter/Rapid Re-housing
(plus prior year funds) homeless ¦ Program Administration
Housing Opportunities for Funds are allocated to Santa Ana on behalf of all ¦ Rental Assistance
Persons with AIDS (HOPWA) jurisdictions in Orange County. Funds are made
available countywide for supportive housing Supportive Services
$1,548,618 services, affordable housing development, & ' Housing development
(plus reprogrammed funds) rental assistance • Program Administration
DRAFT 04/08/2012 17 2012-2013 ANNUAL ACTION PLAN
29B-24
PROGRAM DESCRIPTION ELIGIBLE ACTIVITIES
• Vocational Training
Workforce investment funds are used to assist ¦ On-the Job Training
economically disadvantaged Santa Ana youths
Workforce Investment Act
and laid-off adults to develop work skills and ¦ ESL & GED Prep Courses
vocational training in order to obtain productive Welfare to Work
$3,812,409 employment opportunities. The Workforce ' Resume Prep, Lay-off
Investment resources serve approximately 4,200 Aversion
to 48,000 residents ' Business Retention &
Outreach
Program that subsidizes rental for very low-
Housing Choice Vouchers income families, individuals, seniors and the
disabled. Participants pay approximately 30% of
$27,785,758 adjusted income toward rent. SA Housing ' Rental Assistance
Authority pays balance of rent to property owner
and administers the program - 2,658 vouchers
Neighborhood Stabilization • Acquisition
Program (NSP) 1,2 & 3 Federal grant program that provides targeted • Rehabilitation
assistance to acquire and redevelop foreclosed ¦ Resale of foreclosed &
$4,610,494 homes and residential properties that might abandoned residential
(balance of grant funds & program otherwise become sources of blight. properties
income) ¦ Program administration
Program encourages private capital investment to ¦ New Construction
Low Income Housing Tax Credit develop affordable rental housing for low-income
(LIHTC) households. Tax credits are available to ' Housing Rehabilitation
individuals and corporations investors ' Acquisition
STATE RESOURCES
California Dept of Housing & Low interest loans for the development of ¦ Ownership & Rental
Community Development affordable housing with nonprofit agencies Housing Projects
California Dept of Housing &
Community Development:
CaIHOME Program
Financing for single family housing rehabilitation ¦ Ownership Housing Projects
$660,000
Prior Year Allocation (Grant expires
9/9/11- requesting extension to 9/9/12)
CITY OF SANTA ANA RESOURCES
Santa Ana Redevelopment
Agency Low Income Housing Redevelopment Agency activities were
Set-Aside Fund terminated by the State Legislature. Resources no ¦ None
longer available
$0
The City allows an increase in density to
Density Bonus developers who set-aside at least 25% of their ¦ Density Bonus
project to low- and moderate-income persons
The Housing Authority has the authority to issue
Tax Exempt Bonds tax-exempt bonds. Bond proceeds are used to ¦ Housing Development
develop affordable housing
2012-2013 ANNUAL ACTION PLAN 18 DRAFT D4/08/2012
29B-25
PROGRAM DESCRIPTION ELIGIBLE ACTIVITIES
If available and appropriate, City or
City/Agency Owned Land Redevelopment Agency owned land might be ¦ Housing
made available.
PRIVATE RESOURCES
1. Community Home Buyer Program - Fixed rate
Federal National Mortgage mortgages
Assoc. (Fannie Mae) 2. Community Home Improvement Mortgage ¦ Homebuyer Assistance
Program - Mortgages for both purchase and ¦ Homebuyer
Freddie Mac rehabilitation of a home Assistance/Rehab
3. Fannie Neighbor- Under served low-income ¦ Expand Home Ownership
FHA minorities are eligible for low down-payment for Minorities
mortgages for the purchase of single family
homes
California Community Nonprofit mortgage banking consortium that
Reinvestment Corp.
pools resources to reduce lender risk in financing ¦ New Construction
(CCRC) affordable housing ' Rehabilitation
Federal Home Loan Bank Direct subsidies to nonprofit and for-profit ¦ New Construction
Affordable Housing Program developers, and public agencies for affordable ¦ Expand Home Ownership
low-income ownership and rental projects for Lower Income Persons
Orange County Affordable Nonprofit lender consortium ' Construction Financing
Housing Clearinghouse ¦ Permanent Financing
OTHER NON-FEDERAL PUBLIC AND PRIVATE RESOURCES
As outlined above (TABLE 3) , there are additional federal, non-federal and private resources
that the City anticipates it may receive or seek in support of meeting priority needs and
specific objectives identified in the Consolidated Plan.
LEVERAGING OF RESOURCES
HUD requires the City to discuss how federal resources to be made available during the
2012-2013 Program Year will leverage other non-federal public and private resources. In
past years the City of Santa Ana had implemented a strategy of linking non-federal
resources for housing and community development needs with federal grant funds. This
strategy involves identifying federal resources that may be available to undertake a project.
If grant funds are insufficient other non-federal resources will be utilized to meet project
finance gaps. In past years local redevelopment funding was the primary source of
leveraging (and HOME match). Unfortunately as of February 2012, State legislation has
resulted in the dissolution of all California redevelopment agencies, and while some
legislation is being considered that may address affordable housing needs, for the short- to
medium-term, this funding source will no longer be available. The City will be severely
challenged in identifying new resources that can be used to leverage declining federal
funds. To the extent resources are available, the City will continue to commit non-federal
DRAFT 04/08/2012 19 2012-2013 ANNUAL ACTION PLAN
29B-26
resources to undertake activities that are not federally funded, but address the priority
needs of the community. HUD's IDIS system will help facilitate more accurate reporting of
leveraging resources. The list of resources identified in TABLE 3 may be used during the
course of the year to leverage HUD funding.
FEDERAL MATCH REQUIREMENTS
There is no federal requirement for the City to match CDBG funds with other non-federal
program resources. The HOME program does require that for every HOME dollar spent, the
City must provide a 25% match with non-federal dollars; however, under certain
circumstances, HUD will waive or reduce the match requirement. On September 19, 2011,
HUD provided a list of HOME Participating Jurisdictions that were granted a match
reduction.2 According to this notice, the City's HOME match requirement has been reduced
to 0% because the City's "family poverty rate" is 125% or more of the average national
poverty rate, the jurisdiction qualifies as distressed based on the family poverty rate
criterion, and the City's per capita income is less than 75% of the national average.
Even though Santa Ana is not required to provide HOME matching funds, the City will
continue to implement its current strategy to match HOME funds by undertaking projects
that blend local and private resources with HOME funds. HUD allows the City to use various
resources to meet this match requirement including:
¦ Cash ¦ Value of waived taxes, fees or charges
¦ Value of donated land ¦ Value of donated materials and/or labor
Based on past actions, HOME match resources will include the value of donated land and
value of donated labor and materials, and/or direct subsidies with non-federal funds. As
required, the City currently maintains a log of current match sources including a balance of
excess match.
The Emergency Solutions Grant (ESG) program also has a match requirement. The City must
match ESG expenditures dollar for dollar. The City of Santa Ana requires that subrecipients
of ESG funds provide documentation of matching resources. An annual report of matching
funds is provided to HUD as part of the Consolidated Annual Performance and Evaluation
Report.
Z See HUD's website - http://www.hud.gov/offices/cpd/affordablehousing/programs/home/match/
2012-2013 ANNUAL ACTION PLAN 20 DRAFT 04/08/2012
29B-27
ACTIVITIES TO BE UNDERTAKEN
An outline of activities the City of Santa Ana will undertake during the 2012-2013 Program
Year is provided in TABLE 2. Activities were selected for implementation in order to address
HIGH priority needs identified in the City's Consolidated Plan.
A detailed description of activities to be undertaken is provided in EXHIBIT 3 - LISTING OF
PROPOSED ACTIVITIES. Descriptions of Activities include:
Number and type of accomplishment the proposed activity will address
¦ Location of activity
¦ Proposed end date
¦ Amount/source of HUD entitlement funds
¦ Priority need and proposed outcome/performance measure
To facilitate the evaluation of Santa Ana's progress toward meeting five-year objectives the
City has chosen to use HUD TABLE 3A (Version 2) to track one- and five-year
accomplishments. This table will be updated annually and incorporated into year-end
performance reports. This HUD table is incorporated into the Annual Plan as EXHIBIT 2.
Additional tracking of goals will be carried out by updating various tables found in the
Consolidated Plan, which will be incorporated into subsequently Annual Plans.
GEOGRAPHIC DISTRIBUTION
The geographic distribution of HUD grant funds is depicted in MAP 1. This map provides a
view of the City's CDBG Target Area where CDBG resources will be focused, and plots where
proposed activities will be located. As evidenced by MAP 1, HUD-funded activities are
limited to the City's Low-and Moderate-Income area, which encompasses the majority of
the City's residential areas.
Areas of the City outside of the CDBG target areas will benefit from activities that are
limited-clientele in nature, that is, a person/household can benefit from a federally assisted
program provided they meet the program's eligibility criteria. Eligibility is typically
established by household income and household size. HOPWA-funded activities will be
available on a countywide basis.
In July 2003, HUD notified the City of Santa Ana that it is exempt from the cap on Low- and
Moderate-Income levels currently applied to the CDBG and HOME programs. Traditionally,
DRAFT 04/08/2012 21 2012-2013 ANNUAL ACTION PLAN
29B-28
HUD has capped the 80 percent income level to an amount lower than the actual 80
percent of the area's median income. Utilization of the uncapped 80 percent income level
theoretically allows more households to qualify for CDBG and HOME funded activities. The
City of Santa Ana has chosen to utilize the capped 80 percent income standard for limited
clientele activities and the uncapped income for area-wide benefit activities. The table
below provides a listing of HUD's 2012 "Capped and 2012 Uncapped" income standard for
Orange County.
TABLE 4:2012 CAPPED AND 2012 UNCAPPED HUD INCOME LIMITS
HOUSEHOLDS SIZE
1 Person 2012 MAXIMUM •
HOUSEHOLDS •
$53,950 2012 MAXIMUM •
HOUSEHOLDS •
$53,950
2 Persons $61,650 $61,650
3 Persons $69,350 $69,350
4 Persons $77,050 $77,050
5 Persons $83,250 $83,250
6 Persons $89,400 $89,400
7 Persons $95,550 $95,550
8+ Persons $101,750 $101,750
OVU1l. , U.Z. Ueperunenc or nousmg ana uroan ueveiopment
2012-2013 ANNUAL ACTION PLAN 22 DRAFT 04/08/2012
29B-29
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29B-30
2012/13 I 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN
ACTION PLAN
HOMELESS AND OTHER SPECIAL NEEDS
The Action Plan delineates the specific activities that the City will undertake during the
2012-2013 Program Year that address objectives and goals identified in the Consolidated
Plan to meet the needs of Santa Ana's homeless and special need populations.
As reported in the 2010-2014 Consolidated Plan, it is estimated in 2009 there were 1,925
homeless individuals Santa Ana at the time the County undertook its biennial Point In Time
census of the region's homeless. Because individuals enter and leave homelessness on an
ongoing basis, it was estimated that 4,961 Santa Ana residents' were homeless over the
course of a year. To address the needs of these individuals, the City will;continue its efforts
to identify efficient and effective means to distribute limited resources for homeless needs.
The City has designated emergency and transitional housing as high priorities for addressing
homelessness. There are 16 emergency and transitional shelters in the City, providing an
estimated 265 emergency and 317 transitional housing beds - more than any other city in
the County.3 During the 2012-2013 Program Year the City will also incorporate into its
agreements a provision that each ESG-funded agency prepare and implement a policy that
will help ensure persons discharged from local publicly funded institution have access to
housing/services thus preventing their immediate homelessness upon discharge.
On May 20, 2009, President Obama signed into law a bill to reauthorize HUD's McKinney-
Vento Homeless Assistance programs: The bill included parts of the Helping Families Save
Their Homes Act. Since the provisions of the bills were identical, both have become known
as the Homeless Emergency Assistance and Rapid Transition to Housing (HEARTH) Act.
The HEARTH Act made numerous changes to HUD's homeless assistance programs:
¦ Replaced the Emergency Shelter Grant (ESG) program with the Emergency Solutions
Grant (ES(i) program
¦ Homelessness prevention is significantly expanded
¦ New incentives place more emphasis on outreach/assessment and rapid re-housing,
especially for homeless families
• The existing emphasis on creating permanent supportive housing for people
experiencing chronic homelessness will continue, although now families can also be
considered chronically homeless
3 Total emergency shelter beds do not include 250 seasonal beds that are opened during winter months
offered at the National Guard Armory located in Santa Ana.
2012-2013 ANNUAL ACTION PLAN 24 DRAFT 04/08/2012
29B-31
2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN I 2012/13
ACTION PLAN
¦ Consultation with Continuum of Care (CoC) - The City must consult with the CoC that
serves the regional homeless
¦ The HEARTH Act also required changes to the way ESG funds are allocated; specifically,
only 60 percent of the City's ESG grant may be used for shelter and outreach services
The Act also modified the definition of homelessness and allows ESG grantees to use some
Continuum of Care funding for people who are not homeless under HUD's definition, but
are homeless under definitions of homelessness used by other federal agencies.
Additionally, the HEARTH Act added a definition for a person that is at imminent risk of
homelessness or where a family or unaccompanied youth is living unstably. The Hearth Act
also required that the City make certain modifications to, its Consolidated Plan, Action Plan
and year-end performance reports. Amendments, to the Consolidated Plan will be
undertaken by the City as part of a separate action. The 2012-2013 Action Plan will take
into account required modifications as will the upcoming 2011-2012 Consolidated Annual
Performance and Evaluation Report (CAPER, i.e., year-end performance report). Taking the
HEARTH Act into account, during the 2012-2013 Program Year, the City will undertake the
following homeless housing/service activities:
HOMELESS ASSISTANCE - OUTREACH & SUPPORTIVE SERVICES
Santa Ana's Continuum of Care strategy calls for the provision of outreach and support
services to assist individuals and families that are homeless or at risk of becoming homeless.
ESG resources will be provided to local nonprofit organizations and the City's police
department; outreach ':services will be provided to an estimated 947 individuals during FY
2012-2013. Additionally, "the City has allocated CDBG funds to fund the HEART Program,
which will be used to supplement ESG funding for outreach/assessment. These activities
are summarized in EXhlbit 3 - LISTING OF PROPOSED PROJECTS. Additionally, on a countywide
basis, HOPWA will be used to provide homelessness supportive services to an estimated
376 households.
HOMELESSNESS PREVENTION
A key component of Santa Ana's Continuum of Care strategy is to prevent individuals and
families from falling into homelessness. This is accomplished by providing monetary
assistance and counseling/support services to households at risk of becoming homeless.
The City's continuum of care for the homeless strategy calls for providing ESG resources to
agencies that provide this type of assistance. An estimated 288 individuals will be assisted
with homelessness prevention services during FY 2012-2013. Specific activities to be
undertaken during the 2012-2013 Program Year are outlined in the LISTING OF PROPOSED
PROJECTS - EXHIBIT 3. Additionally, on a countywide basis, HOPWA will be used to provide
DRAFT 04/08/2012 25 2012-2013 ANNUAL ACTION PLAN
29B-32
2012/13 12010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN
ACTION PLAN
homelessness prevention assistance to an estimated 392 individuals via short-term rent and
mortgage/utility assistance.
SHELTER
The City will provide funds to shelter providers via the ESG and HOPWA programs. These
funds will help offset the costs of providing emergency shelter, transitional housing and
support services (e.g., legal assistance) for Santa Ana's homeless (and the region's homeless
with HIV/AIDS with HOPWA funding). Emergency shelters are geared toward providing
immediate housing to persons without shelter. Stays in emergency shelters are typically
limited to a short period of time (1 to 90 days). When blended with support services, this
environment can help stabilize a household in order to ascertain interim housing and
service needs. The critical link between homelessness and self-sufficiency, is often provided
by transitional housing programs. In this setting, homeless individuals and families are
provided free or very low cost housing, enriched with support services aimed,,at building
self-reliance skills. An estimated 684 individuals will be assisted with ESG-funded
emergency shelter services during FY 2012-2013.4 Additionally, 196 County residents will
be assisted with emergency shelter or transitional housing with HOPWA funds.5 Specific
activities to be carried out during the 2012-2013 Program Year are delineated in the LISTING
OF PROPOSED PROJECTS- EXHIBIT 3.
RAPID RE-HOUSING/TRANSITION TO PERMANENT HOUSING
In recent years a new model to address the housing and service needs of the homeless has
emerged - rapid re-housing. In contract to the shelter/services model, the primary notion
of rapid re-housing is to transition a homeless individual or household into stable housing as
quickly as possible, thus avoiding the creation of separate housing and services for people
who happen to be at risk of or who are already experiencing homelessness.
In 2009, the City implemented the Homelessness Prevention and Rapid Re-housing (HPRP)
program. This $2,831,989 HUD grant was authorized under the American Recovery and
Reinvestment Act of 2009. The City allocated these funds to 13 programs managed by
nonprofit agencies. HPRP resources were used to provide Santa Ana residents with
homelessness prevention and access to housing permanent (via rapid re-housing programs)
over a three year period. The HPRP program will sunset in the fall of 2012; however as of
4 Total includes 580 individuals assisted with emergency shelter (including 355 victims of domestic violence),
63 individuals with transitional housing, and 41 with shelter-based legal services.
5 Total includes 67 County residents assisted with HOPWA-funded emergency shelter plus 129 County
residents assisted with HOPWA-funded transitional housing..
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December 2011, 1,338 individuals (549 households) have been assisted with HPRP funds.
Of these individuals 1,075 (445 households) received homelessness prevention assistance
and 263 individuals (104 households) have participated in HPRP-funded rapid re-housing
programs. (A separate accomplishment report will be completed by the City at the end of
each HPRP program year.)
As indicated previously, passage of the HEARTH Act has "slightly shifted emphasis from
emergency shelter in the Emergency Shelter Grants program to housing prevention and
rapid re-housing assistance in the Emergency Solutions Grants program. ESG program
regulations specifically list rapid re-housing as one of the ' five. program components.i6
Access to decent, affordable permanent housing is the ultimate: goal of the City's
Continuum of Care system. In the past, the City has provided HOME, CDBG and
Redevelopment resources to nonprofit service providers in order to acquire and rehabilitate
housing units for persons leaving homeless programs. Some of these units have been
targeted for special need populations such as the disabled, youth, and individuals living with
HIV/AIDS. During the 2012-2013 Program Year, the Housing Authority will reserve ten
vouchers to assist households graduating out of a transitional housing program. HOPWA
funding will be utilized to provide rental assistance to 50, individuals/families living with
HIV/AIDS on a countywide basis :and will also maintain lease payments for 260 additional
housing units previously built with HOPWA funds. The City has also allocated ESG resources
to fund five service providers, which will place an estimated 99 homeless individuals in
permanent housing 'Via rapid re-housing. programs. The City will encourage service
providers to make every effor=t to minimize the amount of time an individual/household
remain homeless, provide access to affordable housing, and to minimize recidivism.
SPECIAL NEEDS OF PERSONS NOT HOMELESS BUT IN NEED OF SUPPORTIVE HOUSING
Santa Ana will continue to provide federal resources to meet the needs of persons with
special needs (e.g;, elderly, victims of domestic violence, persons with disabilities, persons
living with HIV/AIDS). Various programs will be undertaken during the 2012-2013 Program
Year including housing rehabilitation (which may include installation of items such as ramps,
grab bars, wider doors, etc.), to improve mobility for persons with disabilities, and public
services. Specific activities to be carried out are delineated in the LISTING of PROPOSED
PROJECTS - EXHIBIT 3.
6 24 CFR Parts 91 and 576, Homeless Emergency Assistance and Rapid Transition to Housing: Emergency
Solutions Grants program and Consolidated Plan Conforming Amendments. Pages 75957 and 75964, Federal
Register, Volume 76, No 233, December 5, 2011.
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OTHER ACTIONS
IDENTIFICATION OF IMPEDIMENTS To FAIR HOUSING CHOICE
As a recipient of federal grant funds, the City of Santa Ana is required to prepare an Analysis
of Impediments to Fair Housing choice (Al). In addition to identifying impediments, a
strategy to overcome these barriers must be implemented. The Al must be prepared to
complement the Consolidated Plan. The City was a participant in the development of a
regional Al, prepared by the Fair Housing Council of Orange County (FHCOC) on behalf of
ten municipal jurisdictions and the County of Orange. This document covers an array of
private and public sector policies affecting housing choice locally, and in the Orange County
region. This document has served as the basis for fair housing planning. The Al covers the
2010-2014 timeframe.
Summary of Impediments Identified in the Analysis
1. Housing Discrimination: Housing discrimination may be under reported, therefore, the
number of complaints may not accurately measure the extent of this fair housing
impediment. A review of available data indicated that at the time the Al was prepared,
complaints were mainly related to disability (35 percent), race and color (20 percent)
and national origin (14 percent).
2. Real Estate Advertising: This . impediment refers to 'print advertisements for the
sale/rental of a dwelling that indicates a preference, limitation or discrimination based
on race, color, religion, sex, marital status, national origin, ancestry, familial status,
disability, sexual orientation, or source of.income. A review of relevant data (online and
newspaper `print ads) found about 8 percent contained questionable language. The
overwhelming majority of the, questionable language was "No Pets" which occurred in
14.8 percent of the ads. Other questionable language included "near church/school."
3. Hate Crimes: A hate crime is defined in the Al as "a criminal act committed, in whole or
in part, because of one or more of the following actual or perceived characteristics of
the victim: disability, gender, nationality, race or ethnicity, religion, sexual orientation,
association with `a person/group with one or more of these actual or perceived
characteristics.
4. Unfair Lending: This impediment refers to underwriting, marketing and pricing that
discriminates because of income, race or ethnicity of the residents in the area where
the property is located. An evaluation of 2008 Home Mortgage Disclosure Act (HMDA)
data found there was disparity in loan approval/denial rates among racial and ethnic
borrowers, in particular, Hispanic applicants had higher loan denial rates than White,
Non-Hispanic borrowers.
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5. Zoning Policies and Practices: Federal and state fair housing laws require all local
governments to affirmatively further fair housing opportunities. One way is to make
reasonable accommodations in building, land use, and housing when necessary to
afford disabled persons an equal opportunity to use and enjoy a dwelling.
6. City has identified the following impediments:
¦ Lack of supportive and transitional housing zoning regulations
¦ Lack of reasonable accommodation ordinance
¦ Lack of visitability and universal design regulations in the Municipal Code
Actions to Address Identified Impediments: The following have been identified in the Al as
actions that may be taken to address identified impediments to fair housing:
1. Housing Discrimination: The City will contract with the FHCOC to receive, investigate
and address housing discrimination complaints filed by City residents. The FHCOC will
compile an Annual Report summarizing housing discrimination complaints they receive
and discrimination cases filed with the State Department of Fair Employment and
Housing and HUD. The FHCOC will transmit the Annual Report to the City by August of
each calendar year.
2. Real Estate Advertising: FHCOC will continue to-encourage the OC Register to publish a
Fair Housing Notice in the "For Rent' <. classified ad section and identify the FHCOC as an
agency that can respond to fair housing questions. They will also continue to encourage
the LA Times and OC Register to publish 'a "no pets" disclaimer that indicates rental
housing owners must provide reasonable accommodations, including "service animals"
and "companion animals" for disabled persons. The FHCOC will also periodically review
for rent and for sale ads published in the print media and online and will report findings
via an annual accomplishments report to the City each August.
3. Hate Crimes: The City will work in partnership with the FHCOC to coordinate services
with the OC Human Relations Commission and the Orange County Victim Assistance
Partnership to address hate crimes that may occur in the City. The FHCOC will also
assist the City as a referral source for hate crime victims.
4. Unfair Lending: Actions identified to overcome unfair lending practices include the
following: FHCOC will continue to monitor HMDA data during 2012-2013 and will
endeavor to complete a HMDA analysis of the top 10 lenders in Orange County to
compare and contrast loan denial rates. FHCOC will also conduct a follow-up analysis of
loan denial rates at the neighborhood level to determine if redlining exists; provide
homebuyer education programs in neighborhoods with high denial rates, high minority
population concentrations, and with limited English speaking proficiency to help
increase loan approval rates.
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5. Zoning Policies and Practices: City will contract with Fair Housing Council of Orange
County to provide a variety of fair housing services. The City will also consider
undertaking a review of land use and zoning regulations to identify practices and
procedures that act as barriers to the development, siting and the use of housing for
individuals with disabilities. The Al recommends that the City craft a reasonable
accommodation ordinance that allows for consideration of reasonable modifications to
building codes, land use, zoning, and permitting processes to allow people with
disabilities to fully use housing.
6. To address local impediments, the City will consider implementing the following:
¦ Implement the Uniform Building Code in new and major rehabilitation projects
¦ Amend the City's zoning code to address the requirements of Government Code
Section 65583(a)(5)7
¦ The City will consider creating a reasonable accommodation ordinance that includes
a local definition of disability
¦ The City will evaluate the feasibility of visitability and universal design concepts for
incorporation into the Municipal Code .8
STRATEGY IMPLEMENTATION
HUD requires that the City reevaluate how the additional strategies outlined in the
Consolidated Plan will be addressed `during the Program Year.
OBSTACLES TO MEETING UNDERSERVED NEEDS
The City of Santa Ana will undertake many activities aimed at addressing the needs of the
community's underserved. The underserved include the elderly, disabled, youth, homeless,
and very low-income households. In order to serve these populations, the City will focus
limited resources toward upgrading existing housing units and expanding the number of
affordable housing units for both owners and renters. Housing rehabilitation and
acquisition/development of new rental housing units are examples of activities slated for
implementation during the 2012-2013 Program Year although these efforts will be severely
limited due to the loss of redevelopment funding. Additionally, the City will use American
State code requires that the City identify a zone(s) where year-round emergency shelters are permitted
without a conditional use permit or other discretionary permit. Designated zone(s) must have adequate
capacity to accommodate the unmet emergency shelter need of local homeless.
8 Per the City's Al, "visitability" refers to housing designed to be lived in by people who have trouble with steps
or who use wheelchairs or walkers. A house is visitable when it meets three requirements: one zero-step
entrance, door with 32 inches of clear passage space, and one bedroom on the mail floor accessible by a
wheelchair.
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Dream Downpayment Initiative (ADDI) funds on hand to assist an estimated four
households to purchase a home.9 Finally, the City and local nonprofits will continue to
provide services for underserved City residents. Social services to be funded during the
2012-2013 Program Year include senior meals, homelessness outreach, youth and gang
diversion/enforcement services. By focusing resources on the housing and community
needs identified as HIGH priority the City will be able to utilize limited resources more
efficiently. When available, Santa Ana will seek out additional resources beyond federal
and local funds to address barriers.
FOSTERING AND MAINTAINING AFFORDABLE HOUSING
Many of the barriers to maintaining and expanding affordable housing opportunities for all
residents of Santa Ana are attributable to market constraints. Many of these market
constraints are beyond the control of the City. 'Overcoming these barriers has been made
more difficult with the loss of redevelopment funding. Prior to February 2012, the City
would utilize its limited resources to foster and maintain affordable housing by leveraging
federal funds with local redevelopment funds. The City will now seek other funding
resources such as those available to nonprofit housing developers in an effort to increase
the supply of long term affordable housing. The City's owner occupied housing stock will be
preserved with rehabilitation funds .jqr homeowners and enforcement of local
housing/building codes.
In July 2008, the Housing and Economic Recovery_Act of 2008 was signed into law. This law
authorized the creation of the Neighborhood Stabilization Program (NSP), which aims to
curtail the"negative impact ofJoreclosed homes on residential neighborhoods. The City of
Santa Ana qualified as,, a direct HUD-NSP round one recipient ($5,795,151). With these
funds, the City implemented a program that used funds to acquire and rehabilitate
foreclosed residential properties. These units were marketed and sold to qualified
homebuyers Additionally, the City allocated 25 percent of program funds for housing for
Very Low-Income persons by'working in partnership with a nonprofit and for-profit housing
developer. In January 2010, the City was awarded $10,000,000 in NSP2 funds as part of a
nationwide competition. These resources were used in the same manner as NSP1 funding.
The City has also qualified for NSP3 funds. In total the City has received approximately $17
million. At the conclusion of the NSP program, the City anticipates it will have assisted 140
households to become new homeowners, plus producing at least 54 newly refurbished
rental units that are affordable to very low-income households.
s The funding for the ADDI program has been terminated; however, the City has approximately $204,000 in
funding on hand.
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BARRIERS TO AFFORDABLE HOUSING
The City will implement an array of housing programs in order to enhance and expand the
supply of affordable housing in Santa Ana. As outlined above, the City will provide housing
rehabilitation programs for both owner- and rental-housing units. Additionally, programs to
provide new homeownership opportunities will be undertaken with NSP funding. For
renters, the City will evaluate various activities including rental assistance vouchers,
acquisition and new construction or rehabilitation activities. The City will continue to utilize
its strategy to leverage federal funds with non-federal resources (to the extent they are
available), especially those available to nonprofit housing.developers.
