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Home My WebLink About FULL PACKET_2013-02-04MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA JANUARY 22, 2013 CLOSED SESSION MEETING CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 5:07 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor SAL TINAJERO, Mayor Pro Tern ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA VINCENT F. SARMIENTO COUNCILMEMBERS Absent: None STAFF Present: PAUL M. WALTERS, City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council PUBLIC COMMENTS - • Dennis Dascanio, supports resolve to the Community Management District (CMD) / Public Business Improvement District (PBID) matter. • Alfredo Amezcua, spoke in support of national recruitment for City Manager that works for entire City Council. • America Bracho, concerned with irregular decisions by City Council on City Manager position; need new leadership in this position, support national search; also, concerned that person overseeing the Police Department is City Manager with no checks and balances; culture needed to have transparency. • Eric Altman, opined that recently adopted Sunshine Ordinance is most comprehensive in State, City to continue in that path and do national search to validate best candidate. • Stanley Fiala, thanked the City Council for courage to consider management changes - new leadership brings new ideas; noted that the City has already had two shootings since the beginning of the year. CITY COUNCIL MINUTES 1 JANUARY 22, 2013 1 0A-1 • Madeline Spencer, commented that duties of Police Chief and City Manager significant and should not be performed by same person. • Tixoc Ventura, spoke about prejudices in the City; believe in transparency and community participation to achieve real change; do not take away from those less fortunate. • Juan Carlos Macedo, commented on need to empower residents; community in need of services currently not available. • Gabriela Gonzalez, concerned that no checks and balances or accountability in place for City Manager and in his role overseeing the Police Department. • Apolonio Cortes, questioned why sunshine ordinance not applied when City Manager appointed; too much responsibility to oversee City Manager and Police Chief role. • Laura Garibay, thanked City Council for approving sunshine ordinance; approval sent message that transparency and accountability important; City Manager position separate and apart from Police Chief; resident participation needed. • John Raya, welcomed two new councilmembers; opined that City Council should focus on other issues throughout the City and not City Manager position. • Rob Cook, noted that City Council accountable to voters, decision to dismiss City Manager is there responsibility. • Rosalia Pinon, representative of Latino Health Access, urged City Council to make decision for the betterment of residents and community; City Manager separate and apart from Police Chief; supports national search. • George Garcia, supports City Manager and believes he is best person for position. • Lorenzo Gonzalez, person holding two highly responsible positions not able to give 100% and lack of transparency. • Jed Poole, spoke in support of City Manager, but does not believe he should be holding two positions; urged City Council to do the right thing. • Albert Castillo, opined that previous City Council meeting brought inappropriate behavior by some leaders; conduct of City Manager unbecoming of professional ICMA Manager due to robo-calls, political support of former Councilmember and unethical behahior; thanked the City Council majority for doing the right thing. • David Gromm, spoke in support of Downtown Inc. and their effort to improve downtown Santa Ana. • Sergio Hernandez, sunshine ordinance has triggered change and transparency at all levels; want dedicated person in City Manager and Police Chief positions that are accountable. • Maria Velazquez, need change in City; crime on the rise, some improvements being made, but need more. • Rebeca Pacheco, representing Kidworks, requested assistance in bettering community. • Manuel Pena, support moving City forward and not focus on City Manager position; make decisions that benefit City. • Patricia Wenskunas, spoke in support of City Manager; residents would like explanation on need for change. • Paul Musco, indicated that business community supports City Manager. • Robert Escalante, expressed support for City Manager and indicated that he has done great job in both positions. CITY COUNCIL MINUTES 2 JANUARY 22, 2013 1 0A-2 • Sharon Barlow, support City Manager; City safer since he became Police Chief. • Cheri Kerr, read names of individuals in the television news industry that she would contact to look into City Council's misgudgements. • Alex Vega, support City Manager, recall of some elected officials a possibility if they dismiss City Manager; other candidates not as qualified. • Debbie McEwen, urged City Council to focus on other City issues; City Manager has institutional knowledge not found in outside candidates. • Thomas Gordon, support City Manager, allow him to leave graciously and not forced out. • Tish Leon, support national search for City Manager, City deserves best qualified candidate. • Miguel Mondragon, concerned with e-mail sent by City Manager that challenged City Council; urged the city council to do the right thing. • Francisco Barragan, representing Los Amigos de Orange County, spoke of perceived unethical behavior, lack of good judgment, and disrespect by City Manager and Mayor; called for official investigation of actions. • Paul Hayes, clarified that City Manager does not have two positions; City has Acting Police Chief Carlos Rojas overseeing the Police Department. • Erika Gonzalez, concerned that terminating contract with City Manager would cost a lot of money; City Council to make best decision for entire City. • George Collins, congratulated Mayor on re-election; transparency needed; residents deserve answers to status of redevelopment funds; need stability to manage and then do national search for City Manager. • Chuck Flynn, spoke in support of City Manager. • Tim Rush, proposed national search in 18-36 months, desire to have orderly transition of power. • Joesay Hernandez, support closure to Community Management District matter; concerned with e-mail by City Manager denoted as "Sanctuary City"; approved balanced budget, but in reality only deferred problem, not solved. • Ricki Older, requested explanation for need to remove City Manager; questioned whether it was performance based; support City Manager. COUNCIL RECESSED to Room 147 for Closed Session discussion at 7:04 p.m. CLOSED SESSION ITEMS - The Brown Act permits legislative bodies to discuss certain matters without members of the public present. The City Council finds, based on advice from the City Attorney, that discussion in open session of the following matters will prejudice the position of the City in existing and anticipated litigation: 1A CONFERENCE WITH LEGAL COUNSEL--EXISTING LITIGATION pursuant to Government Code Section 54956.9(a) • Carol Bowers v. City of Santa Ana; Workers' Compensation Appeals; Board case number ADJ 1092318 CITY COUNCIL MINUTES 3 JANUARY 22, 2013 1 0A-3 • Llanes v. City of Santa Ana Orange County Superior Court Case; No. 30- 1012-00564072 • Jose Rumbo v. Officer J. Correal, et al.; United States District Court; Case No. SACV12-0806AG(MLGx). • City of Santa Ana v. San Fiesta Limited Partnership; (Smile Brands) Orange County Case No. 30-2010-00431228 • City of Santa Ana v. Teh Pong Wang; Orange County Superior Court Case No. 30-2011-00525651 • Santa Ana California Lodge, LLC v. City of Santa Ana; Orange County Superior Court Case No. 30-2012-00556147 • Peebler vs. State of California Department of Finance, City of Santa Ana, et al., Case No. 34-2012-80001172-CU-WM-GDS 1 B CONFERENCE WITH LEGAL COUNSEL--ANTICIPATED LITIGATION pursuant to Government Code Section 54956.9(b) • Property and Business Improvement District ("PBID")/Community Management District (CMD), Downtown Inc. • Two Matters 1 C PUBLIC EMPLOYEE EVALUATION OF PERFORMANCE AND/OR POTENTIAL DISMISSAL/RELEASE pursuant to Government Code Section 54957(b)(1) Title: City Manager 1 D PUBLIC EMPLOYEE PERFORMANCE EVALUATION pursuant to Government Code Section 54957 Title: City Attorney 1 E CONFERENCE WITH LABOR NEGOTIATOR pursuant to Government Code Section 54957.6 Agency Negotiators: Personnel Services Executive Director, Ed Raya CITY COUNCIL MINUTES 4 JANUARY 22, 2013 1 0A-4 Employee Organizations: Service Employees' International Union (SEIU) Full-Time Employees CLOSED SESSION REPORT - See Item 19A. for Report. ADJOURNED THE CLOSED SESSION MEETING AT 10:06 P.M. AND CONVENED TO THE REGULAR OPEN MEETING CITY COUNCIL MINUTES JANUARY 22, 2013 1 0A-5 REGULAR OPEN SESSION CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 10:06 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor SAL TINAJERO, Mayor Pro Tern ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA VINCENT F. SARMIENTO COUNCILMEMBERS Absent: None STAFF Present: PAUL M. WALTERS, City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council PLEDGE OF ALLEGIANCE MAYOR PULIDO CLOSED SESSION REPORT - See report under Agenda Item 19A. PUBLIC COMMENT • Dave Hoen, thanked the City Council for vision to establish the PBID; efforts have allowed Downtown Santa Ana to become a destination. • Sam Romero, spoke in support of Agenda Item 50A. • Fina Chaves, welcomed newly elected City Council; support agenda Item 50A. CONSENT CALENDAR ITEMS MOTION: Approve Consent Calendar Items 10A through 25D with the following modifications: • Councilmember Reyna pulled Agenda Item 23A for separate discussion; • Councilmember Amezcua pulled Agenda Item 25B for separate discussion; and • Councilmember Martinez pulled Agenda Item 20E for separate discussion. CITY COUNCIL MINUTES 6 JANUARY 22, 2013 1 0A-6 MOTION: Sarmiento VOTE: AYES: NOES: ABSTAIN: ABSENT: MINUTES SECOND: Benavides Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) None (0) None (0) None (0) ADMINISTRATIVE MATTERS 10A MINUTES FROM THE SPECIAL MEETING OF DECEMBER 21, 2012 - Clerk of the Council Office MOTION: Approve Minutes. 10B MINUTES FROM THE SPECIAL CLOSED MEETING OF DECEMBER 27, 2012 - Clerk of the Council Office MOTION: Approve Minutes. 10C MINUTES FROM THE REGULAR MEETING OF JANUARY 7, 2013 - Clerk of the Council Office MOTION: Approve Minutes. BOARDS / COMMISSIONS / COMMITTEES 13B NOMINATED BY COUNCILMEMBER SARMIENTO AS THE WARD 1 REPRESENTATIVES TO VARIOUS BOARDS AND COMMISSION FOR A FULL TERM EXPIRING DECEMBER 13, 2016 - Clerk of the Council MOTION: Reappoint. Name Board/Commission 1. Laurence Hitterdale Historic Resources Commission 2. Salvador Nicholas Tinajero, Jr. Youth Commission -Associate 3. Maria Isabel Rivera Personnel Board 4. Elizabeth S. Castelan Youth Commission - Regular CITY COUNCIL MINUTES 7 JANUARY 22, 2013 1 0A-7 MISCELLANEOUS ADMINISTRATION 19A CLOSED SESSION REPORT - City Attorney's Office MOTION: Approve as follow: CONFERENCE WITH LEGAL COUNSEL--EXISTING LITIGATION pursuant to Government Code Section 54956.9(a) • Carol Bowers v. City of Santa Ana; Workers' Compensation Appeals; Board case number ADJ 1092318; settlement in the amount of $15,000. • Llanes v. City of Santa Ana Orange County Superior Court Case; No. 30-1012-00564072; settlement in the amount of $30,000. • Jose Rumbo v. Officer J. Correal, et al.; United States District Court; Case No. SACV12-0806AG(MLGx); settlement in the amount of $40,000. • Property acqusition cases for for the Grand Avenue Widening Project in the amount of $432,000.00, and another property for monetary settlement in the amount of $566,000. • Santa Ana California Lodge, LLC v. City of Santa Ana; Orange County Superior Court Case No. 30-2012-00556147, rejected the demand. • Peebler vs. State of California Department of Finance, City of Santa Ana, et al., Case No. 34-2012-80001172-CU-WM-GDS; provided update only. CONFERENCE WITH LEGAL COUNSEL--ANTICIPATED LITIGATION pursuant to Government Code Section 54956.9(b) - Property and Business Improvement District ("PBID")/Community Management District (CMD), Downtown Inc.; by a vote of 6-0 vote reached settlement agreement, summary of terms available to the public (Martinez abstained). PUBLIC EMPLOYEE EVALUATION OF PERFORMANCE AND/OR POTENTIAL DISMISSAL/RELEASE pursuant to Government Code Section 54957(b)(1) - Title: City Manager; by a vote of 6-1 (Pulido dissented) City Council has given staff direction to work on release of the City Manager from his contract. Special Meeting scheduled for Thursday, January 24, 2013 at 5 p.m. to address additional personnel matters. 19B EXCUSED ABSENCES - None CITY COUNCIL MINUTES 8 JANUARY 22, 2013 1 0A-8 19C QUARTERLY REPORT OF CONTRACTS ENTERED INTO BY THE CITY MANAGER - Finance & Management Services MOTION: Receive and file the Quarterly Report of Contracts entered into between July 1, 2012 to September 30, 2012 valued at $25,000 and less. BUDGETARY MATTERS APPROPRIATION ADJUSTMENTS 20A AGREEMENT AND APPROPRIATION ADJUSTMENT ACCEPTING REIMBURSEMENT FROM COUNTY OF ORANGE FOR POST RELEASE COMMUNITY SUPERVISION - Police Department MOTION: 1. AGMT NO. 2013-010 - Authorize the Chief of Police to sign the Memorandum of Understanding between the City of Santa Ana and the County of Orange for Public Safety Realignment and Post release Community Supervision cost reimbursement. 2. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2013-76 for reimbursement costs from the County of Orange in the amount of $408,974.66 into the revenue account and appropriate same into the expenditure account. 20B AGREEMENTS AND APPROPRIATION ADJUSTMENT FOR CARNIVALS AT CITY OWNED PARKS - Parks, Recreation & Community Services Agency MOTION: 1. Authorize the City Manager and Clerk of the Council to execute agreements subject to non-substantive changes approved by the City Manager and City Attorney: • AGMT NO. 2013-011 - AMENDMENT - With Fiesta de Carnival in an amount of $22,500 for a one-year term, • AGMT NO. 2013-012 - AMENDMENT - With "O" Entertainment in an amount of $15,250 for a one-year term, • AGMT NO. 2013-013 - AMENDMENT - With Robert Acosta & Associates in an amount of $4,500 for a one-year term. CITY COUNCIL MINUTES 9 JANUARY 22, 2013 1 0A-9 2. Approve an appropriation adjustment. (Requires five affirmative votes) 20C 20D APPROPRIATION ADJUSTMENT NO. 2013-77 - recognizing projected carnival revenue in the amount of $42,250 in the Recreation Special Fees and Donations revenue account and appropriate funds to the Recreation Special Fees and Donations expenditure account. AGREEMENT AND APPROPRIATION ADJUSTMENT FOR UPDATING THE STORM DRAIN MASTER PLAN - Public Works Agency MOTION: 1. AGMT NO. 2013-014 - Authorize the City Manager and the Clerk of the City Council to execute an agreement with RBF Consulting in an amount not to exceed $384,900, subject to non-substantive changes approved by the City Manager and City Attorney. 2. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2013-82 recognizing $71,325 in current year funds received from fees collected and interest earned in the Local Drainage Area Fund revenue accounts and appropriating same into the respective Local Drainage Area Fund expenditure accounts. AGREEMENTS AND APPROPRIATION ADJUSTMENT FOR LED STREET LIGHTS (NO-COST FUNDING) - Public Works Agency 1. 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: • AGMT NO. 2013-015 - With Sierra Pacific Electrical Contracting to provide and install 1,123 LED street lights for an amount not to exceed $700,000 • AGMT NO. 2013-016 - Southern California Edison to provide no-cost funding through On-Bill Financing for the LED street lights 2. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2013-075 - recognizing $693,027 in funding from Southern California Edison into the Energy Conservation revenue account and appropriating the same amount to CITY COUNCIL MINUTES 10 JANUARY 22, 2013 1 0A-10 the Energy Conservation expenditure account for the installation of LED street lights. 20E CONTRACT AWARD TO ALL AMERICAN ASPHALT FOR BRISTOL STREET WIDENING FROM 2ND TO 10TH STREETS AND WATER AND SEWER MAIN IMPROVEMENTS FROM 3RD TO 10TH STREETS (PROJECT NOS. 081700, 126421 & 126422 ) AND APPROPRIATION ADJUSTMENT - Public Works Agency MOTION: 1. Award a construction contract to the lowest bidder, All American Asphalt, Inc., for the Bristol Street widening from 2nd to 10th Streets, and for the water and sewer system improvements from 3rd to 10th Streets, in accordance with their bid in the amount of $6,169,256. 2. Approve the Cost Analysis, as shown in Exhibit 1, for a total estimated project delivery cost of $7,711,582. 3. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2013-081 - Accepting Orange County Transportation Authority Comprehensive Transportation Funding Programs Measure M2 Arterial Capacity Enhancements allocation in the amount of $3,120,000 into the Measure M Street Construction revenue account and appropriating the same to the Measure M2 Street Construction expenditure account. Also, accepting Orange County Transportation Authority Prop 1 B Bond funding in the amount of $3,120,000 into the Prop 1B Bond revenue account and appropriating the same to the Prop 1B Bond expenditure account, for the Bristol Street Widening Project (No. 08-1700). MOTION: Martinez SECOND: Tinajero VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) CITY COUNCIL MINUTES 11 JANUARY 22, 2013 1 0A-11 SPECIFICATIONS - PURCHASE OF EQUIPMENT AND SERVICES MOTION: Award in accordance with Request for Council Action. (Items 22A and 22B) 22A SPEC. NO. 12-076 - WASH AND FILL SAND - Award a contract to West Coast Sand and Gravel, Inc. for a one-year period, with provisions for four one-year renewals, in an annual amount not to exceed $50,000 (Public Works Agency) - Finance & Management Services 22B SPEC NO. 09-001 & 09-035 - COLD WATER METERS - Renew the contract with Badger Meter, Inc. for a one-year period in an amount not to exceed $300,000 (Public Works Agency) - Finance & Management Services PROJECTS/CHANGE ORDERS 23A CONTRACT AWARD TO SIEMENS INDUSTRY, INC., FOR TRAFFIC SIGNAL INSTALLATION AT FAIRVIEW STREET & EDNA DRIVE, AND TRAFFIC SIGNAL MODIFICATIONS AT MCFADDEN AVENUE & EUCLID STREET (PROJECT NOS. 126758 AND 126759) - Public Works Agency MOTION: Continue consideration of matter for two weeks, February 4, 2013 City Council Meeting. MOTION: Martinez VOTE: AYES: NOES: ABSTAIN ABSENT: AGREEMENTS SECOND: Amezcua Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) None (0) None (0) None (0) 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, 25C and 25D) CITY COUNCIL MINUTES 12 JANUARY 22, 2013 1 0A-12 25A AGMT NO. 2013-017 - PLANNING AND ENVIRONMENTAL SERVICES FOR THE GENERAL PLAN HOUSING ELEMENT UPDATE - With The Planning Center/DC & E in an amount not to exceed $141,330 - Planning and Building Agency and Community Development Agency 25B AGMT NO. 2013-018 - ANNUAL MAINTENANCE AND ON-CALL SERVICES FOR THE CITY'S TRAFFIC SIGNAL SYSTEM - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement with Telvent USA, LLC, in an amount of $70,000 annually with the option to extend for two one-year contracts, subject to non-substantive changes approved by the City Manager and City Attorney. MOTION: Amezcua SECOND: Martinez VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) 25C AGMT NO. 2013-019 - PURCHASE EASEMENT FOR CITY-OWNED SANITARY SEWER FACILITIES WITHIN ORANGE COUNTY FLOOD CONTROL DISTRICT RIGHT-OF-WAY - With the Orange County Flood Control District - Public Works Agency 25D IMPLEMENTATION OF REGIONAL TRAFFIC SIGNAL SYNCHRONIZATION PROJECTS (136789 AND 136790) - Public Works Agency • AGMT NO. 2013-020 - COOPERATIVE NO. C-2-1992 - With the Orange County Transportation Authority • AGMT NO. 2013-021 - COOPERATIVE NO. C-2-2030 - With the Orange County Transportation Authority **END OF CONSENT CALENDAR** CITY COUNCIL MINUTES 13 JANUARY 22, 2013 1 0A-13 BUSINESS CALENDAR ITEMS ORDINANCES/FIRST READING *Councilmember Martinez declared a conflict of interest on Agenda Item 50A and left the dais during the discussion of the matter. 50A ORDINANCE TO REPEAL ARTICLE XX DISESTABLISHING THE DOWNTOWN COMMUNITY MANAGEMENT DISTRICT (CMD) AND DIRECTION REGARDING REACTIVATION OF DOWNTOWN BUSINESS IMPROVEMENT DISTRICT (BID) - City Manager's Office MOTION: 1. Place ordinance on first reading and authorize publication of title. ORDINANCE NO. NS-2841 - AN ORDINANCE OF THE CITY OF SANTA ANA REPEALING ARTICLE XX OF CHAPTER 13 OF THE SANTA ANA MUNICIPAL CODE RELATING TO COMMUNITY MANAGEMENT DISTRICTS 2. Direct staff to undertake activities to allow consideration of reactivation of the Downtown Santa Ana Business Improvement District (BID). MOTION: Tinajero SECOND: Sarmiento VOTE: AYES: Amezcua, Benavides, Pulido, Reyna, Sarmiento, Tinajero (6) NOES: None (0) ABSTAINED AND NOT PRESENT: Martinez (1) ABSENT: None (0) RESOLUTIONS 55A RESTRUCTURE CITY COUNCIL COMMITTEES AND APPOINT MEMBERS - Clerk of the Council Office MOTION: CITY COUNCIL MINUTES 14 JANUARY 22, 2013 1 0A-14 1. Approve the Ad Hoc Committee's (Councilmembers Martinez and Sarmiento) recommendation to consolidate the City Council Committees and establish the following five: • Development and Transportation Committee • Public Safety and Neighborhood Improvement Committee • Parks, Recreation, Education & Youth (PREY) Committee; and Joint Santa Ana Unified School District /City Council Committee • Code of Ethics and Conduct Committee • Finance, Economic Development and Technology Committee 2. Adopt a resolution restructuring the City Council Committees and amending the appointing authority. RESOLUTION NO. 2013-002 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING RESOLUTION NOS. 1998-091, 1999-069, 2001-016, 2001-33, 2003-001, 2007-014, AND 2007-029 REGARDING COMMITTEES OF THE CITY COUNCIL 3. Approve the Ad Hoc Committee's recommendation to appoint the following members: • Development and Transportation Committee Benavides, Sarmiento, Martinez *Pulido dissented on this line item. • Public Safety and Neighborhood Improvement Committee -> Benavides, Martinez, Reyna • Parks, Recreation, Education & Youth (PREY) Committee; and Joint Santa Ana Unified School District /City Council Committee --> Amezcua, Reyna, Tinajero • Code of Ethics and Conduct Committee -> Tinajero and Amezcua • Finance, Economic Development and Technology Committee -> Sarmiento, Martinez, Benavides MOTION: Sarmiento SECOND: Tinajero VOTE: AYES: Amezcua, Benavides, Pulido*, Martinez, Reyna, Sarmiento, Tinajero (7) NOES: None (0) ABSTAINED: Nona (0) ABSENT: None (0) *Pulido dissented on line item marked with asterisk. CITY COUNCIL MINUTES 15 JANUARY 22, 2013 1 0A-15 PUBLIC HEARINGS 75A PUBLIC HEARING - RESOLUTION AUTHORIZING CONDEMNATION OF REAL PROPERTY FOR GRAND AVENUE WIDENING PROPERTIES LOCATED WITHIN THE CITY OF SANTA ANA, 202-218 NORTH GRAND AVENUE (APN 398-453-05) AND 1214 EAST THIRD STREET (APN 398-453-05); (PROJECT NO. 081732 NON-GENERAL FUND) - Public Works Agency Notice of Hearing letter regarding acquisition of real property by eminent domain mailed to property owners on December 19, 2012. Item continued from the January 7, 2013 City Council Meeting due to insufficient votes to consider matter. MOTION: Adopt a resolution. (Requires a two-thirds vote.) RESOLUTION NO. 2013-003 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA FINDING AND DETERMINING THAT THE PUBLIC INTEREST, CONVENIENCE AND NECESSITY REQUIRE THE ACQUISITION OF CERTAIN REAL PROPERTIES LOCATED WITHIN THE CITY OF SANTA ANA LOCATED AT 202-218 N. GRAND AVENUE AND 1214 E. 3rd STREET (APN 398-453-05 AND 398-453-06) MOTION: Sarmiento SECOND: Tinajero VOTE: AYES: Amezcua, Benavides, Pulido, Martinez, Reyna, Sarmiento, Tinajero (7) NOES: None (0) ABSTAINED: Nona (0) ABSENT: None (0) *Councilmembers Martinez and Sarmiento recused themselves from Agenda Items 75C and 75D and left the dais during the discussion of the matters. 75B PUBLIC HEARING - RESOLUTION AUTHORIZING CONDEMNATION OF BILLBOARD AND REAL PROPERTY FOR GRAND AVENUE WIDENING (PROJECT NO. 081732, NON-GENERAL FUND) - Public Works Agency Notice of Hearing letter regarding acquisition of property ("Billboards") and real property by eminent domain mailed to property owners on January 7, 2013. CITY COUNCIL MINUTES 16 JANUARY 22, 2013 1 0A-16 John Duong of Clear Channel Outdoors spoke on Agenda Items 75B and 75C; indicated that address on notice not same as agenda report. Staff clarified problem. Zeke Hernandez concerned with City's offer on property; request continued negotiations to settle matter. MOTION: Adopt a resolution. (Requires a two-thirds vote.) RESOLUTION NO. 2013-004 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA FINDING AND DETERMINING THAT THE PUBLIC INTEREST, CONVENIENCE AND NECESSITY REQUIRE THE ACQUISITION OF CERTAIN REAL PROPERTY LOCATED WITHIN THE CITY OF SANTA ANA LOCATED AT 1221 E. THIRD STREET (APN 398-385-05) AND OUTDOOR POSTER PANEL (FACE # 004517 & 004518) LOCATED AT 1221 E. THIRD STREET MOTION: Tinajero SECOND: Amezcua VOTE: AYES: Amezcua, Benavides, Pulido, Reyna, Tinajero (5) NOES: None (0) ABSTAINED AND NOT PRESENT: Martinez, Sarmiento (2) ABSENT: None (0) 75C PUBLIC HEARING - RESOLUTION AUTHORIZING CONDEMNATION OF BILLBOARD FOR GRAND AVENUE WIDENING (PROJECT NO. 081732, NON-GENERAL FUND) - Public Works Agency Notice of Hearing letter regarding acquisition of property ("Billboards") by eminent domain mailed to property owners on January 7, 2013. MOTION: Adopt a resolution. (Requires a two-thirds vote.) RESOLUTION NO. 2013-005 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA FINDING AND DETERMINING THAT THE PUBLIC INTEREST, CONVENIENCE AND NECESSITY REQUIRE THE ACQUISITION OF OUTDOOR POSTER PANEL (FACE # 004519 & 005865) LOCATED WITHIN THE CITY OF SANTA ANA AT 119 N. GRAND AVENUE MOTION: Tinajero SECOND: Amezcua CITY COUNCIL MINUTES 17 JANUARY 22, 2013 1 0A-17 VOTE: AYES: Amezcua, Benavides, Pulido, Reyna, Tinajero (5) NOES: None (0) ABSTAINED AND NOT PRESENT: Martinez, Sarmiento (2) ABSENT: None (0) 75D PUBLIC HEARING - BUSINESS LICENSE TAX PENALTY ABATEMENT ORDINANCE - Finance & Management Services Legal Notice published in the Orange County Register on January 13, 2013. MOTION: Place ordinance on first reading and authorize publication of title. ORDINANCE NO. NS-2842 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ESTABLISHING A BUSINESS LICENSE TAX PENALTY ABATEMENT PROCEDURE AND AMENDING SECTIONS 21-3, 21-12, 21-16, 21-25, 21-41, 21-43, 21-44, 21-60, 21-64, 21-83, 21-85, 21-100, 21-115, 21-122, 21-123, 21-124, 21-125 RELATING TO ADMINISTRATIVE PROVISIONS OF CHAPTER 21, THE BUSINESS LICENSE TAX CODE, AND ADDING SECTIONS 21-93.1 RELATING TO ENFORCEMENT AND COLLECTION AND SECTION 21-118.1 RELATING TO DEPOSIT ADJUSTMENT AND SECTIONS 21-119.1, RELATING TO LIMITED LIABILITY OF HOLDING COMPANIES AND PASS-THROUGH ENTITIES AND SECTIONS 21-119.2 AND 21-119.3 AND 21-120h ESTABLISHING AN ALTERNATIVE ELECTIVE FLAT RATE BUSINESS LICENSE TAX ASSESSMENT FOR HOME-BASED BUSINESSES MOTION: Tinajero SECOND: Sarmiento VOTE: AYES: Amezcua, Benavides, Pulido, Martinez, Reyna, Sarmiento, Tinajero (7) NOES: None (0) ABSTAINED: Nona (0) ABSENT: None (0) CITY COUNCIL MINUTES 18 JANUARY 22, 2013 1 0A-18 COMMENTS PUBLIC COMMENTS • Debbie McEwen, opined that disrespectful to call her out on perceived hand gesture. Concerned that her neighborhood association not invited to participate in Ward 2 Walking Tours. Councilmember Martinez indicated that all invited and will coordinate with her. • Steve Jason Hitman, spoke of film he is working on regarding homeless. 90A CITY MANAGER'S COMMENTS - None 90B CITY COUNCILMEMBER COMMENTS Councilmember Martinez: • Reflected on Martin Luther King's Jr's birthday and President Obama's inauguration held on January 21St; • Concerned with article in the Los Angeles Times regarding a discrimination matter that occurred in the City of Yorba Linda; • Announced that she will be participating in the Black History Parade in the City of Anaheim; • Congratulated Wahoo Tacos on their 50th Anniversary; business started in Santa Ana; • Spoke of exciting projects underway including construction of One Broadway Plaza, the Met Project, and Station District; • Noted that Downtown Santa Ana will continue to flourish even without Community Management District; • Indicated that proposed redevelopment fund take away of $54 million not surprising, but City will continue to move forward; • Stated that she was elected to do the right thing and threat of recall does not scare her; has maintained open door policy throughout her tenure. Councilmember Sarmiento: • Thanked all speakers for voicing their opinion and for patience. • Hope for respect, learn from each other, no room for racism, need civility and tolerance. Councilmember Tinajero • Remarked that comments tonight appeared to be like "Tale of Two Cities"; dismanteling of Community Management District required tough decisions; decorum and respect needed by all; City Council CITY COUNCIL MINUTES 19 JANUARY 22, 2013 1 0A-19 trying to be fair to all parties involved; need change to allow for democracy; • Adjourn in memory of Peter Pezak. Councilmember Amezcua • Thanked residents for attending meeting for comments. • Reported that she attended the League of California Cities Conference in Sacramento on January 16tH • Spoke on need for respect for all involved. Councilmember Reyna: • Thanked all speakers for comments; change not easy, but all opinions important; • Urged all to Shop in Santa Ana as Valentine's Day approaches. Councilmember Benavides: • Encouraged all to shop in Santa Ana; • Change not easy, but opportunity for fresh ideas; interest of community paramount, City has key role in State politics. Important to make right decisions and continue dialogue to move City forward; • Hosting monthly community hours on February 2nd from 9 a.m. to 12 noon Mayor Pulido • Noted that change for purpose is what matters; expressed support for City Manager. ADJOURNED- 11:32 P.M. - The next meeting of the City Council is scheduled for Monday, February 4, 2013 at 5:00 p.m. for the Closed Session Meeting immediately followed by the Regular Open Business Meeting at 5:45 p.m. in the Council Chamber, 22 Civic Center Plaza, Santa Ana, California Adjourn in Memory of Peter Pezak Maria D. Huizar, Clerk of the Council FUTURE AGENDA ITEMS • Street Car Project Update and Action items • Update Citywide Classification and Compensation Plan • Ordinance Addressing Homeless Shelters as per Requirements in SB 2 (Senate Bill) • Contracting Agreement for Specified Police Support Services CITY COUNCIL MINUTES 20 JANUARY 22, 2013 1 OA-20 MINUTES OF THE SPECIAL MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA JANUARY 24, 2013 CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 5:10 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor SAL TINAJERO, Mayor Pro Tern ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA VINCENT F. SARMIENTO COUNCILMEMBERS Absent: None STAFF Present: PAUL M. WALTERS, City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council PUBLIC COMMENTS • Albert Castillo, spoke about a recent e-mail that was circulated by City Manager to a distribution list that spoke about illegal immigration; opposed to having individual go back as Chief of Police; recent Vietnamese shooting had quick response by Acting Police Chief Rojas, likes change in police policy; supports citizen participation in selection of new City Manager. • America Bracho, Latino Health Access representative, grateful for proposed national search of new City Manager; would like community to participate in selection process. • Marco Antonio Zeferino, concerned with email by City Manager (see above comments by Albert Castillo); key position should value all residents, have civic fortitude, and be qualified; would like to participate in selection process. • Tixoc Ventura, interested in participating in the selection process of new City Manager. • Apolonio Cortes, City Council to exercise recently adopted Sunshine Ordinance and selected a City Manager that is transparent; community deserves respect. • Juan Carlos Macedo, would like community to participate in the selection process of new City Manager. MINUTES SPECIAL MEETING JANUARY 24, 2013 1 0B-1 Laura Pantoja, spoke in support of having selection process for new City Manager; important for community to participate in the decision-making; proposed forums. City Council recessed to Closed Session at 5:29 p.m. CLOSED SESSION ITEM 1A PUBLIC EMPLOYEE DISMISSAURELEASE AND APPOINTMENT OF INTERIM pursuant to Government Code Section 54957 Title: City Manager CLOSED SESSION REPORT - Nothing to report ADJOURNED - 6:45 P.M. Maria D. Huizar, Clerk of the Council MINUTES SPECIAL MEETING JANUARY 24, 2013 1 0B-2 MINUTES OF THE SPECIAL MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA JANUARY 29, 2013 CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 5:07 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor SAL TINAJERO, Mayor Pro Tem (5:12 p.m.) ANGELICA AMEZCUA P. DAVID BENAVIDES (5:10 p.m.) MICHELE MARTINEZ ROMAN A. REYNA VINCENT F. SARMIENTO (5:12 p.m.) COUNCILMEMBERS Absent: None STAFF Present: PAUL M. WALTERS, City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council PUBLIC COMMENTS - None City Council recessed to Closed Session at 5:08 p.m. CLOSED SESSION ITEM 1A PUBLIC EMPLOYEE DISMISSAL/RELEASE AND APPOINTMENT OF INTERIM pursuant to Government Code Section 54957 Title: City Manager CLOSED SESSION REPORT - City Attorney reported that the City and employee are close to reaching an agreement and may have more to report on Wednesday, January 30, 2013. ADJOURNED - 6:23 P.M. Maria D. Huizar, Clerk of the Council MINUTES SPECIAL MEETING JANUARY 29, 2013 1 0C-1 1 0C-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2013 TITLE: ORDINANCE BUSINESS ABATEMENT SECOND LICENSE TAX CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended READING: ? As Amended El Ordinance on 1" Reading PENALTY ? Ordinance on 2"d Reading ? Implementing Resolution ? Set Public Hearing For CITY MANAGER RECOMMENDED ACTION Place ordinance on second reading and adopt. DISCUSSION CONTINUED TO FILE NUMBER On January 22, 2013, the City Council introduced first reading and authorized publication of title for the following Ordinance by a vote of 7-0: ORDINANCE NO. NS-2841 - AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ESTABLISHING A BUSINESS LICENSE TAX PENALTY ABATEMENT PROCEDURE AND AMENDING SECTIONS 21-3, 21-12, 21-16, 21-25, 21-41, 21-43, 21-44, 21- 60, 21-64, 21-83, 21-85, 21-100, 21-115, 21-122, 21-123, 21-124, 21-125 AND ADDING SECTIONS 21-80.1 AND 21-83.1 RELATING TO ADMINISTRATIVE PROVISIONS OF CHAPTER 21, THE BUSINESS LICENSE TAX CODE, AND ADDING SECTION 21-93.1 RELATING TO ENFORCEMENT AND COLLECTION AND SECTION 21-118.1 RELATING TO DEPOSIT ADJUSTMENT AND SECTIONS 21-119.1, RELATING TO LIMITED LIABILITY OF HOLDING COMPANIES AND PASS-THROUGH ENTITIES AND SECTIONS 21-119.2 AND 21- 119.3 AND 21-120h ESTABLISHING AN ALTERNATIVE ELECTIVE FLAT RATE BUSINESS LICENSE TAX ASSESSMENT FOR HOME-BASED BUSINESSES FISCAL IMPACT There is no fiscal impact associated with this action. Maria D. Huizar, Clerk of the Council ATTACHMENT: Ordinance No. NS-2841 11 A-1 11 A-2 ORDINANCE NO. NS- AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ESTABLISHING A BUSINESS LICENSE TAX PENALTY ABATEMENT PROCEDURE AND AMENDING SECTIONS 21-3, 21-12, 21-16, 21-25, 21-41, 21-43, 21-44, 21-60, 21-64, 21-83, 21-85, 21-100, 21-115, 21-122, 21-123, 21-124, 21-125 AND ADDING SECTIONS 21- 80.1 AND 21-83.1 RELATING TO ADMINISTRATIVE PROVISIONS OF CHAPTER 21, THE BUSINESS LICENSE TAX CODE, AND ADDING SECTION 21-93.1 RELATING TO ENFORCEMENT AND COLLECTION AND SECTION 21-118.1 RELATING TO DEPOSIT ADJUSTMENT AND SECTIONS 21-119.1, RELATING TO LIMITED LIABILITY OF HOLDING COMPANIES AND PASS-THROUGH ENTITIES AND SECTIONS 21- 119.2 AND 21-119.3 AND 21-120h ESTABLISHING AN ALTERNATIVE ELECTIVE FLAT RATE BUSINESS LICENSE TAX ASSESSMENT FOR HOME-BASED BUSINESSES THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES HEREBY ORDAIN AS FOLLOWS: SECTION 1: The City Council hereby finds, determines and declares as follows: A. Since the time of its incorporation, the City has imposed a general tax on the privilege of conducting and carrying on all manner of business within the City, in order to provide a portion of the general fund revenues required to provide police, fire, general government and a host of other essential services to the community; and, B. Due to continued financial instability at the Federal and State level, additional reductions in revenues allocated to the City may occur; and, C. Due to these reductions in immediate and future City revenues, and in order to maximize the generation of general fund revenue from sources under the City's own control, it is appropriate for the City to adopt a Business License Tax Penalty Abatement Procedure allowing for the abatement of penalties and interest for (1) unlicensed businesses obtaining their required City business licenses; and (2) licensed businesses submitting amended returns in connection with underreported or misreported taxes owing, D. In order to assure the effective identification of unlicensed businesses and to enhance the effective collection of the business license taxes, it is appropriate for the City to amend Chapter 21, "The Business License Tax Code", to modify and to add appropriate definitional and administrative provisions for the effective identification, Page 1 11 A-3 enforcement, collection and enhanced administration of the City's business license tax; and, E. In order to promote immediate and future ease of administration by the City, as well as encourage participation and compliance by qualifying businesses, it is appropriate for the City to amend Chapter 21 to add a voluntary elective alternative flat rate tax assessment for home-based businesses doing business in Santa Ana equivalent to the average gross receipts tax assessment paid by licensed home-based businesses for the most recently tax assessment period. For qualifying unlicensed home-based businesses that are in arrears for prior years' taxes it is appropriate that this alternative tax assessment be adopted retro-active to January 1, 2010. For all other qualifying business who are in arrears for prior years' taxes it is appropriate that penalties and interest be abated to an amount equivalent to the amount of the prior years' taxes owing, as computed or determined based upon the business license tax rates and charges in effect for the most current tax year; and, F. In the course of adopting a Business License Tax Penalty Abatement Procedure and modifying the City's Business License Tax Code, it is not the intent of the city council to either increase the scope of the City's business license tax, or impose a higher business license tax rate, or shift any category of business to a higher tax assessment classification. Any changes in definitional terms are intended to clarify the administration of the City's business license tax with regard to changes in state and/or federal law and modern business practices. SECTION 2: ESTABLISHMENT OF BUSINESS LICENSE TAX PENALTY ABATEMENT PROCEDURE. An ordinance is hereby adopted establishing a Business License Tax Penalty Abatement Procedure. (a) SHORT TITLE. Section 2 of this ordinance shall be known as the "Business License Tax Penalty Abatement Ordinance." (b) DEFINITIONS. Except where the context otherwise requires, the terms used in this ordinance shall have the meaning given to them in Chapter 21 of the Santa Ana Municipal Code. (c) ABATEMENT PROGRAM. A business license tax penalty abatement program is hereby established for persons required to obtain a business license and pay a business license tax under Chapter 21 of the Santa Ana Municipal Code. SECTION 3: That section 21-3 [Definitions-Specific. definition of "Gross Receipts", definition of "Person", and definition of "Transact and Carry-on'] of Chapter 21 of the Santa Ana Municipal Code are hereby amended and shall read as follows [new language in bold, deleted language in °+ru]: Page 2 11 A-4 Gross receipts shall include the total amount of the sale price of all sales and the total amount charged or received for the performance of any act or service of whatever nature it may be, for which a charge is made or credit allowed, whether or not such act or service is done as a part of or in connection with the sale of materials, goods, wares or merchandise. The following shall be included in "gross receipts": all receipts, rents, cash, credits and property of any kind or nature, without any deduction therefrom on account of the cost of property sold, the cost of materials used, labor or service cost, interest paid or payable, or losses or other expenses whatsoever. The following shall be excluded from "gross receipts": (a) Cash discounts allowed and taken on sales; (b) Credit allowed on property accepted as part of the purchase price and which property may later be sold; (c) Any tax required by law to be included in or added to the purchase price and collected from the consumer or purchaser; (d) Such part of the sale price of property returned by purchasers upon rescission of the contract of sale as is refunded either in cash or by credit; (e) Amounts collected for others where the business is acting as an agent or trustee to the extent that such amounts are paid to those for whom collected, provided the agent or trustee has furnished the collector with the names and addresses of the others and the amounts paid to them, other than amounts received as commissions or fees earned, or charges of any character made or compensation of any character received for the performance of any service as agent or trustee, provided that any agent or trustee dealing in stocks or other similar written instruments evidencing a right to participate in the assets of any business, or dealing in bonds or other evidences of indebtedness, who also deals in such property as a principal, shall include in the gross receipts by which the tax is measured the amount of his or her trading profits resulting therefrom. No deduction from receipts attributable to trading as a principal shall be made unless such deduction is provided for in this section; (f) The difference between the balance owed and paid on a defaulted purchase or finance contract upon repossession by seller and the amount received from resale of the repossessed article by the repossessing seller; (g) Receipts of refundable deposits, except that refundable deposits forfeited and taken into income of the business shall not be excluded; Page 3 11 A-5 (h) As to alcoholic beverages, that portion of the receipts of a manufacturer, transporter, retailer or wholesale distributor generated or otherwise collected from the manufacture, transport, retail or wholesale of intoxicating liquors within the state pursuant to Article XX, Section 22 of the State Constitution; (i) As to a retail gasoline dealer, a portion of his or her receipts from the sale of motor vehicle fuels equal to the motor vehicle fuel license tax imposed by and previously paid under the provisions of Part 2 of Division 2 of the State Revenue and Taxation Code, as the same now exists or as hereafter amended; (j) As to a retail gasoline dealer, the special motor fuel tax imposed by Section 4041 of Title 26 of the United States Code, as the same now exists or as hereafter amended, if paid by the dealer or collected by him or her from the purchaser; (k) Cash value of sales, trades, transfers or other transactions as made between separate departments, divisions or units of any single business entity; (1) Sales for convenience where sales of new goods, wares or merchandise are made by a person engaged in selling such articles to another person engaged in selling like or similar articles: (1) Where the primary purpose of the particular transaction of sale is to accommodate the purchaser rather than to make a sale in the ordinary course of business and the price paid is essentially the book value of the article; (2) Where, in the particular kind of business involved, a similar manner of dealing is frequent or customary in the circumstances under which the particular sale is made; and (3) Where goods, wares or merchandise of like or similar kind and of substantially equivalent value to that which was sold is received in consideration. As to general contractors and other similar businesses, "gross receipts" shall not include that portion of the receipts of a general contractor which represents payments to subcontractors, provided that such subcontractors are licensed under this chapter and provided the general contractor furnishes the collector upon request with the names and addresses of the subcontractors and the amounts paid to them. As to bail bond brokerages, commission agent brokerages, mortgage brokerages, real estate brokerages, securities brokerages, travel agencies, and other Page 4 11 A-6 similar businesses employing agents, brokers and/or commissioned employees, "gross receipts" shall include the total gross commissions or other receipts attributable to the local office, agents, brokers and/or employees. As to accountants, architects, attorneys, chiropractors, doctors, dentists, optometrists, podiatrists, psychologists, veterinarians and other professionals, either practicing solely or in partnership or as a professional corporation, "gross receipts" shall include the total gross fees or other receipts attributable to services performed or otherwise rendered within the city. As to other persons having a fixed place of business within the city and providing a service or plying an occupation or trade or involved in similar businesses, "gross receipts" shall include the total fees, commissions or other receipts attributable to that local location and/or employees. As to a business established outside the city but maintaining a local office or establishment or facility, within the city through an agent, broker or employee, "gross receipts" shall include the total sales or receipts attributable to the local office or establishment or facility, agent, broker or employee. As to a business established outside the city but transacting and carrying on business within the city, or otherwise performing or rendering services negotiated or contracted for within the city, whether or not by a principal or through an agent or employee, "gross receipts" shall include the total fees, commissions or other receipts attributable to the business activity conducted. As to any business, whether established within or established outside the city, in the event separate sales or receipt records are not maintained for a local office or establishment or facility, agent, broker or employee, or in the event any retailing, wholesaling, manufacturing or processing activity conducted thereat does not generate gross receipts as hereinabove defined, or in the event said local office or establishment or facility, agent, broker or employee is engaged in providing administrative or management related services, to include, but not limited to, record keeping, data processing, research and development, advertising, public relations, personnel administration or legal services, in connection with sales or services performed or rendered elsewhere, the business tax shall be based upon an amount which bears the same proportion to the total gross receipts of the business which cost of maintaining said local office, facility, local agent, broker or employee bears to the total cost of maintaining said business. Alternatively, at the election of an applicant or licensee, the business tax may be based on an amount equivalent to the cost of maintaining said business without reference to the total gross receipts of the business. As used herein the phrase "cost of maintaining said business" shall have the same meaning as "cost of doing business". Page 5 11 A-7 Person shall include, without limitation, all domestic and foreign corporations of any kind, all firms and companies (holding, joint stock, private, public, parent, pass-through, professional, operating, operating property, non-profit, subordinate and subsidiary), partnerships of every kind including but not limited to (general partnerships, limited partnerships, master limited partnerships, limited liability partnerships, limited liability limited partnerships, professional partnerships, and publically traded partnerships), private trusts, Massachusetts business or common law trusts, real estate investment trusts, royalty trusts, estates, associations, syndicates, clubs, joint ventures, unincorporated business organizations, limited liability companies of every kind including but not limited to (sole member limited liability companies, multi member limited liability companies, non- profit limited liability companies, and series limited liability companies), cooperatives, all other types of business entities defined or authorized under federal and state laws, receivers, trustees, guardians or other representatives appointed by order of any court, and any natural individuals transacting and carrying on any business in the city other than as an employee. Transact and carry on means to repeat, or intend to repeat, or to continue and includes: (a) The maintaining, operating, managing or being in control of, or right to make use of directly or remotely, any office, store, warehouse, factory, establishment, premises, location or place: (1) Having one or more telephones listed for any business activity in any classified telephone directory or in the classified section of any consolidated telephone directory, or in any combined online directory or internet/web based listing service, (2) Having computers or other computing devices used to maintain one or more internet websites or webpages or maintaining internet/web based advertising, (3) Having in use in connection with any business one or more counters, desks, chairs, tables, filing cabinets, typewriters, adding or calculating machines, computers, servers, printers, scanners, fax machines or other articles of office equipment, (4) At, from, or in which any processing, manufacturing, supervising, administration, management, research, sales or sales promotion, peddling, solicitation, warehousing, distributing, routing, delivery, mail or package receipt, recycling, dispatching, billing, collection, accounting, computing, product development, software development, testing, storage, record-keeping or other activity is conducted in connection with any business, Page 6 11 A-8 (5) In or at which one or more persons may, for any valuable consideration intended to result, or that results, in any livelihood, financial profit or commercial gain to any person, receive any instruction, advice, treatment or examination, or any service upon their person, or any repair, refinishing, renewing, cleaning, or other improvement to, or of, any personal property, (6) In which any letter, announcement, advertisement, circular, handbill, newspaper, agreement, contract, instruction, legal instrument, government required registration, permit or license, tax filing statement, financial statement, statement of account, financial record, or any other instrument or record is written, printed, reproduced, published, prepared or kept in connection with any business, (7) From which any circular, handbill, newspaper, announcement, statement of account, card or letter is sent or distributed, in writing, or any contract is made, in person or by telephone, in connection with any business, (8) Upon any exterior side, wall, window, door, roof or other portion, or in the proximity of which, there is maintained any sign, lettering, announcement or advertisement indicating that such office or place is one in, at or from which any article exists, or any act is performed in connection with any business; (b) The repeated or continuous offering, or contracting, orally or in writing, in connection with any business: (1) To sell or rent one or more articles, or one or more rooms, apartments, portions or parcels of any real or personal property, or (2) To transport any person or personal property, or (3) To perform any service; (c) In connection with any business, the repeated or continuous: (1) Sale or renting of one or more articles or parcels of real or personal property, or (2) The transporting of any person or property, or (3) The performance of any service; Page 7 11 A-9 (d) The repeated parking, servicing, replenishing or maintaining of any delivery vehicle, catering truck, junk collection vehicle, pushcart or wagon within the city, whether or not on the premises of another, when done in connection with the permanent painting or inscribing or affixing of said address on the surface of said pushcart, vehicle or wagon; (e) The performance, in connection with any business, of any single act, with intent to repeat or continue the performance of such act. SECTION 4: That section 21-3 [Definitions-Specific. definition of "Service fee'] be added to Chapter 21 of the Santa Ana Municipal Code to hereby read as follows [new language in bold]: Service fee shall mean a fixed fee, specified by resolution of the city council, which is intended solely to cover the reasonable administrative costs incurred in redeeming dishonored or stopped payments, in performing audits, collections, inspections, investigations, and the administrative enforcement of this chapter and adjudication thereof. SECTION 5: That sections 21-12, 21-16, 21-25, 21-41, 21-43, 21-44, 21-49, 21- 60, 21-64, 21-83, 21-85, 21-100, 21-115, 21-122, 21-123, 21-124, 21-125 of Chapter 21 of the Santa Ana Municipal Code are hereby amended and shall read as follows [new language in bold, deleted language in Wit]: Sec. 21-12. Association with local business or governmental agency; disclosure of associated businesses and independent contractors. Any person who shall associate with any local business or governmental agency, whether or not on a temporary basis, shall not be relieved from the provisions of this chapter and shall be required to pay the appropriate business license tax as specified in this chapter. Nothing in this chapter shall be deemed or construed to relieve any such person from the provisions of this chapter by virtue of any exemption provided to any local business pursuant to this chapter or any exemption or exclusion applicable to any agency, instrumentality, or political subdivision of the state or of the United States, or any exemption or exclusion otherwise arising out of the constitution or applicable statutes of the United States or the state. (a) Definitions. As used in this section, the following phrases shall have the meaning hereinafter set forth: (1) The phrase "local business" as used in this section shall be defined as including all persons transacting and carrying on business from any fixed Page 8 11A-10 place of business within the city other than as an employee. In addition, the phrase "local business" shall include all leaseholder-lessors and owner-lessors of commercial or residential real estate within the city. (2) The phrase "governmental agency" as used in this section shall be defined as including every agency, instrumentality, or political subdivision of the state or of the United States. (3) The phrase "associate with" as used in this section shall be defined to mean the transacting and carrying on, by any other person, of business on the premises owned, controlled, or managed by said local business or governmental agency, whether as a tenant of, in connection with, or as an affiliate of, or as an adjunct to, or in the name of said local business or governmental agency, or whether as a building management agent, or property management agent, or independent general operating agent or manager for said local business or governmental agency, or whether as an outside business or an independent contractor performing services for said local business or governmental agency. (b) Application. In the case of a local business which is a partnership or joint venture, the phrase "associate with" shall not include the business transacted and carried on by a general partner in connection with the general partnership or by a joint venturer in connection with the joint venture. In the case of a local business which is a corporation, the phrase "associate with" shall include any business transacted and carried on by a subordinate or subsidiary corporation or holding company, pass-through entity or trust. For all local businesses, the phrase "associate with" shall include the maintaining on the premises of the local business of any principle executive or other business office as required in connection with the registration of any business entity address with the California Secretary of State for any actively registered corporation, limited liability company, limited partnership, or limited liability partnership under the California Corporations Code as the same now exists or as may be hereafter amended from time-to-time. In the case of a local business which is a leaseholder-lessor or owner-lessor of commercial or residential real estate within the city, the phrase "associate with" shall include any business transacted and carried on by an independent resident property manager, independent building manager, independent property agent or independent building agent, whether or not such independent manager or agent is also a tenant of said property. Such independent manager or agent shall be required to obtain a separate business license. In the case of a local business which is a tenant of a commercial premises and a party to a lease-back agreement or other similar agreement involving said commercial real estate in which the ownership identities of both parties to the agreement are identical, but the legal entities are distinct, the phrase "associate with" shall include any such business transacted by the owner-lessor or Page 9 11A-11 leaseholder-lessor of said commercial real estate. Such owner-lessor or leaseholder-lessor shall be required to obtain a separate business license and shall be subject to all the requirements of this chapter. (c) Disclosure. (1) Every local business, and any person acting as their agent, shall upon request by the collector, provide the names and addresses of all persons who lease, rent or maintain space, mailboxes, coin-operated machines or devices, or in any other manner transact and carry-on business, or occupy or maintain a business presence on the premises owned, controlled, or managed by said local business. In addition, every local business, and any person acting as their agent, shall upon request by the collector, provide the names and addresses of all persons, whether or not located within the city, who are contracted to perform, or who regularly do perform services on the premises owned, controlled, or managed by said local business. (2) Every person engaged in the rental of residential real estate within the city, every condominium or homeowner association within the city, and all property management services acting as their agents, shall upon request by the collector, provide the names and addresses of all persons who have been granted permission to engage in business activity on the premises owned, controlled, or managed by them. In addition thereto, all condominium or homeowner associations within the city and all property management services acting as their agents, shall upon request by the collector, provide the names, property addresses, and mailing addresses of all owners engaged in the rental of any residential real estate, under their control or management. (3) Every person engaged in the rental of commercial real estate within the city, and all property management services acting as their agents, shall, at the time the license required by this chapter is applied for and thereafter annually at the time of the renewal of their license for the rental of commercial real estate, or at such other time as the collector in his or discretion may set, provide to the collector a list of (i) the names and addresses of all tenants (including subtenants) occupying the commercial real estate property licensed; and (ii) the names and addresses of all persons, whether or not located within the city, who are contracted to perform, or who regularly do perform services on the licensed premises owned, controlled, or managed by said commercial real estate rental licensee or commercial real estate management agent. (d) Disclosure requirements - authority to vary. To effectively implement the intent of the disclosure provisions of this section, the collector may vary the strict requirements of subsection (c) above to accommodate the regular record Pae10 1 1-12 keeping and business practices of persons subject to the disclosure requirement and also to facilitate ease of administration by the collector. (e) Confidentiality. All information received by the collector pursuant to this section shall remain confidential and shall be used solely for the purposes of administering the city's business license tax and shall not be maintained by the city as part of the public record. Sec. 21-16. Evidence of doing business. (a) When any person shall by use of signs, circulars, cards, business letterhead, telephone books, newspapers, billboards, trade publications, electronic telephone or business directories, internet advertisement, or websites, advertise, holdout, or represent that such person is in business in the city; or when any person has registered and published a Fictitious Name Statement registered to an address in the city, or holds or has been issued an active State Board of Equalization Permit, or holds any other active licenses, permits, certificates or registrations issued by a governmental agency (including but not limited to: Federal or State Employer Identification Numbers, or registration with the California Secretary of State as a corporation, limited partnership, limited liability partnership, or limited liability company) indicating that such person is in business within the city, or maintains a post office box under a business name registered to any address within the city, or when any person files federal income tax or state franchise tax statements reporting business income within the city or claiming business office deductions or business expense deductions for a commercially located or home-based business in the city, or gives other evidence of transacting and carrying on business as may be defined elsewhere under the terms of this chapter and such person fails to deny in a sworn statement given to the collector that such person is "engaged in business" within the city, or fails to assert and document that such person is "exempted" or otherwise "excluded" from the requirement to pay a business license tax, after being requested to do so by the collector, then these facts shall be considered prima facie evidence that such person is conducting a business in the city. (b) When any municipal utility records indicate that the occupant of any commercial real estate within the city is a person other than the person indicated by county assessor or county recorder records to be the owner of such property, or when any utility records indicate that the occupant of any residential real estate within the city is a person other than the person indicated by county assessor or county recorder records to be the owner of such property, or when the county assessor or county recorder records indicate that any person owning residential real estate within the city does not claim a homeowner's exemption for said property and receives their property tax notification for said property at another residence location, and such person fails to deny in a sworn statement given to the collector that such person is engaged in the "rental of residential real estate" within the city, or fails to assert and document that such person is "exempted" or otherwise "excluded" from the requirement to pay a business license tax, after being requested to do so by the collector, then these facts shall be considered prima facie evidence that such person is conducting a business in the city. Page 11 11A-13 Sec. 21-25. Original delinquency penalty; conducting a business without first having procured a license; effect - Voluntary compliance; effect - Abatement of penalty; application -Violation; misdemeanor. (a) Any person who shall commence, engage, transact and carry on any trade, calling, profession, occupation or business within the city without first having procured the required business license from the city to do so, shall be assessed a penalty of fifty (50) per cent of the amount of the license tax owing, which amount shall be separately calculated for each successive license period beginning with the calendar month in which the commencement of business activity within the city began, and ending with the expiration of the current annual licensing period. Provided, however, that the start of such period shall not exceed three (3) years prior to the date of notification of violation. Such penalty to be collected, and the amount thereof to be enforced, in the same manner as all other business license taxes are collected and the payment thereof enforced. (b) Where any person is in arrears for business license taxes under subsection (a) above, owed for the rental of residential or commercial real estate within the city, or owed for a business which is conducted solely from a home residence within the city, the penalties imposed under subsection (a) shall be abated in accordance with subsection (f) below if the tax is paid by the last day of the calendar month following the month in which such person was given notice of the requirement to obtain a city business license; otherwise penalties shall accrue as in the case of any other business. (c) Where any person occupying a commercial premises as a tenant or subtenant is in arrears for business license taxes under subsection (a) above, and has been reported to the collector pursuant to section 21-12, the penalties imposed under subsection (a) shall be abated in accordance with subsection (f) below if the tax is paid by the last day of the calendar month following the month in which such person was given notice of the requirement to obtain a city business license; otherwise penalties shall accrue as in the case of any other business. (d) Where any person, whether or not located within the city, is contracted to perform, or regularly does perform services on the premises owned, controlled, or managed by a local business as defined in section 21-12 and is in arrears for business license taxes under subsection (a) above, and has been reported to the collector pursuant to section 21-12, the penalties imposed under subsection (a) shall be abated in accordance with subsection (f) below if the tax is paid by the last day of the calendar month following the month in which such person was given notice of the requirement to obtain a city business license, otherwise penalties shall accrue as in the case of any other business. (e) Where any person is otherwise in arrears for business license taxes under subsection (a) above, the penalties imposed under subsection (a) shall be abated in accordance with subsection (f) below if such person voluntarily applies for the required Page 12 11A-14 business license and pays the business license tax owing in arrears; otherwise penalties shall accrue as in the case of any other business. (f) In all cases where the provisions of this section provide for the abatement of penalties imposed under subsection (a), the amount owing in arrears and the amount of the accrued penalties shall be abated until the combined amount of tax and penalty due is equalized to an amount equivalent to the amount of current and prior years' taxes owing as computed or determined based upon the business license tax rates in effect for the most current tax year. (g) In determining the amount of penalty due for any person for whom an initial license period gross receipts in lieu deposit is required in accordance with sections 21- 117, 21-118 or 21-118.1 the collector shall compute and apply the penalty due at the time that such person's initial period gross receipts report is filed and computed in accordance with section 21-117(c). (h) However, no abatement of penalties or interest shall be permitted under this section in any case where such person concurrently holds or has previously held a city business license or previously been given notice of said requirement with regard to any business activity engaged in or conducted within the city. (i) When any person is determined to be liable for delinquent business license taxes and such person fails to properly procure the correct business license after being given notice to do so, the collector shall determine the amount of delinquent business license taxes owed in accordance with section 21-41. Penalties thereon shall be accrued as applicable in accordance with this section. In determining the amount of tax due for any business for whom the gross receipts of such business is made the basis for fixing the amount of such business license the collector may base such determination upon an average of the reported gross receipts of like businesses, similarly classified. Q) Any person required to obtain a city business license under the terms of this chapter having been given notice of the requirement to obtain a city business license under the terms of this section, whether by personal service, or by a notice conspicuously posted upon the premises of such person's business, or by notice given through the United States mail, who has not paid said business license tax or otherwise obtained a valid business license, or applied for exemption therefrom and who has not applied for, or who is not undergoing the process of a hearing or appeal pursuant to section 21-41 or Chapter 3 of this Code shall be deemed guilty of a misdemeanor violation. For the misdemeanor violation provision of this section to apply, notice, when given by United States mail shall be mailed to the responsible person by certified mail, postage prepaid with a requested return receipt. Simultaneously, the notice may be sent by first class mail. If the notice is sent by certified mail and the return receipt is returned unsigned or refused, then service of notice shall be deemed effective pursuant to first class mail, provided the notice sent by first class mail is not returned. Page 13 11A-15 Sec. 21-41. Collector; assessment of tax, penalties, interest, charges (including service fees), determination of classification; notification of violation; right to hearing; hearing service fee deposit. (a) The collector shall determine the amount of license tax due, together with any penalties, interest, charges (including service fees) that may be due and payable and/or the proper classification for a business by means of such information as he or she may be able to obtain in the event: (1) Any person fails to properly procure the correct business license prior to doing business in the city; or (2) Any person engaged in transacting and carrying on business within the city fails to renew any business license; or (3) Any person fails to file any required statement within the time prescribed; or (4) If, after demand therefor has been made by the collector, any person fails to file a corrected statement within fifteen (15) days after notification to do so; or (5) It appears to the satisfaction of the collector that a statement filed does not set forth the facts of the business for which a license is required; or (6) If a licensee or an applicant for a license believes that the business is not assigned to the proper classification because of circumstances peculiar to it. (b) In the case where such determination is made, the collector shall give notice of the amount so assessed, or classification found to be appropriate in the following manner: (1) By serving it personally, or causing it to be served personally by a duly authorized agent; or (2) By depositing it in the United States Mail, postage prepaid addressed to the person so assessed at their address of record. (c) Any person receiving a determination made by the collector pursuant to this section regarding the amount of tax owed, or classification found to be appropriate, may, within fifteen (15) days after the serving or mailing of such notice, make application in writing to the collector for an administrative hearing, hereinafter ("hearing") by completing and filing a "request for hearing" form with the collector. Request for hearing forms shall be made available in the office of the Director of Finance and Clerk of the City Council. A failure to file a timely "request for hearing" form shall be deemed a waiver of the right of appeal. Provided, further that any person seeking a hearing under this section shall first Page 14 11A-16 deposit with the collector a hearing service fee to be specified by resolution of the city council to cover the city's cost in providing an administrative hearing officer, hereinafter ("hearing officer"). (d) All hearings conducted pursuant to this section shall be heard by the same hearing officer who has been appointed by the Santa Ana City Manager pursuant to section 1-28.8 of this code. (e) Hearing procedures for hearings conducted pursuant to this section shall be as follows: (1) No hearing to contest a determination of the collector before a hearing officer shall be held unless and until a timely "request for hearing" form has been completed and filed with the collector, and (2) After receipt of the "request for hearing" form and deposit of the hearing service fee, a hearing before the hearing officer shall be set for a date that is not less than fifteen (15) and not more than sixty (60) days from the date that the "request for hearing" is filed in accordance with the provisions of this section. The person requesting the hearing shall be notified at least (10) days prior to the date of the hearing. The failure of any person to appear at the hearing shall constitute a forfeiture of the administrative hearing service fee deposit and shall be a bar to judicial review of the hearing officer decision based upon failure to exhaust administrative remedies. (3) At such hearing the person may appear and offer evidence why the collector's specified tax amount should not be fixed as the license tax amount or why such classification prescribed by the collector as the applicable tax classification should not be fixed. Formal rules of evidence shall not apply. (4) Upon request, the person requesting the hearing shall be provided with reports and other documents relied upon by the collector in making his or her determination. In addition, if the collector, duly authorized revenue officer, or other individual appearing at the hearing as the agent of the collector submits any additional written reports to the hearing officer for consideration at the hearing, then a copy of said documentation shall also be served by mail on the person requesting the hearing. (5) The hearing officer may continue the hearing and request additional information from the collector prior to issuing a written decision. (6) After such hearing, the hearing officer shall determine the proper tax to be charged or classification prescribed and shall forthwith give Page 15 11A-17 written notice to the person requesting the hearing in the manner prescribed herein of such determination and the amount of such tax. (f) Hearing officer's decision. After considering all of the testimony and evidence submitted at the hearing, the hearing officer may immediately issue a verbal decision or may issue a written decision within fifteen (15) days of the hearing. The decision shall include the reasons for the decision and such decision shall be final. (g) If the hearing officer fixes the amount of the tax, penalty, interest, charges, service fees or the tax classification in accordance with the original written determination of the collector, then the amount as finally determined shall be immediately due and payable and/or the classification shall be immediately applicable, and the hearing service fee shall be forfeit. If the hearing officer determines the amount of the tax, penalty, interest, charges, service fees or the tax classification to be applicable in accordance with the original statement of the person requesting the hearing then the amount due and payable and/or the classification applicable shall be as set forth in such person's original statement and the collector shall refund the hearing service fee deposit. If the hearing officer fixes the amount of the tax, penalty, interest, charges, service fees and/or the tax classification to be applied in some other manner the hearing officer shall also make a written determination as to fixing the amount of tax, penalty, interest, charges, service fees and/or the tax classification applicable and shall indicate the disposition of the hearing service fee deposit. (h) Any person who is aggrieved by the decision of the hearing officer may obtain judicial review of such decision in the manner provided under section 1-21.9 of this code. (i) In the event no application for a hearing is filed within the time prescribed, the decision of the collector shall become final and conclusive on expiration of the time herein fixed for hearing and shall render any subsequent appeal null and void and shall further act as a waiver against future action. 0) Notwithstanding any other provision contained in this chapter or any other provision contained in this code to the contrary, any person voluntarily tendering payment of any license tax, interest, or penalties to the city pursuant to any provision of this chapter shall for all purposes thereafter be precluded and barred from appealing, contesting or otherwise challenging the validity or amount of any such tax, interest or penalties pursuant to any otherwise available procedure set forth in this chapter, or otherwise available by law, unless said payment is made under written protest to the city. Said written protest shall be deemed made for the purposes of this chapter only by one of the following methods: (1) a written notation set forth on the check, draft, money order, or other negotiable instrument by which payment is tendered, indicating that such payment is made under protest; or (2) a written notice addressed and delivered to the collector at the time of payment indicating that such payment is made under protest. Provided, however, that this subsection shall not bar a request for refunds authorized pursuant to section 21-87 of this chapter. Page 16 11A-18 Sec. 21-43. Collector; extension of time for filing - compromise of claims; waiver of claims. (a) The collector shall have the power to extend the time for filing any required application, affidavit, statement or report and remitting of any taxes or other monies owing for a period of up to six (6) months. In connection with that authority the collector shall also have the power to extend the time for giving notification of tax renewal and to extend the time that any previously issued license shall remain valid. The collector may in his or her discretion exercise this authority on a case-by-case basis in connection with any individual applicant or licensee, or other individual person subject to the requirements of this chapter. The collector may also exercise this authority on a class- by-class basis in connection with any category, class or subclass of assessment or any category, class or subclass of applicants, licensees, or other persons subject to the requirements of this chapter, or any persons subject to any applicable business license tax surcharge or surtax or other business license related assessment or fee required or authorized under the general laws of the state. (b) The collector shall have the further power, for good cause shown, to compromise any claim, or class of claims, as to the amount demanded or owing. (c) The collector, shall have the further authority to settle, discontinue, or waive the collection of any claim, or class of claims, for good cause shown, or if it appears that further proceedings would be without merit, or if the administrative or legal cost therefor would be excessive, or if the amount of the claim in question is de minimus. A claim, or class of claims, shall be deemed to be de minimus whenever the total amount of the claim is determined by the collector to be equal to or less than the total anticipated administrative costs associated with collecting said amount. The collector may in his or her discretion determine this amount on a case-by-case basis or on a class-by-class basis. In accordance with section 21-42 the collector may adopt administrative rules, regulations, and guidelines, relating to the settlement, discontinuance, or waiver of claims arising pursuant to this chapter. (d) In connection with the exercise of the power and authority hereinabove provided to the collector, he or she in their discretion, shall have the right to allow the payment of any taxes or other monies owed to the city by installment without penalty, interest or other administrative charge on a case-by-case basis or class-by-class basis. In accordance with section 21-42 the collector may adopt administrative rules, regulations, and guidelines, relating to the acceptance of installment payments. (e) Moreover, to effectively implement the intent of the general provisions of this chapter the collector in his or her discretion may vary the strict procedural, enforcement, deposit, or other administrative requirements of this chapter on a case-by-case or class- by-class basis in any manner. Sec. 21-44. Collector; additional power. 