A recent and significant barrier to the provision -of affordable housing opportunities for
Santa Ana residents is the end of redevelopment in California. For Santa Ana, the mandated
termination of the redevelopment agency activities translates to the loss of several million
dollars annually dedicated solely for affordable housing. For 2012-2013 this issue has been
compounded by significant reductions in HOME and CDBG funds.
LEAD-BASED PAINT
As outlined in the City's 2010-2014 Consolidated Plan, HUD estimates that 74 percent of
dwellings built prior to 1980 have some level of lead-based .paint. Since over 80 percent of
Santa Ana's housing'was built before 1980, the City recognizes lead-based paint hazards as
an economic and health issue. The cost of removing lead paint often acts as a deterrent to
addressing this problem especially for lower income families. The City has implemented
HUD's lead-based paint hazards regulations (Title X). These regulations require that certain
types of HUD-funded housing activities must be tested for lead-based paint hazards prior to
the beginning of any work. If the property owner moves forward with the HUD-funded
housing activity, all lead-based paint hazards will be controlled or abated using HUD defined
"safe work` practices." Complying with lead paint requirements has increased rehabilitation
costs, and has also added to the project timeline. These regulations have also prompted
some potential program participants to drop their request for rehabilitation assistance.
Nonetheless, the City will provide educational materials to program participants that
outline the need and benefits of identifying and eliminating lead-based paint hazards.
ANTI-POVERTY STRATEGY
The City has identified numerous factors it can influence to combat poverty. Activities and
services the City will implement during the 2012-2013 Program Year to combat poverty
include the following:
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¦ Affordable housing programs including rehabilitation, rental assistance, and creation of
new affordable housing units (via new construction or acquisition/rehabilitation).
¦ Homeless assistance including outreach, prevention activities, emergency shelter,
transitional housing, and rapid re-housing/permanent housing opportunities. Support
services will be blended with these activities.
¦ Public safety to prevent criminals from victimizing the poor (e.g., gang enforcement
services).
¦ Public facility improvements to improve the overall infrastructure of the City, but more
specifically to eliminate public improvements/infrastructure that negatively impact
residential neighborhoods.
¦ Job training, job-search skills and job placement to provide those living in poverty with
employment opportunities that pay higher wages,
¦ Youth recreation and diversion services which' provide youth living; in poverty with
alternatives to gang and crime activities.
¦ The Housing Authority will continue to implement' the Family Self-Sufficiency (FSS)
program, which will provide rental assistance, life skills training and referrals to
employment training for program participants.
As indicated above, pending reductions in 'HUD and local redevelopment funds will impede
the implementation of :affordable housing activities. These same resources were also
identified by the City as the funding sourcefor several of the activities aimed at reducing
poverty in the City. As with housing programs, the City will need to reevaluate which of the
planned activities aimed at reducing poverty.in the community are still viable and/or which
will be scaled back due to budget cuts.
DEVELOPMENT OF INSTITUTIONAL STRUCTURES
In light of reductions/elimination of the primary sources of funding that support the City's
Consolidated Plan strategic plan, the City increase efforts to develop institutional structures
and enhance coordination between public and private housing and social service agencies,
and foster assisted, housing improvements and resident initiatives.
The City will continue to utilize a network of referrals, contacts and partnerships to
implement the strategies outlined in the Consolidated Plan. The City's Workforce
Investment Board will work closely with local businesses to identify their workforce needs.
The "One Stop" center will assist current and former welfare recipients obtain training and
gainful employment. The Center will also help adult displaced workers who are seeking
new employment opportunities after being laid-off.
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In the area of housing, the City will seek out new relationships with local housing providers
such as private developers, nonprofit developers, and neighboring housing authorities, to
ensure that limited housing resources are utilized in the most efficient and effective manner
possible. The City will also continue to participate in the regional Continuum of Care
Steering Committee in order to identify the housing and service needs of the County's
homeless.
Santa Ana will also participate in the implementation of a regional Analysis of Impediments
to Fair Housing working with the Fair Housing Council to,monitor and report actions taken
to overcome impediments to fair housing choices. With respect to'federal HOPWA funds,
the City will consult with private, nonprofit, community, and public institutions to assess the
needs of persons with HIV/AIDS, and determine the allocation of resources < Finally, the City
and the Housing Authority of the City of Santa Ana will continue to work jointlyto meet the
housing needs of Santa Ana's very low-income renters.
STRUCTURES TO ENHANCE COORDINATION IN_THE COMMUNITY
Coordination will be enhanced between, public agencies, private entities, and community
residents through various means. For example, coordination between the City and
residential neighborhoods will continue to be enhanced through the City's Neighborhood
Improvement (NIP) Program. NIP will be, responsible for assisting Santa Ana's 63
neighborhood associations by bringing key staff from the City, County, other governmental
agencies, the private sector, etc:, directly, to neighborhoods to address their concerns and
needs. Additionally, the City will continue to support the Santa Ana Resource Network's
efforts to coordinate the efficient delivery of services to community residents.
FOSTER AND MAINTAIN ASSISTED HOUSING IMPROVEMENTS AND INITIATIVES
The Housing Authority of the City of Santa Ana does not operate public housing - it only
provides Housing-Choice Voucher rental assistance.
The Housing Authority is required to prepare a Five-Year and Annual plans that highlight its
mission, goals and objectives as it relates to the Housing Choice Voucher program. The
Authority's plans were prepared in conjunction with the City's Consolidated Plan. Both
documents contain references to programs that may offer mutual support to meeting
respective Plan objectives. The City will support the Housing Authority's efforts to assist its
participants, just as the Authority is dedicated to assisting the City to implement its
Consolidated Plan objectives.
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ECONOMIC DEVELOPMENT
The City of Santa Ana has developed a variety of programs aimed at stabilizing and
expanding economic opportunities for its residents and the Orange County region in
general. These programs include:
¦ WORK Center, a resource center with a primary focus on employment training and job
placement needs
¦ State designated Enterprise Zone
¦ Business attraction and retention programs to provide economic opportunities to City
residents
¦ Enterprise Zone and HUB Zone
It is important to note that the City's economic development strategy dependent on local
redevelopment funds and State resources; both of these funding sources are slated for
significant reductions.
MEASURE OUTCOMES
The City has implemented HUD's results oriented management and accountability system
for HUD-funded activity. This system is an effort to measure outcomes of HUD-funded
programs as well as measure :outputs. The City of Santa Ana implemented this system
during the 2005-2006 Program Year based, on information provided by HUD, and
subsequently revised these efforts as dictated byHUD's final regulations. Presently all HUD-
funded activities are linked to outcome measurements that are incorporated into the City's
2010-2014 Consolidated Plan. Grant applications, grant agreements and quarterly
accomplishment reports have been prepared to include HUD-required outcome data to
facilitate accurate reporting in IDIS. This information has been utilized to complete data
found in EXHIBIT 2.
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PROGRAM SPECIFIC REQUIREMENTS
HUD requires that the City discuss how certain program specific requirements will be
addressed during the program year. These actions are outlined below.
COMMUNITY DEVELOPMENT BLOCK GRANT
The City of Santa Ana will expend CDBG funds on eligible activities to address priority
housing and community needs. It is anticipated that 100 percent -of CDBG funded activities
will benefit Low- and Moderate-Income households (that is, no CDBG funds will be spent on
activities that do not benefit a minimum of 51 percent Low- and Moderate-Income
households). These activities are described in detail .in ExHIBIT 3. The, City anticipates it will
receive program income during the 2012-2013 Program Year. As required by HUD
regulations, these resources will be utilized during the program year.
The City did not have any grant funds returned to its line of credit, nor will it undertake
float-funded activities (thus it will ''not realize any program income from float-funded
activities). Finally, the City does not anticipate undertaking urgent need activities during the
2012-2013 Program Year.
HOME
The City of Santa Ana 2012-2013 HOME program is designed to undertake eligible activities
to preserve existing affordable housing, expand the supply of decent and affordable
housing, and strengthen„public-privatep artnerships. All HOME assisted units will have
appropriate covenants and written agreements in accordance with HUD regulations.
To comply with HOME regulations.a homeownership unit will meet certain "affordable"
requirements:
¦ The initial purchase price cannot exceed 95 percent of the area median purchase price
¦ The home must be the principal residence of low-income household
¦ The unit is subject to resale restrictions; specifically for Santa Ana, the City will allow for
subsequent purchase of a HOME-assisted property only by low income buyer.
Affordability covenants will be in place for 15 years.
ADDI is a subprogram of the HOME grant. No new ADDI funds have been provided by HUD;
however, the City may use remaining prior year allocations to help qualified homebuyer
obtain mortgage financing. Over the past years, the City has received a total of $341,240 in
ADDI funding from HUD - presently the City has a balance of approximately $204,000.
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Federal regulations require that if HOME funds are used to refinance existing debt secured
by multi-family housing, the City must ensure that its rehabilitation program guidelines
comply with section 92.206(b) of the HOME Program regulations. Even though no such
project is contemplated for the 2012-2013 fiscal year, HUD requires that the City outline
certain program provisions in the Action Plan; therefore, should a multi-family housing
rehabilitation/refinance project present itself to the City, at a minimum, the following
program provisions will be implemented:
¦ Refinancing will be permitted on a citywide basis; however such assistance will only be
provided to permit or continue affordability for ;projects undertaken by a qualified
nonprofit affordable housing development organization in good -standing with City,
HUD, private lenders, etc.
¦ The minimum affordability period shall be 15 years.
¦ Rehabilitation, not refinancing, must be the primary eligible purpose for the use of
HOME funds. To ensure that this requirement is met a minimum level of rehabilitation
of $15,000 per unit is required.
¦ A review of management practices will be undertakenby the City to determine that
disinvestment in the property has not occurred,'that the long term needs of the project
can be met, and that the feasibility.-of serving the targeted population over the
extended affordability period can be demonstrated.
During the 2012-2013 Program Year, the City does not plan to use HOME funds for
homebuyer;assistance; however, if such assistance were to be provided, the City will market
the program citywide, and in various languages. Housing Choice Voucher rental assistance
recipients and residents currently residing in manufactured housing will also be targeted to
fill HOME-a-ssisted units. In order to ensure participating households are suitably prepared
to become homeowners, all :participants will be required to attend pre- and post-ownership
training provided by a H,UD-authorized housing counseling center. Furthermore, to ensure
compliance with the housing affordability terms of 24 CFR 92.254, the City will impose a
recapture provision that will recoup all of the HOME assistance provided to a homebuyer if
the housing unit does not continue to be the principal residence of the program participant
during the period of affordability.
As required by the HOME program, the City has implemented an Affirmative Marketing
program for all projects with five or more HOME-assisted units. This is to insure that multi-
family owners receiving HOME funds will inform and solicit rental applications from persons
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in the housing market who are not likely to apply for the housing without special outreach.
Additionally, the City has adopted a Minority Outreach Program to ensure minorities- and
women- businesses are provided the opportunity to participate in HOME-funded activities.
EMERGENCY SOLUTIONS GRANT
In December 2011, a Request for Proposals was mailed to homeless service providers
soliciting applications for FY 2012-2013 ESG funds. Twenty-seven applications were
received by the City requesting over $1,035,000. Grant applicants primarily sought funds to
offset the costs of shelter operations and essential services. To a lesser degree,
homelessness prevention funding was requested.
In March 2012 an ad hoc committee conducted interviews to rate and rank proposals.
Evaluation criteria took into consideration the following factors:
¦ Number of people being served
¦ Location of the service being provided
¦ Percentage of program budget represented by the request
¦ Prior funding history with the Cityof Santa, Ana
¦ Need for the service being proposed
The ad hoc committee funding recommendations were considered at the 2012-2013 Annual
Plan public hearing. Subsequently, the City Council approved the allocation of all 2012-2013
Emergency Solutions Grant funds.
All ESG grant applicants are required to identify the source of match funds in their
application. Match funds must equal or exceed the amount of grant funds requested.
Grant applicants have identified :other Federal, State, and/or local government funds,
private` donations and fees for services as ESG matching funds. ESG subrecipients are
required to submit certified proof of the receipt of these funds with each payment request.
HOUSING OPPORTUNITIES FOR PERSONS WITH AIDS
HOPWA funds for Program Year 2012-2013 will be utilized to undertake eligible activities to
meet the needs of individuals living with HIV/AIDS that presently are not met by other
public and private resources. To identify program gaps, a countywide survey to assess the
needs for the region's HIV/AIDS population was conducted during the 2004-2005 Program
Year. This survey was a community-based planning effort that incorporated the input of
interested community members including individuals living with HIV/AIDS, representatives
of HIV/AIDS service and housing organizations, housing developers, representatives of local
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government agencies, advocates, and others. Relevant planning, housing, homelessness,
and epidemiological data were reviewed and incorporated into the planning effort. Critical
issues and service gaps were identified and an advisory committee developed
recommendations. These findings have been used by the Housing Committee of the
Orange County HIV Planning Council to develop a list of recommended activities for HOPWA
funding during FY 2012-2013, as well as the expenditure of over $5.6 million in Ryan White
and $370,511 in Minority AIDS Initiative resources that are expected to be available during
2011-2012.
The specific activities to be undertaken in program year 2012'2013 will be to provide
supportive housing services and tenant-based rental assistance. To better measure the
intended outcomes of HOPWA-funded activities, HUD has implemented. a comprehensive
reporting document. The City will work with its subrecipients to ensure all required data is
captured and reported. As required by HUD, the following information is provided
regarding HOPWA-funded activities for the 2012-2013 Program Year:
TABLE 5: HOPWA ANNUAL GOALS 2012-2013
HIWAIDS • PROGRAM
Short Term Rent ANNUAL ..
132 Individuals
Mortgage/Utility Assistance 260 Individuals
Emergency Shelter ' 67 Individuals
Transitional Housing 129 Individuals
Tenant-Based Rental Assistance; 50 Individuals
Housing Units Under Lease or Under Development 0 Units
Jour6e:.l.ILy AT?a nta Ana t-ornrYlunlty Development Agency
In order for grassroots, faith-based and other community organizations to have access to
HOPWA-funded housing services, the City of Santa Ana ensures that all such organizations
are invited to the HIV Planning Council's strategic planning meeting. These same agencies
are also invited 'to participate on the Housing Committee of the HIV Planning Council.
Furthermore, nonprofit housing development agencies are provided information regarding
housing development opportunities that are funded through HOWPA.
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MONITORING
Below are the standards and procedures that the City will use to monitor activities funded
during 2012-2013. The goal of the City's monitoring program is to ensure long-term
compliance with respective program requirements, including minority business outreach.
COMMUNITY DEVELOPMENT BLOCK GRANT: All CDBG funded activities, including those carried out
by subrecipients, are required to submit quarterly reports to the City. Housing and public
improvement project reports provide a description of project progress and dates for
milestones such as a completion date. Service providers: are required to include
information on clients served, program progress, and outcome measurements. City staff
also has an on-site monitoring program to review performance, quality of services, and
grant administration provided by subrecipients. In addition to ensuring CDBG-funded
activities are being carried out in an effective manner, monitoring is used to ensure the
timely expenditure of CDBG resources.
EMERGENCY SHELTER GRANT: The same standards utilized for CDBG subrecipients are used to
monitor ESG agencies.
HOME: A HOME project-monitoring plan has been developed and implemented by the City.
In compliance with HOME regulations, "this plan calls for an annual on-site visits to
subrecipients. During these visits staff will sample tenant files to review household income,
rent levels and lease information to ensure compliance with HOME regulations and
applicable affordability "covenants. Staff will also review respective administrative
procedures to ensure compliance with the City's Affirmative Marketing and Minority
Outreach program. Finally, staff will continue to conduct periodic housing quality standards
inspections as required by HUD program regulations.
For ownership rehabilitation and assistance activities, the Plan calls for the City to continue
its existing underwriting: procedures that are designed to ensure participant eligibility and
property standards compliance. The City will also continue its efforts to provide contract
opportunities for minority/women owned businesses. These efforts will be reported as part
of the comprehensive Consolidated Annual Performance Report submitted to HUD.
HOUSING OPPORTUNITIES FOR PERSONS WITH AIDS: A comprehensive report of all activities funded
under the HOPWA program is prepared annually and submitted as part of the
comprehensive annual performance report to HUD. The City has established a formal
monitoring system for HOPWA-funded activities.
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In addition to quarterly, annual and project close out reports, the City monitors all HUD-
funded programs with the assistance of the Finance Department to ensure all federal funds
are spent in a timely manner. Finally, HUD's Integrated Disbursement and Information
System (IDIS) allows the City to monitor line of credit balances and project status. Santa
Ana has taken extensive measures to safeguard public funds and ensure timely use of funds.
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CERTIFICATIONS
In accordance with the applicable statutes and the regulations governing the consolidated plan regulations,
the jurisdiction certifies that:
Affirmatively Further Fair Housing -- The jurisdiction will affirmatively further fair housing, which
means it will conduct an analysis of impediments to fair housing choice within the jurisdiction, take
appropriate actions to overcome the effects of any impediments identified through that analysis, and
maintain records reflecting that analysis and actions in this regard.
Anti-displacement and Relocation Plan -- It will comply with the acquisition and relocation
requirements of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as
amended, and implementing regulations at 49 CFR 24; and it has in effect and is following a residential
antidisplacement and relocation assistance plan required under section 104(d) of the Housing and
Community Development Act of 1974, as amended, in connection with any activity assisted with funding
under the CDBG or HOME programs.
Drug Free Workplace -- It will or will continue to provide a drug-free workplace by:
I . Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing,
possession, or use of a controlled substance is prohibited in the grantee's workplace and specifying the
actions that will be taken against employees for violation of such prohibition;
2. Establishing an ongoing drug-free awareness program:to infoim employees about-
(a) The dangers of drug abuse in the workplace;
(b) The grantee's policy of maintaining a drug-'free workplace;
(c) Any available drug counseling, rehabilitation, and employee assistance programs; and
(d) The penalties that may be imposed upon employees for drug abuse violations occurring in the
workplace;
3. Making it a requirement that each employee to be engaged in the performance of the grant be given a
copy of the statement required by paragraph 1;
4. Notifying the employee in the statement required by paragraph l that, as a condition of employment
under the grant, the employee will - `
(a) Abide by the terms of the statement; and
(b) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute
occurring in the workplace no later than five calendar days after such conviction;
5. Notifying the agency in writing, within ten calendar days after receiving notice under subparagraph
4(b) from an employee or otherwise receiving actual notice of such conviction. Employers of
convicted employees must provide notice, including position title, to every grant officer or other
designee on whose grant activity the convicted employee was working, unless the Federal agency has
designated a central point for the receipt of such notices. Notice shall include the identification
number(s) of each affected grant;
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6. Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph
4(b), with respect to any employee who is so convicted -
(a) Taking appropriate personnel action against such an employee, up to and including termination,
consistent with the requirements of the Rehabilitation Act of 1973, as amended; or
(b) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation
program approved for such purposes by a Federal, State, or local health, law enforcement, or other
appropriate agency;
7. Making a good faith effort to continue to maintain a drug-free workplace through implementation of
paragraphs 1, 2, 3, 4, 5 and 6.
Anti-Lobbying --To the best of the jurisdiction's knowledge and belief:'
1. No Federal appropriated finds have been paid or will be paid, by or on behalf of it, to any person for
influencing or attempting to influence an officer or employee'of any agency, a Member of Congress,
an officer or employee of Congress, or an employee of A Member of Congress in connection with the
awarding of any Federal contract, the making of any'Federal grant, the making of any Federal loan,
the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment,
or modification of any Federal contract, grant, loan, or cooperative agreement;
2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for
influencing or attempting to influence ari officer or employee of any agency, a Member of Congress,
an officer or employee of Congress, or an employee of a Member of Congress in connection with this
Federal contract, grant, loan, or cooperative agreement, it will complete and submit Standard Form-
LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions; and
3. It will require that the language of paragraph 1'and 2 of this anti-lobbying certification be included in
the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts
under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose
accordingly.
Authority of Jurisdiction -- The consolidated plan is authorized under State and local law (as applicable)
and the jurisdiction possesses the legal authority to carry out the programs for which it is seeking funding,
in accordance with applicable HUD regulations.
Consistency with plan -- The housing activities to be undertaken with CDBG, HOME, ESG, and
HOPWA funds are consistent with the strategic plan.
Section 3 -- It will comply with section 3 of the Housing and Urban Development Act of 1968, and
implementing regulations At 24 CFR Part
Signature/Authorized Official Date
Interim City Manager
Title
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Specific CDBG Certifications
The Entitlement Community certifies that:
Citizen Participation -- It is in full compliance and following a detailed citizen participation plan that
satisfies the requirements of 24 CFR 91.105.
Community Development Plan -- Its consolidated housing and community development plan identifies
community development and housing needs and specifies both short-term and long-term community
development objectives that provide decent housing, expand economic opportunities primarily for persons
of low and moderate income. (See CFR 24 570.2 and CFR 24 part 570)
Following a Plan -- It is following a current consolidated plan (or Comprehensive Housing Affordability
Strategy) that has been approved by HUD.
Use of Funds -- It has complied with the following criteria:
I . Maximum Feasible Priority. With respect to activities expected to be assisted with CDBG fimds, it
certifies that it has developed its Action Plan so as to give maximum feasible priority to activities
which benefit low and moderate income families or aid in the prevention or elimination of slums or
blight. The Action Plan may also include activities which the grantee certifies are designed to meet
other community development needs having a particular urgency because existing conditions pose a
serious and immediate threat to the health or welfare of the community, and other financial resources
are not available);
2. Overall Benefit. The aggregate use of CDBG funds including section'108 guaranteed loans during
program year(s) 2012, (a period specified by the grantee consisting of one, two, or three specific
consecutive program years), shall principally benefit persons of low and moderate income in a manner
that ensures that at least 70 percent:of the amount is expended for activities that benefit such persons
during the designated period:
3. Special Assessments. It will not attempt to recover any capital costs of public improvements assisted
with CDBG funds including Section 108 loan guaratteed funds by assessing any amount against
properties owned and occupied by persons of low and moderate income, including any fee charged or
assessment made as a condition of obtaining access to such public improvements.
However, if CDBG funds are used to pay the proportion of a fee or assessment that relates to the
capital costs of public improvements (assisted in part with CDBG funds) financed from other revenue
sources, an assessment or charge may be made against the property with respect to the public
improvements financed by a source other than CDBG funds.
The j urisdiction will not at to recover any capital costs of public improvements assisted with
CDBG funds, including Section 108, unless CDBG fiends are used to pay the proportion of fee or
assessment attributable to the capital costs of public improvements financed from other revenue
sources. In this case, an assessment or charge may be made against the property with respect to the
public improvements financed by a source other than CDBG funds. Also, in the case of properties
owned and occupied by moderate-income (not low-income) families, an assessment or charge may be
made against the property for public improvements financed by a source other than CDBG funds if the
jurisdiction certifies that it lacks CDBG funds to cover the assessment.
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Excessive Force -- It has adopted and is enforcing:
1. A policy prohibiting the use of excessive force bylaw enforcement agencies within its jurisdiction
against any individuals engaged in non-violent civil rights demonstrations; and
2. A policy of enforcing applicable State and local laws against physically barring entrance to or exit
from a facility or location which is the subject of such non-violent civil rights demonstrations within
its jurisdiction;
Compliance With Anti-discrimination laws -- The grant will be conducted and administered in
conformity with title VI of the Civil Rights Act of 1964 (42 USC 20004), the Fair Housing Act (42 USC
3601-3619), and implementing regulations.
Lead-Based Paint -- Its activities concerning lead-based paint will comply with the requirements of 24
CFR Part 35, subparts A, B, J, K and R;
Compliance with Laws -- It will comply with applicable laws
Signature/Authorized Official
Interim City Manager
Title
Date
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Specific HOME Certifications
The HOME participating jurisdiction certifies that:
Tenant Based Rental Assistance -- If the participating jurisdiction intends to provide tenant-based rental
assistance:
The use of HOME funds for tenant-based rental assistance is an essential element of the
participating jurisdiction's consolidated plan for expanding the supply, affordability, and
availability of decent, safe, sanitary, and affordable housing.
Eligible Activities and Costs -- it is using and will use HOME funds for`eligible activities and costs, as
described in 24 CFR § 92.205 through 92.209 and that it is not using and will not use HOME funds for
prohibited activities, as described in § 92.214.
Appropriate Financial Assistance -- before committing any'funds to a project, it will evaluate the project
in accordance with the guidelines that it adopts for this purpose and will not invest anymore HOME funds
in combination with other Federal assistance than is necessary to provide affordable housing;
Signature/Authorized Official
Interim City Manager
Title
2012-2013 ANNUAL AcriON PLAN
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ESG Certifications
The Emergency Solutions Grants Program Recipient certifies that:
Major rehabilitation/conversion - If an emergency shelter's rehabilitation costs exceed 75 percent of the
value of the building before rehabilitation, the jurisdiction will maintain the building as a shelter for
homeless individuals and families for a minimum of 10 years after the date the building is first occupied
by a homeless individual or family after the completed rehabilitation. If the cost to convert a building into
an emergency shelter exceeds 75 percent of the value of the building after conversion, the jurisdiction will
maintain the building as a shelter for homeless individuals and families for a minimum of 10 years after
the date the building is first occupied by a homeless individual or family after the completed conversion.
In all other cases where ESG finds are used for renovation, the jurisdiction will maintain the building as a
shelter for homeless individuals and families for a minimum of 3 years after the date the building is first
occupied by a homeless individual or family after the completed renovation.
Essential Services and Operating Costs - In the case of assistance involving shelter, operations or
essential services related to street outreach or emergency shelter, the jurisdiction will, provide services or
shelter to homeless individuals and families for the period during which the ESG assistance is provided,
without regard to a particular site or structure, so long the jurisdiction serves the same type of persons
(e.g., families with children, unaccompanied youth, disabled individuals, or victims of domestic violence)
or persons in the same geographic area.
Renovation - Any renovation carried out with ESG assistance shall be sufficient to ensure that the
building involved is safe and sanitary.
Supportive Services - The jurisdiction will assist, home less individuals in obtaining permanent housing,
appropriate supportive services ( including medical and mental health treatment, victim services,
counseling, supervision, and other services essential for."hieving independent living), and other Federal
State, local, and private assistance available for such:individuals.
Matching Funds - The jurisdiction will obtain matching amounts required under 24 CFR 576.201
Confidentiality - The jurisdiction has established and is implementing procedures to ensure the
confidentiality of records pertaining to any individual provided family violence prevention or treatment
services under any project assisted under the ESG program, including protection against the release of the
address or location of any family violence shelter project, except with the written authorization of the
person responsible for the operation of that shelter.
Homeless Persons Involvement'- To the maximum extent practicable, the jurisdiction will involve,
through employment, volunteer services, or otherwise, homeless individuals and families in constructing,
renovating, maintaining, and operating facilities assisted under the ESG program, in providing services
assisted under the ESG program, and in providing services for occupants of facilities assisted under the
program.
Consolidated Plan -All activities the jurisdiction undertakes with assistance under ESG are consistent
with the jurisdiction's consolidated plan.
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Discharge Policy - The jurisdiction will establish and implement, to the maximum extent practicable and
where appropriate policies and protocols for the discharge of persons from publicly funded institutions or
systems of care (such as health care facilities, mental health facilities, foster care or other youth facilities,
or correction programs and institutions) in order to prevent this discharge from immediately resulting in
homelessness for these persons.
Signature/Authorized Official Date
Interim City Manager
Title
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HOPWA Certifications
The HOPWA grantee certifies that:
Activities -- Activities funded under the program will meet urgent needs that are not being met by
available public and private sources.
Building -- Any building or structure assisted under that program shall be operated for the purpose
specified in the plan:
1. For at least 10 years in the case of assistance involving new construction, substantial rehabilitation, or
acquisition of a facility,
2. For at least 3 years in the case of assistance involving non-substantial rehabilitation or repair of a
building or structure.
Signature/Authorized Official Date
Interim City Manager
Title
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ACTION PLAN
APPENDIX TO CERTIFICATIONS
INSTRUCTIONS CONCERNING LOBBYING AND DRUG-FREE WORKPLACE REQUIREMENTS:
A Lobbying Certification
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to
file the required certification shall be subject to a civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
B. Drug-Free Workplace Certification
1. By signing and/or submitting this application or grant agreement, the grantee is providing the
certification.
2. The certification is a material representation of fact upon which reliance is placed when the
agency awards the grant. If it is later determined that the grantee knowingly rendered a false
certification, or otherwise violates the requirements of the Drug-Free Workplace Act, HUD, in
addition to any other remedies available to the Federal Government, may take action authorized
under the Drug-Free Workplace Act.
3. Workplaces under grants, for grantees :other than individuals, need not be identified on the
certification. If known, they may be identified in the grant application. If the grantee does not
identify the workplaces at the time of application, or upon award, if there is no application, the
grantee must keep the identity of the workplace(s) on file in its office and make the information
available for Federal inspectigr :: Failure to identify all known workplaces constitutes a violation
of the grantee's' drug-free workplace requirements.