11X-19 In addition to all other powers conferred upon him or her, the collector shall have the power, for good cause shown, to waive or reduce any penalty or late interest imposed, or deposit, or charge, or service fee demanded. Sec. 21-49. Business licensing - Specified exclusions. Except as may be otherwise specifically provided in this chapter, the terms hereof shall not be deemed to apply or construed to require the payment of a license tax by any of the following persons: (1) Any public utility making franchise payments to the city, except to the extent said public utility engages in retail sales or services within the city not covered or otherwise authorized by such franchise, (2) Banks, including national banking associations, federal credit unions, and financial corporations, to the extent that a city may not levy a license tax upon them under the provisions of Article XIII, Section 27 of the State Constitution. (3) Insurance companies or associations engaged in the sale and servicing of insurance and their direct agents, including bailbond agents and life agents, but not including brokers or bailbond brokers or life and disability insurance analysts or insurance solicitors to the extent that a city may not levy a license tax upon them under the provisions of Article XIII, Section 28 of the State Constitution. (4) Any governmental agency or subdivision and the employees thereof, to the extent they are engaged in the business of such governmental agencies or subdivisions. (5) Any state alcoholic beverage licensee engaged in the manufacture, sale, purchase, possession, or transportation of alcoholic beverages within the state to the extent that a city may not levy a license tax upon them under provisions of Article XX, Section 22 of the State Constitution. Sec. 21-60. Application; autoregistration - service fee. Before any license is issued, the applicant shall make a written application to the collector, which shall contain the following information: (1) The exact nature or kind of business, profession, show, exhibition, game, occupation or enterprise for which the license is requested; (2) The place where such business, profession, show, exhibition, or enterprise is to be carried on; and if the same is not to be carried on at any permanent place of business, the residence address, identified as such, of Pa 11 d-20 the owners of the same; (3) The address where the applicant shall consent to receive mail concerning the license applied for; (4) Where any person contracts, sells or delivers any goods, wares or merchandise in the city for which sales or use tax is payable, the application shall set for the appropriate California State Board of Equalization permit number; (5) Where any person employs others in the course of such business the application shall set forth the appropriate federal and/or state employer identification number; (6) Where any person conducting any business is self-employed, or is conducting business as a spouse or joint-owner or in any other capacity not requiring a federal and/or state employer identification number the application shall set forth the social security number of the applicant(s). Where any such applicant is not in possession of a social security number the collector in his or her discretion may accept another form of personal identification sufficient to properly identify such applicant; (7) In the event that the application is made for the issuance of a license to a person doing business under a fictitious name, the application shall set forth the names and places of residence of those owning said business or enterprise; (8) In the event that the application is made for the issuance of a license to a person doing business as a state licensed contractor, the application shall set forth the applicant's state contractor's license number and specialty classification, (9) In all cases where the amount of tax to be paid is based upon the number of persons employed, or upon the number of vehicles used, or upon the number of rental units in any building or structure, or upon the seating capacity of any auditorium, stadium or enclosure, or upon the number of coin-operated machines or devices, or upon any amount or number which furnishes the basis for determination of the license tax for the particular business referred to in the application, such items must be stated on the application; provided that a newly established business shall make a true estimate or statement of such information and the business tax shall be based upon said estimation and shall be paid at the time such license is issued; (10) Any further information which the collector may require to enable him or her to issue the type of license applied for; Pae19 11 -21 (11) Any further information which the state may require, or any further information which the collector may deem necessary to properly identify the applicant. (12) A signed statement made under penalty of perjury that the statements therein are true and correct, which statement shall be required to be filed with the collector upon submission of any original license application, annual renewal statement, miscellaneous supplementary statement, or other return or filing. Each such declaration of truth of application or statement shall have included therein, or attached thereto, a certification or declaration, which shall be substantially in the following form: I declare, under penalty of perjury, that this application, return or statement (including any accompanying schedules, statements, and supporting data) has been examined by me, and, to the best of my knowledge, information, and belief, is a full true and correct application, return, or statement and I accordingly so represent. (Signature of Owner, or Partner, or (Date) Officer of Corporation, or Other Authorized Agent or Representative of an of the above said same) (13) In the case of applications submitted via email, the collector in his or her discretion may accept a facsimile copy of the applicant's signature; (14) In the case of applications submitted via other electronic means, the collector in his or her discretion may accept a digital signature or other unique personal identification number (PIN) verification. All information specified to be set forth on any application form prescribed by the collector shall be submitted completely and accurately and the license shall be deemed based upon the information submitted and represented. The collector shall not be required to receive or consider, any application, return or statement unless the above quoted declaration, in substantially the form hereinabove set forth, is contained therein or attached thereto and properly executed by the applicant or the authorized agent or representative of the applicant, and it is unlawful and shall be deemed a misdemeanor in any such application, return or statement for such applicant or authorized agent or representative of the applicant to make any statement which is false or which is contrary to the declaration or representation made in the above quoted form. Any license shall be deemed based upon the application on file, and if the information is incomplete or inaccurate, the license shall be deemed invalid. If information submitted in an application subsequently becomes incomplete or inaccurate by reason of a change in circumstances, the license shall thereafter be deemed invalid. Page 20 11 A-22 Upon the collector's learning of any inaccuracy or incompleteness, notice shall be given forthwith to the licensee, at the address shown on the license where the licensee consented to receive information concerning his or her license, that the license is invalid and requesting the licensee to reapply for a re-validated license within thirty (30) days. Upon the licensee's successful application for a re-validated license within the period hereinabove set the collector shall apply pro rata to the re-validated license the remainder of the sum originally paid by the licensee. Upon the licensee's failure to make successful application for a re-validated license within the period hereinabove set the collector shall give notice forthwith pursuant to section 21-86 that the licensee's license is hereby suspended. Thereafter, upon denial of licensee's appeal it shall be revoked whereupon the licensee's original payment shall be forfeit. Any person refusing or failing to make application or to provide information required shall be assessed an amount pursuant to section 21-41, and shall be in violation of this chapter. The collector, upon making an assessment pursuant to section 21-41, may in his or her discretion autoregister a license account in the name of any such person for purposes of assessing business license taxes, penalties, interest, charges, and service fees as applicable. Whenever the collector shall cause a license account to be registered an autoregistration service fee shall be applicable in the amount as specified by resolution of the city council. Sec. 21-64. How and when payable; effect of dishonored instrument; return payment service fee. All business license taxes or deposits in lieu thereof due hereunder shall be paid in advance, in lawful money of the United States, or by check, draft or other instrument in the discretion of the collector, at the office of the collector in the finance department of the city. No business license shall be issued or renewed until the amount due and payable has been paid in full. Any license, the fee for which has been paid by an instrument such as a check, or draft which is dishonored upon presentation for payment, shall be void and of no effect from its inception. The collector, may, in his or her discretion, withhold the effect of this provision if the fee is paid within fifteen (15) days. Payment of license fees following a dishonor of such instrument upon presentation for payment shall thereafter be made only by cashier's check, money order or cash, which fee shall include any applicable penalty, as well as a return payment service fee in the amount as specified by resolution of the city council for such dishonored instrument. The collector shall be authorized to reject payment other than by cash, cashier's check or money order from such licensee for a period of two (2) years following any such dishonor. Sec. 21-83. Penalties for past due delinquency; application - Minor errors in payments; acceptance. 21 PX-23 11 (a) For failure to fully pay any business license renewal tax amount when due, the collector shall add the following penalties: (1) Ten dollars ($10.00) or ten (10) percent of the unpaid balance of said amount, whichever is greater, on the past due date thereof, (2) Fifteen dollars ($15.00) or fifteen (15) per cent of the unpaid balance of said amount, whichever is greater, on the first day of the second month after the due date thereof; (3) Twenty-five dollars ($25.00) or twenty-five (25) per cent of the unpaid balance of said amount, whichever is greater, on the first day of the third month after the due date thereof; and (4) Fifty dollars ($50.00) or fifty (50) per cent of the unpaid balance of said amount, whichever is greater, on the first day of the fourth month after the due date thereof; provided that the maximum amount shall not exceed an amount equal to one hundred (100) per cent of the amount of the business license tax due. Notification of delinquent business license taxes will be given by first class United States mail no later than the fifteenth day of each month, until the maximum penalty is imposed; provided that failure to receive such notification shall not exempt the licensee from all requirements under this chapter. (b) In the event a minor discrepancy exists between the amount paid and the amount due under this chapter, arising from a miscalculation on the part of an applicant or licensee, and resulting in an underpayment of the business license tax in an amount not to exceed such amount as is specified by resolution of the city council, the collector may accept and record the underpayment as payment in full without notification to the taxpayer. Sec. 21-85. Same - Interest. In addition to the past due delinquency penalties imposed in section 21-83, any business that fails to remit the tax due shall pay interest at the rate of one (1) per cent per month, or portion thereof, exclusive of penalties, on the amount of the unpaid tax, from the date on which remittance first became delinquent until paid-in-full or otherwise satisfied. Provided however, that pursuant to section 21-84 penalties upon attaining a combined amount equal to one hundred (100) per cent of the amount of the business license tax due are merged with the tax payable hereunder and any additional interest charged from such date on shall be charged the combined amount delinquent until paid. Sec. 21-100. Additional required information. At the time the license required under section 21-98 is applied for, and thereafter annually at the time of the renewal of such license, or at such other time as the collector Page 22 11 A-24 may set, the applicant or licensee shall provide to the collector a list giving the kind or character of machine or device, local business name and street address, and number of machines or devices at each proposed or existing location. Sec. 21-115. Same - Keeping of records; applicability of audit. Section 21-80 shall apply to all statements provided to be filed under section 21- 114; provided however, that the inspection of books and records shall be limited specifically to books and records reflecting the employees and other persons engaged in the business activity. Sec. 21-122. Nonpayment of tax; assessment by lien; recording and enforcement of liens; recording service fee. (a) Recording of a certificate of lien. If any amount, including penalties, interest, and administrative charges required to be paid under this chapter is not paid when due, the collector or any duly authorized revenue officer acting as his or her designated agent, may record or cause to be recorded, in the office of the county recorder(s) of such counties as the collector may determine, a certificate which specifies the amount due, the name and address of the person liable for the same, a statement that the collector has complied with all provisions of this chapter in the determination of the amount required to be paid, and a legal description of the real property owned by such person. From the time of the recording of the certificate, the amount required to be paid together with penalties, interest, and administrative charges owing constitutes a lien upon all real property in the county owned by such person or thereafter acquired before the lien expires. The lien shall have the force, effect and priority of a tax lien and shall continue for ten (10) years from the filing of a certificate unless sooner released or otherwise discharged. (b) Recording service fee. Whenever the collector in his or her discretion determines that the recording of a certificate of lien is desirable to secure and effectuate the collection of any amount required to be paid under the terms of this chapter, then a recording service fee shall be applicable in the amount as specified by resolution of the city council. Sec. 21-123. Reserved. Sec. 21-124. Reserved. Sec. 21-125. Reserved. SECTION 6: That sections numbered 21-80.1, 21-83.1, 21-93.1, 21-118.1, 21- 119.1, 21-119.2, 21-119.3, and 21-120h shall hereby be added to Chapter 21 of the Santa Ana Municipal Code and shall read as follows [new language in bold]: Page 23 11 A-25 Sec. 21-80.1. Same -Audit deficiency; application of penalty and interest; Voluntary compliance; effect - Abatement of penalty and interest; application. In the event that the collector or his or her designated agents, whether through an audit or otherwise, determine that any person has misstated their gross receipts amount or other criteria upon which their current or prior years' business license tax has been calculated resulting in an underpayment of the tax amount owed, the collector shall separately calculate the deficiency for each distinct license period affected and issue a statement of tax deficiency and add delinquency penalties as applicable to the amount of the tax deficiency in accordance with section 21-25, subsection (a) and section 21-83, subsection (a), together with interest as provided under sections 21-84 and 21-85, as applicable, until such time as the tax deficiency together with the accrued penalties and interest, are satisfied. Provided, however, that where any person voluntarily reports a tax deficiency such person's penalty and interest assessment on said deficiency shall be abated until the combined amount of tax, penalty and interest due is equalized to an amount equivalent to the amount of current and prior years' taxes owing as computed or determined based upon the business license tax rates and charges in effect for the most current tax year. In computing the abatement of accrued penalties and interest to arrive at a combined amount of tax, penalty and interest equivalent to the amount of the current or prior years' taxes owing as computed or determined based upon the business license tax rates in effect for the most current tax year the collector in his or her discretion may retain a sufficient amount of accrued penalty alone, or a sufficient amount of accrued interest alone, or any sufficient combination of accrued penalty amount and accrued interest amount necessary. Whenever the result of any audit performed pursuant to this chapter determines that any licensee has, exclusive of penalties and interest, underpaid the amount of their business license tax by ten (10) per cent or more of the total amount due, but not less than two hundred fifty dollars ($250), then an audit service fee in an amount as specified by resolution of the city council shall be applied. Sec. 21-83.1. Partial payment; not construed as meeting requirements of chapter- Installment payments and/or deferral; permitted - Written agreement to satisfy indebtedness; effect. (a) Except as provided in section 21-83, subsection (b), acceptance of any partial payment of business license tax or penalty or interest owing that is less than the amount required under the terms of this chapter shall not be construed as meeting the requirements of this chapter. No license or sticker, decal, tag, plate or symbol shall be issued, nor shall one which has been suspended or revoked be reinstated or reissued, to any person who, at the time of applying therefor, is indebted to the city for any delinquent business tax, unless such person, enters into an acceptable binding written agreement with the city to satisfy said delinquency within one (1) year. With the consent of Page 24 11 A-26 the collector such agreements may be deferred or extended for a period exceeding one (1) year. (b) The execution of any agreement to satisfy delinquent business license taxes by means of installment payments and/or deferral shall not prevent the accrual of penalties and interest as applicable on the unpaid balance as provided under the terms of this chapter. However, such additional penalties as may accrue and the interest on such penalties shall not be applied after the execution of such agreement and the payment of the first installment and during such time as such person shall not be in breach of the agreement. Upon the timely payment of the final installment of the agreement such additional penalties and the interest thereon as may have accrued shall be waived. In any agreement so entered into, such person shall acknowledge the obligation owed the city and agree that, in the event of failure to make timely payment of any installment, the whole amount unpaid, principal together with accrued penalties and interest thereon, shall become immediately due and payable. In the event such person fails within a period of thirty (30) days thereafter to render payment in full, such person's current business license may be revoked by the collector. In the event legal action is brought by the city to enforce collection of any amount included in the agreement, such person shall pay all costs of suit incurred by the city or its assignee, including attorney fees. The execution of such an agreement shall render any subsequent appeal null and void and shall constitute a waiver against future action. Sec. 21-93.1. Enforcement; inspection/collection service fee - application. (a) Whenever any person charged with the duty of enforcing this chapter shall have cause to re-examine, re-inspect, re-investigate, or re-visit a place of business for purposes of enforcing any portion of the business license tax code or to collect any sum owed pursuant to this chapter, a separate inspection/ collection service fee shall be applicable in the amount as specified by resolution of the city council. (b) In the case of a re-examination, re-inspection, re-investigation, or re-visitation of any local place of business pursuant to a violation of this chapter or noncompliance with the business license tax code, a reasonable period of time shall be given to the responsible party to correct the violation or to come into satisfactory compliance with the requirements of this chapter. If the violation or noncompliance necessitating the re- examination, re-inspection, re-investigation, or re-visitation of any local place of business is remedied prior to the expiration of the correction period no inspection/collection service fee shall be imposed. (c) Whenever the collection of the unpaid balance of any business license tax or other amount subject to the enforcement and collection requirements of this chapter is sought by transfer to a collection agency, or any other method of assignment not inconsistent with the provisions of this chapter, a transfer service fee in the amount as specified by resolution of the city council shall also apply. P 25 11 X-27 (d) The collector and his or her authorized agents charged with the duty of enforcing this chapter, may waive the application of the inspection/collection service fee or any other service fee elsewhere established pursuant to the provisions of this chapter, in connection with any satisfactory agreement entered into in accordance with section 21-80.1, or any compromise of claim, or any agreement or settlement entered into pursuant to a court approved stipulation, or for other good cause shown. Sec. 21-118.1. In lieu deposits - election of alternate in lieu deposit. Whenever an applicant for a new business license for whom the gross receipts of such business is made the basis for fixing the amount of such license is required under the terms of sections 21-117 or 21-118 to post a deposit in lieu of payment in advance of their business license tax, said applicant may alternatively elect to post an adjusted deposit amount equal to the amount of their anticipated tax based on an acceptable good-faith estimation of their expected gross receipts. Sec. 21-119.1. Holding companies and pass-through entities - basic rate amount only. Whenever a business entity or other person functions as a holding company or pass-through entity and does not directly generate gross receipts within the city, but otherwise transacts and carries on business within the city, or maintains a business presence in the city, or is registered as a business entity with the California Secretary of State pursuant to the California Corporations Code as the same now exists or as may be hereafter amended from time-to-time with a designated or registered business entity address located in the city, then the business license tax liability of such business entity or person under section 21-119 shall be limited to the applicable basic rate amount only. Sec. 21-119.2. Home-based businesses - alternate tax. (a) Persons liable under the terms of this chapter for gross receipts business license taxes for business conducted from a home residence within the city shall have the right to elect an alternate flat rate business license tax as set forth in section 21-120h of this chapter for home based businesses and home based occupations, in lieu of the gross receipts tax which would otherwise be applicable. Such election shall be made in writing at the time of applicant's original application for a business license or may be made once annually thereafter at the time of licensee's application for a renewal license. (b) Home based businesses and home occupations eligible for election of an alternate flat rate tax assessment shall be deemed to be those businesses or occupations conducted from a home residence in the city whose business or occupational use of said residential premises meets the requirements for a Home Occupation Permit as set forth in sections 41-193.1 through 41-607 of this code as the same now exist or as they may be hereafter amended from time-to-time. Sec. 21-119.3. Election of an alternate tax assessment basis - effect. P) 26 11 V _ In every case where a licensee exercises a right under this chapter to elect an alternate tax assessment basis the effect of said election shall be as follows: (a) In the event an existing licensee elects to convert their annual license assessment to an alternate tax assessment basis with an annual term beginning one or more calendar quarters before the commencement of their pre-existing tax assessment basis and ending one or more calendar quarters after the conclusion of their pre-existing tax assessment basis, then their initial alternate tax assessment shall be subject to a quarterly proration to account for the reduced number of calendar quarters remaining in the term of the newly elected tax assessment. (b) In the event an existing licensee elects to convert their annual license assessment to an alternate tax assessment basis with an annual term beginning one or more calendar quarters after the commencement of their pre- existing tax assessment basis and ending one or more calendar quarters after the conclusion of their pre-existing tax assessment basis, then their pre-existing tax assessment shall be retroactively increased prorata by the number of quarters necessary to account for the quarterly periods remaining between the conclusion of their pre-existing licensing term and the commencement of their alternate tax assessment licensing term. Sec. 21-120h. Home-based businesses, home occupations. HOME-BASED BUSINESS/HOME OCCUPATION .......................................... $165.00 A SECTION 7: The elective alternate flat rate home-based business/home occupation business license tax fee adopted pursuant to Section (6) of this ordinance shall be applicable to any person in arrears for business license taxes related to a home-base business or occupation in the city effective January 1, 2010. The prior payment of business license taxes due for home-based businesses or occupations, by any other person not in arrears for said taxes shall not be deemed to constitute grounds for a request for a refund pursuant section 21-87(c). SECTION 8: That sections 21-3, 21-12, 21-16, 21-41, 21-43, 21-44, 21-49, 21-60, 21-64, 21-80.1, 21-83.1, 21-93.1, 21-100, 21-115, 21-118.1, 21-119.1, 21-119.2, 21- 119.3, 21-120h, 21-122, shall come into full force and effect on the first day of the calendar month following the effective date of this ordinance. To efficiently execute the intent of this ordinance with respect to sections 21-25, 21-83, and 21-85, the collector shall have the authority, in his or her discretion, to vary the strict time table and/or method of implementation of these sections beginning between the first day of the calendar month following the effective date of this ordinance and up to and including June 30, 2013. Notwithstanding this authority, sections 21-25, 21-83, and 21-85, shall come into full force and effect not later than July 1, 2013. 27 PX-29 11 SECTION 9: If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. SECTION 10: 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 tax 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 thereunder appertaining shall continue in full force and effect. Page 28 11 A-30 ADOPTED this day of APPROVED AS TO FORM: Sonia R. Carvalho City Attorney Jose Sandoval Chief Assistant City Attorney AYES: NOES: COUNCILMEMBERS: COUNCILMEMBERS: 2013. Miguel A. Pulido Mayor ABSTAIN: COUNCILMEMBERS: NOT PRESENT: COUNCILMEMBERS: CERTIFICATE OF ORIGINALITY & PUBLICATION I, Maria D. Huizar, Clerk of the Council, do hereby certify the attached Ordinance No. 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 11X31 11 A-32 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2013 TITLE: ORDINANCE SECOND READING: REPEAL ARTICLE XX DISESTABLISHING THE DOWNTOWN COMMUNITY MANAGEMENT DISTRICT CITY MANAGER RECOMMENDED ACTION Place ordinance on second reading and adopt. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1s` Reading ? Ordinance on 2"d Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER On January 22, 2013, the City Council introduced first reading and authorized publication of title for the following Ordinance by a vote of 6-0 (Martinez abstained): ORDINANCE NO. NS-2842 - AN ORDINANCE OF THE CITY OF SANTA ANA REPEALING ARTICLE XX OF CHAPTER 13 OF THE SANTA ANA MUNICIPAL CODE RELATING TO COMMUNITY MANAGEMENT DISTRICTS FISCAL IMPACT There is no fiscal impact associated with this action. Maria D. Huizar, Clerk of the Council ' ATTACHMENT: Ordinance No. NS-2841 11B-1 11 B-2 ORDINANCE NO. NS-XXX AN ORDINANCE OF THE CITY OF SANTA ANA REPEALING ARTICLE XX OF CHAPTER 13 OF THE SANTA ANA MUNICIPAL CODE RELATING TO COMMUNITY MANAGEMENT DISTRICTS THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. Ordinance No. NS-2771 of the Santa Ana Municipal Code relating to the establishment of Community Management Districts is hereby repealed. Section 2. The adoption of this ordinance is exempt from CEQA and a Notice of Exemption will be filed if this ordinance is adopted. Section 3. Chapter 13 of the Santa Ana Municipal Code is hereby amended to delete Article XX in its entirety. ADOPTED this day of , 2012. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: (name) City Attorney 11 B-3 Ordinance No. NS-XXX 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-XXX Page 2 11 B-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2013 TITLE: QUARTERLY REPORT OF INVESTMENTS AS OF DECEMBER 31, 2012 f 1 n,CITY MANAGER RECOMMENDED ACTION Receive and file. DISCUSSION APPROVED ? As Recommended ? As Amended ? Ordinance on 1" Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER In 1995, the State of California enacted legislation revising the reporting requirements relative to investment of funds by governmental agencies. These requirements, which became effective on January 1, 1996, mandate that a statement outlining the ability of the City to meet the budgeted expenditures for the subsequent six months be submitted to the City Council on a quarterly basis. The legislation dictates that this quarterly report contain the seven major elements listed below: • Type of investments, • Date of maturity, • Par and dollar amounts invested in each security, • Weighted average maturity of the investments, • Market value as of the date of the report, • Source of the market value information, and • Any funds, investments or programs, including loans, under the management of contracted parties. State statutes require that a quarterly report be presented at a Council meeting; however, our office continues to provide this information monthly. The information is in compliance with State law and the City's Investment Policy. The attached report (Exhibit 1) accurately reflects all pooled investments held on behalf of the City as of December 31, 2012. CLERK OF COUNCIL USE ONLY: 19C-1 Quarterly Report of Investments February 4, 2013 Page 2 Type of Investment in $ i n COSH Policy Limits State Law Limits CD $0.00 0.00% 30% 30% UP $0.00 0.00% 25% 25% FFCB $9,992,500.00 4.31% None None FHLB $17,160,710.00 7.40% None None FHLMC $32,878,250.06 14.18% None None FNMA $89,330,023.50 38.53% None None Overnight Sweep (C!P) $34,257,367.00 14.77% 25% 25% LAIF 48,251,853.86 20.81% None None Treasuries $0.00 0.00% None None Total $231,870,704.42 100.00% 4.31% 7.40% ¦ FFCB 20.81% ¦ FHLB 14.18% d FHLMC 77% ¦ FNMA 38.53% ¦ Overnight Sweep (C/P) FISCAL IMPACT There is no fiscal impact associated with this action. ?(Z? Z-t, in h 1, r . Ilk ? ?-- Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibit 1 Treasurer's Report 19C-2 Quarterly Report of Investments February 4, 2013 Page 3 CITY OF SANTA ANA TREASURER'S REPORT as of December 31, 2012 EXHIBIT 1 19C-3 W a?EN O p E 0 v ca o a ?? 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GD C, U) C, 2 w U) } Q ° o I> O o a m a N 0 I 0 i O m I O d o 0 O O O I o III N M O to aN+ I ? Q i m CD = O III o I, o 10 I m I O } m U ' J m O CL o W O U = Z c Z U Q a m Q }I ? I U J co LL o LLI m u m o Z O M a .0 M O > o D (n o z F m w o m co of N N ? ? a m a a ? m - U ? n R a L ? U a? 0 Z, ?I W C D w ~ a Z VI N U N W cn N N ? C F f a' ? N U > Q O C W c o cn - 5; 2 Q ala U a1 (n SO i d R ? C d v U d u N a C V) U O O 0 0 O 0 0 0 0 0 0 O N O M N C 7 O U 'a d O Y O O N y O C M N 0 0 0 0 O O 0 0 O 0 0 0 O N m O N O Cn C 7 O U a d 04 i N R m0 N C O 0 m E of o of o N N ?o (D N i N m m O ! O v in o ? O o m m U7 N a a o N M 0 O U) M m O O G ~O P m aQ 1 LL Q LL U Q Q mi z N ?- Z C13 < U U) a 2 47 p O p O F' N M to M O N ?cj LL F H L } U) v M a N N 7 M a n` ID U) O) ll? am A Q1 T am I, 01 CD r O F 19C-9 H u LO Q ~O U o LL ? o a n a? o u a 0 0 0 0 0 19C-10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2013 TITLE: REQUEST FOR PROPOSALS FOR PLANNING AND ENVIRONMENTAL SERVICES FOR DEVELOPMENT PROJECT LOCATED AT 301 EAST JEANNETTE LANE d 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 Planning and Building Agency to send a Request for Proposals to qualified consulting firms to provide planning and environmental services for a development project located at 301 East Jeannette Lane. DISCUSSION Staff is requesting authorization to distribute a Request for Proposals (Exhibit 1) for planning and environmental services to assist City staff with the preparation of the environmental review required pursuant to the California Environmental Quality Act (CEQA). The full cost of the contract will be paid for by the project applicant. The recommended contract will be submitted for City Council authorization after review of the proposal has been completed. FISCAL IMPACT There is no fiscal impact associated with this action. Jai M. Trevino Executive Director Planning and Building Agency SK:jm m m: Housing2013/R F P/H E_R F P_R FCA_cc Exhibit: 1. Request for Proposal 19D-1 19D-2 REQUEST FOR PROPOSAL FOR PROPOSED DEVELOPMENT LOCATED AT 301 EAST J EAN ETTE LANE CITY OF SANTA ANA PLANNING DIVISION, M-20 20 CIVIC CENTER PLAZA POST OFFICE BOX 1988 SANTA ANA, CALIFORNIA 92702 Sergio Klotz, Principal Planner (714) 667-2796 (714) 973-1461 Fax sklotz@santa-ana.org EXHIBIT A I 19D-3 REQUEST FOR PROPOSAL (RFP) INTRODUCTION The City of Santa Ana is requesting proposals from environmental consulting firms for preparation of an environment analysis for the construction of a 173 unit multi-family development project located at 301 East Jeanette Lane, Santa Ana, CA 92705. The scope of work may include any and all work efforts related to analysis of a proposed project for compliance with CEQA and/or NEPA (if required). This will include preparation of required technical studies, on-call consulting on as needed basis, and attendance at public hearings. II. PROJECT DESCRIPTION A 173 unit multi-family residential project located within the City Place mixed use development. The project includes two levels of parking with four levels of residences above. ill. General Information The term of the consultant will begin when the proposal is approved by the Santa Ana City Council, A. When appropriate, the City will furnish information in its possession relevant to preparation of the environmental documentation, including the General Plan and Zoning information. B. The Consultant shall be responsible for retaining data, records and documentation for the preparation of the environmental documents. These materials shall be made available to the City upon acceptance of the final draft text or at any earlier time at the request of the City. C. In an effort to promote the hiring and utilization of local businesses/merchants, when selecting a consultant to perform the tasks identified in the following sections, local companies shall be given preference, quality and prices being equal. D. This RFP does not commit the City to pay costs incurred in preparation of a response. The City reserves the right to accept or reject the combined or separate components of this proposal in part or in its entirety. E. All data, documents and other products used or developed during preparation or the environmental documentation will become property of the City. All responses to the RFP shall become property of the City. Applicants who wish to retrieve documents submitted as part of the response to the RFQ may do so after Consultant selection. F. All costs incurred in the preparation of the proposal, the submission of additional information and/or any aspect of a proposal prior to award of a written contract will be borne by the respondent. The City will provide only the staff assistance and documentation specifically referred to herein and will not be responsible for any cost or obligation of any kind, which may be incurred by the respondent. 2 19D-4 G. The City reserves the right to reject and replace any and all subcontractors, and reserves the right to approve all subcontractors. H. Progress review meetings shall be held at intervals deemed appropriate by the City. COORDINATION Coordination with the City, other consultants and agencies will be required to achieve satisfactory and timely delivery of the final work product. ADDENDA Any subsequent changes in RFP from the date of preparation to date of submittal will result in an addendum by the issuing office. PRIME CONSULTANT RESPONSIBLITIES The selected Consultant will be required to assume responsibilities for all services in their proposal. The selected Consultant will be the sole point of contact with regard to contractual matters, including payment of any and all charges resulting from the Agreement. RULES FOR PROPOSALS The signer of the RFP must declare in writing that the only person, persons, company or parties interested in the proposal as principals are named therein; that the proposal is made without collusion with any other person, persons, company or parties submitting a proposal; that it is in all respects fair and in good faith without collusion or fraud; and, that the signer of the proposal has full authority to bind the principal proposer. IV. Scope of Services The Consultant shall provide technical environmental services under the direction of City staff. The Consultant will be expected to provide experienced and knowledgeable professional staff. The Consultants' Project Manager and staff shall be responsive and maintain excellent working relationships with project applicant, property owners, developers and City staff. The Consultant shall be committed to provide adequate staffing levels at all times in order to adhere to established schedules. The Consultant shall be knowledgeable and very familiar with federal, state and local regulations, policies and procedures as they pertain to CEQA and NEPA services provided. Consultant services may include attendance at appropriate City Commission, City Council and neighborhood meetings, preparation of studies and technical reports. INITIATIONXICK OFF MEETING If determined necessary, the consultant shall be required to discuss the project with City Staff and applicant within two-weeks of approving proposal and receiving the notice to proceed from the City. At that time staff and applicant will provide all information pertinent to the project. 3 1901-5 V. Submittal Information and Deadline Proposals are due to the City of Santa Ana Planning Division, M-20, 20 Civic Center Plaza, P.O. Box 1988, Santa Ana, CA 92702 (Date TBD and made attention to Sergio Klotz at (714) 667-2796 or can be faxed to 714-973-1461. Proposals received after the date and time specified in this RFP will be rejected by the Agency as non-responsive. VI. Submittal Requirements The RFP is intended to assess and evaluate each firm's capabilities as they apply to the proposed project. Each firm must address each of the following items in their response to the RFP. A. Statement of Qualifications - In order to maintain uniformity with each Consultant, the Statement of Qualifications must be limited to a maximum of 20 pages (excluding front and back covers, section dividers and resumes). The page limitation includes all appendixes, attachments and supplemental information. The following information is required: 1. Cover Letter - A letter signed by a principal or authorized officer who may make legally binding commitments for the entity. 2. Firm and Personnel Experience: A profile of the firm's experience in producing environmental documents. The Project Manager/Principal Agent's contact information for the proposed work shall be identified and associates in-charge when Project Manger/Principal Agent is absent as well as that of other key personnel. An organization chart identifying only those who will perform work for the proposed project and their brief resume. The project manager shall be the primary contact person to represent your firm and will be the person to conduct the presentation, if invited for an interview. The Consultant shall list the time availability of the project manager and the key personnel on a percentage basis to provide the services requested. Subconsultants, if any, shall be identified are subject to the same requirements as for the prime Consultant. 3. Submittal of Proposal a. Three (3) copies of the RFP shall be signed by a company official with the power to bind the company. b. Structure your proposal to include the Scope of Services, General Time Schedule and Fees. 4. List of projects, which your firm or personnel have completed within the last 5 years, similar to the proposed project. Project information should include project description, year completed, client name, along with a person to contact and their telephone number. 5. References: The Consultant shall submit a list of references comprised of a listing of work similar to that identified in the RFP. 4 19D-6 6. Statement containing any suggestions or special concerns that the City should be made aware of, including a project approach necessary for the successful completion of a public project. 7. The proposal must be completely responsive to the RFP. B. Fee Schedule The Consultant shall furnish a fee schedule for the environmental services. The fee schedule shall depict the hourly rates for each personnel category to be used on the project. Personnel hourly rates shall reflect all costs for office overhead, including phones, cellular phones, vehicles, mileage and other direct and indirect costs. This fee schedule shall reflect all anticipated fee increases. C. Insurance Requirements - All required insurance must be current and up-to-date in advance and renewed annually. A consultant my not work for the City of Santa Ana until the appropriate insurance has been provided and approved by the City Attorney. This shall be verified by City Staff. D. The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any contract will be awarded pursuant to this RFP or otherwise. VII. Project Control Control of the project shall remain the total responsibility of the City of Santa Ana. VIII.Consultant Selection The City of Santa Ana along with the project applicant will evaluate each proposal based on technical criteria and qualifications listed within the RFP and make a selection. IX. Method of Payment The Consultant shall submit a monthly invoice to the City for the services rendered in that month. The invoice shall include a summary as well as a detailed breakdown of the services, the project title, the tasks, the hours, and hourly rates. 19D-7 19D-8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2013 TITLE: APPROPRIATION ADJUSTMENT ACCEPTING FY 2012 HOMELAND SECURITY GRANT PROGRAM AND RELATED AGREEMENT 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 CITY MANAGER RECOMMENDED ACTION Authorize the City Manager and the Chief of Police to enter into the attached Sub-grantee agreement with the City of Anaheim for reimbursement of funds expended for the purchase of equipment, services, training and exercises authorized under the FY 2012 Urban Areas Security Initiative in an amount not to exceed $1,218,215. 