4. Workplace identifications must include the actual address of buildings (or parts of buildings) or
other sites where work under the grant takes place. Categorical descriptions may be used (e.g., all
vehicles of amass transit authority or State highway department while in operation, State
employees in each local unemployment office, perfonners in concert halls or radio stations).
5. If the workplace identified to the agency changes during the performance of the grant, the grantee
shall inform the agency of the change(s), if it previously identified the workplaces in question (see
paragraph three).
6. The grantee may insert in the space provided below the site(s) for the performance of work done
in connection with the specific grant:
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Place of Performance (Street address, city, county, state, zip code)
Check - if there are workplaces on file that are not identified here.
This information with regard to the drug-free workplace is required by 24 CFR paint 21.
7. Definitions of terms in the Nonprocurement Suspension and Debarment common rute and Drug-Free
Workplace common rule apply to this certification. Grantees' attention is called, in particular, to the
following definitions from these rules:
"Controlled substance" means a controlled substance in Schedules I through V of the Controlled
Substances Act (21 U.S.C. 812) and as further defined by regulation (21 CFR 1308.11 through
1308.15);
"Conviction" means a finding of guilt (including a plea of nolo contendere) or imposition of sentence,
or both, by any judicial body charged with the responsibility to determine violations of the Federal or
State criminal drug statutes,
"Criminal drug statute" means a Federal or non-Federal criminal statute involving the manufacture,
distribution, dispensing, use, or possession of any controlled substance;
"Employee" means the employee of a grantee directly engaged in the performance of work under a
grant, including: `(i) All "direct charge" employees; (ii) all "indirect charge" employees unless their
impact or involvement is insignificant to the performance of the grant; and (iii) temporary personnel
and consultants who are directly engaged in the performance of work under the grant and who are on
the grantee's payroll. This definition does not include workers not on the payroll of the grantee (e.g.,
volunteers, even if used to meet a matching requirement; consultants or independent contractors not
on the gr'antee's payroll; or employees of subrecipients or subcontractors in covered workplaces).
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CITY OF SANTA ANA
.JULY 1, 201 1 -JUNE 30, 2012
Consolidated
Plan
ANNUAL UPDATE
FIRST SUBSTANTIAL AMENDMENT
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2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN I SUBSTANTIAL AMENDMENT TO THE
2011/12 ACTION PLAN
TABLE OF CONTENTS
PAGE
Introduction ...............................................................................................................................1
Requirements for Preparing the Substantial Amendment to the FY 2011 Consolidated Plan
Annual Action Plan
Consultation ...............................................................................................................................2
Citizen Participation ...................................................................................................................2
Required Contents of Substantial Amendments
SF-424 ......................................................................................................................................... 3
Summary of Consultation Process .............................................................................................3
Summary of Citizen Participation Process .................................................................................3
Match .........................................................................................................................................3
Proposed Activities and Overall Budget ....................................................................................3
Written Standards for Provision of ESG Assistance ...................................................................4
Describe Process for Making Sub-Awards .................................................................................6
Homeless Participation Requirement ........................................................................................6
Performance Standards .............................................................................................................6
Certification ................................................................................................................................7
03/15/2012 I SUBSTANTIAL AMENDMENT TO THE
2011-2012 ANNUAL ACTION PLAN
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Substantial Amendment to the I 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN
2011/12 ACTION PLAN
Written Standards Required for Recipients Who are Eligible and Decide to Use Part of the
Second Allocation of FY 2011 Funds for Emergency Shelter and Street Outreach Activities
Written Standards ......................................................................................................................8
Requirements for Recipients Who Plan to Use the Risk Factor Under Paragraph (1)(iii)(G)
of the "at risk of homeless" definition
Requirements .............................................................................................................................8
Requirements for Optional Changes to the FY 2011 Annual Action Plan
Centralized or Coordinated Assessment System .......................................................................8
Monitoring .................................................................................................................................8
Exhibits
Exhibit 1-SF-424 ............................................................................................
Exhibit 2-Public Hearing Notice/Summary of Comments and Responses....
Exhibit 3-Proposed Activities ........................................................................
Exhibit 4-Detailed Budget .............................................................................
Fxhihit 5-CPrtifiratinn _
SUBSTANTIAL AMENDMENT TO THE
2011-2012 ANNUAL ACTION PLAN
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.....................13
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SUBSTANTIAL AMENDMENT TO THE
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2011/12 ACTION PLAN
SUBSTANTIAL AMENDMENT TO THE FISCAL
YEAR 2011-2012 ACTION PLAN
INTRODUCTION
This is the First Amendment to the City of Santa Ana's Fiscal Year 2011-12 Annual Action Plan,
which was submitted to the U.S. Department of Housing and Urban Development (HUD) on
May 15, 2011. This Amendment is necessary to allow the City to receive Emergency Solutions
Grant (ESG) stage 2 funds that constitute a special allocation of FY 2011-12 ESG funds.
On November 15, 2011, the Department of Housing and Urban Development (HUD) posted the
interim rule for the Emergency Solutions Grants program and Consolidated Plan conforming
amendments (Interim Rule) on HUD's Homelessness Resource Exchange website at
www.hudhre.info. On December 5, 2011, the Interim Rule was published in the Federal Register
(see 76 FR 75954). Also on November 15, HUD announced the amounts of the second allocation
of FY 2011 Emergency Shelter Grants program/Emergency Solutions Grants program funds. To
receive funds from the second allocation, the City must prepare and obtain HUD approval of a
substantial amendment to its Fiscal Year 2011-2012 Annual Action Plan. This Notice advises
recipients of the 24 CFR part 91 requirements that will apply to this substantial amendment,
highlights the relevant changes under the Interim Rule, and provides guidance on critical
decisions to be made in the planning process.
03/15/2012
SUBSTANTIAL AMENDMENT TO THE
2011-2012 ANNUAL ACTION PLAN
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2011/12 ACTION PLAN
REQUIREMENTS FOR PREPARING THE SUBSTANTIAL AMENDMENT
TO THE FY 2011 CONSOLIDATED PLAN ANNUAL ACTION PLAN
CONSULTATION
Since 1998, there has been a comprehensive, coordinated, and regional Continuum of Care
strategy that includes participation of all 34 cities in Orange County, County Agencies, the
County's homeless housing and service providers, and other community groups, including non-
profits, local governmental agencies, faith-based organizations, the homeless and formerly
homeless, interested business leaders, schools and other stakeholders to identify the gaps and
unmet needs of the County's homeless. Homeless needs and priorities continue to be identified
through the County's Continuum of Care system. In February 2012, the City began consultation
with the Continuum of Care Coordinator and other ESG recipients specifically as it relates to the
use of ESG funds. The City also consulted with the CoC Coordinator on determining how to
allocate ESG funds for eligible activities. Additional consultation meetings will be held to
develop performance standards and evaluating outcomes, as well as develop funding, policies,
and procedures for the operation and administration of the HMIS.
In addition, Orange County has developed a comprehensive Ten-Year Plan to End Homelessness
(the Plan). The Plan outlines the key goals and strategies necessary to successfully eliminate
homelessness in Orange County. The Plan includes strategies to increase and improve the
efficacy of the shelter and housing systems for homeless families and the provision of a rapid
re-housing program for Emergency Shelter clients. The City will review areas of the Plan where
ESG funds could be used to assist in achieving identified goals.
CITIZEN PARTICIPATION
In accordance with 24 CFR 91.105(c)(3) for local governments, the substantial amendment
Public Notice for the use of ESG funds was released for citizen review and comments on March
19, 2012. During the 30-day public comment period from March 19, 2012 through April 19,
2012 the Public Notice for the Draft Substantial Amendment was made available during regular
business hours between 8:00 a.m. and 5:00 p.m., Monday through Thursday in the offices of
the Housing Department, 20 Civic Center Plaza, 3rd Floor, Community Development Agency, 20
Civic Center Plaza, 6th Floor, Office of the Clerk of the Council, 20 Civic Center Plaza, Room 809,
the Main Public Library, 26 Civic Center Plaza, Santa Ana, California and on the city's website.
The Community Redevelopment and Housing Commission of the City of Santa Ana held a public
hearing on April 17, 2012, at 6:00 p.m., at the City Council Chambers, 22 Civic Center Plaza,
Santa Ana, California 92701. Following the 30-day public comment period and public hearing,
the City Council of Santa Ana will hear and vote on the Substantial Amendment to the 2011-12
Action Plan on May 7, 2012. A copy of the public hearing notice is presented in Exhibit 2. A
summary of citizen comments received at the public hearing and responses to these citizen
comments are presented in Exhibit 2.
SUBSTANTIAL AMENDMENT TO THE
2011-2012 ANNUAL ACTION PLAN
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REQUIRED CONTENTS OF SUBSTANTIAL AMENDMENTS
SF-424
See Exhibit 1
SUMMARY OF CONSULTATION PROCESS
The City began the consultation process for compliance with 24CFR 91.220(I)(4)(vi) by
assembling an ad hoc committee to review and evaluate ESG applications for funding. The ad
hoc committee was composed of a city staff member, two members of the Community
Redevelopment and Housing Commission and a county staff member. The county staff
member is also the Continuum of Care Coordinator. Therefore through this process the City
was able to consult with the CoC in determining how to allocate ESG fund for Eligible activities.
As the consultation process in a continued effort, the City will have future meetings with the
CoC as well as other ESG recipients in the county to develop performance standards and
evaluate outcomes, as well as develop funding, policies, and procedures for the operation and
administration of the HMIS.
SUMMARY OF CITIZEN PARTICIPATION PROCESS
A copy of the public hearing notice is presented in Exhibit 2. A summary of citizen comments
received at the public hearing and responses to these citizen comments are presented in Exhibit
2.
MATCH
Emergency Solutions Grant (ESG) expenditures must be matched dollar for dollar. The City of
Santa Ana requires that sub recipients of ESG funds provide documentation of matching
resources. Match funds must equal or exceed the amount of grant funds requested. An annual
report of matching funds is provided to HUD as part of the Consolidated Annual Performance
and Evaluation Report.
PROPOSED ACTIVITIES AND OVERALL BUDGET
PROPOSED ACTIVITIES
CORRESPONDING PRIORITY NEEDS FROM RECIPIENT'S ANNUAL ACTION PLAN
See Exhibit 3
CONCISE DESCRIPTION OF THE ACTIVITY, INCLUDING THE NUMBER AND TYPES OF PERSONS TO BE SERVED
See Exhibit 3
03/15/2012
SUBSTANTIAL AMENDMENT TO THE
2011-2012 ANNUAL ACTION PLAN
EA_?q 2
SUBSTANTIAL AMENDMENT TO THE I 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN
2011/12 ACTION PLAN
CORRESPONDING STANDARD OBJECTIVE AND OUTCOME CATEGORIES
See Exhibit 3
START DATE AND COMPLETION DATE
See Exhibit 3
ESG AND OTHER FUNDING AMOUNTS
See Exhibit 3- Note: project ESG11-stage2-Homeless Prevention includes $4,261.16 in ESG stage
1 funds that have not been previous allocated.
ONE OR MORE PERFORMANCE INDICATORS
See Exhibit 3
PROJECTED ACCOMPLISHMENTS, IN ACCORDANCE WITH EACH PERFORMANCE INDICATOR, TO BE MADE WITHIN ONE
YEAR
See Exhibit 3
PROJECTED ACCOMPLISHMENTS, IN ACCORDANCE WITH EACH PERFORMANCE INDICATOR, TO BE MADE OVER THE
PERIOD FOR WHICH THE GRANT WILL BE USED FOR THAT ACTIVITY
See Exhibit 3
DISCUSSION OF FUNDING PRIORITIES
The ad hoc committee provided recommendations for the proposed activities at the proposed
funding levels in order to address the need for homeless services in Santa Ana. The stage 2 ESG
funds were combined with the 2012-2013 allocation to determine a funding plan for fiscal year
2012-2013. Therefore the proposed activities noted in this substantial amendment represent a
portion of the City's overall plan to address the needs of the at-risk of homeless and homeless
individuals and families. In formulating the funding plan the ad hoc committee reviewed the
community need for the service, the capacity of the provider to deliver the service and the
effective and efficient use of funds by the provider.
DETAILED BUDGET
FY 2011 Detailed Budget Table 3 is attached as Exhibit 4.
WRITTEN STANDARDS FOR PROVISION OF ESG ASSISTANCE
STANDARD POLICIES AND PROCEDURES FOR EVALUATING INDIVIDUALS' AND FAMILIES' ELIGIBILITY
FOR ASSISTANCE UNDER ESG.
Sub recipients of ESG funds will review the ESG rule to determine the requirements for ESG
eligibility.
SUBSTANTIAL AMENDMENT TO THE
2011-2012 ANNUAL ACTION PLAN 4 03/15/2012
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POLICIES AND PROCEDURES FOR COORDINATION AMONG EMERGENCY SHELTER PROVIDERS,
ESSENTIAL SERVICE PROVIDERS, HOMELESSNESS PREVENTION AND RAPID RE-HOUSING ASSISTANCE
PROVIDERS, OTHER HOMELESS ASSISTANCE PROVIDERS, AND MAINSTREAM SERVICE AND HOUSING
PROVIDERS.
Periodic meetings will be held with the City and sub recipients to coordinate services.
Additionally, sub recipients will be in communication with each other when an individual seeks
service from two or more ESG funded sub recipients.
POLICIES AND PROCEDURES FOR DETERMINING AND PRIORITIZING WHICH ELIGIBLE FAMILIES AND
INDIVIDUALS WILL RECEIVE HOMELESSNESS PREVENTION ASSISTANCE AND WHICH ELIGIBLE FAMILIES
AND INDIVIDUALS WILL RECEIVE RAPID RE-HOUSING ASSISTANCE. ALL PROGRAM PARTICIPANTS ARE
ALREADY LITERALLY HOMELESS AND WILL ONLY BE USING RAPID REHOUSING ASSISTANCE.
The City has provided funds to varying sub recipients, each with their own mission. Therefore
each recipient will determine a priority based on the organization's mission. An overall priority
will be given to those families and individuals that at the time of initial consultation
demonstrate an ability to be self-sustaining. Due to the limited funds organizations will be
taking additional efforts during the evaluation process to determine which families and
individuals would require the least amount of resources in order to assist the greatest number
of people possible.
STANDARDS FOR DETERMINING THE SHARE OF RENT AND UTILITIES COSTS THAT EACH PROGRAM
PARTICIPANT MUST PAY, IF ANY, WHILE RECEIVING HOMELESSNESS PREVENTION OR RAPID
REHOUSING ASSISTANCE.
Sub recipients will perform a gap analysis to determine what will be the initial assistance to the
client. Additional assistance after that will be on a declining basis. Additionally, case-by-case
analysis will be performed to determine if an adjustment to the assistance needs to be made.
STANDARDS FOR DETERMINING HOW LONG A PARTICULAR PROGRAM PARTICIPANT WILL BE
PROVIDED WITH RENTAL ASSISTANCE AND WHETHER AND HOW THE AMOUNT OF THAT ASSISTANCE
WILL BE ADJUSTED OVER TIME.
Due to the limited funds and the desire to assist the greatest number of people possible, the
standard length of assistance will be three months with the goal to be self-sustaining
afterwards. Although situations may arise where additional assistance may be required. In
those instances the circumstances of each case will be reviewed to determine whether
03/15/2012 5 SUBSTANTIAL AMENDMENT TO THE
2011-2012 ANNUAL ACTION PLAN
EAb"b 2
SUBSTANTIAL AMENDMENT TO THE I 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN
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additional assistance will be provided. The city and sub recipients will continue their effort to
better describe circumstances that would allow for additional assistance.
STANDARDS FOR DETERMINING THE TYPE, AMOUNT, AND DURATION OF HOUSING STABILIZATION
AND/OR RELOCATION SERVICES TO PROVIDE A PROGRAM PARTICIPANT, INCLUDING THE LIMITS, IF
ANY, ON THE HOMELESSNESS PREVENTION OR RAPID RE-HOUSING ASSISTANCE THAT EACH
PROGRAM PARTICIPANT MAY RECEIVE, SUCH AS THE MAXIMUM AMOUNT OF ASSISTANCE,
MAXIMUM NUMBER OF MONTHS THE PROGRAM PARTICIPANTS RECEIVES ASSISTANCE; OR THE
MAXIMUM NUMBER OF TIMES THE PROGRAM PARTICIPANTS MAY RECEIVE ASSISTANCE.
Sub recipients will be allowed to provide the eligible ESG services in order to prevent
homelessness or move an individual or family into permanent housing. As previously indicated,
the standard amount of assistance will be based on the gap needed to be filled with ESG funds
and the standard length of assistance will be three months.
DESCRIBE PROCESS FOR MAKING SUB-AWARDS
The City makes its allocation available to non-profit organizations through the issuance of a
notice of funding availability. Any 501(c)(3) organization in good standing may submit a request
for funding for an eligible ESG activity. These applications are then reviewed and evaluated by
an ad hoc committee that makes recommendations for funding based on rating criteria. The
recommendations are forward to the City Council of Santa Ana for final approval, amendment
or rejection.
HOMELESS PARTICIPATION REQUIREMENT
The City will consult with the CoC in making policies and decisions regarding the use of ESG
funds. Through meeting and consulting with the CoC the City has determined that this
requirement will be met, since the CoC has a strategy that includes participation of all 34 cities
in Orange County, County Agencies, the County's homeless housing and service providers, and
other community groups, including non-profits, local governmental agencies, faith-based
organizations, the homeless and formerly homeless, interested business leaders, schools and
other stakeholders to identify the gaps and unmet needs of the County's homeless
PERFORMANCE STANDARDS
The City of Santa Ana will use the outcome standards indicated in the City's 5-year Consolidated
Plan as a preliminary performance standard. The City will continue to review these standards in
consultation with the CoC to determine their appropriateness in measuring the performance of
the ESG program.
SUBSTANTIAL AMENDMENT TO THE
2011-2012 ANNUAL ACTION PLAN 6 03/15/2012
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2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN I SUBSTANTIAL AMENDMENT TO THE
2011/12 ACTION PLAN
CERTIFICATIONS
Included as Exhibit 5
03/15/2012
SUBSTANTIAL AMENDMENT TO THE
2011-2012 ANNUAL ACTION PLAN
?44 2
SUBSTANTIAL AMENDMENT TO THE I 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN
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WRITTEN STANDARDS REQUIRED FOR RECIPIENTS WHO ARE
ELIGIBLE AND DECIDE TO USE PART OF THE SECOND ALLOCATION
OF FY 2011 FUNDS FOR EMERGENCY SHELTER AND STREET
OUTREACH ACTIVITIES
Not Applicable.
REQUIREMENTS FOR RECIPIENTS WHO PLAN TO USE THE RISK
FACTOR UNDER PARAGRAPH (1)(III)(G) OF THE "AT RISK OF
HOMELESSNESS" DEFINITION
To Be Determined
REQUIREMENTS FOR OPTIONAL CHANGES TO THE FY 2011
ANNUAL ACTION PLAN
CENTRALIZED OR COORDINATED ASSESSMENT SYSTEM
The City will participate in a centralized or coordinated assessment system once HUD provides
additional standards to Continuums of Care through the publication of the Continuum of Care
program rule.
MONITORING
The City will monitor grant activities carried out by sub recipients, and the goals and objectives
of the Consolidated Plan, to ensure long-term compliance with program requirements.
SUBSTANTIAL AMENDMENT TO THE
2011-2012 ANNUAL ACTION PLAN 8 03/15/2012
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2011/12 ACTION PLAN
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03/15/2012
SUBSTANTIAL AMENDMENT TO THE
2011-2012 ANNUALAcTION PLAN
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2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN ( SUBSTANTIAL AMENDMENT TO THE
2011/12 ACTION PLAN
EXHIBIT 1
SF-424
03/15/2012
SUBSTANTIAL AMENDMENT TO THE
2011-2012 ANNUAL ACTION PLAN
EfM4'g 2
SUBSTANTIAL AMENDMENT TO THE I 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN
2011/12 ACTION PLAN
Application for Federal Assistance SF-424 Version 02
*1. Type of Submission: *2. Type of * If Revision, select appropriate letter(s)
? Preapplication Application
® Application ® New
? Continuation *Other (Specify)
? Changed/Corrected Application
? Revision
3. Date Received 4. Applicant Identifier:
5a. Federal Entity Identifier: *5b. Federal Award Identifier:
S-11-MC-06-0508 S-11-MC-06-0508
State Use Only:
6. Date Received by State: 7. State Application Identifier:
8. APPLICANT INFORMATION:
*a. Legal Name: City of Santa Ana
*b. Employer/Taxpayer Identification Number (EIN/TIN):' *e. Organizational DUNS:
95-6000785 083153247
d. Address:
*Street l: 20 Civic Center Plaza
Street 2:
*City: Santa Ana
County: Orange
*State: CA
Province:
*Country: USA
*Zip / Postal Code 92702
e. Organizational Unit:
Department Name: Division Name:
Community Development Agency Administration Division
f. Name and contact information of person to be contacted on matters involving this application:
Prefix: Ms *First Name: Nancy
Middle Name: T
*Last Name: Edwards
Suffix:
Title: Interim Executive Director, Community Development Agency
Organizational Affiliation:
*Telephone Number: 714-667-2244 Fax Number: 714-647-6713
*Email: nedwards@ santa-ana.org
OMB Number: 4040-0004
Expiration Date: 01/31/2009
SUBSTANTIAL AMENDMENT TO THE
2011-2012 ANNUAL ACTION PLAN 10 03/15/2012
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2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN I SUBSTANTIAL AMENDMENT TO THE
2011/12 ACTION PLAN
Application for Federal Assistance SF-424 Version 02
*9. Type of Applicant 1: Select Applicant Type:
City or Township Government
Type of Applicant 2: Select Applicant Type:
Type of Applicant 3: Select Applicant Type:
*Other (Specify)
*10 Name of Federal Agency:
Housing and Urban Development
11. Catalog of Federal Domestic Assistance Number:
14-231
CFDA Title:
Emergency Shelter Grant
*12 Funding Opportunity Number:
NA
*Title:
NA
13. Competition Identification Number:
NA
Title:
NA
14. Areas Affected by Project (Cities, Counties, States, etc.):
City of Santa Ana, CA
*15. Descriptive Title of Applicant's Project:
Funds to be used to support homeless shelter operations and the provision of essential services. Funds will also be used to prevent
homelessness and program admin.
03/15/2012 it SUBSTANTIAL AMENDMENT TO THE
2011-2012 ANNUAL ACTION PLAN
?4'?2
SUBSTANTIAL AMENDMENT TO THE I 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN
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OMB Number: 4040-0004
Expiration Date: 01/31/2009
Application for Federal Assistance SF-424 Version 02
16. Congressional Districts Of:
*a. Applicant: 46 & 47 *b. Program/Project: 46 & 47
17. Proposed Project:
*a. Start Date: 07/01/2011 *b. End Date: 06/30/2013
18. Estimated Fundin $ :
*a. Federal $471,714
*b. Applicant
*c. State
*d. Local
*e. Other (Prior Year)
*f. Program Income
*g. TOTAL $471,714
*19. Is Application Subject to Review By State Under Executive Order 12372 Process?
? a. This application was made available to the State under the Executive Order 12 372 Process for review on
? b. Program is subject to E.O. 12372 but has not been selected h} the State for revie?v.
® c. Program is not covered by E. O. 12372
*20. Is the Applicant Delinquent On Any Federal Debt? (If "l'es", provide explanation.)
? Yes ® No
21. *By signing this application, I certil' (1) to the statements contained in the list of certifications** and (2) that the statements herein
are true, complete and accurate to the best of my knowledge. I also provide the required assurances** and agree to comply with any
resulting terms if I accept an award. 1 am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal,
civil, or administrative penalties. (U. S. Code, "Title 218, Section 1001)
® ** I AGREL
** The list of certi lications and assurances, or an internet site where you may obtain this list, is contained in the announcement or
agency specific instructions
Authorized Representative:
Prefix: Mr. *First Name: Paul
Middle Name: M.
*Last Name: Walters
Suffix:
*Title: Interim City Manager
*Telephone Number: 714-647-5200 *Telephone Number: 714-647-5200
* Email: pwalters@santa-ana.org
*Signature of Authorized Representative: *Date Signed:
SUBSTANTIAL AMENDMENT TO THE
2011-2012 ANNUAL ACTION PLAN 12 03/15/2012
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2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN I SUBSTANTIAL AMENDMENT TO THE
2011/12 ACTION PLAN
EXHIBIT 2
PROOF OF PUBLICATION 30-DAY COMMENT PERIOD & PUBLIC HEARING
& SUMMARY OF PUBLIC COMMENTS
03/15/2012 13 SUBSTANTIAL AMENDMENT TO THE
2011-2012 ANNUAL ACTION PLAN
EjMbj'? 2
+PUBLIC NOTICE
NOTICE OF PUBLIC HEARING TO BE HELD BY THE
CITY OF SANTA ANA COMMUNITY REDEVELOPMENT & HOUSING COMMISSION
ON THE PROPOSED SUBMISSION OF THE 2012-2013 ACTION PLAN AND
SUBSTANTIAL AMENDMENT TO THE 2011-2012 ACTION PLAN,
COMMENCEMENT OF THE 30-DAY PUBLIC COMMENT PERIOD,
AND UTILIZATION OF THE 80%
HOUSEHOLD MEDIAN INCOME STANDARDS
NOTICE IS HEREBY GIVEN that the Community Redevelopment and Housing Commission of the City of Santa Ana
will hold a public hearing on April 17, 2012, at 6:00 p.m., at the City Council Chambers, 22 Civic Center Plaza, Santa
Ana, California 92701, pursuant to the submission of the City's proposed 2012-2013 Annual Action Plan and
Substantial Amendment to the 2011-2012 Action Plan.
The 2012-2013 Action Plan and the Substantial Amendment to the 2011-2012 Action Plan is prepared in compliance
with federal regulations [24 CFR 91 ]. The Action Plan and Substantial Amendment delineates proposed activities to
be funded under the U.S. Department of Housing and Urban Development's (HUD) Community Development Block
Grant (CDBG), HOME Investment Partnerships Act (HOME), American Dream Down Payment Initiative (ADDI),
Emergency Shelter Grant (ESG), and Housing Opportunities for Persons with AIDS (HOPWA). Additions or
reductions in funding for activities will be based on allowable uses of funds per respective federal regulations and
amount awarded. The approximate amount of funding the city anticipates it will receive for FY 2012-2013 is as
follows:
CDBG HOME ESG HOPWA
$5,680,480 $1,228,217 $538,354 $1,548,618
In addition to these resources, the City will utilize program income received in prior years and during the 2012-2013
Fiscal Year. Program income may be utilized to support the activities listed below or other eligible activities.
Additionally, prior year unallocated federal grant funds will also be used for the activities listed below.
The public hearing, preparation of the draft Action Plan, preparation of the draft substantial amendment and 30-day
public comment period meet the statutory requirements for planning and application for federal funds under the
CDBG, HOME, ESG, and HOPWA Programs.
For FY 2012-2013 the City of Santa Ana proposes to expend HUD federal funds as follows:
AcTIVITY FUNDING SOURCE
A 4M?L
F?UNDING6
MOUNT
Public Facility Improvements streets & arks CDBG $1,977,312
Code Enforcement - Enforcement of housing & municipal building
codes CDBG $1,300,000
Public Services CDBG $852,072
CDBG Administration & Planning - Program administration, fair
housing counseling, planning CDBG $1,136,096
Housing Rehabilitation - Sin le-& Multi-Family Housing Rehab CDBG $415,000
Street Outreach ESG $80,000
Shelter ESG $243,000
Homeless Prevention ESG $55,000
Rapid Rehousing ESG $119,977
ESG Administration - Program oversight ESG $40,377
HOME Administration - Program oversight HOME $122,638
HOME CHDO HOME $183,958
HOME SF Acquisition for Rehab, Resale HOME $619,789
HOME Multifamily Acquisition or Rehabilitation HOME $200,000
HOME Single Family Rehabilitation HOME $100,000
HOPWA Administration - Program oversight HOPWA $46,459
Support Services - Supportive services & housing for dually
diagnosed persons with HIV/AIDS HOPWA $902,159
Tenant Based Rental Assistance - Rental assistance for persons
with HIV/AIDS HOPWA $600,000
SUBSTANTIAL AMENDMENT TO THE
2011-2012 ANNUAL ACTION PLAN E A4% 2 03/15/2012
-V?
30-Day Public Comment Period - The 30-day public comment period for the 2012-2013 Action Plan will commence
on March 17, 2012 and will end at 5:00 p.m. on April 17, 2012. The draft plan shall be available for public inspection
during regular business hours between 8:00 a.m. and 5:00 p.m., Monday through Thursday in the offices of the
Housing Department, 20 Civic Center Plaza, 3rd Floor, Community Development Agency, 20 Civic Center Plaza, 6a,
Floor, Office of the Clerk of the Council, 20 Civic Center Plaza, Room 809, and the Main Public Library, 26 Civic
Center Plaza, Santa Ana, California and on the city's website. Written comments on the plan may be submitted to
the Community Development Agency on or before 5:00 p.m. on April 17, 2012. Additionally, the Substantial
Amendment of the 2011-2012 Action Plan 30-day public comment period will occur concurrently with the 30-day
public comment period for the 2012-2013 Action Plan and will be available for review at the same locations.
Use of 80% Household Median Income Standards
This also serves as notice that the City of Santa Ana has chosen to use the uncapped 80 percent of household
median income standard to identify census tracts where CDBG activities may be assumed to serve low- and
moderate-income households. The uncapped income standard is revised annually. The current uncapped income
standard is for the year 2012 and is subject to revision by HUD.
Uncapped 80% Median Income Limits
Household Size Maximum Household
Income
1 Person $47,750
2 Persons $54,600
3 Persons $61,400
4 Persons $68,250
5 Persons $73,700
6 Persons $79,150
7 Persons $84,600
8+ Persons $90,100
The City has chosen to use the adjusted 2012 income standard to determine the income eligibility of individual
households for all other federal grant funded activities which require such a determination. The adjusted income
standard is revised annually. The current adjusted income standard is for the year 2010 and is subject to revision by
HUD.
Adjusted 80% Median Income Limits
Household Size Maximum Household
Income
1 Person $53,950
2 Persons $61,650
3 Persons $69,350
4 Persons $77,050
5 Persons $83,250
6 Persons $89,400
7 Persons $95,550
8+ Persons $101,750
The REGISTER - PUBLIC NOTICES
Publish March 19, 2012
03/15/2012 15 SUBSTANTIAL AMENDMENT TO THE
2011-2012 ANNUAL ACTION PLAN
Eti 2
The City of Santa Ana proposes to amend the 2011-2012 action plan to expend the ESG second installment as
follows:
AMENDED PUBLIC NOTICE
NOTICE OF PUBLIC HEARING TO BE HELD BY THE
CITY OF SANTA ANA COMMUNITY REDEVELOPMENT & HOUSING COMMISSION
ON THE PROPOSED SUBMISSION OF THE 2012-2013 ACTION PLAN AND
SUBSTANTIAL AMENDMENT TO THE 2011-2012 ACTION PLAN,
COMMENCEMENT OF THE 30-DAY PUBLIC COMMENT PERIOD,
AND UTILIZATION OF THE 80%
HOUSEHOLD MEDIAN INCOME STANDARDS
30-Day Public Comment Period - The 30-day public comment period for the 2012-2013 Action Plan will commence
on March 19, 2012 and will end at 5:00 p.m. on April 19, 2012.
Prior published Public Notice stated that the comment period would commence on March 17, 2012 and would end on
April 17, 2012.
All other proposed information remains the same.
E? 2
SUBSTANTIAL AMENDMENT TO THE I 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN
2011/12 ACTION PLAN
SUMMARY OF PUBLIC COMMENTS
SUMMARY OF PUBLIC COMMENTS RECEIVED DURING 30-DAY COMMENT PERIOD AND STAFF RESPONSE
Pending
4/17/2012 REDEVELOPMENT & HOUSING COMMISSION PUBLIC HEARING:
Pending
03/15/2012 17 SUBSTANTIAL AMENDMENT TO THE
2011-2012 ANNUAL ACTION PLAN
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2011/12 ACTION PLAN
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03/15/2012
SUBSTANTIAL AMENDMENT TO THE
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2011/12 ACTION PLAN
EXHIBIT 3
PROPOSED ACTIVITIES
SUBSTANTIAL AMENDMENT TO THE
2011-2012 ANNUAL ACTION PLAN 18 03/15/2012
E l_ 2
Grantee Name: Jurisdiction
CPMP Version 2.0
Project Name: ESG11-sta e2-Homeless Prevention
Description: IDIS Project #: UOG Code: UOG Code
Provide housing relocation and stabilization services and short- and/or medium-term rental assistance necessary to
prevent an individual or family from becoming homeless.
Location: Priority Need Category
Citywide ?- -
-
Select
one: ?
Homeless/HIV/AIDS
-- --
Explanation:
Expected Completion Date: Activity will prevent individuals or families from becoming homeless
(06/30/2013)
0 jective Category
Decent Housing
0 Suitable Living Environment
0 Economic Opportunity
cific Obj s
Outcome Categories Increase the number of homeless persons moving into permanent housing
? Availability/Accessibility
Affordability
2
? Sustainability
3
01 People mr Proposed 240 Accompl. Type: w Proposed
+-'
C - - - ---
Underway
Underway
d Complete Complete
t
1 Accompl. Type: Proposed Accompl. Type: Proposed
H
V
Underway
Underway
•0 Complete Complete
L Accompl. Type: Proposed Accom I• Type: Proposed
Q Underway -- Underway
Complete Complete
Pro posed Outcome Performance M easure Actual Outcome
50% of assisted individuals Measure goal accomplishments
or families will retain their
housing for at least 6
months after assistance is
provided.
03T Operating Costs of Homeless/AIDS Patients Programs :,W Matrix Codes
05Q Subsistence Payments 570.204 qW Matrix Codes
Matrix Codes ?W Matrix Codes
ESO Proposed Amt. $ 119,492 Fund Source: Proposed Amt.
L Actual Amount Actual Amount
Est Proposed Amt. $ 4,261 Fund Source 7 Proposed Amt.
Actual Amount Actual Amount
Project (1) 19 CPMP
EjM4't 2
CPMP Version 2.0 Grantee Name: ]urisdiction
Project Name: ESG11-sta e2-Ra id Rehousing
Description: IDIS Project #: UOG Code: UOG Code
Provide housing relocation and stabilization services and short- and/or medium-term rental assistance necessary to help
a homeless individual or family move into permanent housing.
Location: Priority Need Category
Citywide
.
?
Select
?
Haekw
AiFV/AMS
Explanation:
Expected Completion Date: Activity will move a homeless individual or family into permanent
(06/30/2013) housing.
0 jective Category
Decent Housing
O Suitable Living Environment
O Economic Opportunity
cific Obj s
Outcome Categories 1 Increase the number of homeless pawls mooing into perm nett housing
? Availability/Accessibility
Affordability _
2
? Sustainability
3
of People Proposed 40 Amon pl. Tye -w Proposed
H
C Underway _ Underway
d Complete Complete
=
Aa mnpl. Types Proposed Aaaonpl. Types w Proposed
+ AA
v - - --
Underway
Underway
O E Complete Complete
L p
d u
Aa nnpl. Type: ?
Proposed
Aanyo. Types r
Proposed
a Underway -- - Underway
Complete Complete
Pro posed Outcome Performance M easure Actual Outcome
50% of assisted individuals Measure goal accomplishments
or families will retain their
housing for at least 6
months after assistance is
provided.
0311' Operating Oasis of Homeless/AIDS Patients Progams 'w Matrix Codes
05Q Subsislence Payrnants SM2D4 'W Matrix Codes
Matrix Codes . Matrix Codes
ESG Proposed Amt. $ 30,023 FundSoume: Proposed Amt.
L Actual Amount 1
- Actual Amount
d Fund Sourna i Proposed Amt. Fund Proposed Amt.
C Actual Amount Actual Amount
Project (2) 20 CPMP
EA4' # 2
Grantee Name: Jurisdiction
CPMP Version 2.0
Project Name: ESG11-sta e2-Administration
Description: IDIS Project #: UOG Code: UOG Code
Provide program administration
Location: Priority Need Category
Citywide - --
Select one: planning//kinnstrahon
Explanation:
Expected Completion Date: Activity needed to ensure appropriate oversight and coordination of
(06/30/2013) federal funds.
Objeclive Category
0 Decent Housing
0 Suitable Living Environment
0 Economic opportunity
cific Obj s
Outcome Categories 1
Availability/Accessibility
? Affordability
-
? Sustainability
3 -- - -
Amaimpl, Type: W Proposed NA Aooonpl. TypF Proposed
H
C Underway Underway
d Complete Complete
E
Acoorrpl. Type, Proposed Aaoonpl. Tye
Proposed
Z ,y
a - --
Underway
Underway
•?
E
Complete
Complete
L
IL U
Aooonpl. Type mr
Proposed
Acmrpl. Tyres
Proposed
Q Underway Underway
Complete Complete
Pro posed Outcome Performance M easure Actual Outcome
Maintain program Review of CAPER evaluatio
administration report
21A General Program A d irishation SM 206 . Matrix Codes .
Matrix Codes; Matrix Codes
Matrix Codes ' • M e x Codes
T4 ESG , w Proposed Amt. $ 20,303 rvxl
Souram Proposed Amt.
L. - Actual Amount Actual Amount
Fund Source: j Proposed Amt. Fund Source Proposed Amt.
Actual Amount Actual Amount
Project (3) 21 CPMP
EjN4'h2
SUBSTANTIAL AMENDMENT TO THE I 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN
2011/12 ACTION PLAN
EXHIBIT 4
DETAILED BUDGET
SUBSTANTIAL AMENDMENT TO THE
2011-2012 ANNUAL ACTION PLAN 22
EjN4'b 2
03/15/2012
FY 2011 Detailed Budget Table
First Allocation $301,897.00 FY 2011
Second Allocation $169,817.00 Emergency Shelter Grants/Emergency Solutions Grants
Grant Amount $471,714.00 Program Allocations
Total
Administration $35,378.55
First Allocation Second Total Fiscal
Allocation Year 2011
Eligible Activities Activity Reprogrammed Activity Activity
Amount Amount Amount Amount
Homeless Assistance $255,259.89 $0.00 $255,259.89
Rehab/Conversion $0.00 $0.00
(U t7 M erations
O $172
859
89 $172
859
89
p ,
. ,
.
; a Essential Services $82,400.00 $82,400.00
w t Homelessness Prevention $27,300.00 $27,300.00
Administration $15,075.95 $15,075.95
Emergency Shelter Grants $297,635.84 $0.00 $297,635.84
Subtotal
Emergency Shelter** $0.00
Renovation** $0.00 $0.00
Operation** $0.00 $0.00
Essential Service** $0.00 $0.00
URA Assistance** $0.00 $0.00
Street Outreach - Essential
$0.00
$0.00
Services**
E HMIS $0.00 $0.00
Rapid Re-housing $4,261.16 $119,491.85 $123,753.01
0
CL
41
Housing Relocation and
$37,960.00
$37,960.00
i Stabilization Services
C Tenant-Based Rental
$4,261.16
$81,531.85
$85,793.01
Assistance
Project-Based Rental
ii
v Assistance $0.00
? Homelessness Prevention
$0.00
$30,022.55
$30,022.55
W
to
L
E Housing Relocation and $0
Stabilization Services
Tenant-Based Rental $30,022.55 $30,023
Assistance
Project-Based Rental
Assistance $0.00
Administration $20,302.60 $20,302.60
Emergency Solutions Grants
Subtotal $4,261.16 $169,817.00 $174,078.16
Total Grant Amount: $471,714.00
**Allowable only if the amount obligated for homeless assistance activities using funds from the first allocation is less than
the expenditure limit for emergency shelter and street outreach activities (see Section III.B. of this Notice).
?4'6 2
2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN
SUBSTANTIAL AMENDMENT TO THE
2011/12 ACTION PLAN
EXHIBIT 5
CERTIFICATION
SUBSTANTIAL AMENDMENT TO THE
2011-2012 ANNUAL ACTION PLAN 24
EA I41 2
03/15/2012
CERTIFICATIONS
In accordance with the applicable statutes and the regulations governing the consolidated plan
regulations, the jurisdiction certifies that:
Affirmatively Further Fair Housing -- The jurisdiction will affirmatively further fair housing, which
means it will conduct an analysis of impediments to fair housing choice within the jurisdiction, take
appropriate actions to overcome the effects of any impediments identified through that analysis, and
maintain records reflecting that analysis and actions in this regard.
Anti-displacement and Relocation Plan -- It will comply with the acquisition and relocation
requirements of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970,
as amended, and implementing regulations at 49 CFR 24; and it has in effect and is following a
residential antidisplacement and relocation assistance plan required under section 104(d) of the Housing
and Community Development Act of 1974, as amended, in connection with any activity assisted with
funding under the CDBG or HOME programs.
Drug Free Workplace -- It will or will continue to provide a drug-free workplace by:
I . Publishing a statement notifying employees that the unlawful manufacture, distribution,
dispensing, possession, or use of a controlled substance is prohibited in the grantee's workplace
and specifying the actions that will be taken against employees for violation of such prohibition;
2. Establishing an ongoing drug-free awareness program to inform employees about -
(a) The dangers of drug abuse in the workplace;
(b) The grantee's policy of maintaining a drug-free workplace;
(c) Any available drug counseling, rehabilitation, and employee assistance programs; and
(d) The penalties that may be imposed upon employees for drug abuse violations occurring
in the workplace;
3. Making it arequirement that each employee to be engaged in the performance of the grant be
given a copy of the statement required by paragraph l;
4. Notifying the employee in the statement required by paragraph 1 that, as a condition of
employment under the grant, the employee will -
(a) Abide by the terms of the statement; and
(b) Notify the employer in writing of his or her conviction for a violation of a criminal drug
statute occurring in the workplace no later than five calendar days after such conviction;
Notifying the agency in writing, within ten calendar days after receiving notice under
subparagraph 4(b) from an employee or otherwise receiving actual notice of such conviction.
Employers of convicted employees must provide notice, including position title, to every grant
officer or other designee on whose grant activity the convicted employee was working, unless the
Federal agency has designated a central point for the receipt of such notices. Notice shall
include the identification number(s) of each affected grant;
E tat
Taking one of the following actions, within 30 calendar days of receiving notice under
subparagraph 4(b), with respect to any employee who is so convicted -
(a) Taking appropriate personnel action against such an employee, up to and including
termination, consistent with the requirements of the Rehabilitation Act of 1973, as
amended; or
(b) Requiring such employee to participate satisfactorily in a drug abuse assistance or
rehabilitation program approved for such purposes by a Federal, State, or local health,
law enforcement, or other appropriate agency;
7. Making a good faith effort to continue to maintain a drug-free workplace through
implementation of paragraphs 1, 2, 3, 4, 5 and 6.
Anti-Lobbying -- To the best of the jurisdiction's knowledge and belief:
No Federal appropriated funds have been paid or will be paid. by or on behalf of it, to any person
for influencing or attempting to influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member of Congress in
connection with the awarding of any Federal contract, the making of any Federal grant, the
making of any Federal loan, the entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or
cooperative agreement;
If any funds other than Federal appropriated funds have been paid or will be paid to any person
for influencing or attempting to influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress. or an employee of a Member of Congress in
connection with this Federal contract, grant, loan, or cooperative agreement, it will complete and
submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its
instructions; and
It will require that the language of paragraph l and 2 of this anti-lobbying certification be
included in the award documents for all subawards at all tiers (including subcontracts, subgrants,
and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall
certify and disclose accordingly.
Authority of Jurisdiction -- The consolidated plan is authorized under State and local law (as
applicable) and the jurisdiction possesses the legal authority to carry out the programs for which it is
seeking funding, in accordance with applicable HUD regulations.
Consistency with plan -- The housing activities to be undertaken with CDBG, HOME, ESG, and
HOPWA funds are consistent with the strategic plan.
Section 3 -- It will comply with section 3 of the Housing and Urban Development Act of 1968, and
implementing regulations at 24 CFR Part 135.
Signature/Authorized Official Date
Title
E"2
ESG Certifications
The Emergency Solutions Grants Program Recipient certifies that:
Major rehabilitation/conversion - If an emergency shelter's rehabilitation costs exceed 75
percent of the value of the building before rehabilitation, the jurisdiction will maintain the
building as a shelter for homeless individuals and families for a minimum of 10 years after the
date the building is first occupied by a homeless individual or family after the completed
rehabilitation. If the cost to convert a building into an emergency shelter exceeds 75 percent of
the value of the building after conversion, the jurisdiction will maintain the building as a shelter
for homeless individuals and families for a minimum of 10 years after the date the building is
first occupied by a homeless individual or family after the completed conversion. In all other
cases where ESG funds are used for renovation, the jurisdiction will maintain the building as a
shelter for homeless individuals and families for a minimum of 3 years after the date the building
is first occupied by a homeless individual or family after the completed renovation.
Essential Services and Operating Costs - In the case of assistance involving shelter operations
or essential services related to street outreach or emergency shelter, the jurisdiction will provide
services or shelter to homeless individuals and families for the period during which the ESG
assistance is provided, without regard to a particular site or structure, so long the jurisdiction
serves the same type of persons (e.g., families with children, unaccompanied youth, disabled
individuals, or victims of domestic violence) or persons in the same geographic area.
Renovation - Any renovation carried out with ESG assistance shall be sufficient to ensure that
the building involved is safe and sanitary.
Supportive Services - The jurisdiction will assist homeless individuals in obtaining permanent
housing, appropriate supportive services ( including medical and mental health treatment, victim
services, counseling, supervision. and other services essential for achieving independent living),
and other Federal State, local, and private assistance available for such individuals.
Matching Funds - The jurisdiction will obtain matching amounts required under 24 CFR
576.201.
Confidentiality - The jurisdiction has established and is implementing procedures to ensure the
confidentiality of records pertaining to any individual provided family violence prevention or
treatment services under any project assisted under the ESG program, including protection
against the release of the address or location of any family violence shelter project, except with
the written authorization of the person responsible for the operation of that shelter.
Homeless Persons Involvement - To the maximum extent practicable, the jurisdiction will
involve, through employment, volunteer services, or otherwise, homeless individuals and
families in constructing, renovating, maintaining, and operating facilities assisted under the ESG
program, in providing services assisted under the ESG program, and in providing services for
occupants of facilities assisted under the program.
Consolidated Plan - All activities the jurisdiction undertakes with assistance under ESG are
consistent with the jurisdiction's consolidated plan.
Discharge Policy - The jurisdiction will establish and implement, to the maximum extent
practicable and where appropriate policies and protocols for the discharge of persons from
E?W4
publicly funded institutions or systems of care (such as health care facilities, mental health
facilities, foster care or other youth facilities, or correction programs and institutions) in order to
prevent this discharge from immediately resulting in homelessness for these persons.
Signature/Authorized Official
Title
Date
iE
;? - fi 2
APPENDIX TO CERTIFICATIONS
INSTRUCTIONS CONCERNING LOBBYING AND DRUG-FREE WORKPLACE REQUIREMENTS:
A. Lobbying Certification
This certification is a material representation of fact upon which reliance was placed
when this transaction was made or entered into. Submission of this certification is a
prerequisite for making or entering into this transaction imposed by section 1352, title
31, U.S. Code. Any person who fails to file the required certification shall be subject to a
civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
B. Drug-Free Workplace Certification
By signing and/or submitting this application or grant agreement, the
grantee is providing the certification.
2. The certification is a material representation of fact upon which reliance is
placed when the agency awards the grant. If it is later determined that the
grantee knowingly rendered a false certification, or otherwise violates the
requirements of the Drug-Free Workplace Act, HUD. in addition to any other
remedies available to the Federal Government, may take action authorized under
the Drug-Free Workplace Act.
Workplaces under grants, for grantees other than individuals, need not
be identified on the certification. If known, they may be identified in the
grant application. If the grantee does not identify the workplaces at the
time of application, or upon award, if there is no application, the grantee
must keep the identity of the workplace(s) on file in its office and make
the information available for Federal inspection. Failure to identify all
known workplaces constitutes a violation of the grantee's drug-free
workplace requirements.
Workplace identifications must include the actual address of buildings
(or parts of buildings) or other sites where work under the grant takes
place. Categorical descriptions may be used (e.g., all vehicles of a mass
transit authority or State highway department while in operation, State
employees in each local unemployment office, performers in concert
halls or radio stations).
If the workplace identified to the agency changes during the performance
of the grant, the grantee shall inform the agency of the change(s), if it
previously identified the workplaces in question (see paragraph three).
6. The grantee may insert in the space provided below the site(s) for the
performance of work done in connection with the specific grant:
e
4
t 2
Place of Performance (Street address, city, county, state, zip code)
Check _ if there are workplaces on file that are not identified here.
This information with regard to the drug-free workplace is required by 24 CFR part 21.
Definitions of terms in the Nonprocurement Suspension and Debarment
common rule and Drug-Free Workplace common rule apply to this
certification. Grantees' attention is called, in particular, to the following
definitions from these rules:
"Controlled substance" means a controlled substance in Schedules I
through V of the Controlled Substances Act (21 U.S.C. 812) and as
further defined by regulation (21 CFR 1308.11 through 1308.15);
"Conviction" means a finding of guilt (including a plea of nolo
contendere) or imposition of sentence, or both, by any judicial body
charged with the responsibilitN to determine violations of the Federal or
State criminal drug statutes;
"Criminal drug statute" means a Federal or non-Federal criminal statute
involving the manufacture, distribution, dispensing, use, or possession of
any controlled substance;
"Employee" means the employee of a grantee directly engaged in the
performance of work under a grant, including: (i) All "direct charge"
employees; (ii) all "indirect charge" employees unless their impact or
involvement is insignificant to the performance of the grant; and (iii)
temporary personnel and consultants who are directly engaged in the
performance of work under the grant and who are on the grantee's
payroll. This definition does not include workers not on the payroll of
the grantee (e.g., volunteers, even if used to meet a matching
requirement; consultants or independent contractors not on the grantee's
payroll; or employees of subrecipients or subcontractors in covered
workplaces).
4'; 2
2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN I SUBSTANTIAL AMENDMENT TO THE
2011/12 ACTION PLAN
INTENTIONALLY BLANK
03/15/2012
SUBSTANTIAL AMENDMENT TO THE
2011-2012 ANNUAL ACTION PLAN
EAyt 2
Eb2
j ?
CITY OF SANTA ANA
COMMUNITY DEVELOPMENT AGENCY
20 CIVIC CENTER PLAZA, M-25
SANTA ANA, CA 92 701
E;ba
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
MAY 7, 2012
TITLE:
SUBSTANTIAL AMENDMENTS TO THE
2010-2011 AND 2011-2012 ANNUAL
ACTION PLANS ADDING THE
FORECLOSED HOMES ACQUISITION
PROGRAM AND AMENDMENT TO
CONTRACT WITH ANR SANTA NSP, LLC
CITY MANAGER
RECOMMENDED ACTION
Recommend that the City Council:
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. Approve the Foreclosed Homes Acquisition Program and authorize the Executive Director of
the Community Development Agency to execute all necessary documents.
2. Approve a substantial amendment to the 2010-2011 Annual Action Plan approving the use of
HOME funds for the Foreclosed Homes Acquisition Program and authorize its submittal to the
U. S. Department of Housing and Urban Development.
3. Approve a substantial amendment to the 2011-2012 Annual Action Plan approving the use of
HOME and CDBG funds for the Foreclosed Homes Acquisition Program and authorize its
submittal to the U. S. Department of Housing and Urban Development.
4. Authorize the City Manager and the Clerk of the Council to execute the attached amendment to
the NSP2 Program Grant Services Agreement with ANR Santa Ana NSP, LLC in an amount not
to exceeed $5 million plus program income, subject to nonsubstantive changes approved by
the City Manager and City Attorney.
COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION ACTION
At its regular meeting on April 3, 2012, by a vote of 6:0 (Bist absent), the Community
Redevelopment and Housing Commission approved the recommended actions.
29C-1
2010-2011 and 2011-2012 Annual Action Plan Substantial
Amendments and ANR Agreement Amendment
May 7, 2012
Page 2
DISCUSSION
Since 2009, the City of Santa Ana has applied for and received more than $17 million in federal
Neighborhood Stabilization Program (NSP) grant funds through three different applications. The
purpose of NSP is to help preserve neighborhoods by eliminating the blight associated with the
foreclosure and abandonment of residential properties. As of March 1, 2012, the City has
successfully utilized the NSP funds to facilitate acquisition, rehabilitation and resale of 53 single-
family homes and condominiums and has provided seven down payment assistance loans.
Additionally, funds were provided to also facilitate the purchase of a foreclosed vacant lot on which
a new 36 unit apartment building is being constructed, and the acquisition of two foreclosed
multifamily buildings with a total of 40 units.
As part of the application and the award of NSP2 funds, a minimum production goal of 100 units
was required. Due to higher unforeseen acquisition and rehabilitation costs, additional funds will
be required for the City to achieve that goal. The proposed Foreclosed Homes Acquisition
Program (Exhibit 1) has been designed to augment the current NSP efforts and will ensure
achievement of the 100 unit goal. The program will be operated in the Target Geography Area
established for the NSP2 grant. This new program will be operated in accordance with existing
NSP2 guidelines. The only exception from NSP requirements relates to household incomes and
resale restrictions. Resale of homes purchased through the new program will be restricted to
households with incomes at or below 80% of the area median (AMI) as determined by the U. S.
Department of Housing and Urban Development. Current NSP programs allow up to 120% AMI.
As of December 1, 2011, maximum household incomes as adjusted for household size were as
follows:
Household Size Income Level Household Size Income Level
One $53,950 Five $83,250
Two $61,650 Six $89,400
Three $69,350 Seven $95,550
Four $77,050 Eight $101,750
Maximum sales prices will be restricted to ensure affordability to such households. As of
December 1, 2011, those prices were as follows:
One Bedrm Two Bedrm Three Bedrm Four Bedrm Five Bedrm
Household
Size 2 Persons 3 Persons 4 Persons Five Persons Six Persons
Low $164,200 $184,000 $199,300 $213,400 $228,100
Finally, to the extent participating households want to sell their homes, they will be required to
resell them to other low income families at an affordable sale price. This resale restriction will
remain for a period of fifteen years after the transfer of title to the purchasing family.
29C-2
2010-2011 and 2011-2012 Annual Action Plan Substantial
Amendments and ANR Agreement Amendment
May 7, 2012
Page 3
In order to fund the Foreclosed Homes Acquisition Program for the remainder of the 2011-2012
fiscal year, the City must adopt Substantial Amendments to its 2010-2011 (Exhibit 2) and 2011-
2012 (Exhibit 3) Annual Action Plans. Under the proposed Substantial Amendments, $3.6 million
in HOME funds and $1 million in CDBG residential loan repayment funds will be reprogrammed for
support of the acquisition, rehabilitation and resale of foreclosed and abandoned single-family
homes in the NSP2 target area to qualified low income households.
On March 1, 2010, the City Council approved a contract with ANR Industries to assist the City with
implementation of the single-family components of the NSP2 Program. The amendment to this
contract would authorize ANR to use HOME and CDBG funds in an amount up to $5 million plus
program income for the new Foreclosed Homes Acquisition Program (Exhibit 4). This amount
includes both the current proposed reallocations of HOME and CDBG funds and funds from the
2012-2013 HOME allocation.
Finally, the 2011-2012 Action Plan budgeted $890,000 for the purchase of fire equipment to be
housed in a fire station that serves a CDBG eligible area. The funds will be reprogrammed for
improvements to fire stations in CDBG eligible areas in Santa Ana. The attached 2011-2012
Substantial Amendment provides for that change to the CDBG grant program.
HUD regulations require that the draft Substantial Amendment be made available for a 30-day
public review and comment period. On March 30, 2012, notification was published in the Orange
County Reporter that the Substantial Amendment was available for review beginning March 30,
2012, and that the public hearing would be held on April 3, 2012. It was also noticed in La Opinion
and Nguoi Viet as well as on the City's website. The 30-day public comment period concluded on
April 30, at 5 p.m. All comments received, including all funding recommendations made by the City
Council, will be included in the final document when it is submitted to HUD.
FISCAL IMPACT
Funds for the Foreclosed Homes Acquisition Program are available in the HOME Program Account
(no. 13018780-69152) and the CDBG Account (nos. 13518782-69152 and 13518783-66200).
APPROVED AS TO FUNDS AND ACCOUNTS:
Nancy T. E ards
Interim Exe tive Director
Community Development Agency
Francisco Gutierrez
Executive Director
Finance & Management Services Agency
NTE/SLB/TG/mlr
29C-3
2010-2011 and 2011-2012 Annual Action Plan Substantial
Amendments and ANR Agreement Amendment
May 7, 2012
Page 4
Exhibits: 1. Foreclosed Properties Acquisition Program Description
2. 2010-2011 Action Plan Substantial Amendment
3. 2011-2012 Action Plan Substantial Amendment
4. Amendment to Agreement with ANR
29C-4
FORECLOSED HOMES ACQUISITION PROGRAM
Introduction
The City of Santa Ana seeks to ensure that its neighborhoods are attractive and well
maintained. To that end, the City has applied for and received $10 million in federal
Neighborhood Stabilization Program 2 (NSP2) grant funds. These funds may only be
used for the acquisition, rehabilitation and resale of foreclosed-upon residential
properties located in the City's NSP2 target area (Attachment 1). This Foreclosed
Homes Acquisition Program (Program) was created to utilize federal HOME Program
and Community Development Block Grant Program funds to supplement the NSP
funds. Similar to NSP2, the purpose of the Program is to facilitate acquisition,
rehabilitation and resale of foreclosed and abandoned homes and to operate in
compliance with the requirements of the NSP2 Program. Existing contracts and
procedures established by the City for implementation of its NSP2 grant will also be
maintained. When necessary, and when circumstances allow, HOME or CDBG funds
allocated for this program may be used in conjunction with NSP funds. In the event of
any conflict between NSP regulations and the City's procedures and HOME regulations,
the more restrictive will prevail. With certain exceptions called out and treated in the
governing statutes, NSP funds have the same regulatory requirements as CDBG.