2. Approve an Appropriation Adjustment recognizing the FY 2012 Urban Areas Security Initiative in the amount of $1,218,215 in revenue account (no. 12514002-52001) and appropriate same in the FY 2010 Urban Areas Security Initiative Program Grant expenditure accounts (no. 12514491-various). DISCUSSION The United States Department of Homeland Security has developed the Urban Areas Security Initiative funding program (UASI). UASI provides funds to local emergency first responders to enhance security and overall preparedness to prevent, respond to, and recover from acts of terrorism. The grant specifically provides funding for anti-terrorism equipment, planning, training, exercises and technical assistance. In FY 2006 the United States Department of Homeland Security combined the Anaheim UASI and the Santa Ana UASI into a single Urban Area. The City of Santa Ana now shares grant administrative responsibilities with the City of Anaheim, annually alternating the function of lead administrative agency. The City of Anaheim is the lead agency for FY 2012 funding and is therefore the UASI Grantee, with the City of Santa Ana designated as a sub-grantee through Anaheim. The City of Santa Ana Police and Fire Departments have worked with the City of Anaheim, the County of Orange, and cities within the Anaheim/Santa Ana Urban Area to determine current capabilities and needs and have established goals and objectives for the Anaheim/Santa Ana Urban 20A-1 FY 2012 UASI Transfer Agreement February 4, 2013 Page 2 Area. The City of Santa Ana will work in collaboration with the City of Anaheim to implement complimentary strategies for responding to acts of terrorism. FISCAL IMPACT Approval of the Appropriation Adjustment will increase revenues in the FY2012 UASI Grant account (no. 12514002-52001) by $1,218,215 and appropriate same amount in the FY2012 UASI Grant expenditure accounts (no. 12514491-various). APPROVED AS TO FUNDS AND ACCOUNTS: r Carlos Rojas Francisco Gutierrez Acting Chief of Police Executive Director Police Department Finance & Management Services Agency Exhibits: 1. FY 2012 UASI Transfer Agreement 2. Award Letter from City of Anaheim 20A-2 AGREEMENT SUB-RECIPIENT: CITY OF SANTA ANA City Contract Number Exhibit 1 20A-3 TABLE OF CONTENTS Section Description Paae I INTRODUCTION §101. Parties to the Agreement 3 §102. Representatives of the Parties and Service of Notices 3 §103. Independent Party 4 §104. Conditions Precedent to Execution of this Agreement 4 11 TERM AND SERVICES TO BE PROVIDED §201. Time of Performance §202. Use of Grant Funds III PAYMENT 5 5 §301. Payment of Grant Funds and Method of Payment 8 IV STANDARD PROVISIONS §401. Construction of Provisions and Titles Herein 9 §402. Applicable Law, Interpretation and Enforcement 9 §403. Integrated Agreement 9 §404. Excusable Delays 9 §405. Breach 10 §406. Prohibition Against Assignment or Delegation 10 §407. Permits 10 §408. Non Discrimination and Affirmative Action 10 §409. Bonds 11 i 20A-4 TABLE OF CONTENTS Section Description Page §410. Indemnification 11 §411. Conflict of Interest 11 §412. Restriction on Disclosures 13 §413. Statutes and Regulations Applicable to All Grant Contracts 13 §414. Federal, State, and Local Taxes 20 §415. Inventions, Patents and Copyrights 20 §416. MBENVBE 22 V DEFAULTS, SUSPENSION, TERMINATION, AND AMENDMENTS §501. Defaults 23 §502. Amendments 23 V ENTIRE AGREEMENT §601. Complete Agreement 24 §602. Number of Pages and Attachments 24 Execution (Signature) Page 25 EXHIBITS Exhibit A Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions Exhibit B Certification Regarding Lobbying Exhibit C Grant Assurances ii 20A-5 Agreement Number: AGREEMENT FOR TRANSFER OR PURCHASE OF EQUIPMENT/SERVICES OR FOR REIMBURSEMENT OF TRAINING COSTS FOR FY2012 URBAN AREAS SECURITY INITIATIVE (UASI) BETWEEN THE CITY OF ANAHEIM AND ((CITY OF SANTA ANA> THIS AGREEMENT is made and entered into this 16th day of January, 2013, by and between the CITY OF ANAHEIM, a municipal corporation (the "CITY"), and CITY OF SANTA ANA (the "SUB-RECIPIENT" or "Contractor"). WITNESSETH WHEREAS, CITY, acting through the Anaheim Police Department in its capacity as a Core City for the Anaheim/Santa Ana Urban Area under the FY12 Urban Areas Security Initiative, has applied for, received and accepted a grant entitled "FY 2012 Urban Areas Security Initiative" from the federal Department Of Homeland Security(DHS) Federal Emergency Management Agency (FEMA), through the State of California Emergency Management Agency (CalEMA), to enhance countywide emergency preparedness (the "grant"), as set forth in the grant guidelines and assurances that are incorporated to this Agreement by reference and located at: "U.S. Department of Homeland Security "Fiscal Year 2012 Homeland Security Grant Program (HSGP) Funding Opportunity Announcement (FOA)" http://www.fema.2oy/pdf/government/grant/2012/fyl2 hsgp foa.pdf California Emergency Management Agency "FY2012 Homeland Security Grant Program: California Supplement to Federal Program Guidance and Application Kit" http://www.calema.ca.gov/EMS-HS- HazMat/Documents/Forms/AlIItems.aspx?RootFolder=%2fems%2dhs%2dhazmat%2fdoc uments%2fhsgp%2f12&FolderCTID=Ox0120006A354236AB42C94392941414E26E15D2 Copies of the grant guidelines shall be retained in the Anaheim/Santa Ana Grant Office. WHEREAS, this financial assistance is administered by the CITY OF ANAHEIM ("CITY") and is overseen by the California Emergency Management Agency ("Cal- EMA"); and WHEREAS, this financial assistance is being provided to address the unique equipment, training, planning, and exercise needs of large urban areas, and to assist them in building an enhanced and sustainable capacity to prevent, respond to, and recover from threats or acts of terrorism; and 1 20A-6 WHEREAS, the Anaheim/Santa Ana Urban Area ("ASAUA") consists of 34 cities in Orange County, including the City of Anaheim and the City of Santa Ana, the County of Orange, including the unincorporated area of the County of Orange, Santa Ana Unified School District Police, California State University, Fullerton, University of California, Irvine, Municipal Water District of Orange County, and the Orange County Fire Authority; and WHEREAS, the Office of Grants Management ("OGM") awarded a FY12 UASI Grant of $3,697,738 ("Grant Funds") to the CITY OF ANAHEIM, as a Core City, for use in the ASAUA; and WHEREAS, the CITY has designated the Chief of Police, or his designee and the Anaheim Police Department, Emergency Management Bureau ("UASI Grant Office") to provide for terrorism prevention and emergency preparedness; and WHEREAS, the UASI Grant Office now wishes to distribute FY12 UASI Grant Funds throughout the ASAUA, as further detailed in this Agreement ("Agreement") to CITY OF SANTA ANA ("SUB-RECIPIENT") and others; WHEREAS, the CITY and SUB-RECIPIENT are desirous of executing this Agreement as authorized by the City Council and the City Manager which authorizes the CITY to prepare and execute the Agreement. NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS: 2 20A-7 I INTRODUCTION §101. Parties to the Agreement The parties to this Agreement are: A. The CITY, a municipal corporation, having its principal office at 8201 East Santa Ana Canyon Road, Anaheim, CA 92808; and B. CITY OF SANTA ANA, a municipal corporation, 60 Civic Center Plaza, Santa Ana, CA 92702 §102. Representatives of the Parties and Service of Notices A. The representatives of the respective parties who are authorized to administer this Agreement and to whom formal notices, demands and communications shall be given are as follows: 1. The representative of the City of Anaheim shall be, unless otherwise stated in the Agreement: Ben Hittesdorf, Lieutenant Anaheim Police Department Emergency Management Bureau 425 South Harbor Boulevard Anaheim, CA. 92805 Phone: (714) 765-3879 Fax: (714) 765-3805 bhittesdorf@anaheim.net 2. The representative of CITY OF SANTA ANA shall be: Ken Gominsky, Commander Santa Ana Police Department 60 Civic Center Plaza Santa Ana, CA 92702 Phone: 714-245-8040 E-mail: kgominsky@santa-ana.org 3 20A-8 B. Formal notices, demands and communications to be given hereunder by either party shall be made in writing and may be effected by personal delivery or by registered or certified mail, postage prepaid, return receipt requested and shall be deemed communicated as of the date of mailing. C. If the name of the person designated to receive the notices, demands or communications or the address of such person is changed, written notice shall be given, in accord with this section, within five (5) business days of said change. §103. Independent Part y SUB-RECIPIENT is acting hereunder as an independent party, and not as an agent or employee of the CITY OF ANAHEIM. No employee of SUB-RECIPIENT is, or shall be an employee of the CITY OF ANAHEIM by virtue of this Agreement, and SUB-RECIPIENT shall so inform each employee organization and each employee who is hired or retained under this Agreement. SUB-RECIPIENT shall not represent or otherwise hold out itself or any of its directors, officers, partners, employees, or agents to be an agent or employee of the CITY OF ANAHEIM. §104. Conditions Precedent to Execution of This Agreement SUB-RECIPIENT shall provide copies of the following documents to the CITY OF ANAHEIM, unless otherwise exempted. A. Grant Assurances in accordance with section 415C of this Agreement attached hereto as Exhibit C and made part hereof. B. Certifications Regarding Ineligibility, Suspension and Debarment as required by Executive Order 12549 in accordance with Section 415A12 of this Agreement and attached hereto as Exhibit A and made a part hereof. C. Certifications and Disclosures Regarding Lobbying in accordance with Section 415C of this Agreement and attached hereto as Exhibit B and made a part hereof. SUB-RECIPIENT shall also file a Disclosure Form at the end of each calendar quarter in which there occurs any event requiring disclosure or which materially affects the accuracy of the information contained in any Disclosure Form previously filed by SUB-RECIPIENT. 4 20A-9 II TERM AND SERVICES TO BE PROVIDED §201. Time of Performance The term of this Agreement shall commence on January 9, 2013 and end on March 31, 2014 or upon the final disbursement of all of the Grant Amount (as defined in Section 301) and any additional period of time as is required to complete any necessary close out activities. Said term is subject to the provisions herein. §202. Use of Grant Funds A. CITY may, a) transfer to SUB-RECIPIENT, equipment or services purchased with grant funds and in accordance with grant guidelines set forth above; or, b) reimburse SUB-RECIPIENT for purchase of authorized equipment, exercises, services or training upon receiving prior written approval from CITY or its designee and in accordance with grant guidelines and in full compliance with all of the SUB-RECIPIENT'S purchasing and bidding procedures. SUB-RECIPIENT shall specify the equipment, services, exercises and training to be purchased using the Application for Project Funding. A paper copy of this document will be provided to SUB- RECIPIENT by CITY. In addition, a compact disc with a copy of the document will be provided to SUB-RECIPIENT by CITY. If additional copies of the document are needed, SUB-RECIPIENT may contact the Anaheim Grant Coordinator and it will be provided. B. SUB-RECIPIENT shall provide any reports requested by the CITY regarding the performance of the Agreement. Reports shall be in the form requested by the CITY, and shall be provided in a timely manner. C. The Authorized Equipment List (AEL) is a list of the allowable equipment which may be purchased pursuant to this Agreement and is located at httr)s://www.rkb.us, and incorporated to this Agreement by reference. A copy of the AEL shall be retained in the Anaheim/Santa Ana Grant Office. Unless otherwise stated in program guidance any equipment acquired pursuant to this Agreement shall meet all mandatory regulations and/or DHS-adopted standards to be eligible for purchase using grant funds. SUB- RECIPIENT shall provide the CITY a copy of its most current procurement guidelines and follow its own procurement requirements as long as they meet the minimum federal requirements. Federal procurement requirements for the FY 12 UASI Grant can be found at 2 Code of Federal Regulations (CFR) Part 225 "Cost Principles for State, Local, and Indian Tribal Governments" and 44 CFR Part 13 "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments." 5 20A-10 Any equipment acquired or obtained with Grant Funds: 1. Shall be made available under the California Disaster and Civil Defense Master Mutual Aid Agreement in consultation with representatives of the various fire, emergency medical, hazardous materials response services, and law enforcement agencies within the jurisdiction of the applicant; 2. Shall be consistent with needs as identified in the National Priorities and Core Capabilities, the State Homeland Security Strategy and the Anaheim/Santa Ana Urban Area and Orange County Operational Area Homeland Security Grants Strategy; and deployed in conformance with those plans; 3. Shall be made available pursuant to applicable terms of the California Disaster and Civil Defense Master Mutual Aid Agreement and deployed with personnel trained in the use of such equipment in a manner consistent with the California Law Enforcement Mutual Aid Plan or the California Fire Services and Rescue Mutual Aid Plan; 4. Shall be subject to the requirements of Title 44 CFR Part 13.32 and 13.33 For the purposes of this subsection, "Equipment" is defined as nonexpendable property that is not consumed or does not lose its identity by being incorporated into another item of equipment, which costs $5,000 or more per unit, or is expected to have a useful life of one (1) year or more. Items costing less than $5,000, but falling into the following categories are also considered Equipment: (1)electronics communications equipment for stationary or vehicular use, including cellular telephones acquired by lease or purchase, and (2) electronic office equipment, including facsimile machines, copiers, electric typewriters, personal computers (monitors and CPU's), terminals and printers; 5. Shall be used by SUB-RECIPIENT in the program or project for which it was acquired as long as needed, whether or not the project or program continues to be supported by Federal funds. When no longer useful for the original program or project, the Equipment may be used in other activities currently or previously supported by a Federal agency. 6. Shall be made available for use on other projects or programs currently or previously supported by the Federal Government, providing such use will not interfere with the work on the projects or program for which it was originally acquired. First preference for other use shall be given to other programs or projects supported by the awarding agency. 7. Shall be recorded on a ledger. This record must be updated bi- annually and forwarded to the City. The record shall include: (a) 6 20A-11 description of the item of Equipment, (b) manufacturer's model and serial number, (c) Federal Stock number, national stock number, or other identification number; (d) the source of acquisition of the Equipment, including the award number, (e) date of acquisition; (f) the per unit acquisition cost of the Equipment, (g) records showing maintenance procedures to keep the Equipment in good running order, and (h) location and condition of Equipment. Records must be retained pursuant to 44 C.F.R. Part 13.42, and Office of G&T. 8. All equipment obtained under this Agreement shall have an ASAUA identification decal affixed to it, and, when practical, shall be affixed where it is readily visible. 9. A physical inventory of the Equipment shall be taken and the results reconciled with the Equipment records at least once every year. Inventory shall also be taken prior to any UASI, State or Federal monitor visits. 10. SUB-RECIPIENT shall exercise due care to preserve and safeguard equipment acquired with grant funds from damage or destruction and shall provide regular maintenance and such repairs for said equipment as necessary, in order to keep said equipment continually in good working order. Such maintenance and servicing shall be the sole responsibility of SUB-RECIPIENT, who shall assume full responsibility for maintenance and repair of the equipment throughout the life of said equipment. D. Any training paid pursuant to this Agreement shall conform to the guidelines as listed in FY 2012 Homeland Security Grant Program, as set forth above. All training expenses must be pre-authorized by Cal-EMA at http://www.firstrespondertraining.gov/admin. A catalogue of Grantor approved and sponsored training courses is available at hftp://www.firstrespondertraining.gov/odp_?webforms. E. Any exercise paid pursuant to this Agreement shall conform to the guidelines as listed in FY 2012 Homeland Security Grant Program, as set forth above. Detailed Homeland Security Exercise and Evaluation Program Guidance is available at http://hseep.dhs.gov. F. Any planning paid pursuant to this Agreement shall conform to the guidelines as listed in FY 2012 Homeland Security Grant Program, as set forth above. G. Any organizational activities paid pursuant to this Agreement shall conform to the guidelines as listed in FY 2012 Homeland Security Grant Program, as set forth above. 7 20A-12 III PAYMENT §301. Payment of Grant Funds and Method of Payment A. CITY may, a) transfer to SUB-RECIPIENT, equipment or services purchased with grant funds; or, b) reimburse SUB-RECIPIENT for the purchase of authorized equipment, exercises, services or training upon receiving prior written approval from CITY or its designee and in accordance with grant guidelines and in full compliance with all of the SUB-RECIPIENT'S purchasing and bidding procedures. SUB-RECIPIENT shall specify the equipment, exercises, services or training to be purchased using the Application for Project Funding. A paper copy of this document will be provided to SUB-RECIPIENT by CITY. In addition, a compact disc with a copy of the document will be provided to SUB- RECIPIENT by CITY. If additional copies of the document are needed, SUB- RECIPIENT may contact the Anaheim Grant Coordinator and it will be provided. Funds may be used for planning, exercises, organizational and training activities, and the purchase of equipment as described in Section 202 above. B. SUB-RECIPIENT shall provide quarterly invoices to the CITY requesting payment and all supporting documentation. Each reimbursement request shall be accompanied by the Reimbursement Request for Grant Expenditures (attached hereto as Exhibit D) detailing the expenditures made by SUB- RECIPIENT as authorized by Section 202 above. Each reimbursement request shall be submitted electronically at https:H38.184.198/. For equipment for which SUB-RECIPIENT is requesting reimbursement, all appropriate back-up documentation must be attached to the reimbursement form, including invoices, proof of payment, packing slips, and Equipment Reimbursement Worksheet. For training reimbursements, SUB-RECIPIENT must include a copy of any certificates issued or a copy of the class roster verifying training attendees, proof that a CaIEMA tracking number has been assigned to the course, timesheets and payroll registers for all training attendees, receipts for travel expenses related to the training, and Training Reimbursement Worksheet. For regional project reimbursements, SUB-RECIPIENT must include approval from the lead agency for all submitted invoices. C. Payment of final invoice shall be withheld by the CITY until the SUB- RECIPIENT has turned in all supporting documentation and completed the requirements of this Agreement. D. It is understood that the CITY makes no commitment to fund this Agreement beyond the terms set forth herein. E. Funding for all periods of this Agreement is subject to the continuing availability to the CITY of federal funds for this program. The Agreement may be terminated immediately upon written notice to SUB-RECIPIENT of a loss or reduction of federal grant funds. 8 20A-13 IV STANDARD PROVISIONS §401. Construction of Provisions and Titles Herein All titles or subtitles appearing herein have been inserted for convenience and shall not be deemed to affect the meaning or construction of any of the terms or provisions hereof. The language of this Agreement shall be construed according to its fair meaning and not strictly for or against either party. The word "Sub-recipient" herein and in any amendments hereto includes the party or parties identified in this Agreement. The singular shall include the plural. If there is more than one Sub-recipient as identified herein, unless expressly stated otherwise, their obligations and liabilities hereunder shall be joint and several. Use of the feminine, masculine, or neuter genders shall be deemed -to include the genders not used. §402. Applicable Law, Interpretation and Enforcement Each party's performance hereunder shall comply with all applicable laws of the United States of America, the State of California, and the CITY. This Agreement shall be enforced and interpreted under the laws of the State of California and the CITY. If any part, term or provision of this Agreement shall be held void, illegal, unenforceable, or in conflict with any law of a federal, state or local government having jurisdiction over this Agreement, the validity of the remaining portions of provisions shall not be affected thereby. §403. Integrated Agreement This Agreement sets forth all of the rights and duties of the parties with respect to the subject matter hereof, and replaces any and all previous agreements or understandings, whether written or oral, relating thereto. This Agreement may be amended only by a written instrument executed by both parties hereto. §404. Excusable Delays In the event that performance on the part of any party hereto shall be delayed or suspended as a result of circumstances beyond the reasonable control and without the fault and negligence of said party, none of the parties shall incur any liability to the other parties as a result of such delay or suspension. Circumstances deemed to be beyond the control of the parties hereunder shall include, but not be limited to, acts of God or of the public enemy; insurrection; acts of the Federal Government or any unit of State or Local Government in either sovereign or contractual capacity; fires; floods; epidemics; quarantine 9 20A-14 restrictions; strikes, freight embargoes or delays in transportation; to the extent that they are not caused by the party's willful or negligent acts or omissions and to the extent that they are beyond the party's reasonable control. §405. Breach Except for excusable delays, if any party fails to perform, in whole or in part, any promise, covenant, or agreement set forth herein, or should any representation made by it be untrue, any aggrieved party may avail itself of all rights and remedies, at law or equity, in the courts of law. Said rights and remedies are cumulative of those provided for herein except that in no event shall any party recover more than once, suffer a penalty or forfeiture, or be unjustly compensated. §406. Prohibition Against Assignment or Delegation SUB-RECIPIENT may not, unless it has first obtained the written permission of the CITY: A. Assign or otherwise alienate any of its rights hereunder, including the right to payment; or B. Delegate, subcontract, or otherwise transfer any of its duties hereunder. §407. Permits SUB-RECIPIENT and its officers, agents and employees shall obtain and maintain all permits and licenses necessary for SUB-RECIPIENT performance hereunder and shall pay any fees required therefore. SUB-RECIPIENT further certifies to immediately notify the CITY of any suspension, termination, lapses, non renewals or restrictions of licenses, certificates, or other documents. §408. Nondiscrimination and Affirmative Action SUB-RECIPIENT shall comply with the applicable nondiscrimination and affirmative action provisions of the laws of the United States of America, the State of California, and the CITY. In performing this Agreement, SUB- RECIPIENT shall not discriminate in its employment practices against any employee or applicant for employment because of such person's race, religion, national origin, ancestry, sex, sexual orientation, age, physical handicap, mental disability, marital status, domestic partner status or medical condition. SUB-RECIPIENT shall comply with Executive Order 11246, entitled "Equal Employment Opportunity," as amended by Executive Order 11375, and as supplemented in Department of Labor regulations (41 CRF Part 60). 10 20A-15 If required, SUB-RECIPIENT shall submit an Equal Employment Opportunity Plan ("EEOP") to the DOJ Office of Civil Rights ("OCR") in accordance with guidelines listed at http://www.ojp.usdoj.gov/ocr/eeop.htm, Any subcontract entered into by the SUB-RICIPIENT relating to this Agreement, to the extent allowed hereunder, shall be subject to the provisions of this § 408. §409. Bonds SUB-RECIPIENT must purchase a performance bond for any equipment item over $250,000 or any vehicle (including aircraft or watercraft) financed with homeland security funds. §410. Indemnification To the fullest extent of the law, SUB-RECIPIENT agrees to indemnify, defend, and hold harmless the City of Anaheim, its officers, agents, employees, representatives and designated volunteers from and against any and all claims, demands, defense costs, or liability of any kind or nature arising out of or resulting from, or any way connected with SUB-RECIPIENT'S acts, errors or omissions in the performance of SUB-RECIPIENT'S services or use of grant funds under the terms of this Agreement. §411. Conflict of Interest A. SUB-RECIPIENT covenants that none of its directors, officers, employees, or agents shall participate in selecting, or administrating any subcontract supported (in whole or in part) by Federal funds where such person is a director, officer, employee or agent of the subcontractor; or where the selection of subcontractors is or has the appearance of being motivated by a desire for personal gain for themselves or others such as family business, etc.; or where such person knows or should have known that: 1. A member of such person's immediate family, or domestic partner or organization has a financial interest in the subcontract; 2. The subcontractor is someone with whom such person has or is negotiating any prospective employment; or 3. The participation of such person would be prohibited by the California Political Reform Act, California Government Code §87100 et seq. if such person were a public officer, because such person would have a "financial or other interest" in the subcontract. B. Definitions: 1. The term "immediate family" includes but is not limited to domestic partner and/or those persons related by blood or marriage, such as husband, wife, father, mother, brother, sister, son, daughter, father in law, mother in law, brother in law, sister in law, son in law, daughter in law. 11 20A-16 2. The term "financial or other interest" includes but is not limited to: a. Any direct or indirect financial interest in the specific contract, including a commission or fee, a share of the proceeds, prospect of a promotion or of future employment, a profit, or any other form of financial reward. b. Any of the following interests in the subcontractor ownership: partnership interest or other beneficial interest of five percent or more; ownership of five percent or more of the stock; employment in a managerial capacity; or membership on the board of directors or governing body. C. The SUB-RECIPIENT further covenants that no officer, director, employee, or agent shall solicit or accept gratuities, favors, anything of monetary value from any actual or potential subcontractor, supplier, a party to a sub agreement, (or persons who are otherwise in a position to benefit from the actions of any officer, employee, or agent). D. The SUB-RECIPIENT shall not subcontract with a former director, officer, or employee within a one year period following the termination of the relationship between said person and the Contractor. E. Prior to obtaining the CITY'S approval of any subcontract, the SUB- RECIPIENT shall disclose to the CITY any relationship, financial or otherwise, direct or indirect, of the SUB-RECIPIENT or any of its officers, directors or employees or their immediate family with the proposed subcontractor and its officers, directors or employees. F. For further clarification of the meaning of any of the terms used herein, the parties agree that references shall be made to the guidelines, rules, and laws of the SUB-RECIPIENT, State of California, and Federal regulations regarding conflict of interest. G. The SUB-RECIPIENT warrants that it has not paid or given and will not pay or give to any third person any money or other consideration for obtaining this Agreement. H. The SUB-RECIPIENT covenants that no member, officer or employee of SUB-RECIPIENT shall have interest, direct or indirect, in any contract or subcontract or the proceeds thereof for work to be performed in connection with this project during his/her tenure as such employee, member or officer or for one year thereafter. 1. The SUB-RECIPIENT shall incorporate the foregoing subsections of this Section into every agreement that it enters into in connection with this project and shall substitute the term "subcontractor" for the term "SUB-RECIPIENT" and "sub subcontractor" for "Subcontractor". 12 20A-17 §412. Restriction on Disclosures Any reports, analysis, studies, drawings, information, or data generated as a result of this Agreement are to be governed by the California Public Records Act (California Government Code Sec. 6250, et seq.). §413. Statutes and Regulations Applicable To All Grant Contracts A. SUB-RECIPIENT shall comply with all applicable requirements of state, federal, county and SUB-RECIPIENT laws, executive orders, regulations, program and administrative requirements, policies and any other requirements governing this Agreement. SUB-RECIPIENT shall comply with state and federal laws and regulations pertaining to labor, wages, hours, and other conditions of employment. SUB-RECIPIENT shall comply with new, amended, or revised laws, regulations, and/or procedures that apply to the performance of this Agreement. These requirements include, but are not limited to: 1. Office of Management and Budget (OMB) Circulars SUB-RECIPIENT shall comply with OMB Circulars, as applicable: OMB Circular A-87 (Cost Principles for State, Local, and Indian Tribal Governments, relocated to 2 CFR Part 225); OMB Circular A- 102 (Grants and Cooperative Agreements with State and Local Governments, found in 44 CFR Part 13 "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments"); OMB Circular A-133 (Audits of States, Local Governments, and Non-Profit Organizations. 2. Single Audit Act If Federal funds are used in the performance of this Agreement, SUB-RECIPIENT shall adhere to the rules and regulations of the Single Audit Act, 31 USC Sec. 7501 et seq.; and any administrative regulation or field memos implementing the Act. When reporting under on the FY12 UASI Grant Program under the Single Audit Act, SUB-RECIPIENT shall use Catalog of Federal Domestic Assistance (CFDA) Program Number 97.067 "Homeland Security Grant Program"; Grant Identification Number 2012-00123; and Identify the City of Anaheim as the Pass-Through. 3. Americans with Disabilities Act SUB-RECIPIENT hereby certifies that it will comply with the Americans with Disabilities Act, 42 USC §§ 12101, et seq., and its implementing regulations. SUB-RECIPIENT will provide reasonable accommodations to allow qualified individuals with disabilities to have access to and to participate in its programs, services and activities in accordance with the provisions of the Americans with 13 20A-18 Disabilities Act. SUB-RECIPIENT will not discriminate against persons with disabilities or against persons due to their relationship to or association with a person with a disability. Any subcontract entered into by the SUB-RECIPIENT, relating to this Agreement, to the extent allowed hereunder, shall be subject to the provisions of this paragraph. 4. Political and Sectarian Activity Prohibited None of the funds, materials, property or services provided directly or indirectly under this Agreement shall be used for any partisan political activity, or to further the election or defeat of any candidate for public office. Neither shall any funds provided under this Agreement be used for any purpose designed to support or defeat any pending legislation or administrative regulation. None of the funds provided pursuant to this Agreement shall be used for any sectarian purpose or to support or benefit any sectarian activity. If this Agreement provides for more than $100,000 in grant funds or more than $150,000 in loan funds, SUB-RECIPIENT shall submit to the CITY a Certification Regarding Lobbying and a Disclosure Form, if required, in accordance with 31 USC §1352. A copy of the Certificate is attached hereto as Exhibit B. No funds will be released to SUB-RECIPIENT until the Certification is filed. SUB-RECIPIENT shall file a Disclosure Form at the end of each calendar quarter in which there occurs any event requiring disclosure or which materially affects the accuracy of any of the information contained in any Disclosure Form previously filed by SUB- RECIPIENT. SUB-RECIPIENT shall require that the language of this Certification be included in the award documents for all sub-awards at all tiers and that all subcontractors shall certify and disclose accordingly. 5. Records Inspection At any time during normal business hours and as often as the CITY, the U.S. Comptroller General, and/or the Auditor General of the State of California may deem necessary, SUB-RECIPIENT shall make available for examination all of its records with respect to all matters covered by this Agreement. The CITY, the U.S. Comptroller General and/or the Auditor General of the State of California shall have the authority to audit, examine and make excerpts or transcripts from records, including SUB-RECIPIENT'S invoices, materials, payrolls, records of personnel, conditions of employment and other data relating to all matters covered by this Agreement. SUB-RECIPIENT agrees to provide any reports requested by the CITY regarding performance of the Agreement. 14 20A-19 6. Records Maintenance Records, in their original form, shall be maintained in accordance with requirements prescribed by the CITY with respect to all matters covered on file for all documents specified in this Agreement. Original forms are to be maintained on file for all documents specified in this Agreement. Such records shall be retained for a period of three (3) years after termination of this Agreement and after final disposition of all pending matters. "Pending matters" include, but are not limited to, an audit, litigation or other actions involving records. The CITY may, at its discretion, take possession of, retain and audit said records. Records, in their original form pertaining to matters covered by this Agreement, shall at all times be retained within the County of Orange unless authorization to remove them is granted in writing by the CITY. 7. Subcontracts and Procurement SUB-RECIPIENT shall comply with the federal and SUB- RECIPIENT standards in the award of any subcontracts. For purposes of this Agreement, subcontracts shall include but not be limited to purchase agreements, rental or lease agreements, third party agreements, consultant service contracts and construction subcontracts. SUB-RECIPIENT shall ensure that the terms of this Agreement with the CITY are incorporated into all Subcontractor Agreements. The SUB-RECIPIENT shall submit all Subcontractor Agreements to the CITY for review prior to the release of any funds to the subcontractor. The SUB-RECIPIENT shall withhold funds to any subcontractor agency that fails to comply with the terms and conditions of this Agreement and their respective Subcontractor Agreement. 8. Labor SUB-RECIPIENT shall comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. §§4728-4763) relating to prescribed requirements for merit systems for programs funded under one of the 19 statutes or regulations specified in Appendix A of OPM's Standards for a Merit System Personnel Administration (5 C.F.R. 900, Subpart F). SUB-RECIPIENT shall comply, as applicable, with the provisions of the Davis-Bacon Act (40 U.S.C. §§276a to 276a-7), the Copeland Act (40 U.S.C. §276c and 18 U.S.C. §874), the Contract Work Hours and Safety Standards Act (40 U.S.C. §§327-333), regarding labor standards for federally-assisted construction subagreements, and the Hatch Act (5 USC §§1501-1508 and 7324-7328). SUB-RECIPIENT shall comply with the Federal Fair Labor Standards 15 20A-20 Act (29 USC §201) regarding wages and hours of employment. None of the funds shall be used to promote or deter Union/labor organizing activities. CA Gov't Code Sec. 16645, et seq. 9. Civil Rights SUB-RECIPIENT shall comply with all Federal statutes relating to nondiscrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits discrimination on the basis of race, color or national origin; (b) Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§1681- 1683, and 1685-1686), which prohibits discrimination on the basis of sex; (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. §794), which prohibits discrimination on the basis of handicaps; (d) The Age Discrimination act of 1975, as amended (42 U.S.C. §§6101-6107), which prohibits discrimination on the basis of age; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation act of 1970 (P.L. 91-616) as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism; (g) §§523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. §§290 dd-3 and 290 ee 3), as amended, relating to confidentiality of alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§3601, et seq.), as amended, relating to non-discrimination in the sale, rental or financing of housing; (i) any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; (j) the requirements of any other nondiscrimination statute(s) which may apply to the application; and (k) P.L. 93-348 regarding the protection of human subjects involved in research, development, and related activities supported by this award of assistance. 10. Environmental SUB-RECIPIENT shall comply, or has already complied, with the requirements of Titles II and III of the Uniform relocation Assistance and Real Property Acquisition Policies Act of 1970 (P.L. 91-646) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or federally- assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases. SUB-RECIPIENT shall comply with environmental standards which may be prescribed pursuant to the following: (a) institution of environmental quality control measures under the National Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO) 11514; (b) notification of violating facilities pursuant to 16 20A-21 EO 11738; (c) protection of wetlands pursuant to EO 11990; (d) evaluation of flood hazards in floodplains in accordance with EO 11988; (e) assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§1451, et seq.); (f) conformity of Federal actions to State (Clean Air) Implementation Plans under Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §§7401, et seq.); (g) protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended (P.L. 93-523); (h) protection of endangered species under the Endangered Species Act of 1973, as amended (P.L. 93205); and (i) Flood Disaster Protection Act of 1973 §102(a) (P.L. 93-234). SUB-RECIPIENT shall comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§1271, et seq.) related to protecting components or potential components of the national wild and scenic rivers system. SUB-RECIPIENT shall comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. §§4801, et seq.) which prohibits the use of lead- based paint in construction or rehabilitation of residence structures. SUB-RECIPIENT shall comply with the Federal Water Pollution Control Act (33 U.S.C. § 1251, et seq.) which restores and maintains the chemical, physical and biological integrity of the Nation's waters. SUB-RECIPIENT shall ensure that the facilities under its ownership, lease or supervision which shall be utilized in the accomplishment of this project are not listed in the Environmental Protection Agency's (EPA) list of Violating Facilities and that it will notify the Federal Grantor agency of the receipt of any communication from the Director of the EPA Office of Federal Activities indicating that a facility to be used in the project is under consideration for listing by the EPA. By signing this Agreement, SUB-RECIPIENT ensures that it is in compliance with the California Environmental Quality Act (CEQA), Public Resources Code §21000, et seq. and is not impacting the environment negatively. SUB-RECIPIENT shall comply with the Energy Policy and Conservation Act (P.L. 94-163, 89 Stat. 871). SUB-RECIPIENT shall comply, if applicable, with the provision of the Coastal Barrier Resources Act (P.L. 97-348) dated October 19, 1982 (16 USC 3501, et. seq.), which prohibits the expenditure of most new Federal funds within the units of the Coastal Barrier Resources System. 17 20A-22 11. Preservation SUB-RECIPIENT shall comply with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. §470), EO 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. §§469a-1, et seq.). 12. Suspension and Debarment SUB-RECIPIENT shall comply with Federal Register, Volume 68, Number 228, regarding Suspension and Debarment, and SUB- RECIPIENT shall submit a Certification Regarding Debarment required by Executive Order 12549 and any amendment thereto. Said Certification shall be submitted to the CITY concurrent with the execution of this Agreement and shall certify that neither SUB- RECIPIENT nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from participation in this transaction by any federal department head or agency. SUB-RECIPIENT shall require that the language of this Certification be included in the award documents for all sub-award at all tiers and that all subcontractors shall certify accordingly. 13. Drug-Free Workplace SUB-RECIPIENT shall comply with the federal Drug-Free Workplace Act of 1988, 41 USC §701, 44 CFR Part 67; the California Drug-Free Workplace Act of 1990, CA Gov't Code §§ 8350-8357. 