Eligible Use of Funds
HOME and CDBG funds may be used to meet the costs of acquisition, rehabilitation,
soft costs and developer fees associated with these transactions.
Eligible Properties
Vacant and foreclosed residential units or parcels suitable for residential development
that are located in the target area established by the City for its NSP2 grant are eligible
for this Program. When HOME funds are used, the HOME investment per unit shall not
exceed the maximum per unit subsidy limit as periodically published by the U. S.
Department of Housing and Urban Development (HUD). Whenever HOME funds are
used, the value of the property after rehabilitation may not exceed 95% of the area
median purchase price for that type of housing. The after-rehabilitation value estimate
will be completed prior to investment of the HOME funds. In accordance with NSP
requirements, homes must be acquired from the foreclosing party at a minimum
discount of 1 % off the as-is appraised value.
Eligible Homebuyers
To be eligible whenever HOME or CDBG funds are used alone or in conjunction with
NSP funds to facilitate the activity, the purchasing household must qualify as low-
income. The City will use Section 8 procedures for evaluating household compliance
with applicable HOME or CDGB income limits. Effective December 1, 2011, maximum
household incomes as adjusted for household size were as follows:
Exhibit 1
29C-5
Household Size Income Level Household Size Income Level
One $53,950 Five $83,250
Two $61,650 Six $89,400
Three $69,350 Seven $95,550
Four $77,050 Eight $101,750
The purchasing household need not be first time homebuyers, but may not currently
own another home, including rental property, and must intend to occupy the new home
as their principle residence. They must complete a pre-purchase homebuyer
counseling program offered by a HUD-approved homebuyer counseling agency. In
addition, they must be pre-qualified for a conventional, fixed interest rate mortgage, and
must make a minimum down payment of 3% using their own funds. Gift funds or loan
funds may not be used for this purpose. Household size may not exceed two persons
per bedroom plus one.
Sales Price
The homes will be sold at a price equal to or less than the lowest of the following:
Total development cost, meaning the total of all funds that were required to
acquire, rehabilitate and sell the home;
Appraised after rehabilitation value;
Affordable housing price as adjusted for the number of bedrooms, the assumed
household size for that number of bedrooms, and the maximum household
income for a low- or very low-income household of that size
As calculated for the NSP Program, effective December 1, 2011, the assumed
household sizes and the allowable housing prices were as follows:
One Two Three Four Bedrm Five
Bedrm Bedrm Bedrm Bedrm
Household Size 2 Persons 3 Persons 4 Persons Five Six
Persons Persons
Allowable Sales $164,200 $184,000 $199,300 $213,400 $228,100
Price
Occupancy and Resale Restrictions
For a period of fifteen years commencing with the transfer of title to the homebuyer,
program participants will be required to maintain their home as their principle place of
residence. Those who fail to do so will be found in default of their loan agreement and
be subject to a requirement that they sell their home to a low-income homebuyer at a
price affordable to such a homebuyer. Program participants voluntarily seeking to sell
their home during this initial 15 year ownership will also need to sell their homes to low-
income households at affordable prices.
Exhibit 1
29C-6
29C-7
29C-8
SUBSTANTIAL AMENDMENT TO THE FISCAL YEAR 2010-
2011 ACTION PLAN: FORECLOSED HOMES PROGRAM
INTRODUCTION
The City of Santa Ana's Fiscal Year 2010-11 Annual Action Plan 'was submitted to the
U.S. Department of Housing and Urban Development (HUD),o "May 15, 2010. Among
other items, the Plan allocated the city's anticipated $2,613;050 HOME Program grant
funds in a manner consistent with HOME Program regulations and the city's past
practice. As a consequence of a $1.2 million repaymeni'4o the HOME Program rude
necessary by the failure of a new construction, HOME funded project to move forward,
and the recent elimination of redevelopment agencies in California, the city finds itself
unable to commit existing HOME Program funds as quickly as it has in the past. In
order to make fuller use of these funds and -meet the need of low income residents for
affordable, for sale housing opportunities, the `city is creating a new program to be
funded with unused HOME and CDBG program funds Additionally, this new program
will be run in accordance with federal, guidelines established for the NSP2 program, and
will assist the city to meet its goals for.that program. Funding of this new program will
require a reallocation of uncommitted 2010-2011 HOME-grant funds.
Title 24 Section 91.505 of the Code of Fe deral.Reguiations stipulates that participating
jurisdictions shall amend their approved plans whenever they make one of the following
decisions: -
1. To make a change in its allocation priorities or a change in the method of
distribution of funds;
2. To carry out an activity, using funds from any program covered by the
-Consolidated Plan (including program income) not previously described in the
action plan; or
3. To change the purpose, scope, location, or beneficiaries of an activity.
The Regulation further requires that jurisdictions identify in their citizen participation
plans the criteria they will, use for determining what constitutes a substantial
amendment.
Consistent with these` requirements, the Citizen Participation Plan adopted by the City of
Santa Ana as a component of its 2010/11 - 2014/15 Consolidated Five Year Plan
identifies three criteria that will require a substantial amendment:
1. Changes in the use of CDBG funds from one eligible activity to another;
2. An activity is undertaken that was not previously included in the Consolidated
Plan or subsequent action plans.
I
Exhibit 2
29C-9
3. More than 30 percent of the most recent annual federal grant allocation is
reallocated to other eligible program activities within the fiscal year.
The proposed reallocation meets the criteria 2 and 3, and so requires a substantial
amendment.
CITIZEN PARTICIPATION
In accordance with 24 CFR 91.105(c)(3) for local governments,-the substantial
amendment Public Notice for the use of CDBG and HOME funds was released for
citizen review and comments on March 30, 2012. During the` 30-day public comment
period from March 30, 2012 through April 30, 2012 the Pubiic'Notice for the Draft
Substantial Amendment was made available during regular business hours between
8:00 a.m. and 5:00 p.m., Monday through Thursday inthe following locations: 1)
Housing Department, 20 Civic Center Plaza, 3rd Floor, 2) Communify_Development
Agency, 20 Civic Center Plaza, 6th Floor, 3) Office of the Clerk of the Council, 20 Civic
Center Plaza, Room 809, 4) the Main Public Library, 26 Civic. Center Plaza, Santa Ana,
California and 5) on the city's website. The Community Redevelopment and Housing
Commission of the City of Santa Ana held a public fearing on April 3, 2012, at 6:00
p.m., at the City Council Chambers, 22 Civic Center.Plaza, Santa Ana, California
92701. The City Council of Santa Ana will hear and vote on this Substantial
Amendment to the 2010-11 Action Plan on May 7, 2012. A !copy of the public hearing
notice is presented in Attachment 1, along with P summary of citizen comments
received at the public hearing and the remainder of the public comment period. The
city's responses to these citizen comments are also included in Attachment 1.
PROPOSED ACTIVITY AMENDMENT
The proposed amendment will create a new project entitled HOME Foreclosed Homes
Acquisition, Program. It will modify the HOME funding allocations established in the
2010-2011 Plan, and transfer funds not required to meet existing activity commitments
to this new program.-.Attachment 2 shows the projects and funding levels established in
the`2010-2011 Annual Action Plan and the proposed reallocation.
2
Exhibit 2
29C-10
ATTACHMENT 1
PROOF OF PUBLICATION 30-DAY COMMENT PERIOD & PUBLIC HEARING
& SUMMARY OF PUBLIC COMMENTS
3
Exhibit 2
29C-11
NOTICE OF PROPOSED ACTION TO BE TAKEN BY THE CITY COUNCIL OF THE
CITY OF SANTA ANA RESPECTING PROPOSED SUBSTANTIAL AMENDMENTS
TO THE CITY OF SANTA ANA 2010-2011 AND 2011-2012 CONSOLIDATED PLAN
ANNUAL UPDATES
NOTICE IS HEREBY GIVEN that the Community Redevelopment and Housing
Commission of the City of Santa Ana will conduct a public hearing on April 3, 2012 at
6:00 p.m. at the City Council Chambers, 22 Civic Center Plaza, Santa Ana, CA 9:2701
on proposed actions approving substantial amendments to the City's 2010-2011 and
2011-2012 Consolidated Plan Annual Updates. On April 16;'2012 on or about 6:00 p.m.
at the City Council Chambers, the City Council will take action; on requests to authorize
submittal of the substantial amendments to the U.S. Department of Housing and Urban
Development (HUD). The proposed amendments Will reprograrwHOME and
Community Development Block Grant funds currently available to the City, and revise
the City's Target Geography Area for its NSP3 grant funds.
The draft substantial amendments will be available for public review from March 30,
2012 to April 30, 2012 at the following locations Monday Through Friday during normal
business hours: Housing Department, 20 Civic Center;Plaza, 3rd Floor; Community
Development Agency, 20 Civic Center Plaza, 6th Floor; 'Qffice of the Clerk of the
Counci120 Civic Center Plaza, Room 809; and the Main Public Library, 26 Civic Center
Plaza, Santa Ana, California. Written comments on ahem must be submitted to the
Housing Division on or before April 30,'2012.
Publish: March 30, 2012
REVISION TO NOTICE OF PROPOSED ACTION TO BE TAKEN BY THE CITY
COUNCIL OF THE CITY OF SANTA ANA RESPECTING PROPOSED ANNUAL
ACTION PLAN SUBSTANTIAL AMENDMENTS
NOTICE IS HEREBY GIVEN that on May 7, 2012 at or about 6:00 p.m. in the City
Council Chambers, 22 Civic Center Plaza, Santa Ana, CA 92701 the City Council of the
City of Santa Ana will take action on requests to approve substantial amendments to
the City's 2010-2011 and 2011-2012 Annual Action Plans. The City's original Notice
published March 30, 2012 indicated that City Council would take this action on April 16,
2012.
Publish: April 11, 2012
4
Exhibit 2
29C-12
SUMMARY OF PUBLIC COMMENTS
5
Exhibit 2
29C-13
ATTACHMENT 2: PROPOSED HOME /CDBG CHANGES
2010-2011 HOME/CDBG Program Funding Reallocation
2010-2011 Project Name Fund Allocation New Allocation
HOME Admin $261,305 $261,305
HOME CHDO $394,569 $394,569
HOME Multifamily Acquisition
Or Rehabilitation $259,787 $0
HOME Single Family Housing
Rehabilitation $20b,000 $6,000
HOME New Construction $1,500,000 $621,866
HOME Foreclosed Homes
Acquisition $0 $1,329,320
6
Exhibit 2
29C-14
SUBSTANTIAL AMENDMENT TO THE FISCAL
YEAR 2011-2012 ACTION PLAN: HOME AND
CDBG REPROGRAMMING
INTRODUCTION
The City of Santa Ana's Fiscal Year 2011-12 Annual Action Plan was submitted to the U.S.
Department of Housing and Urban Development (HUD) on May 15, 2011. Among other items,
the Plan allocated the city's anticipated HOME Program and Community Development Block
Grant (CDBG) funds in a manner consistent with HOME and CDBG regulations and the city's
past practice. As a consequence of unforeseen circumstances.?,ffecting both programs, the city
has been unable to commit and spend these HOME and:CDBG funds as quickly as it has in the
past. In order to make fuller use of these funds and meef;the need of low income residents for
affordable, for sale housing opportunities,'the,city is creating,, new program to be funded with
unused HOME and CDBG program funds..Additionally, this new program will be run in
accordance with federal guidelines established for the,NSP2 program, and will assist the city to
meet its goals for that program. Funding of this new program will require a reallocation of
uncommitted 2011-2012 HOME grant funds and unused CDBG grant funds generated by loan
repayments.
Additionally, the 2011-2012 Annual Action Plan committed $890,000 in CDBG grant funds for
purchase of new fire equipment to be used in a.fire`station serving a predominately low/mod
area. Due to the rei ent outsourcing of the city Fire Department to the Orange County Fire
Authority, the funds no longer need to be used for that purpose. Instead, they will be used for
necessary repairs to fire stations serving low/mod areas of Santa Ana.
Title 24 Section 91.505 of the Code of Federal Regulations stipulates that participating
jurisdictions shall amend their approved plans whenever they make one of the following
decisions:
1. To make a change in its allocation priorities or a change in the method of distribution of
funds;
2. To carry out an activity, using funds from any program covered by the Consolidated Plan
(including program income) not previously described in the action plan; or
3. To change the purpose, scope, location, or beneficiaries of an activity.
1
Exhibit 3
29C-15
The Regulation further requires that jurisdictions identify in their citizen participation plans the
criteria they will use for determining what constitutes a substantial amendment.
Consistent with these requirements, the Citizen Participation Plan adopted by the City of Santa
Ana as a component of its 2010/11- 2014/15 Consolidated Five Year Plan identifies three
criteria that will require a substantial amendment:
1. Changes in the use of CDBG funds from one eligible activity to another;
2. An activity is undertaken that was not previously included in the Consolidated Plan or
subsequent action plans.
3. More than 30 percent of the most recent annual federal grant allocation is reallocated
to other eligible program activities within the fiscal year.
The proposed changes all meet one of these three criteria, and so require a substantial
amendment.
CITIZEN PARTICIPATION
In accordance with 24 CFR 91.105(c)(3) for local governments, the substantial amendment
Public Notice for the use of CDBG and HOME funds was released for citizen review and
comments on March 30, 2012. During the 30-day public comment period from March 30, 2012
through April 30, 2012 the Public Notice for the Draft Substantial Amendment was made
available during regular business hours between 8:00 a.m. and 5:00 p.m., Monday through
Thursday in the following locations: ,1) Housing Department, 20 Civic Center Plaza, 3rd Floor, 2)
Community Development Agency, 20 Civic Center Plaza, 6th Floor, 3) Office of the Clerk of the
Council, 20 Civic Center Plaza, Room 809, 4) the Main Public Library, 26 Civic Center Plaza, Santa
Ana, California and 5) on the city's website. The Community Redevelopment and Housing
Commission of the City of Santa Ana held a public hearing on April 3, 2012, at 6:00 p.m., at the
City Council Chambers,, 22 Civic Center Plaza, Santa Ana, California 92701. The City Council of
Santa Ana will hear and vote on this Substantial Amendment to the 2011-12 Action Plan on May
7,2012- A copy of the public hearing notice is presented in Attachment 1, along with a
summary of,citizen comments received at the public hearing and the remainder of the public
comment period. The city's responses to these citizen comments are also included in
Attachment 1.
PROPOSED ACTIVITY AMENDMENTS
The proposed amendments will create new projects for the 2011-2012 Annual Action Plan
entitled CDBG Foreclosed Homes Acquisition Program and CDBG Foreclosed Homes Acquisition
Program. It will modify the HOME funding allocations established in the 2011-2012 Plan,
budget previously unused CDBG Program Income funds for the new project, and identify a
changed use for $890,000 in CDGB grant funds. Attachment 2 describes these changes.
2
Exhibit 3
29C-16
ATTACHMENT 1
PROOF OF PUBLICATION 30-DAY COMMENT PERIOD & PUBLIC HEARING
& SUMMARY OF PUBLIC COMMENTS
3
Exhibit 3
29C-17
NOTICE OF PROPOSED ACTION TO BE TAKEN BY THE CITY COUNCIL OF THE
CITY OF SANTA ANA RESPECTING PROPOSED SUBSTANTIAL AMENDMENTS
TO THE CITY OF SANTA ANA 2010-2011 AND 2011-2012 CONSOLIDATED PLAN
ANNUAL UPDATES
NOTICE IS HEREBY GIVEN that the Community Redevelopment and Housing
Commission of the City of Santa Ana will conduct a public hearing on April 3, 2012 at
6:00 p.m. at the City Council Chambers, 22 Civic Center Plaza, Santa Ana, CA 92701
on proposed actions approving substantial amendments to the City's 2010-2011 and
2011-2012 Consolidated Plan Annual Updates. On April 16,.'2012 on or about 6:00 p.m
at the City Council Chambers, the City Council will take action on requests to authorize
submittal of the substantial amendments to the U.S. Department of Housing and Urban
Development (HUD). The proposed amendments will reprogram` NOME and
Community Development Block Grant funds currently available to the City, and revise
the City's Target Geography Area for its NSP3 grant funds.
The draft substantial amendments will be available for public review from March 30,
2012 to April 30, 2012 at the following locations Monday,Through Friday during normal
business hours: Housing Department, 20 Civic Center: Plaza, 3rd Floor; Community
Development Agency, 20 Civic Center Plaza, 6th Floor;. Office of the Clerk of the
Counci120 Civic Center Plaza, Room 809;`and the Main Public Library, 26 Civic Center
Plaza, Santa Ana, California. Written comments on them must be submitted to the
Housing Division on or before April 30, 2012.
Publish: March 30, 2012
REVISION TO NOTICE OF PROPOSED ACTION TO BE TAKEN BY THE CITY
COUNCIL OF THE CITY OF SANTA ANA'RESPECTING PROPOSED ANNUAL
ACTION PLAN SUBSTANTIAL AMENDMENTS
NOTICE IS HEREBY GIVEN that on May 7, 2012 at or about 6:00 p.m. in the City
Council. Chambers, 22 Civic Center Plaza, Santa Ana, CA 92701 the City Council of the
City of Santa Ana will take action on requests to approve substantial amendments to
the City's 2010-2011 and 20'11-2012 Annual Action Plans. The City's original Notice
published March 30, 2012 indicated that City Council would take this action on April 16,
2012.
Publish: April 11, 2012
4
Exhibit 3
29C-18
SUMMARY OF PUBLIC COMMENTS
5
Exhibit 3
29C-19
ATTACHMENT 2: PROPOSED HOME PROGRAM FUNDING REALLOCATION
2011-2012 HOME Program Funding Reallocation
2010-2011 Project Name Fund Allocation New Allocation
HOME Admin $229,596 $229,596
HOME CHDO $344,395 $0
HOME Multifamily Acquisition
Or Rehabilitation $121,974. $0
HOME Single Family Housing
Rehabilitation $100;000 $0
HOME New Construction $1,500,000, $0
HOME Foreclosed Homes
Acquisition $0 $2,295,965
CDBG Foreclosed Homes
Acquisition 0 $1,000,000
6
Exhibit 3
29C-20
AMENDMENT TO
NEIGHBORHOOD STABILIZATION PROGRAM
GRANT SERVICES AGREEMENT
WITH ANR SANTA ANA NSP, LLC
This Amendment is executed 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 (hereinafter "City") and ANR Santa Ana NSP, LLC, a limited liability company
("Developer") as of May , 2012.
RECITALS:
A. City and Developer entered into the Neighborhood Stabilization Program (Program 2)
Grant Services Agreement (said "Agreement") on March 1, 2010, for Developer to assist
City with the acquisition, rehabilitation and resale of foreclosed properties.
B. The NSP2 Program requires a minimum production goal of 100 units. Due to higher
acquisition and rehabilitation costs, additional funds are required for the City to achieve
this goal. The proposed Foreclosed Homes Acquisition Program ("Program") has been
designed to augment the current NSP2 efforts and ensure the achievement of the 100 unit
goal.
C. The City has approved Substantial Amendments to its 2010-11 and 2011-12 Annual
Action Plans to fund the Program by reprogramming $3.6 Million Dollars in HOME
funds and $1 Million Dollars in CDBG residential loan repayments funds to support the
acquisition, rehabilitation and resale of foreclosed and abandoned single-family homes in
the NSP2 target area to qualified low income households.
D. The parties now desire to amend said Agreement to increase and expand the sources of
funding as discussed.
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 Amendment to
Agreement, the parties agree as follows:
1. The funding for the Program 2 activities shall be amended to include HOME and CD13G
funds in an amount not to exceed Five ($5,000,000) Million Dollars plus program income for the
new Foreclosed Homes Acquisition Program.
2. Resale of homes purchased through the new Program will be restricted to households with
incomes at or below 80% of the area median income as determined by the U.S. Department of
Housing and Urban Development.
3. To the extent participating households want to sell their homes, they are required to resell
them to other low income families at an affordable sales price. This resale restriction will remain
for a period of fifteen (15) years after transfer of title to the purchasing household.
Exhibit 4
29C-21
4. Except as hereinabove modified, the terms and conditions of said Agreement remain unchanged and
in full force and effect.
IN WITNESS WHEREOF, the parties hereto have executed this Amendment to the Agreement
on the date and year first written above.
ATTEST:
MARIA D. HUIZAR
Clerk of the Council
CITY OF SANTA ANA
PAUL WALTERS
Interim City Manager
APPROVED AS TO FORM:
SONIA R. CARVALHO
City Attorney
By: LISA E. STORCK
Assistant City Attorney
DEVELOPER:
ANR Santa Ana NSP, LLC
By: GEORGE JORDAN
Vice President
Exhibit 4
29C-22
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
CLERK OF COUNCIL USE ONLY:
MAY 7, 2012
TITLE:
REPEAL ORDINANCE NS 2304
REGARDING CAMPAIGN CONTRIBUTIONS
APPROVED
? As Recommended
? As Amended
? Ordinance on 1s` Reading
? Ordinance on 2nd Reading
? Implementing Resolution
? Set Public Hearing For
CITY MANAGER
RECOMMENDED ACTION
CONTINUED TO
FILE NUMBER
Place ordinance on first reading and authorize publication of title.
DISCUSSION
California Government Code and the Political Reform Act, along with the Santa Ana Charter,
require that elected officials abstain from voting on any matter where the official received a
campaign contribution of more than $250 in the 12 months immediately preceding a vote. In
November 1996, Ordinance NS 2034 was adopted by the City Council which imposed an
additional restriction prohibiting a Councilmember from soliciting or accepting campaign
contributions or loans of more than $250 for a period of three months following a vote. By
approving the proposed ordinance, the City of Santa Ana is removing a restriction not required
under state law that unfairly affects Santa Ana Council candidates running for state or other
elected office.
FISCAL IMPACT
There is no fiscal impact associated with this action.
5OA-1
5OA-2
ORDINANCE NO. NS-XXXX
AN ORDINANCE OF THE CITY COUNCIL OF THE CITY
OF SANTA ANA REPEALING ORDINANCE NO. NS-2304
AND MUNICIPAL CODE SECTION 2-107.
THE CITY COUNCIL OF THE CITY OF SANTA ANA HEREBY ORDAINS AS
FOLLOWS:
Section 1. Ordinance No. NS-2304 is hereby repealed and Section 2-107 of
the Santa Ana Municipal Code is hereby deleted in its entirety:
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Section 2. 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 anyone or more
sections, subsections, sentences, clauses, phrases, or portions be declared invalid or
unconstitutional.
Section 3. Neither the adoption of this ordinance nor the repeal hereby of any
ordinance shall in any manner affect the prosecution for violation of ordinances, which
violations were committed prior to the effective date hereof, nor be construed as
affecting any of the provisions of such ordinance relating to the collection of any such
license or penalty or the penal provision applicable to any violation thereof, nor to affect
the validity of any bond or cash deposit in lieu thereof, required to be posted, filed or
deposited pursuant to any ordinance and all rights and obligations there under
appertaining shall continue in full force and effect.
Ordinance No. NS-
Page 1 of 2
5OA-3
ADOPTED this day of , 2012.
Miguel A. Pulido
Mayor
APPROVED AS TO FORM:
Office of the City Attorney
By:
Sonia R. Carvalho
City Attorney
AYES:
NOES:
ABSTAIN:
NOT PRESENT
Councilmembers
Councilmembers
Councilmembers
Councilmembers
CERTIFICATE OF ATTESTATION AND ORIGINALITY
I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the
attached Ordinance No. NS-XXX to be the original ordinance adopted by the City
Council of the City of Santa Ana on , and that said ordinance was
published in accordance with the Charter of the City of Santa Ana.
Date:
Clerk of the Council
City of Santa Ana
Ordinance No. NS-
Page 2 of 2
5OA-4
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
APRIL 2, 2012
TITLE:
PUBLIC HEARING - COMMUNITY
DEVELOPMENT BLOCK GRANT
PROGRAM FY 2012-2013
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 5- 7-/.Z
FILE NUMBER
1. Approve the proposed Fiscal Year 2012-2013 Community Development Block Grant
Program.
2. Direct the City Attorney to prepare and authorize the City Manager and the Clerk of the
Council to execute memorandums of understanding with city departments and agreements
with nonprofit agencies awarded funds as part of the approved program.
DISCUSSION
Since Fiscal Year 1974-1975, Santa Ana has received Community Development Block Grant
(CDBG) funds to improve low- and moderate-income neighborhoods, eliminate blight and create a
more stable economic base. These funds have been used for a diverse range of programs
including housing, street improvements, parks and public facilities improvements, social services,
historic preservation and community services.
In past years, the City has used an application process to make public service funds available to
nonprofit organizations that meet one of the priorities identified in the City's Consolidated Plan (the
City's five-year strategic plan that identifies housing and community needs that are required by the
U. S. Department of Housing and Urban Development [HUD]). Like communities throughout the
nation, the current economic climate continues to present serious budget challenges to Santa Ana.
These challenges include an increased demand for a variety of municipal services, the elimination
of redevelopment tax increment, the redirection of local revenues to the state, and an overall
decline in various tax revenues. To address these challenges, the City continues to make the
difficult decision to limit the amount of CDBG funds available for nonprofits for the 2012-2013
Fiscal Year to City-managed programs.
75A-1
Public Hearing - CDBG Program FY 2012-2013
April 2, 2012
Page 2
The proposed Fiscal Year 2012-2013 CDBG program and budget (Exhibit 1) consists of the staffs
funding recommendations for the program. The City Council public hearing will provide an
opportunity for public input and the completion of the process necessary to submit our locally
approved program to HUD.
FISCAL IMPACT
Approval of the recommended action will authorize the City Manager to submit the approved
program to HUD and to execute a grant agreement, which will result in the City's CDBG letter of
credit being augmented by an estimated $5,680,480.
APPROVED AS TO FUNDS AND ACCOUNTS:
'h l (?? a"(-?
Nancy T. wards
Interim Ex utive Director,
Community Development Agency
Francisco Gutierrez
Executive Director r
Finance & Management Services Agency
NTE/FH/mlr
Exhibit: 1: Program Recommendations
75A-2
Community Development Agency
CDBG FUNDING PLAN
PROPOSED PLAN
PROGRAM FY 12/13
ADMINISTRATION & PLANNING
Program Administration-CDBG $ 664,576
Program Administration-HOME $ 200,000
Neighborhood Improvement-Admin. $ 200,000
Fair Housing Council of Orange County $ 71,520
CODE ENFORCEMENT
Code Enforcement $ 1,250,000
Legal Services $ 50,000
SOCIAL SERVICES
PD-PAAL Program $ 144,000
PD-HEART Program $ 35,000
PD-GRIP Program $ 185,000
PRCSA-Library Tutors $ 258,072
PRCSA-Project Pride $ 150,000
PRCSA-Senior Meals $ 80,000
CITY CAPITAL IMPROVEMENTS
Public Facilities-Various Residential Streets $ 748,632
Public Facilities-Park-Maybury lighting $ 435,000
Public Facilities-Park-El Salvador Walkway $ 171,000
Public Facilities-Park-Windsor Walkway $ 134,400
Public Facilities-Park-Centennial Rock Slope $ 112,280
Public Facilities-Park-Madison Community Garden $ 376,000
HOUSING REHABILITATION
Single Family Rehab-Non Profit $ 90,000
Single Family Rehab-City $ 200,000
Multi Family Rehab Loans $ 125,000
TOTAL $ 5,680,480
CDBG ALLOCATION $ 5,680,480
SURPLUS/DEFICIT $ _
EXHIBIT 1
75A-3
75A-4
COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM
CITY OF SANTA ANA
CITY AGENCY PROPOSAL
FISCAL YEAR 2012-13 PROGRAM
75A-5
Q
COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM
CITY OF SANTA ANA
CITY AGENCY PROPOSAL
FISCAL YEAR 2012-13 PROGRAM
AGENCY: Community Development
PROJECT NAME: Program Administration-CDBG
AMOUNT REQUESTED: $ 664,576
The City is requesting funding for the administration and oversight of the CDBG program.
75A-6
z
COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM
CITY OF SANTA ANA
CITY AGENCY PROPOSAL
FISCAL YEAR 2012-13 PROGRAM
AGENCY: Community Development
PROJECT NAME: Program Administration-HOME
AMOUNT REQUESTED: $ 200,000
The City is requesting funding for the administration and oversight of the HOME program. Under the
CDBG regulations CDBG funds may be used for the administration of the HOME program.
75A-7
COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM
CITY OF SANTA ANA
CITY AGENCY PROPOSAL
FISCAL YEAR 2012-13 PROGRAM
AGENCY: Community Development
PROJECT NAME: Planning-Neighborhood Improvement
AMOUNT REQUESTED: $ 200,000
The City is requesting funding to provide information and other resources to residents and citizen
organizations participating in the planning, implementation, or assessment of activities being assisted with
CDBG funds.
75A-8
z
COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM
CITY OF SANTA ANA
CITY AGENCY PROPOSAL
FISCAL YEAR 2012-13 PROGRAM
AGENCY: Orange County Fair Housing
PROJECT NAME: Santa Ana Fair Housing Education, Counseling and
Enforcement
AMOUNT REQUESTED: $ 71,520
Orange County Fair Housing is requesting funding to provide fair housing education, counseling and
enforcement services to current or potential Santa Ana households. Additionally landlord/tenant
counseling will be provided to assist housing providers and consumers. The agency estimates that it will
serve 990 households.
75A-9
d
COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM
CITY OF SANTA ANA
CITY AGENCY PROPOSAL
FISCAL YEAR 2012-13 PROGRAM
AGENCY: Planning and Building/City Attorney's Office
PROJECT NAME: Code Enforcement
AMOUNT REQUESTED: $ 1,300,000
Community Development Block Grant funds will support the salaries and benefits of Community
Preservation personnel performing residential code enforcement activities in targeted areas of the city.
Funding will also be used for salaries and benefits of city attorneys for the prosecution of cases.
75A-10
COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM
CITY OF SANTA ANA
CITY AGENCY PROPOSAL
FISCAL YEAR 2012-13 PROGRAM
AGENCY: Police Department
PROJECT NAME: PAAL Program
AMOUNT REQUESTED: $ 144,000
The program takes a three-step approach. The first step is to provide safe haven where youths can gather
without the fear of violence or intimidation. At the haven, youths will be provided with an environment
that enables them to study, complete homework, and to work on school projects. Youths will have access
to computers, school supplies, educational materials, and private tutoring all at no cost. The focus is on
academic achievement. Second, youths will have the chance to participate in recreational and educational
field trips. These field trips concentrate on broadening the knowledge and social awareness of youths to
opportunities they might not be cognizant of due to their socioeconomic status. Finally, the sport and
athletic programs coached by police officers teach youths the importance of teamwork, sportsmanship, and
the fact that police officers are humans sincerely interested in their development. This aspect of the
program builds the bonds of trust and communication between youths and police officers.
The CDBG funds would be used to increase the programs positive involvement in the community by
adding services to approximately 1,100 aditional Santa Ana youth. This would be accomplished by
opening a second SAPAAL facility in the Villa Del Sol apartment complex. This facility would serve
approximatley 40 kids per day, Monday through Friday from 2:30 to 6:30 PM. Two part-time recreation
coordinators would be hired with the CDBG funds to work at this facility and would provide an
environment that enables them to study, complete homework, work on school projects and interact on a
daily basis with police officers in a positive manner.
75A-11
COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM
CITY OF SANTA ANA
CITY AGENCY PROPOSAL
FISCAL YEAR 2012-13 PROGRAM
AGENCY: Police Department
PROJECT NAME: HEART Program
AMOUNT REQUESTED: $ 35,000
The Santa Ana Police Department recognizes that criminalization of homeless individuals is not the
solution to this ever growing problem. While enforcement is definitely needed to maintain public safety,
cleanliness and order in the Civic Center and surrounding area, it must be coupled with alternatives that
will prevent the homeless person from having continuous contact with the police.
Taking from HUD's Continuum of Care philosophy, the Santa Ana Police Department, and specifically the
Civic Center Detail, seeks to create a program that will identify and determine individual needs, partner
with entities that provide assistance to the homeless population, and then unite the two thereby providing a
viable option for the homeless. The ultimate goal will be to provide a measureable program with its sight
set on self-sufficiency for those desiring to escape homelessness.
The Santa Ana Police Department's Homeless Evaluation/Assessment Response Team (HEART) will
achieve this goal. This program will be established to provide long-term solutions beyond the short-term
solutions offered through enforcement of laws and ordinances. This will occur by:
• Identification of the homeless and understanding of individual needs
• Identifying entities that can provide resources
• Creating partnerships and providing referrals.
• Program maintenance and management
The Civic Center Detail is best suited for implementation of this program for several reasons. The officers
provide service to this area seven days a week. The officers have been trained to treat each person with the
respect and dignity they deserve and as such have built a good rapport within the Civic Center.
Furthermore, the officers have the opportunity to contact the non-profit organizations that currently provide
services to the homeless population. Lastly, many relationships with outside entities that can provide
services already exist with the supervisors that oversee the Detail.
Additionally fiords will be used for a referral and service coordinator.
75A-12
COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM
CITY OF SANTA ANA
CITY AGENCY PROPOSAL
FISCAL YEAR 2012-13 PROGRAM
AGENCY: Police Department
PROJECT NAME: GRIP Program
AMOUNT REQUESTED: $ 185,000
This project is designed to provide sustainability of a suitable living environment by expanding
intervention, prevention, and suppression programs aimed at reducing criminal activities of gangs. It
utilizes a combination of prevention, outreach, probation checks, and arrests to deter the criminal activities
of gangs and their members.
The GRIP has previously determined what areas in the entire City qualify as low-mod by census tract. The
neighborhood selected is one that is in a qualified census tract and one that the City constantly does
projects in with other funds to help eliminate blight and reduce criminal activity.
GRIP is a program that involves a collaboration of several agencies with the goal of preventing children
from joining a criminal street gang. GRIP does not work with gang members, but target students 4th -8th
grade students who are at-risk of joining a gang. There are many components of the GRIP program which
are all implemented with the goal of preventing Orange County children from joining a criminal street
gang. These components include educating parents, faculty and students about the negative impact of
criminal street gangs and the signs that a child may be at-risk of joining a gang.
GRIP also conducts curfew sweeps. These curfew sweeps are law enforcement operations which involve
police officers targeting juvenile curfew violators on school nights. GRIP also conducts Truancy Sweeps.
The Truancy Sweeps involve going to the home of chronically truant students and intervening with the
students and their parents GRIP conducts Intervention meetings called Strike Team meetings. These are
interventions with the minors and the parents of the minors that the GRIP schools have identified as being
at-risk of joining a criminal street gang. At these intervention meetings, the parents are informed of their
responsibilities under the law and parents and students are required to sign a behavior contract and are
given the necessary resources to make positive changes. The GRIP program has several positive incentive
programs in place to reward students who meet their goals set by the GRIP partners. The GRIP program
also initiates and leads community Gang Prevention programs, including parent greeter and neighborhood
watch programs.
75A-13
4
COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM
CITY OF SANTA ANA
CITY AGENCY PROPOSAL
FISCAL YEAR 2012-13 PROGRAM
AGENCY: Parks, Recreation, and Community Services Agency
PROJECT NAME:
Library Tutor Program
AMOUNT REQUESTED: $ 258,072
The program provides free bilingual after-school homework help in all school subjects by providing
tutoring to all Santa Ana students in grades K-12 at the two library sites (Main Library and Newhope
Library) and Jerome Center. Tutors work with individual students to help them understand and complete
homework assignments, as well as assisting students who are having difficulties with basic reading and
math skills.
The program provides:
• Free homework help for all Santa Ana students (5-12)
• Qualified bilingual tutors;
• Access to computers and the Internet to fill the technological gap between schools and homes;
• Interactive academic enhancement through educational software;
• Computer workshops on various topics, creative writing workshops, Buddy Programs, college and career
guidance programs and mentoring opportunities
75A-14
Q
COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM
CITY OF SANTA ANA
CITY AGENCY PROPOSAL
FISCAL YEAR 2012-13 PROGRAM
AGENCY: Parks, Recreation, and Community Services Agency
PROJECT NAME: Project PRIDE
AMOUNT REQUESTED: $ 150,000
The program will provide positive alternatives for youths through family and teen recreation and volunteer
activities and provides opportunities for family member's to make meaningful contributions to their
communities and helps them earn respect. The Family PRIDE clubs will participate in recreational
excursions and four special events including a family picnic, family camp out, arts and crafts competitions
and holiday dinner.
During the grant year, Project PRIDE will coordinate Family PRIDE clubs at eight sites in Santa Ana. A
total of 900 Santa Ana residents are estimated to be served.
75A-15
6
COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM
CITY OF SANTA ANA
CITY AGENCY PROPOSAL
FISCAL YEAR 2012-13 PROGRAM
AGENCY: Parks, Recreation, and Community Services Agency
PROJECT NAME: Senior Meals
AMOUNT REQUESTED: $ 80,000
The program will provide the following.
Congregate Meals:
Participants in the Senior Lunch Program will be provided a daily (Monday-Friday) hot nutritional lunch at
3 nutrition sites in Santa Ana.
Locations:
Southwest Senior Center
Santa Ana Senior Center
Vietnamese Community Center
Participants will also be part of nutrition education on various senior health topics every quarter by our
Dietician.
Home Delivered Meals:
Participants in the Home Delivered Meals program will receive 3 meals per day 5 days per week and case
management services. Meals will be delivered by paid and volunteer drivers. Eligibility and case
management services will be provided by CSS Case Managers. Participants will also have access to other
services at no charge including in-home services, respite services, home safety equipment, and other
resources.
75A-16
COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM
CITY OF SANTA ANA
CITY AGENCY PROPOSAL
FISCAL YEAR 2012-13 PROGRAM
AGENCY: Public Works Agency/Parks, Recreation, and
Community Services Agency
PROJECT NAME: Public Facility Improvements
AMOUNT REQUESTED: $ 1,977,312
CDBG funding requested will be used to fund improvements of public facilities in CDBG eligible areas of
the City that receive the highest priority based on the City's needs.
Below is a list of the proposed projects for FY 12/13
• Neighborhood Streets
• Maybury Park Lighting
• El Salvador Park Walkway
• Windsor Park Walkway
• Centennial Park Rock Slope
• Madison Park Community Garden
75A-17
COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM
CITY OF SANTA ANA
CITY AGENCY PROPOSAL
FISCAL YEAR 2011-12 PROGRAM
AGENCY: Paint Your Heart Out
PROJECT NAME: Paint Day Santa Ana
AMOUNT REQUESTED: $ 90,000
The purpose of Paint Day Santa Ana is to restore hope to low-income seniors and disabled homeowners by
completing repairs, restoring and painting their homes, at no cost to homeowners. The program counters
neighborhood blight and promotes community pride through volunteerism. PYHO's 500-member Paint
Day Santa Ana volunteer army completes the home refurbishing work. Hundreds of volunteers will be
recruited from the community to repair and refurbish 15 homes in the City of Santa Ana for low-income to
moderate-income senior and/or disabled homeowners. The restoration of hope and revitalization of
community takes place annually on Paint Day Santa Ana. Each home receives an average of $7,000 in
exterior and landscape improvements. Specific services provided during the year to execute Paint Day
Santa Ana include: 1) screening applicants on the waiting list, 2) outreach to the target neighborhoods for
additional applicants, 3) meeting with community leadership to accomplish project goals, 4) training
project volunteers, 5) securing resources to perform repairs, prep work and painting, 6) assessing all
selected homes and creating work plans for each, 7) completing the prep and painting of 15 homes, an 8)
recognizing volunteers and sponsors.
Santa Ana residents will receive home restoration services for Paint Day that may include:
1) repairs around the house
2) replacing broken windows & locks
3) landscaping/tree trimming
4) garage door replacement/repairs
5) stucco repair and wood replacement
6) referral to CAPOC
7) handrails if needed
8) lead paint abatement
9) prepping and exterior painting
10) waste removal
11) other needed repairs as discovered
Completed repairs will average $7,000 per house and will denote approximately $105,000 in Santa Ana
community improvements
75A-18
a
COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM
CITY OF SANTA ANA
CITY AGENCY PROPOSAL
FISCAL YEAR 2012-13 PROGRAM
AGENCY: Community Development Agency
PROJECT NAME: Single-Family Rehabilitation Loans
AMOUNT REQUESTED: $ 200,000
Community Development Block Grant funds will support property owners in rehabilitating their personal
residence. The purpose of the program is to stabilize and improve single-family owner occupied housing
stock in the city.
75A-19
Q
COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM
CITY OF SANTA ANA
CITY AGENCY PROPOSAL
FISCAL YEAR 2012-13 PROGRAM
AGENCY: Community Development Agency
PROJECT NAME: Multi-Family Rehabilitation Loans
AMOUNT REQUESTED: $ 125,000
Community Development Block Grant funds will support property owners in rehabilitating their rental
property. The purpose of the program is to stabilize and improve multi-family rental housing stock in the
city. Property owners must agree to set aside a portion of the rehabilitated units at an affordable rental rate
for low-income households.
75A-20
REQUEST FOR
COUNCIL ACTION
CITY COUNCIL MEETING DATE:
MAY 7, 2012
TITLE:
PUBLIC HEARING - APPEAL NO. 2012-01
(HISTORIC RESOURCES COMMISSION
APPLICATION NO. 2012-01 AND HISTORIC
REGISTER CATEGORIZATION NO. 2012-01)
FOR THE SEXLINGER PROPERTY
LOCATED AT 1584 EAST SANTA CLARA
AVENUE
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
Affirm the Historic Resources Commission's denial of Historic Resources Commission
Application No. 2012-01 and Historic Register Categorization No. 2012-01.
2. Adopt a resolution denying Appeal No. 2012-01.
HISTORIC RESOURCES COMMISSION ACTION
On April 5, 2012, following a duly noticed public hearing, the Historic Resources Commission denied
Historic Resources Commission Application No. 2012-01 and Historic Register Categorization No.
2012-01 by a vote of 5:2 (Christy and Yrarrazaval opposed; O'Callaghan absent). The Historic
Resources Commission (HRC) staff report is attached as Exhibit A. The Commission cited the
following reasons for their denial of the application; concerns about the property owner's opposition
to the listing, the overall quality of the site as a historic resource, and the fact that the designation
would not necessarily result in the long-term preservation of the property. The Commission's
decision to decline to list the property on the City's historic register has been appealed to the City
Council by a group calling itself the "Save Our Orchard Coalition" (Exhibit B).
The appeal application cites four factors that the appellants believe support the listing of the
Sexlinger property. They are as follows:
Condition of the Orange Trees - The appellants have stated that the condition of the trees on the
site has been misrepresented and that the trees are healthy and commercially viable, in contrast to
the findings of the studies contained within the TAVA Draft Environmental Impact Report (DEIR).
They provide as supporting evidence the findings of an "on-site appraisal" by Bob Knight, the
founder of the Inland Orange Conservancy. They clarified during the public hearing that they had
not gone on site to assess the trees, as the site is private property with no public access, but rather
75B-1
Appeal No. 2012-01
(HRCA No. 2012-01/HRC No. 2012-01)
May 7, 2012
Page 2
made their assessment based on a visual survey of the trees on the perimeter of the site. The
supporting letter to the appeal application states that the City has inaccurately characterized the
trees as "dead and dying" referencing the Cultural Resource Study prepared by Discovery Works.
The Archaeological section of the Discovery Works study from the DEIR presented the findings of
an on-site intensive survey stating "that many trees are in poor condition; a few trees, that appear
to receive water from the neighboring properties, are producing oranges." However, the
Historical Overview contained in the Discovery Works study includes a statement that refers to
the trees as "dead and dying." The source of this statement was Phil Brigandi, who is a noted
local historian and former Archivist for the County of Orange. He further noted that the trees,
"may have suffered from the "Quick Decline" of the 1940s and 1950s, or simply have reached
their productive lifespan, usually 30-50 years." This may refer to the current condition of the
grove, which is no longer fully planted and has many missing trees. The historical analysis
prepared by Sapphos Environmental in 1997, which is an exhibit in the DEIR, states that, "The
trees of the grove, while fallow, appear alive and still produce oranges." There have been no
specific biological assessments of the health of the trees.
The City received a letter in opposition to the listing from Dwight and Lowell Schroeder, as well
as testimony from them during the HRC public hearing. In their letter and comments at the public
hearing they stated that they believed the condition of the grove to be of poor quality and, further,
that the property lacked major features, such as a barn and irrigation system, that would have
distinguished it as a good example of a small, family citrus farm. The Schroeders based their
opinion on their family's experience of having actively cultivated small family orchards since the
1880's, as well as their own familiarity with the Sexlinger property through their long-time
residency in the neighborhood and their relationship with Martha Sexlinger, the last occupant on
the property.
The HRC considered this testimony in their decision not to list the property.
Contribution of Small, Family-based Citrus Operations - The appellants state that the City did not
give adequate consideration to the role of the "small, family-based citrus grower" in the historical
development of the citrus industry in its assessment of the historic significance of the property.
This is important in assessing the property's eligibility for the California Register of Historical
Resources (CRHR), which is also used as a CEQA threshold. Under Criteria 1 for CRHR
eligibility, a property can be considered as a historic resource if it is found to be "associated with
events that have made a significant contribution to the broad patterns of California's history and
cultural heritage." Neither of the assessments contained in the Discovery Works study or
subsequent revised Cultural Resources Analysis for the TAVA DEIR found the Sexlinger property
to be eligible for the CRHR due to its small size and lack of connection to broader, statewide
historical patterns. In contrast, the Sapphos Environmental study did state that the property
appeared to be eligible for the CRHR under Criteria 1.
75B-2
Appeal No. 2012-01
(HRCA No. 2012-01/HRC No. 2012-01)
May 7, 2012
Page 3
Following the filing of the application for appeal of the HRC's decision the City received a letter of
opposition to the appeal from the Schroeders (Exhibit C). The Schroeders again reiterated that
the property lacks many of the features necessary to have it be considered a good example of a
citrus farm and also cited many other reasons why the property should not be listed.
The action before the HRC was to make a determination of eligibility for the Santa Ana Register
of Historical Properties. The State's eligibility requirements were not a part of this assessment,
primarily because the State will not list a property against the property owner's wishes. The staff
recommendation was to consider listing under the City's Criteria 6, which relates to buildings or
structures that were connected with a business or use which was once common, but is now rare.
The recommended categorization was "Key" which refers to a building, structure, object or site
that is characteristic of a significant period in the history of the city. Some members of the HRC
noted that, while the citrus industry had played a significant role in Santa Ana's history, that the
Sexlinger property was not a particularly good example. This view is substantiated by the
Schroeder's testimony.
"Active Participation" of Landowner in Maintaining Historical Property - In deliberating the
decision to list the Sexlinger property the HRC discussed the property owner's responsibility to
rehabilitate, preserve and maintain the orchard and house in a manner that would be consistent
with its historic designation, particularly given the fact that the property owner was opposed to the
listing. Staff explained that the listing would not require the property owner to meet the Secretary
of the Interior's Standards for historic properties, but that they would need to maintain it in a
manner that ensured public safety. Staff also noted that the historic designation would not
preclude the property owner from eventually demolishing the house and grove. Section 30-7 of
the SAMC outlines a process under which a property owner, after having exhausted a variety of
alternatives for preserving the resource, can demolish the site.
Given that the listing would not ensure long term preservation or eventual demolition, the HRC
declined to list the property.
Financial Impact of Historic Preservation on Property Valuation - The Sexlinger property is currently
the subject of a proposed residential project that conforms to the current Low Density Residential
land use designation contained in the General Plan. In their letter opposing the listing, the property
owners, Lutheran High School of Orange County and Concordia University, stated that the historic
designation could reduce the potential value of the land and make the proposed project
economically infeasible, which would constitute an economic impact to them. The appellants state
that the potential for economic impacts to the property owner "should be irrelevant to the process."
While the potential for economic impacts are not listed as a criterion for consideration in the City's
historic designation standards, the potential for such impact to the property owner cannot be
dismissed. The property currently has a General Plan land use designation and zoning that are
75B-3
Appeal No. 2012-01
(HRCA No. 2012-01/HRC No. 2012-01)
May 7, 2012
Page 4
consistent with the proposed single-family residential project proposed for the site. The property
owner has asserted its right to use the property in a way that complies with City requirements and
presents an economically viable return on its asset. This was a concern for the HRC and was one
factor in their decision.
RECOMMENDATION
Since the City began listing properties on the SARHP there have been seven cases where the HRC
denied the listing based on the property owner's opposition. There were two additional cases in
which the properties were listed by the HRC against the property owner's wishes that were then
appealed to the City Council and subsequently not listed. SAMC Section 30-8 (g) states that "The
Council may, after public hearing, affirm, reverse, change, or modify the original [HRC] decision and
may make any additional determination it shall consider appropriate within the limitations imposed
by this chapter [30]." Based on the deliberation and action taken by the HRC to decline to list the
property, staff recommends that the City Council affirm the action of the HRC and deny the appeal.
FISCAL IMPACT
There is no fiscal impact associated with this action.
Trevino
Executive Director
Planning & Building Agency
HS:rb
hs\Historic Info\040512HR
Exhibit: A.
B.
C.
D.
E.
\h rca . h rc 12-01. Ap p ea I . cc
Historic Resources Commission Staff Report
Appeal Application
Dwight & Lowell Schroeder Letter
Letters of opposition
Resolution
75B-4
REQUEST FOR
Historic Resources Commission Action
HSTORIC RESOURCES COMMISSION MEETING DATE:
APRIL 5, 2012
TITLE:
PUBLIC HEARING - HISTORIC RESOURCES
COMMISSION APPLICATION NO. 2012-01
AND HISTORIC REGISTER CATEGORIZATION
NO. 2012-01 FOR THE PROPERTY LOCATED AT 1584
E. SANTA CLARA AVENUE
Prepared by Hally Soboleske
C75?1?? I e&PL "
Executive Director Planning Manager
RECOMMENDED ACTION
Adopt a resolution approving Historic Resources Commission Application No. 2012-01 and Historic
Register Categorization No. 2012-01.
Reguest of Applicant
This request is for a site, which includes a farmhouse and orange orchard, to be designated to the
Santa Ana Register of Historical Properties (Exhibit 1). The City of Santa Ana prepared this
nomination in response to public request to determine the site's historic merit.
Protect Location and Site Description
The subject property is rectangular in shape, and is located at 1584 East Santa Clara Avenue. It is
approximately five acres in size, and includes a 1,350 square foot Craftsman-style farmhouse and a
Valencia orange grove of approximately 250 trees. The site is surrounded primarily by residential land
uses with Portola Park immediately to the east. The property is zoned R1 (Single Family Residential)
with a General Plan Land Use Designation of LR-7 (Low Density Residential). It is located within the
Portola Park neighborhood. The residence was constructed in 1914 by Perry V. Grout, but was sold
shortly thereafter to George and Sophia Sexlinger. Members of the Sexiinger family resided in the
home until 2006.
Protect Background
Upon her death in 2006 Martha Sexlinger, the last member of the Sexiinger family then residing on the
property, passed ownership of the property to Concordia University Foundation and the Lutheran
Church of Orange County.
Exhibit A
i
HISTORIC
SECRETARY
APPROVED
? As Recommended
? As Amended
? Set Public Hearing For
CONTINUED TO
75B-5
HRCA No. 2012-01
HRC No. 2012-01
April 5, 2012
Page 2
In early 2007, the Historic Resources Commission requested that the Sexlinger property be
analyzed for a determination of eligibility for historic designation to the Santa Ana Register of
Historical Properties. In response, Sapphos Environmental (historic consultant for the City)
evaluated the site, and prepared a Memorandum for the Record indicating that the site was eligible
for the local historic register and potentially eligible for the California Register. This information was
offered to the Historic Resources Commission; however, it was also noted that the property
ownership was in transition, and that it was unlikely that the owner would be able to actively
participate in the nomination process. The Commission deferred nomination until such time that a
property owner could actively participate in the application.
Subsequent to this action the new property owners entered into a purchase contract with Empire
Homes. In September of 2007 a development proposal was submitted for the site by Empire
Homes for a 24-unit single-family residential project. The project also included the proposed
demolition of the Sexlinger farmhouse and removal of all remaining orange trees. The proposed
project triggered the California Environmental Quality Act, and preparation of an Environmental
Impact Report (EIR) commenced.
The 2008 Draft EIR that was prepared for the Empire Homes project by URS environmental
consultants included a cultural analysis of the site by historic sub-consultant, Discovery Works. This
analysis concluded that the site was not eligible for historic status on either the local level or the
state level. The Discovery Works report stated that the Sexlinger farmhouse was not architecturally
significant, nor the work of a master architect or builder, and small orange groves such as the
Sexlinger orchard did not play a significant role in the growth and development of Santa Ana.
Although Discovery Works did have the opportunity to review the Sapphos Memorandum for the
Record, the Discovery Works report stated that by 1910, large commercial groves, and their
subsequent development, influenced the pattern of development throughout the city, but that small
family-owned operations did not greatly affect growth patterns. Before the EIR process could be
completed, Empire Homes withdrew from the project due to a downturn in the economy. The EIR
was never publicly released.
In 2010, the TAVA Development Company took up the project. The City subsequently resumed the
EIR process with URS as consultants. TAVA Development also proposed 24 single family
residences on the site, along with the demolition of the farmhouse and orchard. The draft EIR was
released, and public concerns were raised regarding the potential historic and cultural significance
of the site. The Cultural Section of the EIR was revised to evaluate the site in great detail. A
Department of Parks and Recreation (DPR) form was created for the property which provides a
complete assessment of the site for historic, architectural, and cultural significance (Exhibit 2). This
form is used by the State of California for historic documentation.
75B-6
HRCA No. 2012-01
HRC No. 2012-01
April 5, 2012
Page 3
The DPR for the final EIR for the TAVA Development project concluded that the Sexiinger site was
eligible for inclusion on the Santa Ana Register of Historical Properties under Chapter 30 of the
Santa Ana Municipal Code (SAMC) Section 30-2, Criterion 6: "Buildings or structures that were
connected with a business or use which was once common, but is now rare" (Exhibit 3). However,
the analysis did not conclude that the property was eligible for the State or National historic
registers.
Analysis of the Issues
In March 1999, the City Council approved an ordinance establishing the Historic Resources
Commission and the Santa Ana Register of Historical Properties. The Historic Resources
Commission may, by resolution and at a noticed public hearing, designate as historical property any
building or part thereof, object, structure, or site having importance to the history or architecture of
the city in accordance with the criteria set forth in section 30-2.
Specifically the property, object, structure or site must be at least 50 years old and must meet one or
more of a set of eligibility criteria. The Sexiinger farmhouse and orchard meet the minimum
selection criteria of being 50 years or older and further meet the criteria listed under 30-2, Criterion
6, pertaining to buildings or structures that were connected with a business or use which was once
common, but is now rare. According to the Cultural Resources section of the Draft EIR prepared for
the TAVA development project, the Sexiinger property is the last intact orange grove in Santa Ana
remaining from the period of time when orange growing was the predominant business and land use
in this area JAVA Development Project; Revised Cultural Resources Section Draft Environmental
Report, p. 5; December 2011). As such, the Sexiinger property meets criteria 30-2 (a)(6).
Following the establishment of eligibility the code provides criteria for the level of categorization;
Landmark, Key or Contributive. In this case staff recommends that the property be listed in the
"Key" category based on its compliance with Section 30-2.2 (2)(b) which pertains to buildings,
structures, objects or sites that are characteristic of a significant period in the history of the city.
Orange growing was once a predominant industry and land use in Santa Ana and exemplifies an
important period in the City's history.
Although Chapter 30 of the SAMC allows for designation of resources that are connected with a
land use that was once common, but now rare, the commission has not used this finding in previous
designations. Of the more than 400 properties currently listed on the SARHP none are for sites as a
whole, but only for the structure on the site. In these cases, changes to the landscape may be
made without the need to comply with the City's standards for historic preservation because they do
not affect the structure. However, listing the Sexiinger farmhouse and orchard entails maintaining
the structures, as well as the presence of orange trees in the existing landscape design. This is an
75B-7
HRCA No. 2012-01
HRC No. 2012-01
April 5, 2012
Page 4
important distinction. The historic significance of this property is its configuration as an intact small
family orange grove containing the original orange trees and farmhouse. Adding new landscape
components, uses or structures, or changing the configuration of the site would not meet the
Secretary of the Interior's Standards for historic resources, and therefore, must remain a physical
record of the period of significance, place, and use.
Property Owner Consent
Chapter 30 of the SAMC does not require owner consent for designation to the Santa Ana Register
of Historical Properties; however, it does require that they be notified. The property owners were
notified of the proposed historic listing and have submitted a letter or protest to the listing. It is the
opinion of property owners, Concordia University Foundation and the Lutheran Church of Orange
County, that the aforementioned restrictions associated with the preservation of the historic
landscape reduces the potential value of the land (preservation rather than future development).
The property owners are opposed to the historic designation of this site. A copy of the letter is
attached as Exhibit 4 to this staff report.
Public Notification
The subject site is located within the Portola Park neighborhood. The president of this
Neighborhood Association was notified by mail 10 days prior to this public hearing, and contacted by
the case planner by telephone. Additionally, a list of people who expressed interest in the proposed
project at the site was also notified by mail.
The project site was posted with a notice advertising this public hearing, a notice was published in
the Orange County Reporter and mailed notices were sent to all property owners within 500 feet of
the project site. The property owners and applicant were also contacted by phone regarding this
action. At the time of this printing, no correspondence other than that provided by the property
owner, either written or electronic, had been received from any members of the public.
CEQA Compliance
In accordance with the California Environmental Quality Act, the recommended actions are exempt
from further review under Section 15331, Class 31 which exempts projects limited to the
preservation of historic resources in a manner consistent with the Secretary of the Interior's
Standards. A Categorical Exemption will be filed for this project.