14. Miscellaneous SUB-RECIPIENT shall comply with the Laboratory Animal Welfare Act of 1966, as amended (P.L. 89-544, 7 USC §§2131, et seq.). B. Statutes and Regulations Applicable To This Particular Grant SUB-RECIPIENT shall comply with all applicable requirements of state and federal laws, executive orders, regulations, program and administrative requirements, policies and any other requirements governing this particular grant program. SUB-RECIPIENT shall comply with new, amended, or revised laws, regulations, and/or procedures that apply to the performance of this Agreement. These requirements include, but are not limited to: Title 44 Code of Federal Regulations (CFR) Part 13; EO 12372; Department of Justice (DOJ) Office of Judicial Programs (OJP) Office of the Comptroller, U.S. Department of Homeland Security, Preparedness Directorate Financial Management Guide; U.S. Department of Homeland Security, Office of Grants and Training, FY 2009 Homeland Security Grant Program - Program Guidance and Application Kit; ODP WMD Training Course Catalogue; and DOJ Office for Civil Rights. 18 20A-23 Standardized Emergency Management System (SEMS) requirements as stated in the California Emergency Services Act, Government Code Chapter 7 of Division 1 of Title 2, § 8607.1(e) and CCR Title 19, §§ 2445-2448. Provisions of 44 CFR applicable to grants and cooperative agreements, including Part 18, Administrative Review Procedures; Part 20, Criminal Justice Information Systems; Part 22, Confidentiality of Identifiable Research and Statistical Information; Part 23, Criminal Intelligence Systems Operating Policies; Part 30, Intergovernmental Review of Department of Justice Programs and Activities; Part 35, Nondiscrimination on the Basis of Disability in State and Local Government Services; Part 38, Equal Treatment of Faith-based Organizations; Part 42, Nondiscrimination/Equal employment Opportunities Policies and Procedures; Part 61, Procedures for Implementing the National Environmental Policy Act; Part 63, Floodplain Management and Wetland Protection Procedures; Part 64, Floodplain Management and Wetland Protection Procedures; Federal laws or regulations applicable to federal Assistance Programs; Part 69, New Restrictions on Lobbying; Part 70, Uniform Administrative Requirements for Grants and Cooperative Agreements (including sub-awards) with Institutions of Higher Learning, Hospitals and other Non-Profit Organizations; and Part 83, Government- Wide Requirements for a Drug Free Workplace (grants). Nondiscrimination requirements of the Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42 USC 3789(d), or the Juvenile Justice and Delinquency Prevention Act, or the Victims of Crime Act, as appropriate; the provisions of the current edition of the Office of Justice Programs Financial and Administrative Guide for Grants, M7100.1, and all other applicable federal laws, orders, circulars, or regulations. 2. Travel Expenses SUB-RECIPIENT as provided herein may be compensated for SUB- RECIPIENT'S reasonable travel expenses incurred in the performance of this Agreement, to include travel and per diem, unless otherwise expressed. Travel including in-State and out-of- State travel shall not be reimbursed without prior written authorization from the UASI Grant Office. SUB-RECIPIENT'S travel and per diem reimbursement costs shall be reimbursed based on the SUB-RECIPIENT'S travel policies and procedures. If SUB-RECIPIENT does not have established travel policies and procedures, SUB-RECIPIENT'S reimbursement rates shall not exceed the amounts established by the State 19 20A-24 Department of Personnel Administration Rules and Regulations, PML 97-024, Section 599.619, dated July 1, 1997 and Section 599.631, and as amended from time to time. 3. Noncompliance SUB-RECIPIENT understands that failure to comply with any of the above assurances may result in suspension, termination or reduction of grant funds, and repayment by SUB-RECIPIENT to CITY of any unlawful expenditures. C. Compliance With Grant Assurances To obtain the Grant Funds, the Grantor required an authorized representative of the CITY to sign certain promises regarding the way the Grant Funds would be spent ("Grant Assurances"), attached hereto as Exhibit C. By signing these Grant Assurances, the CITY became liable to the Grantor for any funds that are used in violation of the grant requirements. SUB-RECIPIENT shall be liable to the Grantor for any funds the Grantor determines SUB-RECIPIENT used in violation of these Grant Assurances. SUB-RECIPIENT shall indemnify and hold harmless the CITY for any sums the Grantor determines SUB- RECIPIENT used in violation of the Grant Assurances. §414. Federal, State and Local Taxes Federal, State and local taxes shall be the responsibility of SUB-RECIPIENT as an independent party and not as a CITY employee. §415. Inventions. Patents and Copyrights A. Reporting Procedure for Inventions If any project produces any invention or discovery (Invention) patentable or otherwise under title 35 of the U.S. Code, including, without limitation, processes and business methods made in the course of work under this Agreement, the SUB-RECIPIENT shall report the fact and disclose the Invention promptly and fully to the CITY. The CITY shall report the fact and disclose the Invention to the Grantor. Unless there is a prior agreement between the CITY and the Grantor, the Grantor shall determine whether to seek protection on the Invention. The Grantor shall determine how the rights in the Invention, including rights under any patent issued thereon, will be allocated and administered in order to protect the public interest consistent with the policy ("Policy") embodied in the Federal Acquisition Regulations System, which is based on Ch. 18 of title 35 U.S.C. Sections 200, et seq. (Pub. L. 95-517, Pub. L. 98-620, 37 CFR part 401); Presidential Memorandum on Government Patent Policy to the Heads of the Executive Departments and Agencies, dated 2/18/1983); and Executive Order 12591, 4/10/87, 52 FR 13414, 3 CFR, 1987 Comp., p. 220 (as amended by Executive Order 12618, 12/22/87, 52 FR 48661, 3 CFR, 1987 Comp., p. 262). SUB-RECIPIENT 20k-25 hereby agrees to be bound by the Policy, and will contractually require its personnel to be bound by the Policy. B. Rights to Use Inventions CITY shall have an unencumbered right, and a non-exclusive, irrevocable, royalty- free license, to use, manufacture, improve upon, and allow others to do so for all government purposes, any Invention developed under this Agreement. C. Copyright Policy Unless otherwise provided by the terms of the Grantor or of this Agreement, when copyrightable material ("Material") is developed under this Agreement, the author or the CITY, at the CITY'S discretion, may copyright the Material. If the CITY declines to copyright the Material, the CITY shall have an unencumbered right, and a non-exclusive, irrevocable, royalty- free license, to use, manufacture, improve upon, and allow others to do so for all government purposes, any Material developed under this Agreement. 2. The Grantor shall have an unencumbered right, and a non-exclusive, irrevocable, royalty-free license, to use, manufacture, improve upon, and allow others to do so for all government purposes, any Material developed under this Agreement or any Copyright purchased under this Agreement. 3. SUB-RECIPIENT shall comply with 24 CFR 85.34. D. Rights to Data The Grantor and the CITY shall have unlimited rights or copyright license to any data first produced or delivered under this Agreement. "Unlimited rights" means the right to use, disclose, reproduce, prepare derivative works, distribute copies to the public, and perform and display publicly, or permit others to do so; as required by 48 CFR 27.401. Where the data are not first produced under this Agreement or are published copyrighted data with the notice of 17 U.S.C. Section 401 or 402, the Grantor acquires the data under a copyright license as set forth in 48 CFR 27.404(f)(2) instead of unlimited rights. (48 CFR 27.404(a)). E. Obligations Binding on Subcontractors SUB-RECIPIENT shall require all subcontractors to comply with the obligations of this section by incorporating the terms of this section into all subcontracts. 204126 §416. Minority, Women, And Other Business Enterprise Outreach Program It is the policy of the CITY to provide minority business enterprises (MBEs), women business enterprises (WBEs) and all other business enterprises an equal opportunity to participate in the performance of all SUB-RECIPIENT contracts, including procurement, construction and personal services. This policy applies to all Contractors and Sub-Contractors. 20k227 V DEFAULTS, SUSPENSION, TERMINATION, AND AMENDMENTS §501. Defaults Should SUB-RECIPIENT fail for any reason to comply with the contractual obligations of this Agreement within the time specified by this Agreement, the CITY reserves the right to terminate the Agreement, reserving all rights under state and federal law. §502. Amendments Any change in the terms of this Agreement, including changes in the services to be performed by SUB-RECIPIENT and any increase or decrease in the amount of compensation which are agreed to by the CITY and SUB-RECIPIENT shall be incorporated into this Agreement by a written amendment properly executed and signed by the person authorized to bind the parties thereto. SUB-RECIPIENT agrees to comply with all future CITY Directives, or any rules, amendments or requirements promulgated by the CITY affecting this Agreement. 204-28 VI ENTIRE AGREEMENT §601. Complete Agreement This Agreement contains the full and complete Agreement between the two parties. Neither verbal agreement nor conversation with any officer or employee of either party shall affect or modify any of the terms and conditions of this Agreement. §602. Number of Pages and Attachments This Agreement is executed in two (2) duplicate originals, each of which is deemed to be an original. This Agreement includes twenty-five (25) pages and three (3) Exhibits which constitute the entire understanding and agreement of the parties. 20k429 IN WITNESS WHEREOF, the City and CITY OF SANTA ANA have caused this Agreement to be executed by their duly authorized representatives on the date first set forth above. ATTEST: By: Linda N. Andal Clerk of the Council RECOMMENDED FOR APPROVAL: By: John Welter Chief of Police APPROVED AS TO FORM: By: Kristin Pelletier Sr. Assistant City Attorney CITY OF ANAHEIM, a municipal Corporation of the State of California By: Bob Wingenroth City Manager SUB-RECIPIENT CITY OF SANTA ANA By: Printed Name Title APPROVED AS TO FORM By: Printed Name Title 20X-30 EXHIBIT A CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND OTHER RESPONSIBILITY MATTERS Applicants should refer to the regulations cited below to determine the certification to which they are required to attest. Applicants should also review the instructions for certification included in the regulations before completing this form. Signature of this form provides for compliance with certification requirements under the applicable CFR covering New Restrictions on Government-wide Debarment and Suspension (Nonprocurement). The certification shall be treated as a material representation of fact upon which reliance will be placed when the Agency determines to award the covered transaction or cooperative agreement. As required by Executive Order 12549, Debarment and Suspension, and implemented under the applicable CFR, for prospective participants in covered transactions, as defined in the applicable CFR A. The applicant certifies that it and its principals: (a) Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced to a denial of Federal benefits by a State or Federal court, or voluntarily excluded from covered transactions by any Federal department or agency; (b) Have not within a three-year period preceding this application been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; (c) Are not presently indicted for or otherwise criminally or civilly charged by a government entity (Federal State or local) with commission of any of these offenses enumerated in paragraph (1) (b) of this certification; and (d) Have not within a three-year period preceding this application had one or more public transactions (Federal, State or local) terminated for cause or default; and B. Where the applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application. Authorized Agent Signature Printed or Typed Name Title Address: 26 20A-31 INSTRUCTIONS FOR CERTIFICATION 1. By signing and submitting this document, the prospective recipient of Federal assistance funds is providing the certification as set out below. 2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective recipient of Federal assistance funds knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. 3. The prospective recipient of Federal assistance funds shall provide immediate written notice to the person to whom this agreement is entered, if at any time the prospective recipient of Federal assistance funds learns that its certification was erroneous, when submitted or has become erroneous by reason of changed circumstances. 4. The terms "covered transaction," "debarred," "suspended," "ineligible," "lower tier covered transaction," "participant," "person," "primary covered transaction," "principal," "proposal," and "voluntarily excluded," as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. 5. The prospective recipient of Federal assistance funds agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated. 6. The prospective recipient of Federal assistance funds further agrees by submitting this proposal that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions. 7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the List of Parties Excluded from Procurement or Non Procurement Pro rq ams. 8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 9. Except for transactions authorized under Paragraph 5 of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntary excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. 20k-32 EXHIBIT B CERTIFICATION REGARDING LOBBYING Certification for Contracts. Grants. Loans and Cooperative Agreements The undersigned certifies, to the best of his or her knowledge and belief, that: No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan or cooperative agreement. 2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form LLL "Disclosure Form to Report Lobbying" in accordance with its instructions. 3. The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. 4. 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. AGREEMENT NUMBER C O NTRACTO R/BO RROW ER/AGENCY NAME AND TITLE OF AUTHORIZED REPRESENTATIVE SIGNATURE DATE 20833 EXHIBIT C California Emergency Management Agency (Cal EMA) FY 2012 Grant Assurances (All HSGP Applicants) Name of Applicant: Address: City: Telephone Number: E-Mail Address: State: Fax Number: Zip Code: As the duly authorized representative of the applicant, I certify that the applicant named above: 1. Will assure that grant funds will support efforts related to providing an integrated mechanism to enhance the coordination of national priority efforts to prevent, respond to, and recover from terrorist attacks, major disasters and other emergencies. 2. Has the legal authority to apply for Federal assistance and has the institutional, managerial and financial capability to ensure proper planning, management and completion of the grant provided by the U.S. Department of Homeland Security (DHS)/Federal Emergency Management Agency (FEMA) and sub-granted through the State of California, California Emergency Management Agency (Cal EMA). 3. Will assure that grant funds are used for allowable, fair, and reasonable costs only and will not be transferred between grant programs (for example: State Homeland Security Program, Urban Area Security Initiative, Citizen Corps Program, and Metropolitan Medical Response System) or fiscal years. 4. Will comply with any cost sharing commitments included in the FY2012 Investment Justifications submitted to DHS/FEMA/Cal EMA, where applicable. Will give the Federal government, the General Accounting Office, the Comptroller General of the United States, the State of California, the Office of Inspector General, through any authorized representative, access to, and the right to examine, all paper or electronic records, books, or documents related to the award; and will establish a proper accounting system in accordance with generally accepted accounting standards and/or awarding agency directives. 6. Agrees that funds utilized to establish or enhance State and Local fusion centers must support the development of a statewide fusion process that corresponds with the Global Justice/Homeland Security Advisory Council (HSAC) Fusion Center Guidelines, follow the Federal and State approved privacy policies, and achieve (at a minimum) baseline level of capability as defined by the Fusion Capability Planning Tool. Will provide progress reports, and other such information as may be required by the awarding agency, including the Initial Strategy Implementation Plan (ISIP) within 45 (forty-five) days of the award, and update via the Grant Reporting Tool (GRT) twice each year. 8. Will initiate and complete the work within the applicable time frame after receipt of approval from Cal EMA. 9. Will maintain procedures to minimize the time elapsing between the award of funds and the disbursement of funds. 20k-34 10. Will comply with all provisions of DHS/FEMA's codified regulation 44, Part 13, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments, including the payment of interest earned on advances. 11. Will comply with all provisions of 48 CFR, 31.2, Federal Acquisition Regulations (FAR), Contracts with Commercial Organizations. 12. Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes, or presents the appearance of, personal or organizational conflict of interest, or personal gain for themselves or others, particularly those with whom they have family, business, or other ties. 13. Understands and agrees that Federal funds will not be used, directly or indirectly, to support the enactment, repeal, modification or adoption of any law, regulation, or policy, at any level of government, without the express prior written approval from DHS/FEMA/Cal EMA. 14. Agrees that, to the extent contractors or subcontractors are utilized, will use small, minority-owned, women-owned, or disadvantaged business concerns and contractors or subcontractors to the extent practicable. 15. Will notify Cal EMA of any developments that have a significant impact on award- supported activities, including changes to key program staff. 16. Will comply, if applicable, with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. §§ 4801 et seq.) which prohibits the use of lead based paint in construction or rehabilitation of structures. 17. Will comply with all Federal and State Statues relating to Civil Rights and Nondiscrimination. These include, but are not limited to: a. Title VI of the Civil Rights Act of 1964 (P.L. 88-352), as amended, which prohibits discrimination on the basis of race, color or national origin. b. Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§ 1681- 1683 and 1685-1686), which prohibits discrimination on the basis of gender. c. Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794), which prohibits discrimination on the basis of handicaps. d. The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101-6107), which prohibits discrimination on the basis of age. e. The Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to nondiscrimination on the basis of drug abuse. f. The Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91-616), as amended, relating to nondiscrimination on the basis of alcohol abuse or alcoholism. g. §§ 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. 290 dd-3 and 290 ee-3), as amended, relating to confidentiality of alcohol and drug abuse patient records. h. Title VIII of the Civil Rights Act of 1968 (42 U.S.C. § 3601 et seq.), as amended, relating to nondiscrimination in the sale, rental or financing of housing. i. Title 44 Code of Federal Regulations (CFR) Parts 7, 16, and 19 relating to nondiscrimination. j. The requirements on any other nondiscrimination provisions in the specific statute(s) under which the application for Federal assistance is being made. k. Will, in the event that a Federal or State court or Federal or State administrative agency makes a finding of discrimination after a due process hearing on the grounds or race, color, religion, national origin, gender, or disability against a 20k-35 recipient of funds, the recipient will forward a copy of the finding to the Office of Civil Rights, Office of Justice Programs. 1. Will provide an Equal Employment Opportunity Plan, if applicable, to the Department of Justice Office of Civil Rights within 60 days of grant award. m. Will comply, and assure the compliance of all its subgrantees and contractors, with the nondiscrimination requirements and all other provisions of the current edition of the Office of Justice Programs Financial and Administrative Guide for Grants, M7100.1. 18. Will comply with the requirements of Titles Il and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (42 U.S.C. § 4601 et seq. [P.L. 91-646]) which provides for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or Federally assisted programs. These requirements apply to all interested in real property acquired for project purposes regardless of Federal participation in purchases. Will also comply with Title 44 CFR, Part 25, Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally-assisted programs. 19. Will comply, if applicable, with the flood insurance purchase requirements of Section 102(a) of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires recipients in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is ten thousand dollars ($10,000) or more. 20. Will comply with all applicable Federal, State, and Local environmental and historical preservation (EHP) requirements. Failure to meet Federal, State, and Local EHP requirements and obtain applicable permits may jeopardize Federal funding. Will comply with all conditions placed on any project as the result of the EHP review; any change to the scope of work of a project will require reevaluation of compliance with these EHP requirements. 21. Will comply with all provisions of DHS/FEMA's codified regulation 44, Part 10, Environmental Considerations. 22. Agrees not to undertake any project having the potential to impact the EHP resources without the prior written approval of DHS/FEMA/Cal EMA, including, but not limited to, ground disturbance, construction, modification to any structure, physical security enhancements, communications towers, any structure over 50 years old, and purchase and/or use of any sonar equipment. The subgrantee must comply with all conditions and restrictions placed on the project as a result of the EHP review. Any construction- related activities initiated without the necessary EHP review and approval will result in a noncompliance finding, and may not be eligible for reimbursement with DHS/FEMA/Cal EMA funding. Any change to the scope of work will require re-evaluation of compliance with the EHP. If ground-disturbing activities occur during the project implementation, the subgrantee must ensure monitoring of the disturbance. If any potential archeological resources are discovered, the subgrantee will immediately cease activity in that area and notify DHS/FEMA/Cal EMA and the appropriate State Historic Preservation Office. 23. Any construction activities that have been initiated prior to the full environmental and historic preservation review could result in non-compliance finding. grantees must complete the FEMA EHP Screening Form (OMB Number 1660-0115/FEMA Form 024-0- 01) and submit it, with all supporting documentation, to the GPD EHP team at GPDEHPinfo@fema.dhs.gov for review. 204-36 24. Grantees should submit the FEMA EHP Screening Form for each project as soon as possible upon receiving their grant award. The Screening From for these types of projects is available at: www. fema. gov/doc/government/grant/bullet ins/info329_final_screening_memo. doc 25. Will ensure that the facilities under its ownership, lease or supervision, which shall be utilized in the accomplishment of this project, are not on the Environmental Protection Agency's (EPAs) List of Violating Facilities, and will notify Cal EMA and the Federal Grantor agency of the receipt of any communication from the Director of the EPA Office of Federal Activities indicating if a facility to be used in the project is under consideration for listing by the EPA. 26. Will provide any information requested by DHS/FEMA/Cal EMA to ensure compliance with applicable laws, including the following: a. Institution of environmental quality control measures under the Archaeological and Historic Preservation Act, Endangered Species Act, and Executive Orders on Floodplains (11988), and Environmental Justice (EO12898) and Environmental Quality (EO11514). b. Notification of violating facilities pursuant to EO 11738. c. Assurance of project consistency with the approved state management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§ 1451 et seq.). d. Conformity of Federal actions to State (Clean Air) Implementation Plans under Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. § 7401 et seq.). e. Protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended, (P.L. 93-523). f. California Environmental Quality Act (CEQA). California Public Resources Code Sections 21080-21098. California Code of Regulations, Title 14, Chapter 3 Section 15000-15007. g. Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§ 1271 et.seq.) related to protecting components or potential components of the national wild and scenic rivers system. h. Applicable provisions of the Coastal Barrier Resources Act (P.L. 97-348) dated October 19, 1982 (16 USC 3501 et seq.) which prohibits the expenditure of most new Federal funds within the units of the Coastal Barrier Resources System. 27. Will comply with Standardized Emergency Management System (SEMS) requirements as stated in the California Emergency Services Act, Government Code, Chapter 7 of Division 1 of Title 2, Section 8607.1(e) and CCR Title 19, Sections 2445, 2446, 2447, and 2448. 28. Agrees that all publications created or published with funding under this grant shall prominently contain the following statement: "This document was prepared under a grant from FEMA's Grant Programs Directorate, U.S. Department of Homeland Security. Points of view or opinions expressed in this document are those of the authors and do not necessarily represent the official position or policies of FEMA's Grant Programs Directorate or the U.S. Department of Homeland Security." The recipient also agrees that, when practicable, any equipment purchased with grant funding shall be prominently marked as follows: "Purchased with funds provided by the U.S. Department of Homeland Security." 29. Acknowledges that DHS/FEMA reserves a royalty-free, nonexclusive, and irrevocable license to reproduce, publish, or otherwise use, and authorize others to use, for Federal government purposes: a) the copyright in any work developed under an award or sub- award; and b) any rights of copyright to which a recipient or sub-recipient purchases ownership with Federal support. 32 20A-37 30. The recipient agrees to consult with DHS/FEMA/Cal EMA regarding the allocation of any patent rights that arise from, or are purchased with, this funding and has requested through the State of California, Federal financial assistance to be used to perform eligible work approved in the submitted application for Federal assistance and after the receipt of Federal financial assistance, through the State of California, agrees to the following: a. Promptly return to the State of California all the funds received which exceed the approved, actual expenditures as accepted by the Federal or State government. b. In the event the approved amount of the grant is reduced, the reimbursement applicable to the amount of the reduction will be promptly refunded to the State of California. c. Property/equipment purchased under the HSGP reverts to Cal EMA if the grant funds are deobligated/disallowed and/or not promptly repaid. d. HSGP funds used for the improvement of real property must be promptly repaid following deobligation/disallowment of costs or Cal EMA reserves the right to place a lien on the property for the amount owed. e. Separately account for interest earned on grant funds, and will return all interest earned, in excess of $100 per Federal Fiscal Year. 31. Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S C. Sections 4728- 4763) relating to prescribed standards for merit systems for programs funded under one of the nineteen statutes or regulations specified in Appendix A of OPM's Standards for a Merit System of Personnel Administration (5 C.F.R. 900, Subpart F). 32. Will comply with provisions of the Hatch Act (5 U.S.C. Sections 1501-1508 and 7324- 7328) which limit the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds. 33. Will comply, if applicable, with the Laboratory Animal Welfare Act of 1966 (P. L. 89-544, as amended, 7 U.S.C. 2131 et seq.) pertaining to the care, handling, and treatment of warm blooded animals held for research, teaching, or other activities supported by this award of assistance. 34. Will comply with the minimum wage and maximum hour provisions of the Federal Fair Labor Standards Act (29 U.S.C. 201), as they apply to employees of institutions of higher education, hospitals, and other non-profit organizations. 35. Agrees that "Classified national security information," as defined in Executive Order (EO) 12958, as amended, means information that has been determined pursuant to EO 12958 or any predecessor order to require protection against unauthorized disclosure and is marked to indicate its classified status when in documentary form.. No funding under this award shall be used to support a contract, subaward, or other agreement for goods or services that will include access to classified national security information if the award recipient has not been approved for and has access to such information. 36. Agrees that where an award recipient has been approved for and has access to classified national security information, no funding under this award shall be used to support a contract, subaward, or other agreement for goods or services that will include access to classified national security information by the contractor, subawardee, or other entity without prior written approval from the DHS Office of Security, Industrial Security Program Branch (ISPB), or, an appropriate official within the Federal department or agency with whom the classified effort will be performed. Such contracts, subawards, or other agreements shall be processed and administered in accordance with the DHS "Standard Operating Procedures, Classified Contracting by States and Local Entities," dated July 7, 2008; EOs 12829, 12958, 12968, as amended; the National Industrial Security 20k338 Program Operating Manual (NISPOM); and/or other applicable implementing directives or instructions. All security requirement documents are located at: http://www.dhs.gov/xopnbiz/grants/index.shtm 37. Immediately upon determination by the award recipient that funding under this award will be used to support such a contract, subaward, or other agreement, and prior to execution of any actions to facilitate the acquisition of such a contract, subaward, or other agreement, the award recipient shall contact 1SPB, or the applicable Federal department or agency, for approval and processing instructions. DHS Office of Security ISPB contact information: Telephone: 202-447-5346 Email: DD254AdministrativeSecurity@dhs.gov Mail: Department of Homeland Security Office of the Chief Security Officer ATTN: ASD/Industrial Security Program Branch Washington, D.C. 20528 38. Agrees with the requirements regarding Data Universal Numbering System (DUNS) Numbers, meaning if recipients are authorized to make subawards under this award, they must notify potential subrecipients that no entity (see definition in paragraph C of this award term) may receive or make a subaward to any entity unless the entity has provided its DUNS number. For purposes of this award term, the following definitions will apply: a. "Data Universal Numbering System (DUNS)" number means the nine digit number established and assigned by Dun and Bradstreet, Inc. (D&B) to uniquely identify business entities. A DUNS number may be obtained from D&B by telephone (currently 866-705-5711) or the Internet, currently at http://fedgov.dnb.com/webform b. "Entity", as it is used in this award term, means all of the following, as defined at 2 CFR part 25, subpart C, as a Governmental organization, which is a State, local government, or Indian Tribe; or a foreign public entity; or a domestic or foreign nonprofit organization; or a domestic or foreign for-profit organization; or a Federal agency, but only as a sub recipient under an award or subaward to a non- Federal entity. c. "subaward" means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. It does not include your procurement of property and services needed to carry out the project or program (for further explanation, see Sec. 210 of the attachment to OMB Circular A-133, "Audits of States, Local Governments, and Non-Profit Organizations") and may be provided through any legal agreement, including an agreement that you consider a contract. d. "Subrecipient" means an entity that receives a subaward from you under this award; and is accountable to you for the use of the Federal funds provided by the subaward. 39. Will comply, as applicable, with the provisions of the Davis-Bacon Act (40 U.S.C. Section 276a to 276a-7), the Copeland Act (40 U.S.C. Section 276c and 18 U.S.C. Sections 874), and the Contract Work Hours and Safety Standards Act (40 U.S.C. Sections 327-333), regarding labor standards for Federally-assisted construction sub-agreements. 40. Agrees that: a. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of 20k439 Congress, or an employee of a Member of Congress in connection with the making of any Federal grant, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal grant or cooperative agreement. b. If any other funds 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 an employee of Congress, or employee of a Member of Congress in connection with the Federal grant or cooperative agreement, the undersigned shall complete and submit Standard Form LLL, "Disclosure of Lobbying Activities," in accordance with its instructions. c. The undersigned shall require that the language of this certification be included in the award documents for all sub awards at all tiers including subgrants, contracts under grants and cooperative agreements, and subcontract(s) and that all sub recipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into 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. a. b. 41. Agrees that funds awarded under this grant will be used to supplement existing funds for program activities, and will not supplant (replace) non-Federal funds. 42. Agrees that equipment acquired or obtained with grant funds: c. Will be made available pursuant to applicable terms of the California Disaster and Civil Defense Master Mutual Aid Agreement in consultation with representatives of the various fire, emergency medical, hazardous materials response services, and law enforcement agencies within the jurisdiction of the applicant, and deployed with personnel trained in the use of such equipment ina manner consistent with the California Law Enforcement Mutual Aid Plan or the California Fire Services and Rescue Mutual Aid Plan. d. Is consistent with needs as identified in the State Homeland Security Strategy and will be deployed in conformance with that Strategy. 43. Will comply with all applicable Federal statutes, regulations, policies, guidelines and requirements, including OMB Circulars Al 02 and A-133, E.O. 12372 and the current Administrative Requirements, Cost Principles, and Audit Requirements. 44. Will comply with all provisions of 2 CFR including: Part 215 Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations (OMB Circular A-110); Part 225 Cost Principles for State, Local and Indian Tribal Governments (OMB Circular A-87); Part 220 Cost Principles for Educational Institutions (OMB Circular A-21); Part 230 Cost Principles for Non-Profit Organizations (OMB Circular A-] 22). 45. Will comply with Subtitle A, Title II of the Americans with Disabilities Act (ADA) 1990. 46. Agrees to cooperate with any assessments, national evaluation efforts, or information or data collection requests, including, but not limited to, the provision of any information required for the assessment or evaluation of any activities within this agreement. 20k-40 47. Will comply with Federal Acquisition Regulations (FAR), part 31.2 Contract Cost Principles and Procedures, Contracts with Commercial Organizations. 48. Will comply with the financial and administrative requirements set forth in the current edition of the DHS Financial Management Guide. 49. Agrees that all allocations and use of funds under this grant will be in accordance with the FY 2012 Homeland Security Grant Program Funding Opportunity Announcement, and the California Supplement to the FY 2012 Homeland Security Grant Program Funding Opportunity Announcement. All allocations and use of funds under this grant will be in accordance with the Allocations, and use of grant funding must support the goals and objectives included in the State and/or Urban Area Homeland Security Strategies as well as the investments identified in the Investment Justifications which were submitted as part of the California FY2012 Homeland Security Grant Program application. Further, use of FYI 2 funds is limited to those investments included in the California FYI 2 Investment Justifications submitted to DHS/FEMA/Cal EMA and evaluated through the peer review process. 50. Will not make any award or permit any award (subgrant or contract) to any party which is debarred or suspended or is otherwise excluded from or ineligible for participation in Federal assistance programs under Executive Order 12549 and 12689, "Debarment and Suspension". As required by Executive Order 12549, Debarment and Suspension, and implemented at 44 CFR Part 17, for prospective participants in primary covered transactions, the applicant certifies that it and its principals: a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, sentenced to a denial of Federal benefits by a State or Federal court, or voluntarily excluded from covered transactions by any Federal department or agency. b. Have not within a three-year period preceding this application been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property. c. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and have not within a three-year period preceding this application had one or more public transactions (Federal, State, or local) terminated for cause or default; and d. where the applicant is unable to certify to any of the statements in this certification, he or she shall attach an explanation to this application. 51. Will comply with all applicable requirements of all other Federal and State laws, executive orders, regulations, program and administrative requirements, policies and any other requirements governing this program. 52. Will comply with the administrative requirements that apply to most DHS award recipients through a grant or cooperative agreement arise from two sources: - Office of Management and Budget (OMB) Circular A-102, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments (also known as the "A-102 Common Rule"), found under FEMA regulations at Title 44, Code of Federal Regulations (CFR) Part 13, "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments." - OMB Circular A-110, Uniform 20k-41 Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations, relocated to 2 CFR Part 215. The requirements for allowable costs/cost principles are contained in the A-102 Common Rule, OMB Circular A-110 (2 CFR § 215.27), DHS program legislation, Federal awarding agency regulations, and the terms and conditions of the award. The four costs principles circulars are as follows: - OMB Circular A-21, Cost Principles for Educational Institutions, relocated to 2 CFR Part 220. - OMB Circular A-87, Cost Principles for State, Local, and Indian Tribal Governments, relocated to 2 CFR Part 225. - OMB Circular A-122, Cost Principles for Non-Profit Organizations, relocated to 2 CFR Part 230. - OMB Circular A- 133, Audits of States, Local Governments and Non-Profit Organizations. 53. Will acknowledge, agree, and require any subrecipients, contractors, successors, transferees, and assignees acknowledge and agree-to comply with applicable provisions governing DHS access to records, accounts, documents, information, facilities, and staff. a. Recipients must cooperate with any compliance review or complaint investigation conducted by DHS and/or Cal EMA. b. Recipients must give DHS/Cal EMA access to and the right to examine and copy records, accounts, and other documents and sources of information related to the grant and permit access to facilities, personnel, and other individuals and information as may be necessary, as required by DHS/Cal EMA regulations and other applicable laws or program guidance. c. Recipients must submit timely, complete, and accurate reports to the appropriate DHS/Cal EMA officials and maintain appropriate backup documentation to support the reports. d. Recipients must comply with all other special reporting, data collection, and evaluation requirements, as prescribed by law or detailed in program guidance. e. If, during the past three years, the recipient has been accused of discrimination on the grounds of race, color, national origin (including limited English proficiency), sex, age, disability, religion, or familial status, the recipient must provide a list of all such proceedings, pending or completed, including outcome and copies of settlement agreements to the DHS/Cal EMA awarding office and the DHS Office of Civil Rights and Civil Liberties. £ In the event any court or administrative agency makes a finding of discrimination on grounds of race, color, national origin (including limited English proficiency), sex, age, disability, religion, or familial status against the recipient, or the recipient settles a case or matter alleging such discrimination, recipients must forward a copy of the complaint and findings to the DHS Component and/or awarding office. The United States has the right to seek judicial enforcement of these obligations. 54. Agrees that none of the funds provided under an award may be expended by the recipient to pay any person to influence, or attempt to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any Federal action concerning the award or renewal of any Federal contract, grant, loan, cooperative agreement. These lobbying prohibitions can be found at 31 U.S.C. § 1352. 55. Will comply with requirements to acknowledge Federal funding when issuing statements, press releases, requests for proposals, bid invitations, and other documents describing projects or programs funded in whole or in part with Federal funds. 56. Will comply with requirements that publications or other exercise of copyright for any work first produced under Federal financial assistance awards hereto related unless the work includes any information that is otherwise controlled by the Government (e.g., classified information or other information subject to national security or export control 37 20A-42 laws or regulations). For any scientific, technical, or other copyright work based on or containing data first produced under this award, including those works published in academic, technical or professional journals, symposia proceedings, or similar works, the recipient grants the Government a royalty-free, nonexclusive and irrevocable license to reproduce, display, distribute copies, perform, disseminate, or prepare derivative works, and to authorize others to do so, for Government purposes in all such copyrighted works. The recipient shall affix the applicable copyright notices of 17 U.S.C. § 401 or 402 and an acknowledgement of Government sponsorship (including award number) to any work first produced under an award. 57. Will obtain DHS's approval prior to using the DHS seal(s), logos, crests or reproductions of flags or likenesses of DHS agency officials, including use of the United States Coast Guard seal, logo, crests or reproductions of flags or likenesses of Coast Guard officials. 58. Will comply with the requirements that project activities carried on outside the United States are coordinated as necessary with appropriate government authorities and that appropriate licenses, permits, or approvals are obtained. 59. Will comply with the requirements of the Preference for U.S. Flag Air Carriers: Travel supported by U.S. Government funds requirement, which states preference for the use of U.S. flag air carriers (air carriers holding certificates under 49 U.S.C. § 41102) for international air transportation of people and property to the extent that such service is available, in accordance with the International Air Transportation Fair Competitive Practices Act of 1974 (49 U.S.C. § 40118) and the interpretative guidelines issued by the Comptroller General of the United States in the March 31, 1981, amendment to Comptroller General Decision 13138942. 60. Will comply with the requirements of the Drug-Free Workplace Act of 1988 (41 U.S.C. § 701 et seq.), which requires that all organizations receiving grants from any Federal agency agree to maintain a drug-free workplace. The recipient must notify the awarding office if an employee of the recipient is convicted of violating a criminal drug statute. Failure to comply with these requirements may be cause for debarment. These regulations are codified at 2 CFR 3001. 61. Will comply with the requirements of the government-wide award term which implements Section 106(g) of the Trafficking Victims Protection Act (TVPA) of 2000, as amended (22 U.S.C. § 7104), located at 2 CFR Part 175. This is implemented in accordance with OMB Interim Final Guidance, Federal Register, Volume 72, No. 218, November 13, 2007.In accordance with Section 106(g) of the TVPA, as amended, requires the agency to include a condition that authorizes the agency to terminate the award, without penalty, if the recipient or a subrecipient engages in severe forms of trafficking in persons during the period of time that the award is in effect, procures a commercial sex act during the period of time that the award is in effect; or uses forced labor in the performance of the award or subawards under the award. Full text of the award term is provided at 2 CFR § 175.15. 62. Will comply with the requirements of Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq.), which provides that no person in the United States will, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance. 63. Will comply with Title VIII of the Civil Rights Act of 1968, which prohibits recipients from discriminating in the sale, rental, financing, and advertising of dwellings, or in the provision of services in connection therewith, on the basis of race, color, national origin, religion, disability, familial status, and sex (42 U.S.C.§ 3601 et seq.), as implemented by the Department of Housing and Urban Development at 24 CFR Part 100. The prohibition 20X-43 on disability discrimination includes the requirement that new multifamily housing with four or more dwelling units-i.e., the public and common use areas and individual apartment units (all units in buildings with elevators and ground-floor units in buildings without elevators)-be designed and constructed with certain accessible features (see 24 CFR § 100.201). 64. Will comply with the requirements of Titles I, Il, and III of the Americans with Disabilities Act, which prohibits recipients from discriminating on the basis of disability in the operation of public entities, public and private transportation systems, places of public accommodation, and certain testing entities (42 U.S.C. §§ 12101-12213). 65. Will comply with the requirements of the Age Discrimination Act of 1975 (42 U.S.C. § 6101 et seq.), which prohibits discrimination on the basis of age in any program or activity receiving Federal financial assistance. 66. Will comply with the requirements of Title IX of the Education Amendments of 1972 (20 U.S.C. § 1681 et seq.), which provides that no person in the United States will, on the basis of sex, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any educational program or activity receiving Federal financial assistance. These regulations are codified at 44 CFR Part 19. 67. Will comply with the requirements of Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency, and resulting agency guidance, national origin and resulting agency guidance, national origin discrimination includes discrimination on the basis of limited English proficiency (LEP). To ensure compliance with Title VI, recipients must take reasonable steps to ensure that LEP persons have meaningful access to your programs. Meaningful access may entail providing language assistance services, including oral and written translation, where necessary. Recipients are encouraged to consider the need for language services for LEP persons served or encountered both in developing budgets and in conducting programs and activities. For assistance and information regarding LEP obligations, go to http://www.lep.gov. 68. Will comply with the requirements of 42 U.S.C. § 7401 et seq. and Executive Order 11738, which provides for the protection and enhancement of the quality of the nation's air resources to promote public health and welfare and for restoring and maintaining the chemical, physical, and biological integrity of the nation's waters is considered research for other purposes. 69. Will comply with the requirements of the Federal regulations at 45 CFR Part 46 and the requirements in DHS Management Directive 026-04, Protection of Human Subjects, prior to implementing any work with human subjects. The regulations specify additional protections for research involving human fetuses, pregnant women, and neonates (Subpart B); prisoners (Subpart C); and children (Subpart D). The use of autopsy materials is governed by applicable State and local law and is not directly regulated by 45 CFR Part 46. 70. Will comply with the requirements of the National Environmental Policy Act (NEPA), as amended, 42 U.S.C. § 4331 et seq., which establishes national policy goals and procedures to protect and enhance the environment, including protection against natural disasters. To comply with NEPA for its grant-supported activities, DHS requires the environmental aspects of construction grants (and certain non-construction projects as specified by the Component and awarding office) to be reviewed and evaluated before final action on the application. 39 20A-44 71. Will comply with the requirements of Section 1306(c) of the National Flood Insurance Act, as amended, which provides for benefit payments under the Standard Flood Insurance Policy for demolition or relocation of a structure insured under the Act that is located along the shore of a lake or other body of water and that is certified by an appropriate State or local land use authority to be subject to imminent collapse or subsidence as a result of erosion or undermining caused by waves or currents of water exceeding anticipated cyclical levels. These regulations are codified at 44 CFR Part 63. 72. Will comply with the requirements of the Flood Disaster Protection Act of 1973, as amended (42 U.S.C. § 4001 et seq.), which provides that no Federal financial assistance to acquire, modernize, or construct property may be provided in identified flood-prone communities in the United States, unless the community participates in the National Flood Insurance Program and flood insurance is purchased within one year of the identification. The flood insurance purchase requirement applies to both public and private applicants for DHS support. Lists of flood-prone areas that are eligible for flood insurance are published in the Federal Register by FEMA. 73. Will comply with the requirements of Executive Order 11990, which provides that federally funded construction and improvements minimize the destruction, loss, or degradation of wetlands. The Executive Order provides that, in furtherance of Section 101(b)(3) ofNEPA (42 U.S.C. § 4331(b)(3)), Federal agencies, to the extent permitted by law, must avoid undertaking or assisting with new construction located in wetlands unless the head of the agency finds that there is no practicable alternative to such construction, and that the proposed action includes all practicable measures to minimize harm to wetlands that may result from such use. In making this finding, the head of the agency may take into account economic, environmental, and other pertinent factors. The public disclosure requirement described above also pertains to early public review of any plans or proposals for new construction in wetlands. This is codified at 44 CFR Part 9. 74. Will comply with the requirements of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which amends 18 U.S.C. §§ 175-175c. Among other things, it prescribes criminal penalties for possession of any biological agent, toxin, or delivery system of a type or in a quantity that is not reasonably justified by a prophylactic, protective, bona fide research, or other peaceful purpose. The act also establishes restrictions on access to specified materials. "Restricted persons," as defined by the act, may not possess, ship, transport, or receive any biological agent or toxin that is listed as a select agent. 75. Understands the reporting of subawards and executive compensation rules, including first tier subawards to Cal EMA. a. Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must report each action that obligates $25,000 or more in Federal funds that does not include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009, b. Where and when to report: you must report on each obligating action described in the following paragraphs to Cal EMA. For subaward information, report no later than the end of the month following the month in which the obligation was made. (For example, if the obligation was made on November 7, 2011, the obligation must be reported by no later than December 31, 2011.) c. What to report: You must report the information about each obligating action that the submission instructions posted in Information Bulletin 350, to Cal EMA. To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http://www.sec.gov/answers/execomp.htm. Subgrantees must report subrecipient executive total compensation to Cal EMA by the end of the month following the 40 20A-45 month during which you make the subaward. Exemptions include: If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt from the requirements to report on subawards, and the total compensation of the five most highly compensated executives of any subrecipient. d. Reporting Total Compensation of Recipient Executives: You must report total compensation for each of your five most highly compensated executives for the preceding completed fiscal year, if i. the total Federal funding authorized to date under this award is $25,000 or more; ii. in the preceding fiscal year, you received 80 percent or more of your annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and iii. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at littp://www.sec.gov/answers/execomp.litm.) iv. Subrecipient Executives. Unless you are exempt as provided above, for each first- tier subrecipient under this award, you shall report the names and total compensation of each of the subrecipient's five most highly compensated executives for the subrecipient's preceding completed fiscal year, if in the subrecipient's preceding fiscal year, the subrecipient received 80 percent or more of its annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts), and Federal financial assistance subject to the Transparency Act (and subawards); and the public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. 76. Understands that failure to comply with any of the above assurances may result in suspension, termination, or reduction of grant funds. The undersigned represents that he/she is authorized by the above named applicant to enter into this agreement for and on behalf of the said applicant. Signature of Authorized Agent: Printed Name of Authorized Agent: Title: Date: 20A146 City of Anaheim POLICE DEPARTMENT January 16, 2013 Paul Walters, City Manager City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 SUBJECT: Notification of Sub-Recipient Award FY2012 Urban Area Security Initiative (UASI) Grant Program Grant #2012-SS-00123, CFDA# 97.o67 Sub-Recipient Performance Period: January 16, 2013 to March 31, 2014 Requesting Jurisdiction: City of Santa Ana Project Requests: G2 - ReadyOC Campaign $350,000 G2 - If You See Something, Say Something Campaign $150,000 H1- UASI Regional Training Program $39,867 11 - UASI Regional Exercise Program $222,755 J2 - Terrorism Liaison Officer (TLO) Program $29,017 Program Management/Personnel $334,133 Management & Administration $92,443 Total Award: $1,218,215 Dear Mr. Walters, This letter serves to inform you that the City of Santa Ana has been approved for grant funding under the FY2012 Urban Areas Security Initiative (UASI) Grant Program. Multiple project requests have been submitted by the City of Santa Ana. Project applications were submitted by the Santa Ana Police Department requesting grant funding to purchase an upgrade to Coplink, funding for the ReadyOC Campaign and If You See Something, Say Something Campaign, and funding for the Regional Training and Exercise Program. An in depth process of each application and project concept was necessary prior to approval. This process is required due to stringent UASI Grant Guidelines that must be adhered to. Following the review, all the above stated projects were found to be viable based on investment justifications, regional benefit, and degree of applicability to the overarching Urban Area goals and objectives. Exhibit 2 P.O. Box 3369 www.anaheim.net Anaheim, California 92803-3369 20A-47 The City of Santa Ana has also been approved for training funds under the FYi2 UASI Grant Program. The Anaheim/Santa Ana UASI recognizes the importance of training and will continue to provide funding for regional training. The FYo9 UASI Grant Program served as the transition to a more centralized approach to training where a focused core curriculum of courses was established for first responders in the urban area. This regional concept is being utilized under the FY1o and FY1i UASI Regional Training Program and will continue with FY12 UASI Regional Training Program. Leaders from each jurisdiction are collaborating on the planning and establishment of core training for their respective disciplines to ensure the needs of the region are met at every level. In addition, the City of Santa Ana will receive funds for Terrorism Liaison Officer (TLO) Training. The Orange County Intelligence Assessment Center (OCIAC) TLO Program provides Basic, Intermediate, and Advanced TLO Courses. The program is looking to increase its number of participating TLOs with the funds allocated under the FY12 UASI Grant Program. The information below is being provided as an estimated value of the training that will be delivered to the first responders in your agency. It is being provided for your City's respective internal budgetary needs only and does not reflect a direct allocation as in the past. Regional Training Program TLO Training Program Police Department: $39,867 Police Department: $29,017 As part of the Anaheim/Santa Ana UASI Grant Office, the City of Santa Ana will receive $334,133 for planning and personnel costs for UASI grant staff to include salaries, conferences, and meetings. In addition, the City will receive $92,443 for management and administration costs. Allowable expenses include UASI grant staff salaries, travel meetings, and authorized office equipment and supplies. It is critical that all City of Santa Ana employees that are involved in the FY12 UASI Grant Program become familiar with the Transfer Agreement between the City of Santa Ana and the City of Anaheim regarding the FY12 UASI Grant Program as well as the FY12 Homeland Security Grant Program Guidance, the FY12 Homeland Security Grant Program California Supplement Guidance, and the FY12 Anaheim/Santa Ana UASI Sub-Recipient Grant Guide. It is imperative that the Anaheim UASI Office is contacted before any projects are procured to ensure that Environmental Historic Preservations (EHP) requirements have been met, as well as financial regulations pertaining to sole source. We will seek any applicable requests and approvals on your behalf to the State. As outlined in the FY12 Sub-Recipient Grant Guidance, reimbursement requests and progress reports are to be submitted to the UASI Grant Office on a quarterly basis. The Quarterly Project Status Report will allow the grant office to work closely with the County and its designated UASI representatives, ensuring your project is completely successful. Final Training Reimbursement Requests are due no later than December 31, 2Q13 and Final Equipment/Salary Reimbursement Requests are due no later than March 31, 204• 20A-48 If you have any questions regarding this letter, please feel free to contact UASI Grant Coordinator Sgt. Darrin lee at (714) 765-3833 or darrinlee@anaheim.net. Sincerely, Ben Hittesdorf, Lieutenant Anaheim Police Department CC: Ken Gominsky, Commander, Santa Ana Police Department Otto Laufer, Officer, Santa Ana Police Department 20A-49 20A-50 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2013 CLERK OF COUNCIL USE ONLY: TITLE: APPROVED AGREEMENT WITH THE CALIFORNIA ? As Recommended COUNCIL FOR THE HUMANITIES AND ? As Amended APPROPRIATION ADJUSTMENT FOR El Ordinance on Reading El Ordinance on 2 n "d Reading LIBRARY SERVICES ENHANCEMENT ? Implementing Resolution ? Set Public Hearing For CITY MANAGER RECOMMENDED ACTION CONTINUED TO FILE NUMBER 1. Authorize the City Manager and Clerk of the Council to execute an agreement with the California Council for the Humanities in the amount of $10,000 for a Community Stories grant to fund The Raitt Street Chronicles: A Survivors Oral History project. 2. Approve an appropriation adjustment recognizing $10,000 from the California Council for the Humanities in the revenue account (no. 15011002 52040) and appropriating same to expenditure account (no. 15011160 various). DISCUSSION Community Stories is a competitive grant program of Cal Humanities, a non-profit that promotes the humanities in California. This program is intended to enable communities to voice, record, and share histories, many previously untold or little known. It is awarded to projects that give expression to the extraordinary variety of histories and experiences of California's places and people to ensure that the stories can be widely shared. These narratives help us find our commonalities, appreciate our differences, and learn something new about how to live well together. The Santa Ana Public Library, partnering with Cal State Fullerton's Grant Central Art Center, has been awarded a $10,000 grant from Cal Humanities' Community Stories Program to support its project, "Raitt Street Chronicles: A Survivors Oral History". During the next year, the two organizations will cooperate to train Santa Ana teens to collect oral histories from the Townsend/Raitt neighborhood. Teens will collect, archive, and share the stories of survivors of violence from a community that has met, faced and overcome problems together. The video interviews will be available for the public to view on various social media, and the final product of 20B-1 Cal Humanities grant "Raitt Street Chronicles: A Survivors Oral History February 4, 2013 Page 2 the project will be a 15-minute mini-documentary on the history of the neighborhood that will be shown in various local venues and online. Through the project the partners hope to convey the struggles and success of their generation, finding a new life in a new country, while bringing these stories to a wider audience. FISCAL IMPACT The appropriation adjustment will recognize $10,000 in grant funding from the California Council for the Humanities in revenue account (no. 15011002 52040), and appropriate same to expenditure account (no. 15011160 various). vv`? Gerardo Mouet, Executive Director Parks, Recreation and Community Services Agency APPROVED AS TO FUNDS AND ACCOUNT: Francisco Gutierrez, r'r16 Executive Director Finance and Management Services Agency 20B-2 HUMANITIES A STATE OF OPEN MIND GRANT AGREEMENT Community Stories Grant Award Funded by Cal Humanities Date: December 12, 2012 Grant Number: COS12-366 Amount: $io,ooo.oo Grant Award Period: January 1, 2013 to December 31, 2013 Between Cal Humanities and: SANTA ANA PUBLIC LIBRARY/CITY OF SANTA ANA (hereinafter referred to as "Grantee") for the project entitled: "The Raitt Street Chronicles: A Survivors Oral History" Upon full execution of this Grant Agreement ("Agreement") and compliance by Grantee of any special provisions outlined in the grant award letter, Cal Humanities will provide a grant award to the Grantee subject to the terms and conditions set forth below. The total payment by Cal Humanities to the Grantee will not exceed the amount stated in this Agreement, the grant award letter, or any written modification thereof. At least 3o days should be allowed for the transfer of funds. Cal Humanities will make payments as follow: a) First installment of go% upon receipt of a signed Agreement by the Grantee to acknowledge acceptance of grant award and the provisions outlined in this Agreement. b) Final installment of 1o% after the completion of project activities and upon receipt and approval by Cal Humanities of the final report consisting of project statistics; responses to self-evaluation questions regarding project goals, objectives, and outcomes; final financial report; publicity materials; audience surveys; and w copies of any final product resulting from the project. 2. AU93M BLE COSTS Grant funds may be expended only for project purposes and activities described in the proposal as originally approved or subsequently amended by Cal Humanities. The following costs are allowable expenses for the purpose of this grant: a) Project-related programmatic and administrative salaries and fringe benefits 20B-3 b) Professional fees, including honoraria and stipends for humanities advisors, interviewees, artists, technical consultants, etc. c) Programming, publication, dissemination expenses (e.g., exhibit fabrication and installation, venue rental, web page design, videography, broadcast or screening expenses) d) Travel, lodging, and per-diem expenses e) Supplies and materials for program activities f) Equipment (rental, unless purchase cost is less) g) Project-related administrative expenses including phone, postage, photocopying, and printing h) Marketing expenses (e.g., printing and mailing of announcements or flyers, or ad placement) i) Evaluation expenses j) Program documentation k) Food costs directly tied to project activities (alcoholic beverages are not eligible costs) 1) Fiscal sponsor or indirect administrative fees (only up to io% of your request) The following is a list of special items applicable to the grant award. It is not intended to be a comprehensive statement of all special items. In the event of a conflict between the general standard below and any special provisions in the grant award letter, the special provisions shall be applicable and binding. a) Per Diem Reimbursements. Costs may not exceed the current rates allowable by Cal Humanities ($61 per day for meals) and may be for lesser amounts at the Grantee's discretion. b) Travel Reimbursemonts. Whenever possible, less than fast class accommodations must be used for air or rail travel. If first class accommodations are required, they must be preapproved by Cal Humanities. All air travel that is paid in whole or in part with Cal Humanities funds must be undertaken on U. S. flag air carriers. If traveling by automobile, the maximum mileage reimbursement rate authorized is 58.5 cents per mile. When necessary, special provisions may be authorized. c) Food Costs. When tied to project activities, food costs are allowable with the exception of alcoholic beverages. However, food costs for purely social activities (banquets, receptions, reunions) are not allowable. d) LobWdng Activities. Using grant funds to lobby decision makers to influence federal or state legislation in any way is not allowable. 3. MISAPPLIED GRANT FUNDS In cases where grant funds are determined by Cal Humanities to have been misapplied by the Grantee, the Grantee agrees to repay all such funds or transfer to Cal Humanities all property acquired through the use of such funds. q. UNCOMMITTED GRANT FUNDS Any grant funds received by the Grantee which remain uncommitted at the termination of the grant period must be returned by check payable to Cal Humanities within six months of 20B-4 the project end date, unless Cal Humanities provides the Grantee with a written waiver of this requirement. If Grantee cannot carry out the project, Cal Humanities will determine if Grantee will need to return a portion or all of the grant funds. Grantee will be responsible for furnishing to Cal Humanities a summary of progress achieved under the award and an itemized accounting of charges incurred against award funds and cost sharing, if any. 5• GRANTAKENDBEM Grantee is required to carry out a project consistent with the proposal approved for funding by Cal Humanities. If significant changes are necessary, proposed amendments must be submitted in writing by Grantee for approval by Cal Humanities. Amendment requests are considered on a case-by-case basis. Additional information (e.g., update on specific project activities, an itemized list of actual expenditures to date, or revised timeline of project activities) may be requested as needed. Significant changes include the following: a) Change of the Graft Award Period. All project activities and the commitment of grant funds must occur within the period of support set out in this Agreement and grant award letter. If a project cannot be completed on schedule, an extension may be requested. b) Change in Project Director and Other Key Personnel. If changes to the project director or other key professional personnel identified in the original proposal are necessary, short biographies and contact information for new personnel should be submitted with the amendment request. A change in the project director brings an automatic suspension of the grant until the new director has been approved by Cal Humanities. c) Chang s in Project Sg=. The project purpose and objectives must be consistent with those outlined in the original proposal. If changes are needed, written approval by Cal Humanities is required. d) Budget Revisions. Changes to Grantee's approved project budget that involve the addition or deletion of budget items that represent more than io% of the grant, or budget revisions due to a significant change in project scope, require written approve by Cal Humanities. e) Change in the Grantee Organization. If a change to the grantee organization is deemed necessary, written approval by Cal Humanities is required before any change is made. In addition, Grantee must provide 1) a written concurrence from the organization dropping out of the project, and 2) a signed letter of commitment from the new organization that describes their involvement in the project. 6. ACKNQM%WGEMENI OF SUPPORT Any tangible product of grant award activity (film/video/radio productions, publicity materials, project websites, displays, exhibits, public reports, etc.) must include the Cal Humanities logo, name, and the following acknowledgement: 3 20B-5 "This project was made possible with support from Cal Humanities, an independent non-profit state partner of the National Endowment for the Humanities. For more information, visit www.calhum.org." Such materials must be provided to Cal Humanities for approval prior to production. Cal Humanities will review the placement of logo and acknowledgement for integrity and legibility and use its best efforts to provide suggested revisions and/or approval within 2 business days or less after receipt. Written, visual, or audio materials resulting from award activities which are published or produced during the grant award period without charge to grant funds must also contain the preceding logo and credit line as indicated above. All printed materials publicizing or resulting from grant activities shall also include the following statement: "Any views, findings, conclusions, or recommendations expressed in this [publication] [program] [exhibition] [website] do not necessarily represent those of Cal Humanities or the National Endowment for the Humanities." Please note that the Cal Humanities logo is available for download at www.calhum.org on the Grantee resources page. J ? !!_1! ?_?l! : Ze O V I + ; it . M Grantee shall submit the following materials ("Materials") to be used in connection with the Cal Humanities website, its publications, and other promotional purposes as follows: As early as possible and no later than February 15, 2012, a minimum of three high- resolution still images, with a resolution of Soo dpi or higher. Images may be illustrative or photographic in any of these file formats: JPEG, TIF, or EPS. Captions should be supplied with each of the images that clearly identifies the subject(s) and the project, as well as date and any photo credit, as neemary. A one- to two-paragraph description of the project and, if available, a website URL for more information should be provided. At the completion of the project, other shareable products as befitting the project shall be submitted. For example: a) For projects with audio and/or visual components, the Grantee shall also submit a trailer or excerpt (audio and/or visual recording) of the project of no less than one minute and no more than six minutes in length. Video trailers or excerpts shall be submitted in both compressed and uncompressed formats, if possible, and shall be preceded by an animated Cal Humanities credit. (Contact Cal Humanities' External Affairs Department for access to this file.) For video files, MP4 format is preferred. For audio files, AAC or high-quality MP3s are acceptable. (For specific questions regarding size, format and file type, please contact Cal Humanities' External Affairs department) b) For web-based projects, audiovisual samples as outlined above, or a selection of high resolution photos with caption information as outlined above, or some other digitally accessible product that can be hosted on the Cal Humanities website must be submitted. c) Recordings of performances, excerpts from oral histories, digital copies of exhibition components, or digital copies of material produced as a result of a workshop are all acceptable. In some cases, written or recorded testimonials from project participants are acceptable. 20B-6 Materials should be delivered in digital format, and in hard copy form via CD and/or DVD. The Materials should be delivered via an online digital transfer program (e.g. DropBox, YouSendit.com, WeTransfer.com, etc. or through an FTP program like FileZilla, FireFTP, etc.). All of the above Materials are intended for public consumption and will be used for non- commercial purposes by Cal Humanities to promote its programs, organization, and mission. Supplied samples may represent the entire project or a portion of it. Contact our External Affairs department if you wish to discuss suitable submissions or need more information on file size, specifications, and acceptable formats. Please visit the "Experiences" section of www.calhum.org for examples of how submitted Materials may be used online. Submitted Materials become the property of Cal Humanities and submission does not guarantee the use or publication of the Materials online or otherwise. In submitting the Materials, Grantee hereby grants Cal Humanities a non-exclusive license to the Materials in whole or in part, in any form in perpetuity. 8. ACC= TO PRODMEID BATFR7Ar S For the purposes of this Agreement, the term "Produced Materials" refers to all intellectual property, whether copyrighted or not, including but not limited to productions, displays, exhibits, books, articles, transcripts, films, tapes, and other electronic media which are produced by the Grantee or by participants enlisted by the Grantee as a result of activity funded under this grant award. The Grantee understands and agrees that the purpose of all grant activity is to inform and educate members of the public on the broad areas of public concern with which this project was intended to deal. Toward this end, Cal Humanities and the Grantee agree to engage in a relationship of good faith and cooperation to ensure that all Produced Materials will be reasonably available to Cal Humanities. Cal Humanities reserves a royalty-free, nonexclusive, and irrevocable right to reproduce, publish, or otherwise use any Produced Materials, including copyrighted material, arising out of grant activities for non-profit educational purposes. However, Cal Humanities use of Produced Materials is not intended to interfere with or disadvantage the Grantee in the sale and distribution of the award product. This provision is subject to, modified by, and supplemented by any additional provisions in this Agreement or in the grant award letter covering use of rights to all produced materials. 9. COPMGHT Grantee may copyright any work that is subject to copyright and was developed, or for which ownership was purchased, under the grant award. If ownership and/or copyright of produced materials are claimed by any person other th an the Grantee such as scriptwriter, editor, consultant, filmmaker, author, or lecturer, the Grantee agrees to take any action that shall be necessary to ensure that Cal Humanities retains all rights that would accrue to Cal Humanities under this Agreement if copyright was fully vested in the Grantee. The Grantee agrees to conduct its activities in such a manner and to make such agreements with any other persons wishing to copyright produced materials to 5 20B-7 ensure that Cal Humanities will continue to be able to exercise freely all its rights under the provisions of this Agreement. In the event that the Grantee transfers copyright or ownership of any produced materials for distribution or for any other purpose, the Grantee agrees to take any action that shall be necessary to ensure that Cal Humanities shall continue to be able to freely exercise all rights reserved under this agreement. If the Grantee in transferring copyright or in allowing copyright to vest in any other person fails to fully protect the rights reserved to Cal Humanities under this Agreement, then the Grantee agrees to indemnify and hold Cal Humanities harmless from any claims, actions, liabilities, losses, or expenses for which Cal Humanities might otherwise be held responsible resulting from infringement in the use of material, invasion of privacy, libel, breach of contract, or third party indebtedness. io. UPORTING REUIRMENTS The Grantee shall provide the following: a) Final Reps. The Grantee shall submit, within go days after the termination of the grant award period, a final report consisting of project statistics; responses to self-evaluation questions regarding project goals, objectives, and outcomes; final financial report; publicity materials; and audience surveys. b) Final Product. The Grantee shall also submit 1ffQ copies of a digitally accessible final product. Instructions on how to complete and submit the final report online is available at www.calhum.org on the Grantee resources page. A final report and product must be filed with Cal Humanities before the Grantee will be eligible to apply for another grant award. Furthermore, if no final report and product is submitted by the due date, the Grantee's project will be closed as 'incomplete" and the Grantee will not be eligible for future Cal Humanities funding. a) Qieral. The Grantee shall maintain records and accounts consistent with generally accepted accounting principles, and also shall provide for such fiscal control and fund accounting procedures as are necessary to assure proper disbursement of and accounting for grant project funds. Accounts and supporting documentation relating to project expenditures shall be adequate to permit an accurate and expeditious audit. b) Matching Funds. The Grantee shall maintain records to demonstrate that matching contributions are not less than the amount proposed in the proposal or any subsequent revision thereof. Other federal funding sources cannot be used as match. The amount of the Grantee's contribution is subject to audit. c) In-Kind Contributions. Some objective record as to both type and value of in-kind contributions by the Grantee (such as signed in-kind contribution forms) is required. When the contribution is made by a third party, written evidence from the third party is 20B-8 required as to both type and value. In-kind contribution reports must be kept on file by the Grantee for three years following the submission of the final financial report. 12. PROJECT INCOME a) Re rting Income. All income earned by the Grantee as part of the conduct of the grant project shall be accounted for and reported by the Grantee to Cal Humanities. b) Use of Earned Income. Any income earned from, for example, registration fees, service charges, or admission fees, sales, or similar sources during the conduct of the project shall be used by the Grantee for Cal Humanities approved project activities and should be reported in the final financial report. If the income cannot be so used, it shall be used to decrease charges to the grant and to the Grantee's cost share. As much as possible, public events funded by the grant award, should be free and open to the public. If registration or admission fees are necessary, Grantee agrees to provide access to Cal Humanities staff and board members, free-of-charge, for such events. c) Interest on Grant Funds. Grantees may not earn interest in excess of $250 on grant award funds in a fiscal year. 13. AUDM Cal Humanities may inspect and audit the Grantee's financial accounts and records, or may designate a qualified person to do so on its behalf, at any time during reasonable business hours and with such frequency as may be deemed necessary. Inspection and audit may include prefunding visits to determine the adequacy of the Grantee's accounting system. In addition, the National Endowment for the Humanities and the United States General Accounting Office may conduct inspections and audits when and to the extent deemed advisable. FINANCIAL RECORDS MUST BE KEPT ON FILE FOR A MINIMUM OF THREE YEARS FOLLOWING THE TERMINATION OF THE GRANT PERIOD. The required retention period may be extended by written notification from either Cal Humanities or the National Endowment for the Humanities. This requirement also includes the right of the federal government to make an audit of any third party accounts related to the grant. 14- DATA COLLECTIO The Grantee may collect information from the public in connection with a research or other general purpose project on its own initiative. The Grantee shall not, without prior approval from Cal Humanities, in any way represent that the information is being collected by or for Cal Humanities or the National Endowment for the Humanities. 7 20B-9 15. ENTIRE AGREEM This Agreement along with any special provisions included in the grant award letter is the complete and integrated agreement between Grantee and Cal Humanities. Any changes to this Agreement must be formally requested in writing to Cal Humanities. No prior or contemporaneous oral agreements between Grantee and Cal Humanities shall be of any force or effect. 