75B-8
HRCA No. 2012-01
HRC No. 2012-01
April 5, 2012
Page 5
Conclusion
Based on the analysis provided within this report, staff recommends that the Historic Resources
Commission adopt a resolution approving Historic Resources Commission Application No. 2012-01;
and adopt a resolution approving Historic Resources Categorization No. 2012-01.
Ha y Sobo ske Sergio otz, P
Associate tanner Princip Plan r /
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WHislodc In1o1040512HRC1hrco.hrcl2-01.040512.hrc
Attachments:
Exhibit 1 - Radius Map
Exhibit 2 - Executive Summary & Template
Exhibit 3 - Applicable portion of SAMC Ch. 30
Exhibit 4 -- Letter of Opposition from Property Owner
75B-9
500' RADIUS
HRC/HRCA-2012-01
1584 E. Santa Clara Avenue
PLANNING AND BUILDING AGENCY
EXHIBIT 1
75B-10
k i Lt
EXECUTIVE SUMMARY
Sexlinger Farmhouse and Orchard
1584 East Santa Clara Avenue
Santa Ana, CA 92705
NAME Sexlinger Farmhouse and Orchard REF. NO.
ADDRESS 1584 E. Santa Clara Ave.
CITY Santa Ana ZIP 92705 ORANGE COUNTY
YEAR BUILT 1913 LOCAL REGISTER CATEGORY: Key
HISTORIC DISTRICT NIA NEIGHBORHOOD Portola Park
CALIFORNIA REGISTER CRITERIA FOR EVALUATION 5 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).
SUMMARYICONCLUSION:
The Sexlinger Farmhouse and Orchard is substantially intact as a rural/agricultural landscape with a Craftsman Bungalow
and Valencia orchard in proximity. The site as a whole portrays a significant period in Santa Ana's history, and is
associated with a business and use that was once common, but is now rare. The site is eligible for the Santa Ana
Register of Historical Properties as Key under Criterion 6.
EXPLANATION OF CODES:
• California 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
75B-11
State of Ca#fornia - The Resources Agency
DEPARTMENT OF PARKS AND RECREATION
PRIMARY RECORD
Other Listings
Review Code
PrimaryN_P-30-179880
HRI#
Trinomial
NRHP Status Code
Reviewer
Date
Page 1 of 17 *Resource Name or #. {Assigned by recorder) 1584 E. Santa Clara Avenue
Pf. Other identifier: Sexlinoer Orchard
*P2. Location: ? Not for Publication ® Unrestricted
*a. County: OrM and IP2c, He, and P2b or P2d. Attach a Location Map as necessary.)
*b. USGS 7.5' Quad r e Date 1974 T §,S- R J,• WA Y4 of WA Yo of Sec §1 B.M. MD
c. Address 1584 E. Santa Clara Ave City Santa Ana zip 7 r•
d. UTM: (Give more than one for large and/or linear resources) Zone _U, 421730 mE/ 736573 mN
e. Other Locational Data: (e.g., parcel #, directions to resource, elevation, etc., as appropriate)
AM: 396-052.43 and 396.052.44. The specific project location is bounded roughly by East Santa Clara Avenue to the north, Portola Park on
the east, East Avalon Avenue on the south, and Concord Street on the west.
We. Description: (Describe resource and its major elements. Include design, materials, condition, alterations, size, setting, and
boundaries)
This property was previously recorded In 2008, and assigned P-30-179880. The 5-acre property Is an historic-age orchard landscape of which
the major features include the remnants of a Valencia orange orchard, a residence, and a garage (McClelland et al. 1989, Revised 1999:15-18;
Dolan 2009:180). The land has been historically used as an orange orchard since c.1913, when it was likely planted by Perry Grout, and as the
Sexiinger family's residence and orchard from 1914 to 2006. The boundary of the landscape is demarcated by the boundaries of the 5-acre
parcel occupied by the Sextinger family for 90 years. The landscape's spatial organization Is very simple with only two clusters of land uses:
residential (the residence and garage) at the northwest corner of the parcel adjacent to a main thoroughfare, Santa Clara Avenue, and the
orchard that fills the remaining northeast portion of the parcel.
SEE CONTINUATION SHEET
P3b. Resource Attributes: (List attributes and codes)
Orchard Landscape - HP 33
*P4. Resources Present. ®Building ?Structure
?Object ?Site ?District ?Element of District
MOther llsolates, etc.) Orchard Landscape
P5b. Description of Photo: (view, date, accession #) View
of Orchard, November 2011
*P6. Date Constructed/Age and Source. ®Historic
?Prehistoric ?Both
c.1913 (orchard), 1914 (residence) (per Heumann and Howell-
Adila 2007 and Padon and Marvin 2008)
*P7. Owner and Address.
Eli e
*P8. Recorded by. (Name, affiliation, and address)
URS Corporation
*P9. Date Recorded: December 2011
*P10. Survey Types (Describe) Desldoplnveslipation
*P11. Report Citation:
(Cite survey report and other sources, or enter "none.") Supplemental Technical Memorandum -Cultural Resources, Eligibility Assessment of
1584E Santa Clara Ave Santa Ana California TAVA Development Company Proiect December 2011
*Attachments. ?NONE ?Location Map OContinuation Sheet OBuifding, Structure, and Object Record ?Archaeological
DPR 623A (1195) 75B-12 e 2 of 5 *Required Information
4225 Executive Sauare, Suite 1600
San Diego. CA. 92037
page 3 of 5
DPR 523A (1195) 75B-1 3 •Requlred Information
Record _?District Record ?Linear Feature Record [Milling Station Record Mock Art Record CJArtifact Record
OPhotograph Record _DOther (List):
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Exercepts of Chapter 30 of the Santa Ana Municipal Code
Sec. 30-2. Criteria for selection.
(a) Any person or group may request a building, or part thereof, structure, object or site, to
be designated to be included on the city register of historical properties (called "register" in this
section). The applicant must submit documentation that demonstrates how the nominated building,
structure, object or site satisfies the criteria for designation. A building, structure, object, or site may
be designated for inclusion on the register if the building, structure, object or site is fifty (50) or more
years old and if the commission finds that one (1) or more of the following conditions are met:
(1) Buildings, structures or objects with distinguishing characteristics of an architectural
style or period, that exemplify a particular architectural style or design features;
(2) Works of notable architects, builders, or designers whose style influenced architectural
development;
(3) Rare buildings, structures, or objects or original designs;
(4) Buildings, structures, objects or sites of historical significance which include places:
a. Where important events occurred;
b. Associated with famous people, original settlers, renowned organizations and
businesses;
C. Which were originally present when the city was founded; or
d. That served as important centers for political, social, economic, or cultural
activity.
(5) Sites of archaeological importance;
(6) Buildings or structures that were connected with a business or use which was once
common, but is now rare.
(b) The owner of a property(s) must be notified of its nomination upon receipt of an
application by the planning and building agency. Upon adoption and placement of the property on the
register, the resolution of designation shall be recorded with the county recorder's office pursuant to
California Public Resources Code section 5029, as it may be amended from time to time.
(Ord. No. NS-1519, § 1, 3-17-80; Ord. No. NS-2338, § 3, 12-1-97; Ord. No. NS-2455, § 4, 12-4-00; Ord.
No. NS-2521, § 5, 1-21-03)
EXHIBIT 3
Page 1 of 2
75B-16
Sec. 30-2.1. Criteria for selection; exceptions.
A building, structure, object or site less than fifty (50) years old may be nominated provided
that it can be proven to be of exceptional significance as outlined in subsections 30-2(a)(1)--(6).
(Ord. No. NS-2338, § 4, 12-1-97; Ord. No. NS-2455, § 5, 12-4-00; Ord. No. NS-2521, § 6, 1-21-03)
Sec. 30-2.2. Categorization.
The historic resources commission shall, by resolution and at a duly noticed public hearing,
place all buildings, structures, objects, or sites on the city register of historical properties in one (1) of
the following categories based upon the criteria for each category:
(1) Landmark category.
The building, structure, object or site is on the national register or appears to be
eligible to be placed on the register; or
b. The building, structure, object or site is on the state register or appears to be
eligible to be placed on the register; or
c. The building, structure, object or site has an historical/cultural significance to the
city; or
d. The building, structure, object or site has a unique architectural significance.
(2) Key category.
The building, structure, object or site has a distinctive architectural style and
quality; or
b. The building, structure, object or site is characteristic of a significant period in
the history of the city; or
c. The building, structure, object or site is associated with a significant person or
event in the city.
(3) Contributive category. The building, structure, object or site contributes to the overall
character and history of a neighborhood or district and is a good example of period
architecture.
The historic resources commission may after a duly noticed public hearing revise, or modify any
such categorization upon reconsideration of the historical or architectural importance of the places
therein described.
(Ord. No. NS-2417, § 1, 1-18-00; Ord. No. NS-2455, § 6,12-4-00; Ord. No. NS-2521, § 7,1-21-03)
Page 2 of 2
75B-17
March 21, 2012
Ms. Karen Haluza, A1CP
Planning Manager
City of Santa Ana
Plaluvng and Building Agency *M20
Post Office Box 1988
Santa Ana, CA 92702
RE: Sexlinger Property -- Voluntary Listing
Dear Ms. Holum
CONCCORDIA
+1FlEVE;tt?,lil'
The undersigned are representatives of Lutheran High School of Orange County and Concordia
University Irvine, the current owners of the property referenced above. Both institutions were
formed years ago as religious, non-profit, corporations. Although we are separate, we are both
Lutheran Church - Missouri Synod educational institutions with the shared mission of spreading
the gospel message of salvation by grace, through faith in Jesus Christ, We write this letter
because we oppose the listing of the property ns a historical resource property.
There are several reasons why we - as the current owners - oppose this action. First and
foremost, however, we ask that you consider the desires of the fanner owner of the property, our
Christian sister Mrs. Martha Sexlinger.
During her life here on earth, Mrs. Sexlinger was a friend and supporter of both of our
organizations. She lived on the property and operated the orchard. As she drew closer to the end
of her life, she could have chosen to seek a historical resource property listing for her home and
orchard. She could have sold the property to an agricultural enterprise, or even gifted it to the
City for park or educational purposes. However, she chose to gift the property to us - knowing
that her property was not close enough to either of our campuses to be of direct use to us, and
knowing faurther that neither of us offers educational programs that could make use of an orchard.
The obvious purpose of Mrs. Sexlinger's gift to us was (and is) to have us sell the property to
provide funds for our ongoing mission.
As stewards of her gift, therefore, we have entertained offers to sell Mrs. Sexlinger's property.
We have discovered through conversations with the City that the use of a commercial orchard is
not in conformance with the General Plan designation and zoning for the site. Rather, the
property is zoned for residential housing. Consequently, we have submitted a proposed
subdivision plan that is in compliance with the General Plan, zoning and subdivision ordinance.
Developing Me, honorable, and W ivatud Citizens MAIOC-C-d.'A'."1 •..,1154.8002+n ...i.cd,,.:
1"i'w. Ca mAia i,,224.120e-u
92612.32113 t
EXHIBIT 4
75Es 11"H
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We have been processing a plats to subdivide and develop residential housing on the property for
over lour years. During that process, many consultants and interested citizens have offered
opinions on environmental, cultural and economic matters related to our proposed development
plan. Your committee, the City Planning Commission and, ultimately, the City Council will be
required to consider that input and make specific findings regarding our proposal.
Should you decide to ignore Mrs. Sexlinger's wishes and reconmiend the listing of the property
as a historical resource property, we ask you to consider the certain result of such action. If the
property were to be listed, it would need to remain as a residential home and home-owner
operated orchard (commercial operation of the orchard is not allowed under the current zoning).
Because it is not economically feasible to operate the orchard, and because the current home is in
a dilapidated condition, it is very unlikely that we will receive any economically feasible offers
to purchase the property. We would have very few options left, and it is likely that the property
would remain in its abandoned state for some time.
We have been informed that three consultants have reviewed the property to offer their
recommendation as to whether the criteria for listing can even be achieved. We understand that
two consultants believe that one criterion for listing might be inel. However, one of the
consultants has specifically opined that the property does not meet any of the criteria, and that
the property does not qualify for listing.
As we are sure you are well aware, there are laws that protect religious institutions like ours
when goveriunent regulations take away it property's economic vahie. 'ilrere is evidence in the
record before you that supports a decision not to list this property. Moreover, because the former
owner of the property had no desire to force the perpetual use of (he property as an orchard, and
because the current owners have no inclination or desire to continue that use on (lie properly, we
ask that you recommend that the property not be listed.
Sincerely,
t)
Gregg Pinick
Executive Director
Lutheran High School of Orange County
Kevin Tilden
Executive Vice President of Finance
and Chief Financial Officer
Concordia University Irvine
7515`49
75B-20
Planning and Building Agency
Planning Division
20 Civic Center Plaza
P.O. Box 1080 (M-20)
Santa Ana, CA 92702
(714) 647-5004
APPEAL APPLICATION
1. OWNER/APPLICANT
Applicant
Save Our Orchard Coalition
Full name of Person, Firm, or Corporation (714 ) 296-4642
P.O. Box 10038 U211
Mailing Address Area Code Phone No.
Legal Owner Name: Concordia University Irvine
Legal Owner Address: 1530 Concordia West, Irvine, CA 92612
Orange Lutheran High School, 2222 Santiago Blvd. Orange, CA 92867
Phone No.: (949 ) 854-8002
II. PROPERTY INFORMATION
Land Use Agriculture
(714) 998-5151 Fax: (
R1
LR
Existing Land Use of Properly and/or Building Zoning District General Plan Designation
Location 1584 E. Santa Clara venue Tustin Avenue
Street Address Name of Nearest Intersecting Street
SEE REVERSE SIDE FOR SUBMITTAL REQUIREMENTS
Ill. REASON FOR REQUEST
In the following provided space, please clearly specify and explain the error(s) of decision or
requirement upon which you are basing this appeal. (if additional space is needed, please attach
additional comments to the back of this application.)
We are formally challenging the decision of the Santa Ana Historic Resources
Commission that denied the listing of the Sexlinger Orange Orchard Complex
on the Santa Ana Register of Historical Properties. The following details our
challenge.
Please see attachment for our detailed argument.
Applicant's
APPEAL APPLICATION NO
cmkntr-frmlappeal
Lfoo Exhibit B
75B-21
hate: (I
SAVE OUR ORCHARD COALITION
P.O. Box 10038, Santa Ana, CA 92711-0038
April 16, 2012
Hally Soboleske, Associate Planner
Santa Ana Planning & Building Agency
20 Civic Center Plaza,.Ross Annex
Santa Ana, CA 92702
RE: Historic Resources Commission Application No. 2012-01
Historic Register Categorization No. 2012-01
For the property located at 1584 E. Santa Clara Avenue
Dear Ms. Soboleske,
We are formally challenging the decision of the Santa Ana Historic Resources
Commission that denied the listing of the Sexlinger Orange Orchard Complex on the
Santa Ana Register of Historical Properties, The following details our challenge.
The five-acre property, known locally as the Sexlinger Orange Orchard, Is one of only a
handful of heritage orchards remaining in the County of Orange, according to the OC
Weekly (June 24-30, 2011; Vol. 16, No. 43, pp.56-57). And, of the listed properties, the
Sexlinger example is the only orchard that is intact and not a remnant of its original size
and composition. This orchard complex, consisting of 230 mature, productive Valencia
orange trees and the original residence occupied continuously by the Sexlinger family
for 92 years, is the sole remaining archetypal representative of this important historical
era in our community.
The Sexlinger orchard complex possesses three crucial elements imbedded in any
formal evaluation of historical significance: Integrity, uniqueness, and
representativeness of the resource. The contextual integrity of the property is
established through the association between linked features, elements, or activities; in
this case, the presence of a heritage orchard (230 trees), original acreage (1913),
original family residence (1914), and continuous family occupancy for nearly a century
(92 years). This resource is undoubtedly worthy of our protection and preservation.
The city of Santa Ana, in its recommendation that the Historic Resources Commission
"adopt a resolution approving the Historic Resources Commission Application No.
2012.01 and Historic Register Categorization No. 2012-01," has recognized the
historical significance of the property. This view is explicitly expressed in the historical
property's nomination "Executive Summary," (pursuant to Chapter 30 of the City's
Municipal Code):
Preserving History & Heritage
Promoting Edimition & Health
Producing Food & lobs
www, s ave o n ro rc l i a rti . o rg
defendourorcharti ftmail.com
www.facebook.com/saveourorchard
75B-22
"The Sexlinger Farmhouse and Orchard is substantially intact as a rural/agricultural
landscape with a Craftsman Bungalow and Valencia orchard in proximity. The site as
a whole portray's a significant period in Santa Ana's history, and Is associated with a
business and use that was once common, but Is now rare. The site is eligible for the
Santa Ana Register of Historical Properties as Key under under criterion 6."
It should not be overlooked that whereas all previous listings on the city's Register of
Historical Properties (excluding local historic districts) are for single buildings or
structures, the 2012-01 recommendation acknowledges the importance of contextual
and associational factors in ascribing "significance" to historical properties by
nominating both the "Sexlinger Farmhouse and Orchard, " and, thereby, would establish
a precedent for more inclusive consideration of historic status in the future.
Although the Save Our Orchard Coalition was pleased the city chose to recommend
adoption of resolution HRCA No. 2012-01 /HRC No. 2012-01, we were nonetheless
dismayed with the tone of the oral argument made by the city before the Historic
Resources Commission. The presentation itself came across as apologetic and
dismissive. It Identified and emphasized weaknesses of historic status determination
made In earlier drafts of the TAVA-EIR which had subsequently been challenged and/or
revised in later versions of the document. Specifically, reference was made to poor
condition of the orchard and insignificance of small-family orchard operations to the
overall regional citrus industry. Both characterizations have been demonstrated to be
factually incorrect, either through expert testimony or re-Interpretation of the EIR
consultant's own data. As a result, we feel the case for adopting the resolution for listing
the Sexiinger Orange Orchard on the city's Register of Historical Properties was
weakened from the outset.
Our appeal of the HRC denial of the resolution begins with the tenor and attitude
reflected above. The following factors -- each, and in combination -- we believe may
have, inappropriately (and in error), contributed to the decision to deny "historical
properties" status.
1. Condition of Orange Trees:
The characterization of the orange trees as "dead and dying" has persisted since 2008
when the Discovery Works, Inc. "Cultural Resource Study" was drafted in response to
the Empire Homes, Inc. proposed housing project. SOOC has consistently challenged
this inaccurate and misleading assessment with current photographs of the orchard,
invitations for public viewing of the orchard, and through on-site appraisal by regionally-
recognized citrus experts. Bob Knight, owner-operator of Old Grove Orange in Mentone,
California and Founder and Coordinator of the Inland Orange Conservancy, a fourth
generation southern California citrus grower, has observed the Sexlinger Orange
Orchard to be in overall "good condition" despite years of neglect (i.e., lack of irrigation,
pruning, etc.). Mr. Knight further suggests the orchard is "commercial grade" -- capable
of being profitably operated. (Testimony contrary to this evidence was given before the
HRC by Lowell and Dwight Schroeder, two brothers who live close to the Sexlinger
property and, also, were small-scale commercial citrus growers.)
Preserving Ilistory & Heritage Promoting Education & Health Promoting Food & lobs
75B-23
2. Contribution of Small, Family-based Citrus Operations:
The dismissal of small, family-based citrus growers as having any significance in the
local citrus industry has plagued the historical assessment of the Sexiinger property
ever since the release of the Discovery Works, Inc. "Cultural Resource Study" (2008).
SOOC, and others, have challenged this erroneous misinterpretation using the EIR
consultant's own data. In contrast, it would seem small family-based citrus farms were
the core of the local industry: more than 96% of the county's citrus growers had farms of
less than 20 acres each, yet produced upwards of 72% of citrus revenues - ca. 1930
(TAVA-DEIR, Section 5.4.3, pp. 5-26). Additionally, the California Fruit Growers
Exchange (later to become "Sunkist") was founded in 1892, specifically, to facilitate the
marketing of local citrus crops in southern California by providing picking, packing, and
shipping services to the burgeoning numbers of family growers.
3. "Active Participation" of Landowner in Maintaining Historical Property:
The commission expressed concern that if the Sexiinger orchard complex were listed as
a city historical property it may be subject to "willful neglect" on the part of the
landowner, since both Concordia University Irvine and Orange Lutheran High School
formally expressed opposition to historical listing of the property. The Issue being that
although "active participation" is desired there is nothing compelling maintenance or
upkeep on the part of the property owner -- thereby, resulting in continued degradation
of the resource. Albeit understandable to consider this issue as relevant to the long-term
success of the property, it Is not a requirement for nomination, or listing: Chapter 30_of
the Santa Ana Municipal Code does not require owner consent for designation to the
Santa Ana Register of Historical Properties.
And, furthermore, if "willful neglect" is in evidence the city has other avenues it can
pursue to ensure owner upkeep of the property, including code enforcement measures
which have been in force at the subject property for years (e.g., weed abatement). If the
issue of "willful neglect" or purposeful destruction were to become an overriding concern
the city could follow the recommendations issued for demolition of historic properties.
SAMC-Chapter 30, Section 30-7 states that in cases of "Intent to demolish an historic
property ... the commission shall investigate all feasible alternatives to demolition" by
seeking buyers for the property, including city purchase when feasible.
4. Financial Impact of Historic Preservation on Property Valuation;
A number of comments were made, and questions asked, by the commissioners
reflecting a concern for the property rights of the owners. The city's recommendation
indicates both Lutheran schools "... are opposed to the historic designation of this site"
on the grounds that ".., preservation of the historic landscape reduces the potential
value of the land" (vis-a-vis development). The schools argue "... it is not economically
feasible to operate the orchard ..." siting current zoning and General Plan designation
which does not allow commercial operation of the orchard. And, as a result, "_ it is very
unlikely that we will receive any economically feasible offers to purchase the property."
It's clear the schools view the Sexiinger Orchard and Farmhouse as an endowment for
their institutions, and It is equally clear that some commission members are sympathetic
Preserving history & Iferitage Promoting Education & Health PrOFTIO ing F0041 & JOWS
75B-24
to this claim, Two commissioners bemoaned the difficult financial position in which many
private schools currently find themselves, Be that as It may, financial need is not a
criterion for, or against, eligibility, nomination, or listing as a historical property. Frankly,
this concern should be irrelevant to the process.
It is the contention of the Save Our Orchard Coalition that each of the issues outlined
above did contribute inappropriately and/or erroneously to the Historic Resource's
Commission decision to deny the resolution approving the listing of the Sexlinger
Farmhouse and Orange Orchard to the Santa Ana Register of Historical Properties. We
respectfully ask the Santa Ana City Council to reverse this denial,
Sincerely,
Nick Spain eannie Gillett
Senior Advisor Coordinator
Save Our Orchard Coalition Save Our Orchard Coalition
Preserving Ili§toty & llerit"90 ProMotir?g Fdllci tion & Iteallb Promoting Food Cis gobs
75B-25
75B-26
Letter of Support
Exhibit C
75B-27
Dwight & Lowell Schroeder
2332 Old Grand Street
Santa Ana, CA 92705-6963
714-547-3104
April 24, 2012
City Council, City of Santa Ana, CA.
City of Santa Ana Planning and Building Agency.
RE: Appeal Application No. 2012-1
Santa Ana Historic Resources Commission denial of listing of the Sexlinger Orange Orchard
Complex on the Santa Ana Register of Historical Properties.
We wish to rebut the allegations of the Save Our Orchard Coalition (SOOC) in their Appeal
Application dated April 16, 2012. We further urge the denial of the appeal and also urge the
confirmation of the April 5, 2012 decision of the Santa Ana Historic Resources Commission to
reject Application No. 2012-01 and Historic Register Categorization No. 2012-01.
The appellant described the orange orchard as "intact" of its original composition. In fact, the
original grove consisted of about 420 orange trees, of which about 230 are remaining, a loss of
about 45%. The appellant also feels that the arguments made on April 5 in favor of the proposal
were weak. However the majority of persons making comments were in favor of approval
The appellant also listed several factors which it believes may have contributed to the decision
to deny "historical properties" status. These are:
1. Condition of Orange Trees. Because of our lifelong experience with the orange
growing business, we feel that we can offer a valid opinion about the present condition of the
trees remaining on the Sexlinger property. My brother and I are 86 and 87 years of age and
have lived in the immediate area of the subject property for all of those years except for some
time in the US Navy and while away at school. Our grandfather arrived in Santa Ana in 1880 and
purchased 25 acres of farm land along Santa Clara Avenue from Lincoln Ave. to Old Grand
Street. As we were growing up on this farm it was devoted to production of oranges and
walnuts. We participated in all of the typical farming operations such as irrigation, fertilization,
cultivation with a tractor and hoeing weeds. We are familiar with the pest control methods,
picking of the fruit and marketing by the Santiago Orange Growers Association. In 1946 and
1954, we each built our current homes on part of the original family farm along Old Grand
Street. We continue to irrigate and maintain about 100 orange trees and 30 avocado trees
adjacent to our homes. The Sexlingers were friends and neighbors of our family. In recent years
we have helped Martha Sexlinger with some issues of pest control and other items on her
property. Despite valiant efforts by Martha, the grove fell into decline. This was largely due to
the loss of irrigation water about 1974 when Santa Ana Valley Irrigation Company ceased
operation.
75B-28
It is our opinion that the present condition of the grove does not provide a valid
representation of a typical historic orange growing operation. Old time growers would find such
a designation as ludicrous.
2. Contribution of Small, Family-based Citrus Operations. We do not dismiss the small,
family-based citrus growers as being important in the citrus industry. Our original farm of 25
acres was a small family-based operation. We do not know the statistics of orange groves in
the northeast area of Santa Ana, but we doubt that there were any operations larger than 40
acres; all were owned by families. The main characteristic for farms of about 5 acres is the lack
of onsite equipment and tools of production. These include barns to house horses or tractors
and the various cultivation tools such as, discs, harrows, and furrowing equipment. The small
farms would contract with neighbors or others for this work.
3. "Active Participation" of Landowner in Maintaining Historical Property. It is correct
that the Municipal Code does not require owner consent for designation to the Register of
Historical Properties. However, such a designation does have consequences. It would be a
dereliction to ignore these consequences. SOOC suggests that the city could use code
enforcement measures to ensure owner upkeep of the property. This in effect is to force the
owner to operate what essentially is a business and to engage in commerce. The entire historic
reason for having an orange grove was to engage in a profitable enterprise. No attempt has
been made to develop a cost analysis of how to restore and to operate this 5 acre area as a
productive orange grove. How would the fruit be processed and marketed? It seems highly
doubtful that any city or governmental agency has the power to force anyone to make annual
expenditures in a business venture that has virtually no prospect of having a market. It is fairly
obvious that the "Active Participation" and "willful neglect" factors were intended to apply to a
fixed structure such as a home or office building. These structures have relatively small annual
expenses. An orange grove of 430 trees has major annual expenses for irrigation water and
other costs without prospect of offsetting income. Irrigation water would come from the
domestic water system of the City of Santa Ana. Would irrigation water be cut off in event of a
water shortage?
4. Financial Impact of Historic Preservation of Property Valuation. No one has suggested
that the preservation of this property as an historic site can increase the market value of the
property. it should be obvious that such a designation makes it much more difficult for the
owner to pursue an alternative use of the property that provides a fair market value for the
property. It is understood that the counsel to the Historic Resources Commission indicated that
a land owner of property designated as historic could still convert the property to other uses.
The designation is recognized as being an impediment to processing the change.
It is instructive to review the "Save Our Orchard Coalition Mission and Goals" which are
available on the internet. The Goals are:
"1. Stop the proposed 24-unit housing development at our historic orchard.
2. Acquire the five-acre orchard from the current owners-Concordia University Irvine
and Orange Lutheran High School, Orange.
75B-29
3. Secure ongoing financial support to rehabilitate and maintain the existing orchard &
farmhouse and develop additional facilities as part of the Sexlinger Center for Urban
Agriculture."
The first goal represents the initial reaction of some residents in the area who want to stop
further development of the type they have enjoyed. This opposition then morphed into the
SOOC. The second goal is admirable and could be supported, but only if the funds are from
private persons and not public funds. The third goal is also similar to the second in context.
It is further instructive to examine the plot plan of the redevelopment of the 5 acres proposed
by SOOC. This is attached as Exhibit 1 for reference. This proposes the removal of all of the
existing trees and replacement with about 130 trees in about 5 separated locations. The
existing home would be moved to a new location and two new structures provided. There
would also be 16 parking spaces. It also should be noted that should SOOC acquire ownership
of this property, a prior designation of the site as historic might impede the major changes
contemplated, whereas, the lack of the designation would not impede any probable use by
SOOC. Who would control the use of the community gardens to insure that discrimination does
not occur?
It is offensive and definitely misleading for SOOC to use the term "Our Orchard". SOOC has no
ownership interest in this property. Goals 1 and 2 of SOOC illustrate this improper usage. Goal 1
says "our historic orchard" while Goal 2 refers to "the current owners- Concordia University
". Reference to "additional facilities as part of the Sexlinger Center for Urban Agriculture"
gives a false impression that such an organization is now in existence.