16. COMPLIANCE The Grantee certifies that it is in compliance with the provisions on Title VI of the Civil Rights Act of 1964; Title IX of the Education Amendments of 1972; the Age Discrimination Act of 1975; Section 504 of the Rehabilitation Act of 1973; the Americans with Disabilities Act of 199o; the Byrd Anti-Lobbying Amendment; the Native American Graves Protection and Repatriation Act of 199o; the National Historic Preservation Act of 1966; the U.S. Constitution Day Education Program; the Coordination of Geographic Information and Related Spatial Data; Labor Standards under Sections 5(i) and 7(g) of the National Foundation of the Arts and Humanities Act of 1965; and the regulations issued pursuant thereto by the National Endowment for the Humanities (Code of Federal Regulations, Title 45, Chapter XI). The Grantee confirms its non-profit status and is not debarred, suspended, or otherwise excluded from or ineligible for participation in federal assistance programs in violation of the regulations implementing Executive Order 12549 "Debarment and Suspension." Further, in accordance with Public Law 111-88 See-427, no funds made available under or through an NEH award may be distributed to the Association of Community Organizations for Reform Now (ACORN) or its subsidiaries. 17. NON-COMPLIANCE The Grantee and Cal Humanities agree that upon non-satisfaction by the Grantee of any of the conditions set forth in this Agreement or in the grant award letter, Cal Humanities may, at its option: (1) suspend all of its duties under this Agreement, including the duty to pay the grant money; or (2) declare these duties discharged and require the Grantee to repay grant money previously awarded; and the Grantee agrees to do so. 18. INDEMNITY In addition to the provisions of Section 15, the Grantee agrees to indemnify and hold Cal Humanities (its predecessors, successors, directors, officers, employees, and agents) harmless from any and all claims, demands, causes of action, and liabilities arising out of any failure of the Grantee to perform its obligations set forth in this Agreement; or any project or activity conducted by the Grantee; or whether or not enabled by the grant award provided hereunder, including, but not limited to any claims for breach of contract or tort, as well as any other statutory or common law claims, at law or in equity. 20B-10 Cal Humanities Grant - Community Stories ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: LISA STORCK Assistant City Attorney CITY OF SANTA ANA PAUL WALTERS City Manager RECOMMENDED FOR APPROVAL: GERARDO MOUET Executive Director - Parks, Recreation & Community Services Agency 20B-11 20B-12 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2013 TITLE: CLERK OF COUNCIL USE ONLY: APPROVED ADJUSTMENT TO THE FY 2012/2013 ? As Recommended CAPITAL IMPROVEMENT PROGRAM ? As Amended FOR BRISTOL STREET WIDENING - El Ordinance on n Reading ? Ordinance on 2"d Reading PHASES IIIA AND IV (PROJECTS ? Implementing Resolution 136792 AND 116741) ? Set Public Hearing For CONTINUED TO EN. Nh 1% -t, 0 ITY AN GER FILE NUMBER RECOMMENDED ACTION 1. Approve an Appropriation Adjustment recognizing Federal Demonstration Funds in the amount of $594,000 into the Select Street Construction Fund revenue account (05917002-52000) and appropriating the same into the Select Street Construction Fund expenditure account (05917660-66220) for the Bristol Street Widening Project - Phase IIIA from Civic Center Drive to Washington Avenue. 2. Approve an Appropriation Adjustment recognizing Federal Demonstration Funds in the amount of $737,946 into the Select Street Construction Fund revenue account (05917002-52000) and appropriating the same into the Select Street Construction Fund expenditure account (05917660-66220) for the Bristol Street Widening Project - Phase IV from Warner Avenue to Saint Andrew Place. DISCUSSION On March 6, 2006, the City Council approved a cooperative agreement between the City and the Orange County Transportation Authority to fund Bristol Street improvements from Warner Avenue to Seventeenth Street. The first phase of the project (between Pine Street and McFadden Avenue) was completed in April 2011 and the second phase of the project (between Third Street and Civic Center Drive) will commence construction in April 2013. The next phases of the Bristol Street Widening consist of Phase IIIA from Civic Center Drive to Washington Avenue and Phase IV from Warner Avenue to Saint Andrew Place (Exhibit 1). Both projects will widen this major arterial roadway from four to six lanes, to be consistent with the City's General Plan Circulation Element and OCTA Master Plan of Arterial Highways. 20C-1 Adjustment to FY 2012/2013 CIP for Bristol Street Widening Phases IIIA and IV February 4, 2013 Page 2 The project includes additional left-turn and dedicated right-turn lanes, bus turn-outs, a raised median, and bike lanes in both directions. The proposed improvements would allow these segments to accommodate future traffic volumes and increase operational efficiency. In 2005, the City was awarded $750,000 from Federal Section 117 of the 2005 Appropriations Act for the Bristol Street Widening Project between Warner Avenue and Memory Lane. In 2006, an additional allocation of $600,000 in Section 112 of the 2006 Appropriations Act was awarded to Santa Ana. Due to federal rescissions, the funding allocations were reduced to $737,946 and $594,000, respectively. These funds were not previously obligated to any projects within the corridor and had not been recognized in a prior year Capital Improvement Program. The appropriation adjustments will recognize these funds in Fiscal Year 2012/2013 and appropriate them for use in the design phase for each of these Bristol Street projects. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds will be accepted into the Select Street Construction Fund revenue account (05917002- 52000) and appropriated into the Select Street Construction Fund expenditure account (05917660- 66220, Projects 136792 and 116741). P` rojlvlmzo? Raul Godinez II V Executive Director Public Works Agency RG/KN Exhibit: 1. Project Location Map APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 20C-2 WAIIION AV i TT'- 'r j 12TH ST I I?? I I I I I I I __I 11TH ST X7777 ----? ' 1 1 1 1 1 ----? 10TH ST I I V I I I--- I 9TH ST _ I I I ---? I I I I I 1 ?' - 1 I I ?.?. I cm cmm co 777-1- E. PHASE ¦A ® PROJECT AREA SANTA ANA Cm CcXNm ?WA AC??D LI Ej n . A 20p C ?---jam-- _ i CARLTON PL CARL TON P1. I I I I OLEN'OG PL CLE; OOp PL N u CA EN PL I i rT• CANMN PL I -T1 j ST ANK PL ` I ST ANK PL L ST OERTRUOE PL j `- - 1 I Si GERTRUOE PL r----- ---lj--- I i • I :4 4 I - --4 I _ WMN M AV MN FD) ... ) r.-, PHASE N EXHEIT 1 ADJLISTMENT TO THE FY 2012/2013 CAPITAL IMPROVEMENT PROGRAM FOR BRISTOL STREET PHASES NIA AND IV (PROJECT NOS. 136792 AND 116741) 20C-3 (SCALE - NTS) PAGE 1 OF 1 20C-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2013 TITLE: CONTRACT AWARD TO LIBERTY PAPER FOR REPROGRAPHIC PAPERS AND ENVELOPES (SPEC. NO. 12-058) CITY MANAGER RECOMMENDED ACTION CONTINUED TO FILE NUMBER Award a contract to Liberty Paper for reprographic papers and envelopes for a one-year period, with provision for three one-year renewals, in an annual amount not to exceed $90,000. DISCUSSION The Finance and Management Services Agency's Central Services requires copier, laser, and specialty papers to provide copy paper and in-house duplicating services for departments throughout the City. In addition, the Police Department's Central Distribution Center stocks copy paper for various divisions and the Holding Facility. During the past contract period the Police Department's share of the total cost for reprographic paper and envelopes was approximately 35%. The notice inviting bids was advertised on October 18, 2012, and bids were solicited. A summary of the bid invitations and bids received is as follows: 14 Requests For Bid mailed 2 Invitations For Bid mailed to Santa Ana vendors 2 Bid received 1 Bid received from a Santa Ana vendor Bids were received, opened on October 31, 2012, and evaluated (Exhibit 1). The bid from Liberty Paper is responsive to the specifications and meets the City's requirements. FISCAL IMPACT Funds are available in the Finance & Management Central Services account (no. 7110100-63001), and the Police Property & Facilities account (no. 1114450-63001). APPROVED AS TO FUNDS AND ACCOUNTS: Carlos Rojas Acting Chief of Police Police Department 'tc?mm,?? Francisco Gutierrez Executive Director Finance and Mgmt. Services Agency ?P CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 151 Reading ? Ordinance on 2"d Reading ? Implementing Resolution ? Set Public Hearing For_ 22A-1 ` V 22A-2 ABSTRACT OF BIDS CONTRACT AWARD FOR REPROGRAPHIC PAPERS AND ENVELOPES (SPEC. NO. 12-058) Vendor Kelly Paper Co. Liberty Paper Unisource Worldwide, Inc. Location Santa Ana, CA Los Angeles, CA Signal Hill, CA Terms Net 10 Prox N30 1% N30 Next day on stock Delivery 3 - 5 days items 3 - 5 days Discount on non-contract 20% 10% 15% items Subtotal $57,120.13 $54,558.45 $72,615.73 Tax - 8% $4,569.61 $4,364.68 $5,809.26 Total Value $61,689.74 $58,923.13 $78,424.99 * ($616.89) $61,072.85 * 1 % SA Vendor Discount Exhibit 1 22A-3 22A-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2013 TITLE: CONTRACT AWARD TO PACIFIC LIGHTING SALES, INC. FOR ANTIQUE STYLE STREETLIGHTS (SPEC. NO. 13-001) 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 Award a contract to Pacific Lighting Sales, Inc. for the purchase of antique style streetlights in an amount not to exceed $165,000. DISCUSSION The Public Works Agency maintains approximately 580 antique style cast iron double king streetlights. These streetlights are located in the historic downtown area and along Broadway from Civic Center Drive to Santa Clara Avenue. In the past two years, ten streetlights have been replaced and there are five locations that are currently in need of replacement. The American Association of State Highway and Transportation Officials (AASHTO) is the nationally recognized organization for lighting structures standards. Testing has demonstrated the bending strength of ductile iron to be three to four times that of cast aluminum and cast iron. The Spring City ductile iron streetlights are stronger and more durable than cast iron streetlights and come with a 25 year warranty against defects and damage. Current City standards specify Spring City cast iron streetlights. Cast iron streetlights are easily damaged in automotive collisions while ductile iron is more resistant to damage. Once the City confirms the durability of ductile iron streetlights it will amend its standards. Pacific Lighting Sales, Inc. is the exclusive sales and marketing representative for the Spring City products in the Southern California area. As a result, staff recommends Council approval of the recommended action. 22B-1 Contract Award for Antique Style Streetlights February 4, 2013 Page 2 FISCAL IMPACT Funds are available in the Public Works Street Light Maintenance accounting unit (no. 01117630- 63001). APPROVED AS TO FUNDS AND ACCOUNTS: Raul Godinez II \/ Francisco Gutierrez Executive Director Executive Director Public Works Agency Finance & Management Services Agencyi;? sp 228-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JANUARY 22, 2013 TITLE: CONTRACT AWARD TO SIEMENS INDUSTRY, INC., FOR TRAFFIC SIGNAL INSTALLATION AT FAIRVIEW STREET & EDNA DRIVE, AND TRAFFIC SIGNAL MODIFICATIONS AT MCFADDEN AVENUE & EUCLID STREET (PROJECT NOS. 126758 AND 126759) 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 X-'z1 /.3 FILE NUMBER Award a contract to the lowest responsible bidder, Siemens Industry, Inc., in accordance with the Base Bid plus Add Alternate A, in the total of $530,215.25, for the installation of a traffic signal at Fairview Street and Edna Drive, and traffic signal modifications at McFadden Avenue and Euclid Street. 2. Approve the Cost and Funding Analysis as shown in Exhibit 1 for a total estimated project delivery cost of $662,700. DISCUSSION This project consists of the installation of a new traffic signal at the intersection of Fairview Street and Edna Drive, and traffic signal modifications at McFadden Avenue and Euclid Street. The project locations are shown in Exhibit 2. Once completed, the improvements will enhance service and increase safety at these locations. The Notice Inviting Bids was advertised on October 31 and November 1, 2012, and bids were opened on November 21, 2012. A summary of the bid invitations mailed, bids received, and bid results is as follows: Contractor Participation Data Santa Ana contractors receiving notices: 2 Contractors requesting bidding documents: 17 Bids received: 6 Bids received from Santa Ana contractors: 0 23A-1 Contract Award to Siemens Industry, Inc., for Traffic Signal Installation and Traffic Signal Modifications January 22, 2013 Page 2 Bid Results Summary RANK BIDDERS NAME LOCATION BASE BID 1 Siemens Industry, Inc. Anaheim $493,765.25 2 Steiny & Company, Inc. Baldwin Park $523,182.00 3 California Professional Engineering La Puente $543,210.00 4 Pro Tech Engineering Corporation Corona Del Mar $570,820.00 5 Sully-Miller Contracting Company Brea $575,076.00 Six bids were received and all but one was deemed responsive. CMV Electric, Inc., submitted an incomplete bid, therefore causing the bid to be considered nonresponsive. The Engineer's estimate was $607,058. The lowest base bid was submitted by Siemens Industry, Inc., for $493,765.25. That amount added to the $36,450 bid for signage improvements (Add Alternate A) results in a total construction contract of $530,215.25. ENVIRONMENTAL IMPACT Environmental Review Nos. 2011-78 and 2011-81 have been completed, and Categorical Exceptions were filed for these projects, pursuant to the California Environmental Quality Act. FISCAL IMPACT A project cost analysis shown in Exhibit 1 determines that the total funds needed to deliver the project is $662,700. That cost includes construction administration, inspection, testing, and contingencies. Funding is available to cover costs in the Traffic Congestion Relief Fund (Account 05917663-66220) and the Select Street Construction Fund (Account 05917660-66220) in Projects 126758 and 126759. APPROVED AS TO FUNDS AND ACCOUNTS: r-- Raul Godinez II Francisco Gutierrez Executive Director Executive Director Public Works Agency Finance & Management Services Agency RG/ET Exhibit 1: Funding Analysis 2: Project Location Map 23A-2 COST ANALYSIS PROJECT NOS. 126758 AND 126759 CONTRACT AWARD FOR TRAFFIC SIGNAL INSTALLATION AT FAIRVEIW STREET & EDNA DRIVE AND TRAFFIC SIGNAL MODIFICATION AT MCFADDEN AVENUE & EUCLID STREET Cost Analysis Construction Contract $530,215 Contract Administration $30,600 Inspection and Testing $48,864 Contingencies $53,021 TOTAL ESTIMATED CONSTRUCTION COSTS $662,700 Exhibit 1 23A-3 23A-4 Fairview/Edna New Traffic Signal McFadden/Euclid Traffic Signal Modification SANTA ANA City Council Project Nos. 12-6758 - Traffic Signal at e Agenda Date Fairview Street/Edna Drive t Project No. 12-6759: Traffic Signal Modification at January 22, 2013 'iFau°a`'°', PUBLIC WORKS AGENCY McFadden Avenue/Euclid Street z rl ? 23A-6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2013 TITLE: AGREEMENT FOR POLICE DEPARTMENT ADULT CROSSING GUARD PROGRAM 1 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 a fourth amendment to consultant agreement with All City Management Services Inc. (ACMS), subject to non- substantive changes approved by the City Manager and City Attorney, to provide an Adult Crossing Program throughout the City of Santa Ana, in an amount not to exceed $850,000. DISCUSSION Adult Crossing Guards ensure the safe movement of elementary school children around school zones within the City of Santa Ana. All City Management Services, with the Santa Ana Police Department oversight, currently manages the Adult Crossing Guard Program. The Adult Crossing Guard Program provides crossing guard services to three school districts at 70 locations utilizing 78 crossing guards throughout the city. All City Management Services was awarded a one-year contract based on their Request for Proposal and is set to expire February 28, 2013. All City Management Services has demonstrated that the continued outsourcing of the Adult Crossing Guard Program has not diminished the level of professionalism provided to the City. Staff's evaluation determined that All City Management Services continues to meet all the requirements of the RFP and recommend entering into a one-year agreement amendment. FISCAL IMPACT Funds in the amount of $850,000 are available in the Police Department, Traffic Division Other Contractual Services Account (account no. 01114405-62300). Carlos Rojas Chief of Police Police Department APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Mgmt. Services Agency `-- 25A-1 25A-2 FOURTH AMENDMENT TO ADULT CROSSING GUARD AGREEMENT This FOURTH AMENDMENT to the Adult Crossing Guard Agreement is entered into on February 28, 2013, by and between the City of Santa Ana, a charter city and municipal corporation of the State of California ("City") and All City Management Services, Inc., a California Corporation ("Consultant"). RECITALS: A. City and Consultant entered into Agreement #A-2010-038, dated March 1, 2010, (hereinafter "said Agreement") by which Consultant provided adult crossing guard services to City. B. City and Consultant entered into a First Amendment to Agreement #A-2010-038-001, dated March 1, 2010, amending the compensation from a not to exceed amount of $795,450.00 to a not to exceed amount of $826,783.00. C. City and Consultant entered into a Second Amendment to Agreement 4A-2011-040, dated March 1, 2011, extending the term of said Agreement for an additional one- year period. D. City and Consultant entered into a Third Amendment to Agreement #A-2012-046, dated February 29, 2012, extending the term of said Agreement for an additional one year period and increasing the compensation to pay for the services provided during the additional term. E. In accordance with the terms and conditions of said Agreement, the parties wish to extend the term of said Agreement for an additional one-year period and increase compensation to pay for services provided during the additional term. 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 Fourth Amendment to Agreement, the parties agree as follows: 1. Section 3, TERM, shall be amended to extend the term of said Agreement for an additional one year period through February 28, 2014. 2. Section 2, COMPENSATION, shall be amended to increase compensation by an amount not to exceed $850,000.00 to pay for additional services provided by Consultant during the extended term. 3. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. 25A-3 IN WITNESS WHEREOF, the parties hereto have executed this Fourth Amendment to Agreement on the date and year first written above. ATTEST: MARIA D. HUIZAR Clerk of the Council CITY OF SANTA ANA PAUL M. WALTERS City Manager APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: LAURA A. ROSSINI Assistant City Attorney APPROVED AS TO CONTENT: Carlos Rojas Acting Chief of Police All City Management Services Inc. (Name) (Title) _ 25A-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2013 TITLE: AMENDMENT TO AGREEMENT WITH THE PLANNING CENTER FOR ENVIRONMENTAL SERVICES FOR THE WIDENING OF WARNER AVENUE FROM MAIN STREET TO GRAND AVENUE (PROJECT NO. 091749) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1st Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached Amendment No.1 (Exhibit 1) to the Restated Agreement with The Planning Center, subject to non-substantive changes approved by the City Manager and City Attorney, to provide environmental services for the Warner Avenue widening from Main Street to Grand Avenue in the amount of $72,619 plus a contingency of $25,000, for a total agreement not to exceed $640,966, and extend the term of the agreement to June 30, 2014. DISCUSSION On June 2, 2008, the City Council awarded a contract to The Planning Center to provide environmental services and related technical studies for work on capital projects. On February 17, 2009, the Public Works Agency (PWA) utilized The Planning Center under Amendment No.1 to prepare preliminary engineering and environmental documents in accordance with the California Environmental Quality Act (CEQA) for the Warner Avenue widening between Main Street and Grand Avenue (Exhibit 2). The CEQA preparation is underway and is scheduled to be circulated for public review in April 2013. The City conducted several public outreach meetings to provide information and gather input from the public and project stakeholders to be incorporated into the Environmental Impact Report. Based on the feedback from these outreach efforts, The Planning Center needs to modify the project alignment and prepare an additional analysis. To complete these revisions, the original Scope of Services needs to be amended to include additional preliminary engineering and environmental services in the amount of $72,619. A contingency of $25,000 will be added for a total contract amount of $640,966. Additionally, the term of the agreement will be extended from December 31, 2013, to June 30, 2014. 25B-1 Amendment to Agreement with The Planning Center for Environmental Services February 4, 2013 Page 2 ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds are available in the Transportation System Improvement Area E Fund (Account 03417660- 66220, Project 091749), and Transportation System Improvement Authority Area B Tustin (Account 99217950-66220, Project 091749). APPROVED AS TO FUNDS AND ACCOUNTS: Raul Godinez II Francisco Gutierrez x Executive Director Executive Director Public Works Agency Finance & Management Services Agency RG/KN Exhibit: 1. Amendment No. 1 2. Project Location Map 25B-2 FIRST AMENDMENT TO AGREEMENT THIS FIRST AMENDMENT TO AGREEMENT is entered into on February 4, 2012, by and between The Planning Center, a California corporation ("Consultant") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City"). RECITALS: A. The City and Consultant entered into Agreement A-2007-167, dated June 18, 2007 by which Consultant has provided environmental review and consulting services on an on-call basis. B. By Authorization dated February 17, 2009, Consultant commenced engineering and environmental review services necessary for the Warner Avenue Widening Project (hereinafter "Project"). C. By Amended and Restated Agreement A-2012-074, dated April 2, 2012 (hereinafter "Restated Agreement"), Consultant agreed to provide additional engineering and environmental review to accommodate alternative Project approaches. D. The Parties now desire to amend the Restated Agreement to include additional services required in the environmental review of the Warner Avenue Project, and to increase compensation to pay for those additional services. WHEREFORE, in consideration of the covenants contained in said Restated Agreement, and subject to all the terms and conditions of said Agreement, except those amended in this First Amendment to Agreement, the parties agree as follows: 1. Section 1, SCOPE OF SERVICES, shall be deleted in its entirety and replaced with the following: "Consultant shall perform engineering and environmental review services for the Warner Avenue Widening Project, as set forth in Consultant's Proposal dated January 26, 2009, attached hereto as Exhibit A. Additionally, Consultant shall 1.) evaluate additional alignment and street width options to comply with complete streets requirements, and 2.) update the environmental, air quality and traffic analyses, as set forth in Consultant's Proposal dated February 10, 2012, attached hereto as Exhibit A-1. Due to the expanded scope of the Project, Consultant has and will provide additional management and coordination efforts including the attendance of additional meetings and increased public outreach services. Finally, Consultant will provide revisions to environmental documents and technical studies. The additional management and document revision services will be provided as set forth in Consultant's Request for Contract Amendment #2, dated January 4, 2013, attached hereto as Exhibit A-2. The Executive Director of Public Works may authorize the Consultant to provide the Optional Tasks set forth in Exhibit A- 2, as required by the City. " 2. Section 4.a, COMPENSATION, shall be deleted in its entirety and replaced with the following: EXHIBIT 1 25B-3 "a. City agrees to pay, and Consultant agrees to accept as total payment for all services set forth in Section 1, above, an amount of $615,966, as set forth in Exhibit B - Cost Estimate dated January 4, 2013, attached hereto. The Executive Director may authorize in writing, additional services unanticipated at this time but necessary to complete the Design/Engineering and Environmental review of the Project. Said services will be provided at the hourly rates set forth in Exhibit B, and shall not exceed a total of $25,000.00. The total amount to be expended pursuant to this Agreement, including the contingency, shall not exceed $640,966, during the term of this Agreement." 3. Section 5, TERM, shall be amended to extend the termination date to June 30, 2014, unless terminated earlier in accordance with Section 14 of Restated Agreement. 4. All Exhibits referenced above shall be incorporated in this Amendment by such reference. 5. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. IN WITNESS WHEREOF, the parties hereto have executed this First Amendment to Agreement on the date and year first written above. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Laura Sheedy Assistant City Attorney RECOMMENDED FOR APPROVAL: RAUL GODINEZ, II Executive Director - PWA CITY OF SANTA ANA PAUL M. WALTERS City Manager THE PLANNING CENTER JOANN C. HADFIELD Principal 25B-4 EXHIBIT A SCOPE OF SERVICES (1/26/09) 25B-5 B. Project Understanding &t Approach Project Understanding Due to growth trends and congested traffic, the City of Santa Ana is proposing to widen Warner Avenue between Main Street and Grand Avenue from its existing four-lanes to six lanes. This proposal is consistent with this arterial's designation as a major arterial in the City's General Plan Circulation element and the County of Orange's Master Plan of Arterial Highways (MPAH). There are 4 distinct areas along the alignment that change lit pavement section and lane configuration. Six lanes are currently provided along Warner Avenue outside the project limits, so this project will eliminate this existing bottleneck. The project is approximately 1 mile in length and will include the roadway between Grand Avenue and Main Street. The proposed 6 lane major arterial will include 120' feet of Right of Way with a 100' foot curb to curb dimension as per the current Santa Ana Standard Specifications and Drawings. To-date a minimal amount of study has been conducted by the City for this effort. It is currently a high priority, and the City plans to pursue Measure M2 funding for the widening project. Comprehensive environmental documentation and clearances are desired to facilitate implementation of the project, and to be in place to pursue optional funding sources if Measure M2 sources are unavailable. The City understands that there are substantial environmental costs, particularly potential property acquisitions, associated with the proposed road-widening. A concise evaluation and comparison of the environmental impacts and improvements costs for right-of-way alignment alternatives Is desired to assist in decision-making. Project Approach The Planning Center team has been structured to provide one key project leader and contact for the City, to be supported by a Design/Engineering task lead, Environmental Project Manager, and a Public Outreach lead. As shown on the Organization Chart, each project lead is supported with our team of technical consultants and personnel. The organization chart corresponds directly to our proposed scope of work and schedule, which are also divided Into the primary categories of Design/Engineering, Environmental and Public Outreach. We have based our Scope of Work primarily on the RFP's Scope of Work outline. Similarly, the project schedule has been prepared in Microsoft Project format. The following provides a brief description of our general approach by major project component: Design/Engineering The 111I Group will conduct an initial screening process with the City to identify a build alternative for the road widening project which will be carried forward for consideration in the environmental documentation. The preliminary engineering completed as part of this project will be completed in accordance with the City of Santa Ana Standard Plans, and other appropriate agency requirements and reference materials. There are numerous existing pavement section widths throughout the Warner Avenue corridor as well as lane configurations that will be taken into consideration. Setbacks to the existing homes and businesses will be a factor in the determination of Right of Way locations and centerline alignments. The TPC team is committed to developing viable alternatives for the alignment that are based on traditional and innovative approaches to maximize capacities. Significant changes may generate public resistance and our team recognizes that ultimate decisions on Improvements must be made by the City Council. EXHIBITA City of Santa Ana - Proposal to Prepare Environmental Documents for Warner Avenue Widening Project The P4wWng Center I rate 3 25B-6 Therefore, we will provide the Council with solid technical solutions. Alternatives will be clearly defined with their respective pros and cons, so that the decisions rendered are clear and understood. As detailed in this proposal, the engineering scope of work will include preparation and submittal of preliminary design plans to include plan right-of-way maps, traffic analysis, identification of existing levels of service, storm water management, drainage, utility relocations/modification and mitigation measures based on local, state and federal requirements. Environmental CEQA documentation and process requirements will be integrated to assure specific adherence to all environmental requirements. As overall project lead, The Planning Centers (TPC) project manager will coordinate the CEQA process. All necessary environmental research and analysis shall be performed pursuant to CEQA, and utilizing the City's guidance and procedures. During the kick off' meeting and field review, The Planning Center team will review the preliminary, alternative road widening options and potential project impacts. An Environmental Impact Report (EIR) has been assumed for this proposal for the scope of work, schedule and cost estimate. As detailed in our scope of work, The Planning Center team will conduct necessary technical studies to support an RJR to meet CEQA requirements. Our scope Includes comprehensive processing, documentation and noticing as required under CBQA. City of Santa Ana - Proposal to Prepare Environmental documents for Warner Avenue Widening Project The Ptwdng Center I Page 4 25B-7 C. Scope of Work Management and Administration MANAGEMENT AND COORDINATION The Planning Center's Project Manager will be the key contact for the City and will be responsible for the overall subconsultant team including (1) task scheduling and assignment, management of resources, monitoring of costs, and schedule adherence; (2) management and coordination of contract administration and accounting; and (3) coordination and communications with the City project team to ensure that City policies, procedures, and applicable procedures. Progress Reporting The Planning Center will coordinate with team members to provide progress reports to the City at monthly intervals. Meetings Our scope of work includes meeting attendance as coordinated with the City subsequent to the RFP. The Planning Center will be responsible for documenting all meetings and public hearings. The scope of work assumes the following: The Planning Center: will participate in up to 12 City staff' meetings including a kick-off meeting (1), Screencheck Draft EIR and Final EIR reviews (2) and public presentation preparation meetings (2); ETAC and Redevelopment Agency Meetings (total 2), Planning Commission Hearings (2), City Council Hearings (2). Purposes of meetings are interchangeable at the discretion of the City. IBI: will be available for a total of 12 meetings (10 meetings and 2 public hearings) as requested by the City and/or Project Team. Purposes of meetings are interchangeable at the discretion of the City. Urbana Preservation and Planning: will be available to attend up to 2 meetings at the direction of The Planning Center Project Manager. Project Schedule A detailed MS Project schedule is included in Section D. of this proposal. Based on an anticipated 01/26/09 Notice to Proceed, the environnmental documentation would be completed by January 2010 and project final approval would be anticipated in April 2010. Engineering RESEARCH 8t DATA COLLECTION The objective of this task is to collect relevant available information about the project site and operating conditions. Within two weeks of the notice to proceed, 1131 will submit a list of data requests, such as: existing project site data not already obtained, City General Plan and Design Guidelines, and other nearby City projects. All materials received from the City or other agencies will be logged in a table and filed in the project file. City of Santa Ana - Proposal to Prepare Environmental Documents for Warner Avenue Went" Project The Planning Center I Page 5 25B-8 PROJECT SLOPING Constraints Identification IBI Group will work with The Planning Center and City of Santa Ana to identify constraints within the project limits that will affect the feasibility and desirability of alternatives. Constraints will be researched to determine if they are "fatal flaw" items or merely items of concern. FIELD SURVEY/TOPO VA Consulting will establish horizontal and vertical survey control for the site, set panels, and arrange for aerial and ground survey of Warner Avenue between Main Street and Grand Avenue. When on-ground panels and utility features have been marked, the project area will be flown. The ground survey will include cross-sections at 100-foot Intervals. This field survey will also collect coordinates for any visible surface culture within the defined limits (manholes, catch basins, overhead wires, landscape, etc.) The aerial and ground survey data will be used to create topographic mapping, including surface features, right-of-way data, assessor parcel numbers, and contours for design purposes. The final topographic mapping for the project will be prepared on 24" x 36" sheets at a scale of 1" = 40' with 1-foot contours. Deliverable: Survey field notes, electronic files, and a hard copy of the topographic mapping PRELIMINARY ENGINEERING PLANS Subsequent to the selection a preferred Build Alternative by the City, a draft set of preliminary street improvement plans) will be prepared consistent with a 15% level of design development. The plans will include: existing and proposed (if applicable) street center lines; proposed curb lines, sidewalks, and parkway features; proposed driveway and curb return modifications; proposed lane geometrics; impacted surface and subsurface utility and drainage features; existing and proposed ROW; major street callouts; and approximate locations, limits, and heights of proposed retaining walls. Layouts of all this information will have a scale of I`-_50'(22"04"). Separate sheets will include proposed typical street sections. No profiles or elevation data will be included in the plans and the attached fee proposal assumes profiles will not be required. The proposed roadway modification alternatives selected for analysis will be reviewed for potential impacts to existing and future utility facilities and possible mitigations to likely utility impacts. The results will be summarized for the various utility alternatives and their cost, timing, and easement implications. All correspondence and meetings with the utility companies throughout this project phase will be summarized and documented in the Preliminary Engineering Report. The Draft plan set package will be submitted to City stag' for review and comment. Comments will be logged and formal responses prepared and submitted to the City for concurrence. The plans will be revised to address the comments and a final plan will be submitted to The Planning Center and the City. Deliverable: a Preliminary Engineering Report DRAFT ENGINEERING REPORT All items produced in the task above will be compiled into a single document and submitted to City staff for review and approval. The report will address civil roadway, traffic, access and safety, geotechnical, utilities/drainage, right of way, environmental, landscaping, and capital costs. IBI will prepare an outline for City staff to review before completion of the technical studies. City of Santa Ma - Proposal to Prepare Environmental Documents for Warner Avenue Widening Project The Planninj Center I Page 6 25B-9 Deliverable: ® Draft and Final Preliminary Engineering Plans PRELIMINARY COST ESTIMATE This task involves the development of planning-level construction associated with the build alternative. Budget-level estimates for future project phases will be developed based on estimated construction costs. Construction Cost Estimates IBI will use the engineering plans and utilities and drainage studies to prepare planning level estimates for probable construction costs for each of the build alternatives. Quantities and costs will be organized in these categories: civil/roadway, earthwork, traffic, retaining walls, utility relocations, drainage modifications, and landscaping and irrigation. Cost items under each section will include unit cost, estimated quantity, and total cost. Lump sums for supplemental items (e.g., temporary erosion control) and items not quantifiable at this phase will be calculated as a percentage of the total. An overall contingency will be applied to account for unknowns. Unit cost information will be obtained from published sources (2007 Caltrans Cost Data Book, BNi 2005 Costbook for Public Works, etc.) and recent relevant projects. City staff will review an initial cost estimate template (including cost items and their associated unit costs). After they concur, cost estimates will be prepared and draft street improvement plans and cost estimates will be submitted to the City at the same time as the Preliminary Engineering Report. Cost estimate calculation worksheets will be included in the appendix. Cost Estimates for Future Project Phases IBI will use the construction and ROW cost estimates to develop budget-level costs for each build alternative of subsequent project phases, including: final design (PS&E) and construction management. These costs will be in the Preliminary Engineering Report, with any backup calculation information included in the appendix. Deliverable: • Cost Estimate Summary Worksheets RIGHT-OF-WAY MAPS - Based on the selected roadway improvement plans, VA Consulting will prepare 24'x 36" ROW maps at a scale of I" = 40'. These maps will include existing and new street centerlines, existing and proposed right of way lines, property lines, agency boundaries, all adjacent parcels and cross-streets, topography, building footprints, parcel numbers, addresses, indication if full or partial take of each property and amount of ROW being taken from each parcel. Deliverable: 6 Final maps on mylar and electronically as both pdf and dgn files. SURVEYS AND GIS MAPPING Establish environmental baseline data in a manner compatible with engineering and topographic mapping. Coordinate with Base Mapping (165.10.20) on the environmental components/data to be included in the GIS database, including Section 4(f) resources, historic properties, 100-year floodplain, hazardous materials sites, sensitive visual features, land uses and right-of- way and noise receptors. Data from publicly available sources will be used as a starting point and adjusted, as appropriate, based on field surveys and observations conducted by The Planning Center team. Data will be provided in a manner consistent with the base mapping (160.10.20) to ensure that the datasets are compatible and can be utilized for evaluation of each alternative's effects on the environment. City of Santa Ma - Proposal to Prepare Environmental Documents for Warner Avenue Widening Project The Planning Center I Page 7 25B-10 Environmental Studies Environmental technical studies provide the key data, analysis, findings, and mitigation recommendations that are incorporated into the EIR. While broken down into several different tasks, The Planning Center team views the technical study effort as a filly integrated process with the engineering and outreach processes, as well as internally between environmental tasks. TRAFFIC IMPACT ANALYSIS IBI Group will perform a Traffic Impact Analysis (TIA) for the Warner Avenue project according to the latest adopted City of Santa Ana standards and guidelines. The objective of the TIA will be to establish future traffic conditions with the proposed project and identify traffic mitigation measures that may be necessary to address project-related traffic impacts. The traffic impact analysis will incorporate the following components: Data Collection/Existing Traffic Conditions IBI will evaluate existing traffic and circulation conditions in the vicinity of the project site which includes the following components: 1) intersection operating conditions for typical weekday AM/PM peak hour conditions, 2) descriptions of geometric roadway conditions within and adjacent to the project site, 3) description of existing transit services in the vicinity of project site, and 4) roadway daily traffic volumes and fleet mix. Peak period traffic counts will be conducted as necessary to establish the existing condition at study intersections. IBI Group will work with the City of Santa Ana to identify appropriate study intersections and to obtain existing counts available from the City. The traffic scope assumes the analysis of signalized intersections within the project limits, as well as the next major signalized intersections to the east and west of the project limits (assumed to be Flower Street and Wright Street). We also propose to include the intersections of Main Street and Grand