You should not make any decision regarding this property without giving consideration to the
wishes of the Sexlinger family for the disposition of the property. The family was dedicated to
and loved their church. It was customary for that generation to make significant bequests to
their church. Martha and her family knew full well that this meant conversion of their property
into something other than production of oranges.
Dwight and Lowell Schroeder.
Attachment: Exhibit 1. Proposed plot plan.
75B-30
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75B-31
75B-32
Letters of opposition
Exhibit D
75B-33
STATE OF CALIFORNIA -THE NATURAL RESOURCES AGENCY
Edmund G. Brown, JR., Govemor
OFFICE OF HISTORIC PRESERVATION
DEPARTMENT OF PARKS AND RECREATION
1725 23rd Street Suite 100
SACRAMENTO, CA 94296-0001
(916) 445-7000 Fax: (916) 445-7053
calshpo@parks.ca.gov
April 30, 2012
Mayor Miguel Pulido and City Council
City of Santa Ana
P.O. Box 1988, M-31 .
Santa Ana, CA 92701
RE: Sexlinger Orchard and Farmhouse National Register Eligibility
Honorable Mayor Pulido and Council Members:
The Office of Historic Preservation has recently received draft National Register of
Historic Places forms and photographs for the Sexlinger Orange Orchard and
Farmhouse in Santa Ana. Based on our preliminary review of the documentation we
find the Sexlinger Orange Orchard and Farmhouse eligible for listing in the National
Register of Historic Places as well as the California Register of Historical Resources.
The Sexlinger Orange Orchard and Farmhouse is a rare, intact example of a historic
citrus farm in a region of the state where the rapid pace of growth continually threatens
the last vestiges of its rich agricultural history. This five-acre orchard, purchased in 1913
and occupied continuously by the. Sexlinger family for 92 years, represents a period in
history when small-scale citrus growers and modest family farms were one of the most
important businesses driving southern California's economy and culture. The Sexlinger
Orange Orchard and Farmhouse retains a high degree of historical integrity for listing in
the National Register of Historic Places under Criterion A (Association with important
events) and Criterion C (Embodies the distinctive characteristics of a type, period, or
method of construction).
I support and encourage all efforts to preserve this tangible link to Santa Ana's rise as a
commercial and civic center that served the regional citrus industry. If you have further
questions, please contact Jay Correia, Supervisor of the National Register Unit, at (916)
445-7008 or icorra-)-parks. ca.aov.
Sin a el ,
-,c,,,- v.A
Milford Wayne onaldson, FAIA
State Historic P servation Officer
75B-34
Mitre-Ramirez, Norma
From: Huizar, Maria
Sent: Monday, April 30, 2012 10:07 PM
To: Trevino, Jay; Mitre-Ramirez, Norma
Subject: Fw: Sexlinger House and Orchard Hearing
Another letter for agenda packet.
From: Stephen Manning <smanning@gmail.com>
To: Huizar, Maria
Cc: jeannie@saveourorchard.org <jeannie@saveourorchard.org>; Jeff Dickman <dickmanaj@att.net>
Sent: Mon Apr 30 21:32:27 2012
Subject: Sexlinger House and Orchard Hearing
Dear Mayor and Council,
Before you, there is a decision that is literally, of historic importance. One of the great things about our City, is
it's history, we've come to be known for historic buildings and architectures that draw people to our city to take
in the rare historic experience that only exists here, in the heart of Orange County. This history that tells the
story of how our aptly named County of Orange got it's start, the citrus industry and properties like the
Sexlinger House and Orchard are vital parts of that history.
Without the Sexlinger House and Orchard, our city and county lose a vital piece of the story that began a rich
history that is still being made today. Please consider adding this historically important property to our Register
of Historic Properties.
Thank you for considering the historic importance of our community to not only us, but those who look to us to
tell the story throughout the County, State and Country.
Kind Regards,
Stephen Manning
1
75B-35
Mitre-Ramirez, Norma
From: Huizar, Maria
Sent: Tuesday, May 01, 2012 10:51 AM
To: Trevino, Jay
Cc: Mitre-Ramirez, Norma
Subject: FW: Sexlinger House and Orchard
And yet another letter....
From: Sylvia Salenius [mailto:bykrbind@yahoo.com]
Sent: Tuesday, May 01, 2012 10:38 AM
To: Huizar, Maria
Cc: smsalenius@aol.com
Subject: Sexlinger House and Orchard
Honorable Mayor Pulido and Members of the Santa Ana City Council
Too many of our city's young people and new residents, even long time residents for that
matter, have no idea of the agricultural history of Santa Ana. It would be a shame not to
protect that history to share with our citizens. I, therefore, respectfully request the Santa Ana
City Council add the historic Sexlinger House and Orange Orchard to the City's Register of
Historic Properties, so future generations of Santa Ana residents can learn about the history of
the City through this last example of the once thriving citrus industry.
The nearly 100 year-old farm house and orchard qualify for addition to the City's Register
since it represents a business that was once common. The house and orchard are on its
original site adjoining the City's Portola Park. The house is in good condition and the orchard
continues to produce fruit.
Both the house and orchard are an excellent example of a small-scale farm that once provided
citrus to the rest of the nation. Thank you in advance for your thoughtful consideration of this
request. It is one I trust you will be able to wholeheartedly support.
Yours Truly,
Sylvia M. Salenius
919 N. Olive St.
Santa Ana, CA 92703
1
75B-36
Mitre-Ramirez, Norma
From: Huizar, Maria
Sent: Tuesday, May 01, 2012 4:18 PM
To: Trevino, Jay
Cc: Mitre-Ramirez, Norma
Subject: FW: Sexlinger Property
Another one just received.
From: dihard@aol.com [mailto:dihard@aol.com]
Sent: Tuesday, May 01, 2012 3:48 PM
To: Huizar, Maria
Cc: jeannie@saveourorchard.org
Subject: Sexlinger Property
Honorable Mayor Pulido and Members of the Santa Ana City Council:
It is my undertanding that it has been recommended by some members of the City's Historic
Resources Commission that the Sexlinger property on Santa Clara be added to the City's Register
of Historic Properties. As a resident of the area around this property, I feel it would be in the best
interest of all concerned that this remain undeveloped. I can understand both sides of the argument
but in certain instances, local government must take a stand, not just for individual rights of
ownership and money, but for more intangible reasons.
I respectfully request the Santa Ana City Council add the historic Sexlinger House and Orange
Orchard to the City's Register of Historic Properties, so future generations of Santa Ana residents
can learn about the history of the City through this last example of the once thriving citrus
industry. The nearly 100 year-old farm house and orchard qualify for addition to the City's
Register since it represents a business that was once common. The house and orchard are on its
original site adjoining the City's Portola Park. The house is in good condition and the orchard
continues to produce fruit. Both the house and orchard are an excellent example of a small-scale
farm that once provided citrus to the rest of the nation.
We must preserve history for all Santa Ana residents to have a thorough understanding of the
agricultural roots of this county. Only then can we appreciate the present. Thank you in advance
for your consideration of this request.
Yours truly,
Diana Hardy
Mereith Parkwood Neighborhood Association
1
75B-37
Mitre-Ramirez, Norma
From: Huizar, Maria
Sent: Tuesday, May 01, 2012 4:24 PM
To: Trevino, Jay
Cc: Mitre-Ramirez, Norma
Subject: FW: Please save these structures/heritage
I think I sent this one already, but wasn't sure.
From: Cherie Kerr [mailto:cherie_kerr@kerrpr-execuprov.com]
Sent: Tuesday, May 01, 2012 8:27 AM
To: mhuizar@santa-ana.org.; jeannie@saveourorchard.org
Subject: Please save these structures/ heritage
Honorable Mayor Pulido and Members of the Santa Ana City Council
I respectfully request the Santa Ana City Council add the historic Sexlinger House and Orange
Orchard to the City's Register of Historic Properties, so future generations of Santa Ana
residents can learn about the history of the City through this last example of the once thriving
citrus industrv.
The nearly 100 year-old farm house and orchard qualify for addition to the City's Register since it
represents a business that was once common.
The house and orchard are on its original site adjoining the City's Portola Park. The house is in
good condition and the orchard continues to produce fruit. Both the house and orchard are an
excellent example of a small-scale farm that once provided citrus to the rest of the nation. Thank
you in advance for your consideration of this request.
support.
Yours Truly,
Cherie Kerr
Kerr PR
ExecuProv
DePietro Performance Center
809 N. Main Street
Santa Ana, CA 92701
P: 714 550-9900
F: 714 550-0825
cherie@kerrpr-execuprov.com
1
75B-38
Mitre-Ramirez, Norma
From: Huizar, Maria
Sent: Wednesday, May 02, 2012 6:47 AM
To: Trevino, Jay
Cc: Mitre-Ramirez, Norma
Subject: Fw: Sexlinger House and Orchard
Another letter from Jeff Dickman.
From: dickmanaj@att.net <dickmanaj@att.net>
To: Huizar, Maria
Cc: Jeannie <jeannie@saveourorchard.org>; FrenchPark@yahoogroups.com <FrenchPark@yahoogroups.com>; Nick
Spain <defendourorchard@gmail.com>
Sent: Tue May 01 22:44:49 2012
Subject: Sexlinger House and Orchard
Good evening Maria, would you provide a copy of this email to the City Council for the Monday,
May 7, 2012 meeting? Thank you in advance for you help.
Jeff Dickman
Honorable Mayor Pulido and Members of the Santa Ana City Council
The historic Sexlinger House and Orange Orchard are truly the last intact example of a farm house
and citrus orchard in the City of Santa Ana. I ask for your help to add the house, and its
accompanying orchard, to the City's Register of Historic Properties. The house and
orchard qualify for addition to the City's Register under Criterion #6, because it represents a
business that was once common.
Recently I spoke at the Historic Resources Commission on this same subject. At that time I noted
that we often preserve grand homes because of their distinctive architecture and the live-styles of
the people who resided in them. By doing this we often neglect the homes and businesses of the
common person, and the role they played in the development of the City.
Small-scale citrus growers, like the Sexlingers, not only contributed to the local economy, they also
supplied fruit to larger growers for shipment to areas well beyond Orange County.
Without your help, the Sexlinger house and orchard will be razed and replaced with tightly packed,
single-family homes. If the house and orchard are added to the City's Register their significance
will, at the very least, be finally recognized. Recognition is also an important first step to possibly
purchasing the land to preserve the house and orchard for future generations to visit and enjoy.
Thank you in advance for your consideration of this request. Should have any questions, I can be
reached at (714) 240-0883.
Jeff Dickman
1218 N. French
75B-39
May 01 12 10:13p Ed & Janice Lawlor 714-547-2131 p.1
To: ? Maria Huizar 714-647-6956
In reference to the Sexlinger House and Orchard Hearing, we would like to make
our support for the Save Our Orchard Coalition known to the City Council. As
resi ents that will be adversely affected by the construction of homes on this
pro erty, we strongly oppose this plan, and are strongly in favor of including this
location in the City's Register of Historic Properties.
Respectfully,
Roger E & Janice J Lawlor
152 : E Avalon Ave
San a Ana, CA 92705
75B-40
Honorable Mayor Pulido and Members of the Santa Ana City Council
I respectfully request the Santa Ana City Council add the historic Sexiinger House and Orange Orchard to
the City's Register of Historic Properties, so future generations of Santa Ana residents can learn about
the history of the City through this last example of the once thriving citrus industry.
The nearly 100 year-old farm house and orchard qualify for addition to the City's Register since it
represents a business that was once common.
The house and orchard are on its original site adjoining the City's Portola Park. The hou !ra n g
condition and the orchard continues to produce fruit. Both the house and orchard are ai exc:elle?iC
example of a small-scale farm that once provided citrus to the rest of the nation. Thank you in advance
for your consideration of this request.
Yours Truly,
John and Blanche Barneich
24541 Heliotrope Drive
Santa Ana, CA 92706
N)
?.. f leJ
i
1. ?4.i
May 2, 2012
tit IL-.
RE: Historic Resources Commission Application No. 2012-01
Historic Register Categorization No. 2012-01 `
For the Property located at 1584 East Santa Clara Avenue, SantaC na, CA
Sexlinger Farmhouse and Orchard
Honorable Mayor Pulido and Members of the Santa Ana City Council
I have lived in Orange County all of my life. I have seen orchard after orchard, farm after
farm razed in the interest of progress and growth. It is time to take a serious look at
what `progress' and `growth' mean to this city in 2012. 1 believe that you have a rare and
unparalleled opportunity before you. Not only is the Sexlinger Orange Orchard
deserving of listing on our Register of Historical Properties it would be the only property
of its kind on our listing - a five-acre orchard and family farm house - a century-farm.
It is the last remaining representation of a rich history that exemplifies the business that
fueled our economic engine for decades - agriculture.
It is not unimportant to recognize that the City of Santa Ana has been interested in the
Sexlinger property and its value to our community for decades. In 1967 the City
attempted to condemn the property with the plan of extending Portola Park, noting "...
that the city of Santa Ana, in comparison to cities of similar size, is considerably short of
park and recreation area ...". And, this orchard farm was, in 2006, being considered for
preservation when the SAHRC chair Cook-Giles suggested that "staff do an evaluation
for consideration on the Historic Register for the property at 1584 E Santa Clara, last
farm house on five acres."
We do not have to recognize only those opulent and splendid homes from our past. In
this diverse city, both in economic and ethnic terms, its appropriate to acknowledge and
remember the small farmer who not only was a part of the agricultural economy, but was
the very fabric of the community. The small farmer and his family lived, shopped and,
worshiped here. Their children attended our schools. They supported the various
businesses that made our city thrive.
In addition, you do not have to make your decision about eligibility and inclusion on our
Register based on the findings of a research firm - Sapphos Environmental, Discovery
Works, URS, Inc. Simply stated, this property meets the criteria, in our City's Municipal
Code, Chapter 30, necessary to be included on our register.
Sec. 30-2. - Criteria for selection.
(a) Any person or group may request a building, or part thereof, structure, object or site, to be
designated to be included on the city register of historical properties (called "register" in this
section). The applicant must submit documentation that demonstrates how the nominated
building, structure, object or site satisfies the criteria for designation. A building, structure,
object, or site may be designated for inclusion on the register if the building, structure, object
75B-42
or site is fifty (50) or more years old and if the commission finds that one (1) or more of the
following conditions are met:
(6) Buildings or structures that were connected with a business or use which was once
common, but is now rare.
It is your duty as stewards of our community and all the makes it diverse and unique to
include this last vestige of our agricultural history on the Santa Ana Register of Historical
Properties (SARHP). I ask that you use this opportunity to include this rare gem in our
SARHP under the Landmark category.
Sec. 30-2.2. - Categorization.
(1) Landmark category
a. The building, structure, object or site is on the national register or appears to be eligible to be
placed on the register, or
c. The building, structure, object or site has an historical/cultural significance to the city.
Thank you for your time and consideration.
Sincerely,
Jeannie Gillett, RN, CPN
1421 East Franzen Avenue
Santa Ana, CA 92705
714-296-4642
Save Our Orchard Coordinator
P.O. Box 10038
Santa Ana, CA 92711-0038
Page 2
75B-43
Bruce T. Bauer
2109 N. Rosewood Avenue
Santa Ana, CA 92706
(949),293-5311(C) 0
n -
12-.,
Honorable Mayor Pulido
Members of.the Santa Ana City'Council
Re:. Sexlinger House and Orange Orchard on the City's Register
Dear Honorable. Mayor Pulido and Members of the Santa Ana City Council:
T respectfully request the Santa Ana. City Council add the historic Sexlinger House and
Orange Orchard to the City's Register of Historic Properties, so future generations of
Santa Ana residents can learn about the history of the City-through this last example. of.
the once thriving citrus industry.
The nearly 100 year-old farm house and orchard qualify for addition to the City's
Register since it represents.a business that was once common.
The house and orchard are on its original site adjoining the City's Portola Park. The house
is in good condition and the orchard continues to produce fruit. Both the house and
orchard are an excellent example of a small-scale farm that once provided citrus to the
rest of the nation. Thank you, in advance for your consideration of this request.
support.
75B-44
Mitre-Ramirez, Norma
From: Huizar, Maria
Sent: Wednesday, May 02, 2012 2:35 PM
To: Trevino, Jay
Cc: Mitre-Ramirez, Norma
Subject: FW: Sexslinger House and Orange Orchard
Another letter
From: Molly Matteson [mailto:mollhead@att.net]
Sent: Wednesday, May 02, 2012 1:09 PM
To: Huizar, Maria
Cc: jeannie@saveourorchard.org
Subject: Sexslinger House and Orange Orchard
Honorable Mayor Pulido and Members of the Santa Ana City Council:
I respectfully request the Santa Ana City Council add the historic Sexlinger House and Orange
Orchard to the City's Register of Historic Properties, so future generations of Santa Ana residents
can learn about the history of the City through this last example of the once thriving citrus industry.
The nearly 100 year-old farm house and orchard qualify for addition to the City's Register since it
represents a business that was once common.
The house and orchard are on its original site adjoining the City's Portola Park. The house is in
good condition and the orchard continues to produce fruit. Both the house and orchard are an
excellent example of a small-scale farm that once provided citrus to the rest of the nation.
Thank you in advance for your consideration of this request.
Yours Truly,
Molly Matteson
i
75B-45
rs
,?:. S 'ATISTICAL
RESEARCH, Inc.
ARCHAEOLOGY • ANTHROPOLOGY • HISTORY • HISTORIC ARCHITECTURE
May 2, 2012
Santa Ana City Council Members
P.O. Box 1988, M-31
Santa Ana, CA 92701
Honorable Mayor and Council Members,
RE: Appeal of City of Santa Ana's Historic Resources Commission decision to deny listing
of the Sexlinger Orchard and Farmhouse on the City's Register of Historical Properties
It is the goal and mission of the State Historic Resources Commission (SHRC) to support the
preservation of important historical resources occurring throughout our state, especially
resources that are both rare and significant to California's rich agricultural history. The
Sexlinger Orange Orchard and Farmhouse, located within the City of Santa Ana, is a rare
remaining example of this important historical era in a part of the state where the rapid pace of
growth has threatened the last vestiges of agricultural history. As such, the preservation of the
Sexlinger Orchard Farm is an important and worthy endeavor and as a member of the SHRC, I
support this action.
This original five-acre heritage orchard purchased in 1913, and occupied continuously by the
Sexlinger family for 92 years, is an archetypal representative of an era when small-scale citrus
growers and modest family farms were the backbone of California's agricultural industry. And,
at a time when small family farms dotted the landscape and formed the nucleolus of our
communities, the City of Santa Ana developed as a commercial and civic center by serving the
surrounding agri-businesses, including the citrus industry.
It is clear from its participation in the Certified Local Government Program (CLG-Office of
Historic Preservation) that the City of Santa Ana appreciates the value of its historical legacy.
And, to the extent that the Sexlinger Orchard Farm represents a historically significant
contribution to that legacy, the I encourage and support efforts to preserve this important
resource.
V/?44,t, X-/? _,A44k
Donn R. Grenda, Ph.D., RPA
President
Member, State Historical Resources Commission
CAUFORHIA
Redlands
21 W. Stuart Ave.
P.O.Box390
Redlands, CA
92373-0123
(909) 335-1896
(909) 335-0808 (fax)
Son Diego
555 W. Beech St.
Suite 215
P.O. Box 82404
Son Diego, CA
92138
(619) 299-9766
(619) 299.9774 (fax)
Woodland
211 Court St.
Woodland, CA
95695
(530) 661-1400
(530) 662-5500 (fax)
ARIZONA
Phoenix
P.O. Box 27748
Tempe, AZ
85285-7748
(480) 774-1920
(voice & fax)
(480) 600-8692 (cell)
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6099 E. Speedway Blvd.
P.O. Box 31865
Tucson, AZ
85751-1865
(520) 721-4309
(520) 298-7044 (fox)
NEWMEXICO
Albuquerque
4425 Juan Tabo Blvd. NE
Suite 112
Albuquerque, NM
87111-2681
(505) 323-8300
(505) 323-8314 (fax)
(505) 331-2491 (cell)
TEXAS
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8201 Lockheed Dr.
Suite 125
El Paso, TX
79925
(915) 781-2200
(877) 781-2205
(915) 781-2201 (fax)
WASHINGTON
Lacey
1110 Golf Club Rd. SE
Suite 102
Lacey, WA
98503
(360) 918-8621
(360) 915-6531 (fax)
(360) 480-5601 (cell)
W W WJACTMcom
75B-46
Honorable Mayor Pulido and Santa Ana Council Members:
I have lived in the same house (less than half a mile from the beloved Sexlinger Orchard - on the corner of Keegan Way
and Linwood off of Fairhaven and Grand Avenue) for almost 46 years (as of next month). 'have had the heartbreaking
honor of watching every last orchard in the entire area fall to needless housing, while there is a surplus of hto ir@ pII
over. The memorial "orchard" at Hart Park does not even get watered on a regular bass' -! nice memorial! When we
moved here it was rural area and quite lovely. Now it is an over populated area riddled with crime and indifferericg.
There are no more orchards or antique houses that are not in down town Orange by the Circle with only a few feet
between each of them and no orchards. I can guarantee that Martha Sexlinger did NOT wish for her home and 250
orange trees (that she watered BY HAND- I watched her personally do it for years as I was walking home from the bus
stop at Lyon across from her house) to be bulldozed for MORE needless housing (however her attorney will not return
ANY phone calls, emails, letters, etc FOR YEARS about it, so what does that tell you about her true wishes versus money
for the people involved now? What does her attorney have to hide?). You and I both know she wanted her house and
acreage to be preserved for generations to come (or why not sell it off many years prior to her death and travel?) to
enjoy what she did for so many years. She watered the trees via HOSE by her SELF for years to have everything
destroyed? Do you really believe that? Are you willing to stick to that story for the tempting of money that you can't
take with you from this life?
The location of the LAST SIZEABLE ORCHARD IN SANTA ANA is right next to a park with ample parking. What more
perfect place to have a learning center where schools come to see how to harvest citrus and how an almost 100 year old
home looks? The money collected from the schools would MORE than pay for the upkeep of the site and any docent to
guide them. A community garden would fit perfectly within that area and to teach our children how to plant, harvest
and provide food for their families. Tanaka Farms has done a great job of what I am describing here and all four of my
children have paid for the privilege to learn about how food is grown and to take some home to their families several
times a year per child -WAY smarter for constant income than giving up the land to houses. If you add up $5-$10 per
child, per school, weekly of 60 kids per class, per month, you can MORE than obtain the "real estate taxes" you so desire
while still actually TEACHING kids useful skills and history. How can anyone possibly NOT seethe benefits in this?
There has not been ONE person I have talked to in the neighborhood and surrounding areas that has thought that 24
houses overpriced for our area is a better choice than preserving Martha Sexlinger's house and orchard for generations
to come. NOT ONE PERSON. There are hundreds of acres in Irvine, Corona, Riverside, etc - so why this ONE LAST plot of
beloved land in Santa Ana? There is NO viable reason not to declare this historic house and orchard exactly what it is -
HISTORIC and should be preserved for generations to come. It is in a perfect area and centrally located for all areas
schools to pay for the privilege to be a part of history and play at the park before returning to school.
highly suggest you see the benefits of what we are proposing and what had been done all over the place AND MAKING
MONEY while not building needless houses on irreplaceable land and trees. This is really a "no brainer" if you think
about it -the key to this is thinking about it, thinking about your kids and grandkids and NOT going along with the
landslide of "let's make money for the city", when you actually ARE making money for the schools, city and actually
teaching children about history instead of the greed of property taxes.
I BEG you to look at what is at stake - go LOOK at the property, look at Martha's house, see her adored trees and tell me
she would want it torn down to put over priced houses that won't sell in this area (houses selling in the 400's won't sell -
do you REALLY think houses in the 600's will sell here??). Hear me when I tell you she would NOT want her house,
75B-47
garage or personally tended trees DESTROYED (which she could have done at ANY time during her life and DID NOT) for
needless housing. The GREAT thing is that elections are frequent and with the internet everyone can communicate so
much more efficiently and quickly, your decisions and opinions matter and will be shared (like the fact that Miguel Pulido
was only willing to give $5 to a local basketball team that is trying to go to NV and needs thousands - really, only $5?? -
Good luck with that Mayor Pulido.... we ALL communicate).
I hope you really look at what is at stake, as well as what is at stake for you and your career,
Denny, Paula, Brittany, Brandon, Bridget and Brenna Duhn and Shirley Tapley
c-:
75B-48
ROH - 05/07/12
RESOLUTION NO. 2012-XXX
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
SANTA ANA DENYING APPEAL NO. 2012-01 AND
AFFIRMING THE HISTORIC RESOURCES
COMMISSION'S DENIAL OF HISTORIC RESOURCES
COMMISSION APPLICATION NO. 2012-01 AND HISTORIC
REGISTER CATEGORIZATION NO. 2012-01 FOR THE
SEXLINGER PROPERTY LOCATED AT 1584 EAST
SANTA CLARA AVENUE (APPEAL NO. 2012-01)
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS
FOLLOWS:
Section 1. The City Council of the City of Santa Ana hereby finds, determines
and declares as follows:
A. On April 5, 2012, the Historic Resources Commission held a duly noticed
public hearing to discuss placing the Sexlinger Property, located at 1584
East Santa Clara Avenue, Santa Ana, on the Santa Ana Register of
Historical Properties and to categorize the property as Key. The legal
owners of the subject property, the Concordia University Foundation and
the Lutheran High School of Orange County, expressed opposition to
placing the property on the local Historic Register. After the public
hearing, the Historic Resources Commission, by a vote of 5:2 (Christy and
Yrarrazaval opposed; O'Callaghan absent), denied Historic Resources
Commission Application No. 2012-01 and Historic Register Categorization
No. 2012-01.
B. The Historic Resources Commission's decision to decline to list the
Sexlinger Property on the City's historic register was appealed to the City
Council by a group calling itself the "Save Our Orchard Coalition" (Appeal
No. 2012-01).
C. On May 7, 2012, the City Council held a duly noticed public hearing on
Appeal No. 2012-01 regarding the Historic Resources Commission's
decision to deny placing the Sexlinger Property, located at 1584 East
Santa Clara Avenue, Santa Ana, on the Santa Ana Register of Historical
Properties and to categorize the property as Key.
D. The Sexlinger Property is rectangular in shape, approximately five acres in
size, and includes a 1,350 square foot Craftsman-style farmhouse and a
Valencia orange grove of approximately 250 trees. The residence was
Exhibit E Resolution No. 2012-XXX
Page 1 of 4
75B-49
constructed in 1914 by Perry V. Grout, but was sold shortly thereafter to
George and Sophia Sexlinger. Members of the Sexlinger family resided in
the home until 2006.
E. The legal description for the subject property is attached hereto as Exhibit
A and incorporated by this reference as though fully set forth herein.
Section 2: In accordance with the California Environmental Quality Act, the
recommended actions are exempt from further review under Section 15331, Class 31,
which exempts projects limited to the preservation of historic resources in a manner
consistent with the Secretary of the Interior's Standards. A Categorical Exemption will
be filed for this project.
Section 3: The City Council of the City of Santa Ana hereby denies Appeal No.
2012-01, and affirms the Historic Resources Commission's denial of Historic Resources
Commission Application No. 2012-01 and Historic Register Categorization No. 2012-01.
These decisions are based upon the evidence submitted at the above said
hearing, which includes, but is not limited to: the Staff report and exhibits attached
thereto, and the public testimony and correspondences, all of which are incorporated
herein by this reference.
Section 4. This Resolution shall take effect immediately upon its adoption by
the City Council of the City of Santa Ana, and the Clerk of the Council shall attest to and
certify the vote adopting this Resolution.
Section 5. This decision rendered by the City Council of the City of Santa Ana
is final and is subject to judicial review pursuant to California Code of Civil Procedure
section 1094.6. The Clerk of the Council shall give direct notice to the applicant of the
Council's decision and these findings.
ADOPTED this 7th day of May, 2012
Miguel A. Pulido
Mayor
Resolution No. 2012-XXX
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APPROVED AS TO FORM:
Sonia R. Carvalho, City Attorney
By:
Ryan O. Hodge
Assistant City Attorney
AYES: Councilmembers
NOES: Councilmembers
ABSTAIN: Councilmembers
NOT PRESENT: Councilmembers
CERTIFICATE OF ATTESTATION AND ORIGINALITY
I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached
Resolution No. 2012-XXX to be the original resolution adopted by the City Council of the
City of Santa Ana on
Date:
Clerk of the Council
City of Santa Ana
Resolution No. 2012-XXX
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LEGAL DESCRIPTION
APN Address Owner Names Legal Description
396-052-14 1584 East Santa Clara Concordia CHAPMAN TR LOT BLK A
Avenue University E1/2 N 10 AC W 50 AC S
Foundation and 210.27
Lutheran High
School of
Orange County
EXHIBIT A
Resolution No. 2012-XXX
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75B-52