Avenue with Dyer Road and Edinger Avenue to assess the changes in traffic conditions along the parallel east-west corridors with the implementation of the proposed project. IBI Group will also conduct daily roadway traffic counts within the project limits to determine the existing traffic volumes. These traffic counts will include the collection of vehicle axle data to determine the existing vehicle fleet mix for inclusion In the noise and air quality studies for the environmental document. IBI will field review all study intersections to determine existing geometric conditions including member and type of lanes and signal phasing. Existing intersection operating conditions (in terms of volume/capacity ratios and level of service) will be quantified using the ICU analysis methodology as adopted by the City of Santa Ana. Future Conditions Per California Environmental Quality Act (CEQA) guidelines, IBI will forecast future traffic conditions without the proposed project. We will work with the City of Santa Ana to develop an appropriate forecast of future traffic conditions for the roadway. One option includes the use of the Orange County Transportation Analysis Model (OCTAM) to develop future forecast traffic volumes. This is the regional model for Orange County and uses the four-step process outlined by the City of Santa Ana in the RFP to develop future traffic forecasts. We will work with OCTA to develop traffic forecasts for the future without and with project conditions, allowing for a comparison of traffic volumes in the study corridor between the two future scenarios. We will also obtain future forecast traffic volumes for other appropriate study streets including Main Street, Grand Avenue, Dyer Road and Edinger Avenue. Study intersections that are forecast to experience an increase in level of service due to cumulative project-related traffic will be highlighted. Graphics and tables will be used to illustrate the future no-project traffic analysis results. The future with project traffic conditions will analyze the performance of the roadway and study intersections following the implementation of the proposed improvements. Any significant impacts that result from the proposed project will be Identified and appropriate mitigation measures will be developed to address these impacts. City of Santa Ana - Proposal to Prepare Environmental Documents for Warner Avenue Wtdenf% Project The Planning Center I Page i 25B-11 Documentation/Response to Comments A draft traffic impact report will be prepared for incorporation into the Draft Environmental Impact Report (DEIR). Following public release of the DEIR, IBI Group will assist in the preparation of responses to public comments on traffic and transportation issues received on the DEIR. IBI Group will provide responses to comments for incorporation into the Final Environmental Impact Report. Deliverable: • Draft Traffic Impact Report NOISE:: AND VIBRATION ANALYSIS The Planning Center will prepare a noise analysis that will document existing noise levels through noise modeling and short- term noise monitoring program. Future noise levels will be conducted for the design year noise and horizon year for the Preferred Alternative and the No Build Alternative. All noise modeling will be conducted using the FHWA's Traffic Noise Model, version 2.5. The noise analysis will evaluate increases in the traffic noise environment associated with it potential increase in roadway speeds and/or traffic volume. Construction-related noise (traffic and construction equipment) and vibration will also be evaluated. Deliverable: ® Noise and Vibration Modeling (model output and output sheets) AIR QUALITY STUDY The project site is located in the South Coast Air Basin (SoCAB), which is designated under the National and California Ambient Air Quality Standards (AAQS) as non-attainment for ozone (O,) and particulate matter (PM,e and PM2_s). For operation of the project, regional and localized air quality modeling will be conducted for the Preferred Alternative and the No-Build Alternative. Any increase in air pollutant emissions associated with the project will be compared to the South Coast Air Quality Management District's (SCAQMD) regional emissions thresholds. Localized air quality modeling will be conducted at up to six congested intersections to determine concentrations of carbon monoxide (CO) and compare them to the AAQS for buildout year with the project. Regional air pollutant modeling will be also be conducted for construction activities and compared to the SCAQMD's regional emissions thresholds. The SCAQMD also requires an analysis of the potential for construction activities to result in substantial concentrations of air pollutants. Consequently, dispersion modeling will be conducted to determine concentrations of air pollutants generated during construction activities at nearby sensitive receptors. In addition, , a CO hotspot analysis for traffic detours and/or lane closures will be conducted for temporary impacts at up to six congested intersections. The Planting Center will also provide a discussion of global climate change impacts with respect to the effects of greenhouse gas (GHG) emissions, regulatory history of GHG emissions regulation, and GHG emissions associated with the project. Modeling of GHG emissions will be conducted for construction and operational emissions associated with the project. Deliverable: Air Quality Modeling (model output and output sheets) City of Santa Ana - Proposal to Prepare Environmental Documents for Warner Avenue Wkk nin4 Project The Planning Center 1 Page 4 25B-12 HYDROLOGY AND DRAINAGE STUDIES Drainage Analysis and Report IBI Group will assemble and review the relevant available topographic data, as-built roadway and drainage facility plans, and hydrology studies for the corridor to assess the existing conditions and the likely changes to the rum-off flow patterns and quantities due to the proposed roadway widening alternatives. Up to three alternatives will be assessed. Based on this assessment, the required modifications to the existing drainage facilities as a result of the proposed roadway widening modifications will be conceptually defined. Only concept-level hydrology and hydraulic analyses will be used for this work along with a preliminary assessment of the costs associated with the required drainage improvements. The results of this analysis will be summarized in the Drainage Report, which will include a narrative of the assembled data, analysis procedures and findings including a figure depicting existing and proposed drainage facilities. This report will be Included as an attachment to the Preliminary Engineering Report. Water Quality Documentation Upon completion of the Drainage Report, IBI Group will prepare conceptual water quality (WQ) management documentation for the Warner Avenue widening project area. The conceptual WQ documentation will identify potential pollutants of concern, low-flow and nuisance flow drainage patterns, and preliminary water quality peak flow rates for a single roadway widening concept. This documentation will recommend best management practices (BMPs) within the project area to address water quality concerns. The conceptual WQ documentation will consist of a narrative describing procedures, findings, and recommended BMPs as well as an exhibit identifying the placement of the recommended BMPs within the project area. Deliverables: • Hydrology/Drainage Study report • Conceptual WQ Documentation UTILITIES AND EMERGENCY / COMMUNITY SERVICES This task includes assembling utility data and preparing base maps of existing utilities. Existing utilities within the proposed project area include water (Metropolitan Water and City of Santa Ana), sewer (Orange County Sanitation and City of Santa Ana), power (SC Edison), gas (SC Gas), and telephone/communication lines (AT&T Transmission & Distribution, MCI/Verizon, MPower Communications, Airtouch Cellular, and Adelphia). The Planning Center will coordinate with the Santa Ana Fire Department, Santa Ana Police Department, and Santa Ana Parks, Recreation and Community Services Agency to ensure that the appropriate agency has input regarding any potential impacts created by the proposed project. GEOTECHNICAL REPORT SUMMARY All work will be based on an office study. No drilling or sampling is proposed. It is understood that environmental issues will be dealt with by other team members. Allowance has been made for a site reconnaissance to view conditions of the existing pavement and other surface features which may Impact site preparation and grading for the widening. This will be followed by compilation and review of available information including: Seismic hazard maps, Literature on geology and seismology, County and City files, In-house data. As the project develops, it Is anticipated that there will be a requirement for discussion and/or meetings dealing with geologic hazards and geotechnical issues of significance to the project. In addition, GLA will assist with appropriate sections of the environmental documents, and will prepare a stand-alone appendix dealing with the following: Regional geology, City of Santa Ana - Proposal to Prepare Environmental Documents for Warner Avenue Widentiug Project The Planning Center I Page 10 25B-13 I-iydrogeology and seismicity, Expected subgrade conditions, Groundwater, Geologic/seismologic hazards, General condition of existing pavement, Discussion of design issues including need for site preparation, Impact on existing improvements from a geotechnical perspective, Expansive soils and/or other site-specific conditions. Deliverable: • Geotechnical Report INITIAL. SITE ASSESSMEN'r FOR HAZARDOUS WASTE The Planning Center is proposing a Modified Phase I Environmental Site Assessment for the Warner Avenue widening project between Main Street and Grand Avenue. The assessment will assist in identifying environmental hazards related to current and past operations on the site. The scope will include a review of historic aerial photographs and topographic maps, site visit, and review of a regulatory database report and city directory. Government records (as available) including: NPL site list; Federal CERCLIS list; Federal CERCLIS NFRAP site list; Federal RCRA CORRACTS facility list; Federal RCRA non-CORRACTS TSD facilities list; Federal RCRA generators list; and Federal ERNS lists will be reviewed Additionally, California State lists of hazardous waste sites identified for investigation or rennediation (as available) wilt be provided. The Planning Center will perform the following detailed scope of services to complete our Transaction Screen Process Report • Visual observations of site conditions, to evaluate the nature and type of activities that have been or are being conducted at and adjacent to the site, in terms of the potential for release or threat of release of hazardous substances or petroleum products. • Review of federal and state environmental database information within the ASTM- specified radii from the subject property using a database service to access records. Use of 7.5-minute topographic maps to evaluate the sites physical setting. • Review of federal and state environmental files pertaining to the subject site and nearby sites with the potential to impact the subject site. • Review of the following sources of historical use information: ? Aerial Photographs ? Historical Topographic Maps • Contacts with state and local agencies regarding the site and surrounding properties and structures. An evaluation of business environmental risk associated with a parcel of commercial real estate may necessitate investigation beyond that identified in this environmental site assessment. The proposed assessment does not address whether requirements in addition to appropriate inquiry have been met in order to qualify for CERCLA's innocent landowner defense. The proposed assessment does not address requirements of any state or local laws or of any federal laws other than the appropriate inquiry provisions of CERCLA's innocent landowner defense. Users are cautioned that federal, state, and local laws may impose environmental assessment obligations that are beyond the scope of this practice. Users should also be aware that there are likely to be other legal obligations with regard to hazardous substances or petroleum products discovered on property that are not addressed in this practice and may pose risks of civil and /or criminal sanctions for non-compliance. No subsurface explorations or chemical testing of soils or groundwater will be performed during this assessment. Therefore, our conclusions regarding the evidence of recognized environmental conditions will be based on observations of existing visible conditions, and on our interpretation of site history and site usage information. Further, our conclusions regarding the City of Santa Ana - Proposal to Prepare Environmental Documents for Warner Avenue Widening Project The Planning tenter i Page I I 25B-14 presence of hazardous substances and petroleum products may not be applicable to areas beneath existing structures, unless specific subsurface exploration, sampling, and/or testing information is available and reviewed by us for such areas. Deliverable: • Modified Phase 1 Site Assessment Report ARCH LOLOGICAL/HISTORICAL RESOURCE: SURVEYS Prepare a Historic Resources Evaluation Report (HRER) to include identification and evaluation efforts, including a summary of findings, project description, historic contextual overview, evaluation of historic properties, determination of findings of significance and project impacts and conclusions. The properties shall be evaluated using the criteria for the National Register of Historic Places (NRHP) and the California Register of Historical Resources (CRHR). Prepare a Historic Properties Survey Report (HPSR) that will include project maps and the results of identification and evaluation for properties more than 45 years old. The HPSR will include the Historic Resources Evaluation Report (HRER) and Archaeological Survey Report (ASR) as appendices. Urbana will coordinate with the archaeologist to compile the information contained in the ASR for preparation of the HPSR in the standard format. Deliverable: • Historic Properties Survey Report - including Historic Resources Evaluation Report and Archaeological Survey Report HISTORICAL. RECORDS AND LITERATURE SEARCH A search for records of known archaeological and historical sites will be requested from the South Central Coastal Information Center at California State University at Fullerton. A record search for sacred lands will be requested from the Native American Heritage Commission. In addition, we will send subsequent letters to all Native Americans the Commission recommends be contacted to elicit any information they may have. Current procedure under Section 106 is to send the letters, wait two weeks for response and if none, make a minimum of three attempts to elicit comments via phone. Deliverable: • Historic Records Search Environmental Clearance DATA COLLECTION The Planning Center will work with the City and all team members to gather appropriate data required for the successful completion of the environmental documentation and clearance. INITIAL STUDY An Initial Study will be prepared according to the City's standard Initial Study checklist. Since it is already anticipated that an EIR will be required, it is assumed that many of the checklist responses will consist of brief responses that explain the scope of the analysis to be included in the Project EIR. A limited number of topical areas, however, are expected to be eliminated from fiurther environmental review through documentation in the Initial Study. At this time it is anticipated that a comprehensive City of Santa Ana - Proposat to Prepare Environmental Documents for Warner Avenue Widening Project The Planntng Center I Page 12 25B-15 Project EIR will be required, addressing the majority, if not all, of the CEQA checklist topics. A complete list of reference sources used to prepare the Initial Study will be provided. Deliverable: Initial Study NOP The Planning Center will prepare a Notice of Preparation (NOP) using the City's standard form. A copy of the Initial Study will be attached to provide an immediate explanation of the preliminary scope of issues to be included in the EIR. After City approval of the NOP, The Planning Center will copy and distribute the NOP to the State Clearinghouse, responsible and trustee agencies, and other interested parties as Identified by the City. A brief cover letter will be prepared to explain the purpose and content of the MOP and to clearly identify the time period, contact person, and address established for submitting responses. Deliverable: 6 Notice of Preparation SCOPING MELTING The Planning Center will assist the City in organizing and conducting one public scoping meeting to present the main characteristics of the proposal submitted by the applicant and to solicit comments regarding the scope and content of the environmental issues to be addressed in the EIR. Premeeting assistance will include scheduling the meeting, preparing public notices and agendas for City staff review, and mailing and publishing the final notices. It is assumed that the City will provide addresses of surrounding property owners and residents selected to receive copies of the scoping meeting notice. At the meeting, we will be prepared to discuss the environmental review process and to answer specific questions, as desired by the city. Deliverable: Preparation for and attendance at EIR scoping meeting. SCRLENCHECK EIR The Planning Center will submit the Screencheck EIR pursuant to the City's procedures and guidelines.'I'lie Screencheck EIR will include all of the information described above, as well as the Executive Summary. Deliverable: 6 Screencheck EIR ENVIRONMENTAL QUALITY CONTROL AND OTHER REVIEWS - SECOND SCREENCHECK EIR The Planning Center team will revise the Screencheck EIR pursuant to the City's comments and will submit the Second Screencheck EIR to the City for their review. The Second Screencheck EIR will Include all of the information described above, as well as the Executive Summary and the Mitigation Monitoring Program (MMRP). Deliverable: • Second Screencheck EIR City of Santa Ma . Proposal to Prepare Environmental Documents for Warner Avenue Widening Project The Planning Center 1 Page 13 25B-16 OBTAIN APPROVAL. TO CIRCULATE DRAFT EIR On receipt of comments from the City, The Planning Center team will revise the document accordingly and will submit the Draft EIR for the City review and approval to circulate. After receipt of the signed cover sheet from the City. The Planning Center team will make any final revisions based on comments from the City and will reproduce the Draft EIR for public circulation. The Planning Center team will reproduce the Draft EIR via three media: 1) hard copy, 2) CD and 3) ".pdf format for uploading to the City website. The number of copies included is specified in the Cost Estimate (reimbursables). Deliverable: ® Draft EIR CIRCULATE DRAFT EIR The Planning Center team will circulate the Draft EIR for public review The following tasks will be conducted subsequent to receipt of the City's approval to circulate the Draft EIR. Tile Planning Center team will work with the City to update the project agency and general public list and identify those agencies and numbers of the public who will receive the Draft EIR and/or public notices regarding the availability of the Draft EIR and the public meetings. Responsible, participating, and Interested public agencies, groups and organizations, utility and service providers, businesses, and members of the general public will be included in the distribution list. DRAFT FINAL EIR The Planning Center team will revue the Draft EIR to reflect changes based on: Revisions in response to written comments on the Draft EIR; Design refinements or other refinements in response to written comments or updated information available at the time the Final EIR is prepared; 9 EIR and description of the public hearing process; Deliverable: The Draft Final EIR will be submitted to the City for their review. The Draft Final EIR will Include the entire EIR and its appendices. REVISED FINAL EIR Based on receipt of final comments from the City, The Planning Center team will prepare the Final EIR, and will assist the City in the distribution of the Final EIR to commenting agencies at a minimum of 10 days prior to public hearings scheduled for the project Deliverable: e Final EIR FINDINGS OF FACT, STATEMENT OF OVERRIDING CONSIDERATIONS ft MMP PREPARATION The Planning Center team will prepare Findings of Fact, consistent with the requirements of CEQA. The adverse impacts of the preferred alternative will be described with supporting documentation regarding project design features, and avoidance, minimization and mitigation measures to address those adverse impacts. The draft Findings of Fact slid Mitigation Monitoring Program will be distributed to the City for review and comment. The Planning Center team will prepare the final City of Santa Ana - Proposal to Prepare Environmental Documents for Warner Avenue Wietenhg Project The Planning Center i Pape 14 25B-17 Findings of Fact based on comments received from the City. The Planning Center team will prepare a Statement of Overriding Considerations (SOC) for the preferred alternative, consistent with the requirements of CEQA. The SOC will identify the significant unavoidable adverse impacts of the preferred alternative and will describe the benefits of the preferred alternative that override or at least balance those significant unavoidable adverse impacts. Deliverable: ® Draft Findings of Fact, Statement of Overriding Considerations, and Mitigation Monitoring Program PUBLIC E IEARINGS/CEQA CERTIFICATION The Planning Center will coordinate closely with City staff to ensure that the EIR and associated documents delivered to the City are legally defensible and accurate and will serve as useful tools for decision makers when considering the approval of the project. Our scope of work assumes attendance by our director and project manager at the meetings and public hearings listed below. Additional meeting attendance by The Planning Center or attendance by other members of the consultant team will be billed on a tine-and-materials basis in accordance with the hourly rates for the personnel involved. Deliverables: ® Up to two(2) Planning Commission meetings Up to two (2) City Council hearings PREPARE AND FILE THE NOTICE OF DETERMINATION The Planning Center team will prepare a draft Notice of Determination (NOD) for review by the City. The Planning Center will prepare the final NOD based on comments received from the City. After the City takes action certifying the Final EIR, the NOD will be filed with the Office of Planning and Resources (OPR) and the Orange County Clerk. Deliverable: Notice of Determination MITIGATION MONITORING AND REPORTING PROGRAM (MMRP) Following filing of the NOD, the Final MMRP will be prepared. The MMRP will include all the avoidance, minimization, and mitigation measures from the Final EIR. The MMRP will include the language of each measure and permit condition, the agency responsible for implementing that measure/condition, the agency responsible for verifying compliance with that measure/condition, the timing of implementation of the measure and other relevant information. The Draft MMRP will be submitted to the City for review and comment. The Planning Center team will prepare the final MMRP based on the comments received from the City. Deliverable: Final Mitigation Monitoring and Reporting Program City of Santa Ma - Proposal to Prepare Environmental Documents for Warner Avenue Widening Project The Planning Center I Page 15 25B-18 a i m l9 ? N R ro c p V) ? >. p U ? y Y 2 rA Y ? 3 1 1- 1 M M s S } Y N H i l l A AA A AA A A M A A R l1 R ?. IS • = I s I la I g I I C i 1Yj $ n - - - -- - - -- - -- - --- - - -- I H + 1 11 1 11 Y Y ? ? Y B XX tl g U ? ? Y4 8 q ?$ fN x 16 67 25B-19 25B-20 EXHIBIT A-I SCOPE OF SERVICES Contract Amendment #I February 10, 2012 25B-21 February 10, 2012 Kenny Nguyen, PE Senior Civil Engineer City of Santa Ana, Public Works Agency 20 Civic Center Plaza Santa Ana, California 92701 Subject: Request for Contract Amendment - Warner Avenue Widening Project (Engineering, Traffic, & Environmental) (SNT-08.3E) Dear Mr, Nguyen: This request for a contract amendment details additional tasks and associated costs to complete the engineering and environmental documentation for the Warner Avenue Widening Project. Additional tasks are required to address City-requested changes to the alignment and street widths, delays in the project, outdated environmental analysis, new case taw regarding traffic analysis, and updated air quality modeling requiring supplemental technical analysis; all of which could riot have been foreseen at the time of our original proposal. Our scope of work and cost estimate have been structured to follow our original task numbering and describe the changes or supplemental work that must be completed for each task. Project Background The kick off meeting for this project was on March 1, 2009. Since the kick-off meeting, alternative concepts have been prepared that evaluate combinations of 100-, 110 120-foot right-of-way within varying segments of Warner Avenue. The concepts address property take on the south only, the north only, and on both sides of the street. The City has requested additional engineering designs to identify alternative bike crossings that would connect the bike path on the north and south sides of Warner Avenue without the need for a midblock traffic light. Additionally, the City would like to see alternative plans that would minimize property take and reduce the number of remnant parcels along the north side of Warner Avenue. Revised Scope of Work ENVIRONMENTAL This request includes the following tasks beyond our approved scope of work: TASK 1. ENVIRONMENTAL STUDIES No change; this task is complete (Phase I hazards assessment). TASK 2, DATA COLLECTION No change. Data Collection is complete for the initial phase of the environmental document. TASK 3. INITIAL STUDY New alternative designs for the bike path crossing and to minimize property take will be developed. The Initial Study will be updated based on the final preferred alignment and preliminary engineering plans. Orange County • Northern California • tos Angeles • Inland Empire • Central Coast • Son Diego r Intermountain West 3 .•d o?.bq e, Pk,<o 3,,;1. 1100 1 S-1. A- CA 92707 1 r. 714,964 9220 IF, 714,964.?221 www.ple nn in9c6nte r,COnl EXHIBIT Al 25B-22 February 10, 2012 Page 2 TASK 4. NOP No change; this task has not started. TASK S. ADMINISTRATIVE DRAFT EIR The Administrative Draft EIR is nearly complete based on the previously selected preferred alignment and design alternatives. This task will update the EIR to reflect an updated, preferred alignment (f selected) and/or the alternative bike crossing and alignment as new project alternatives. EIR text and figures will be updated based on the final preferred alignment; preliminary engineering plans, and revised technical studies. TASK 6. DRAFT EIR No change; this task has not started. TASK 7. ADMINISTRATIVE DRAFT FINAL EIR No change; this task has not started. TASK 8. FINAL EIR No change; this task has not started. TASK 9. NOD No change; this task has not started. TASK 10. MANAGEMENT & COORDINATION The original budget for this task was based on an anticipated 16-month project duration. The project kick-off meeting was held on March 12, 2009, and work continued through April 2010 when the CEQA document was placed on hold until the project could be better defined. Work then commenced in October 2011 with a 21 kick- off meeting. We anticipate the engineering and CEQA process may take another 10 months depending on the public outreach schedule. Therefore, we have included time for project management and coordination based on an additional 6 months of work beyond the anticipated 16-month work schedule. TASK 11. PROJECT MEETINGS As shown in table below, a total of 5 project meetings were included in our original scope. To-date we have attended 8 project meetings. To cover the fees for these additional meetings and to control the costs for this amendment we have eliminated the following specific meetings previously assumed in the original scope of work: Draft EIR review meeting, Final EIR review meeting, and Planning Commission Hearing preparation meeting. It is our assumption that we will coordinate these efforts via email and phone calls under our project coordination budget. We have also eliminated attendance at one of the two hearings anticipated for each Planning Commission and City Council. If additional meetings are requested by the City additional fees may be requested. TASK 12. ETAC AND RDA MEETINGS Originally our attendance at two meetings was included in this task. The RDA meeting is no longer required and has been eliminated. TASK 13. PUBLIC SCOPING MEETING One meeting; no change 25B-23 February 10, 2012 Page 3 TASK 14. PLANNING COMMISSION Two hearings; revised to include attendance at one hearing. TASK 15. CITY COUNCIL Two hearings; revised to include attendance at one hearing. TASK ORIGINAL. PROPOSAL AMENDMENT Task 11. Project Meetings 5 Total 8 Total 1. Kick-off meeting 1. Kick-off meeting (March 1, 2009) ) 2. Team meeting 2. Team meeting (May 14, 2009) 3. Draft E1R review 3. Project Status Meeting (April 12, 2010) 4. Final FIR review 4. 2nd kick-off (October 5, 2011) 5. Planning Commission hearing 5. City Council hearing / workshop preparation (October 17, 2011) 6. Project Status Meeting (November 29, 2011) 7. Project Team Meeting (December 14, 2011) 8. Project Team Meetirig (January 5, 2012) Task 12. EfAC + RDA 2 1 (tut can be used for other meeting requirement) Task 13. Public Scoping Meeting M 1 1 Task 14. Planning Commission 2 V 1 Task 15: City Council 2 1 Total Meetings 12 12 TASK 16. NOISE & VIBRATION Using the revised traffic study specifics, we will reassess the noise conditions for existing conditions (if changed from 2009), as well as the future scenarios for the buildout year with and without the project. The analysis will include revisions to the assessment of future noise impacts for sensitive receptors that are currently in the second and third row from the street, but will be adjacent to the roadway following the street widening. It is assumed that the remainder of the previous noise technical report sections, such as the baseline survey, the construction analyses, and the assessment of stationary sources, can be used in their entirety without updates or modifications. TASK 17. AIR QUALITY AND GREENHOUSE GAS EMISSIONS The air quality modeling and analysis is currently based on the traffic analysis prepared by 181 Group in November 2009. The baseline and forecast year traffic volumes will be revised by 101 Group; therefore, revisions to the air quality and greenhouse gas (GHG) emissions analysis will be required to ensure the environment document is internally consistent. In addition, since 2009 the South Coast Air Quality Management District (SCAQMD) has released a new air quality model for analyzing construction and operational impacts. Construction impacts were previously analyzed using the URBEMIS2007 model and will be updated using SCAQMD's new Calrl:Mod program in accordance with SCAQMD guidance. 25B-24 February 10, 2012 Page 4 ENGINEERING Project Management, Meetings, and Coordination IBI engineering staff will coordinate and attend a Project Development Team (PDT) meeting to discuss the desired modifications to the PE design and Plans. IBI engineering staff will also attend any subsequent meetings necessary and will be responsible for leading the discussion for any engineering related items in the agenda. IBI will provide meeting notes for each meeting related to items discussed regarding engineering related agenda items. Project Scoping and Development of Build Alternatives The city has indicated at least one more alternative which shall be analyzed and could be part of the Preferred Alternatives. IBI will provide support to the City for the additional alternative design. Hydrology Study (Conceptual WQMP) and Drainage Report Subsequent to the modification of the preferred build alternative by the City, the Preliminary Drainage Report shall be revised to include the additional modifications requested and any other details needed to address other City requests. Preliminary Engineering Plans Subsequent to the modification of the preferred Build Alternative by the City, the PE plans shall be revised to include the additional modifications requested and any other details needed to address other City requests. Cost Estimates The preliminary cost estimate shall be updated to reflect not only the modifications of the preferred build alternative design but also current (2011) unit cost for all pay items identified in the estimate. Preliminary Engineering Report The PE report will be updated with the newest information from the following sections: Civil Roadway Traffic Analysis Utilities and Drainage Right-of-Way Based upon the discussion items identified above, The IBI Group will prepare a final report to submit to City staff for review and concurrence. TRAFFIC IMPACT ANALYSIS IBI Group will update the Traffic Impact Analysis (TIA) Report previously prepared and completed in April 2010 for the Warner Avenue project according to the latest adopted City of Santa Ana standards and guidelines and new case law. This augment request incorporates the following additional work elements beyond our original scope of work: 25B-25 February 10, 2012 Page 5 Data Collection/Existing Traffic Conditions The original traffic impact analysis prepared for the Warner Avenue project included the analysis of existing traffic conditions without the project for the year 2009. All traffic counts at the 15 study intersections collected by 191 Group were conducted in 2009 as well, As part of the traffic study update, IBI will revise the analysis to reflect a 2012 existing year, consistent with the anticipated release date of the Notice of Preparation for the environmental document. The City of Santa Ana has directed IBI to use the 2009 traffic counts in the updated traffic analysis to avoid conducting new traffic counts. Two methods were discussed: applying a default growth factor of one percent annually to 2009 counts to estimate Year 2012 conditions, or conducting a few spot check traffic counts to confirm that 2009 counts are the same as 2012 or to identify an annual growth factor. This update requires the following new work elements that were not in the original scope ofwork: Update Existing No Project Analysis - Pending direction from the City of Santa Ana, the existing no project analysis will be updated to reflect Year 2012 conditions. Incorporate Existing Plus Project Analysis - The recent Sunnyvale court case highlighted the requirement that traffic studies prepared in support of CEQA documents must include an analysis of Existing Plus Project conditions.' This analysis was not included in the April 2010 TIA and will be added to the report as part of this update. Future Conditions The April 2010 TIA included the analysis of No Project and With Project conditions for a 2020 opening year and 2035 buildout year. With the change in the Existing Conditions year from 2009 to 2012, the analysis results for the Year 2020 and 2035 conditions will need to be updated. Future traffic volumes were obtained by applying annual traffic volume growth forecasts to existing traffic counts using forecasts produced by OCI'A with the Orange County Transportation Analysis Model (OCTAM). We do not anticipate the need to obtain new OCTAM forecasts from OCTA. However, the Year 2020 and 2035 traffic volume forecasts must be updated with a baseline of the 2012 existing traffic counts to ensure consistency between analysis years in the report. Documentation IBI Group will update and revise the TIA report to reflect the analysis updates and additional analysis scenarios highlighted in the above tasks. A new report will be prepared and delivered for incorporation into the environmental document prepared for the project. Revisions to other subconsultant documents are not anticipated at this time. - VA Consulting: Utility Relocations - Cogstone: Archaeological Assessment - Urbana: Historical Resource Survey Report -- GeoLogicAssociates: Geotech Study - California Property Specialists, Inc.: Relocation Impact Statement- Draft (City consultant) ' On December 16, 2010, the Sixth District of the California Court of Appeal issued its decision in Sunnyvale West Neighborhood Association v. City of Sunnyvale, Invalidating an environmental Impact report (EIR) for a major roadway extension project. http;/jlandulgl,iwirrtf)m:corrylQt t/95kqurt-derision-charges-certa.rel3tcc!_traffi_r-_irnpact ana!vses.html 25B-26 EXHIBIT A-2 SCOPE OF SERVICES Contract Amendment #2 January 4, 2013 25B-27 January 4, 2013 (Revised from December 4, 2012) Kenny Nguyen, PE Senior Civil Engineer City of Santa Ana, Public Works Agency 20 Civic Center Plaza Santa Ana, California 92701 Subject: Request for Contract Amendment #2 - Warner Avenue Widening Project (Engineering, Traffic, & Environmental) (SNT-08.3E) Dear Mr. Nguyen: Per our conversation this week, we have updated our previous Contract Amendment #2 request to achieve the City's budget objectives for this project. As discussed, we have reduced our total fee amount from the previous total of $80,048 (without optional tasks), to a total of $55,000 (also without optional tasks). We have coordinated with IBI to also reduce their fees to achieve the reduced total. The amended fee amounts by task and for subconsultants are shown in Table 1, Cost Estimate. The detail for IBI by task is shown in Table 1, Summary of Budget and Revised Cost Estimate of the attachment (IBI's contract amendment requested dated January 4, 2013). This contract amendment request details additional tasks and associated costs to complete the engineering work, traffic study, and environmental analyses, documentation and processing for the Warner Avenue Widening Project. A number of events have occurred on this project resulting in budget increases beyond the control of the consultant team. Key factors related to budget overruns include: 1) an approximate 1 1/12 year period for which the project was on hold; 2) staffing changes at the City and consultant team during that time; 3) an unanticipated level of public outreach and related extension in the project schedule. Moreover, a reduced scope and budget for Contract Amendment No. 1 (February 2012) was approved in comparison to our original request. We look forward to working with the City to expeditiously complete this project and will provide additional cost detail as requested. In addition the work we have completed beyond our approved scope and remaining work within our approved scope of work, we have provided "optional tasks" for consideration by the City. These tasks anticipate a greater level of coordination and meeting/conference call participation than included in the original contract and are projected by our experience with the project to-date and understanding of the project's complexity and public scrutiny. Revised Scope of Work This request includes the following tasks beyond our approved scope of work. Detail is provided for tasks: 1) already completed but beyond the approved scope of work, and for 2) tasks to be completed but beyond the approved scope of work. Orange County • Northern CeliforWo Los Angeles • Inland Empire • Cemra! Coast . Sun Liego Emermountain West www.planningcenter.com EXHiB! i Ar 25B-28 January 4, 2013 Page 2 Environmental TASK 1. ENVIRONMENTAL STUDIES No change; this task is complete. TASK 2. DATA COLLECTION Data Collection was completed for the initial phase of the environmental document. Extras below are requested to address data collection associated with project revisions. Work Completed Out of Scope ¦ This task includes several revisions to property take tables, verification and coordination between exhibits and tables. Collecting additional data during multiple project revisions. - Additional budget: $4,680 TASK 3. INITIAL STUDY Work Completed Out of Scope ¦ Prior to submittal of the screencheck Initial Study revisions were made to respond to changes in the project. After submittal of the first screencheck document (8/16/12), four more unanticipated rounds of document review/revisions were conducted (submittals 9/18, 9/24, 9/26 and 9/28 (final version). The majority of the revisions responded to City request for significantly greater detail and to ongoing changes to the alignment and property take. The extras for this task include numerous revisions to both text and figures. - Additional budget: $10,340 TASK 4. NOP Work Completed Out of Scope ¦ The NOP was translated from English to Spanish - Additional budget: $350 TASK 5. ADMINISTRATIVE DRAFT EIR The Administrative Draft EIR is in progress. Based on the following assumptions, there are no changes to the budget for this task: ¦ The initial submittal of Administrative Draft EIR will include all sections except the Executive Summary and Project Alternatives. Upon consultation with City staff and concurrence on the project alternatives, the remaining sections will be completed and submitted. ¦ The alternatives analysis will include the 'No Project' alternative and up to three additional alternatives selected on CEQA criteria (ability to attain most of the project objectives and reduce or eliminate one or more significant impacts). The alternatives may be design alternatives or potentially construction-related (phasing, equipment, etc.) alternatives. ¦ The EIR will include a background discussion of the alternatives prepared and presented to the public during the design process. Unless one of these alternatives has the potential to reduce or eliminate a significant environmental impact associated with the preferred alignment, it is not anticipated that these alternatives will be reviewed in detail. No technical analysis (e.g., air quality, greenhouse gases, noise, traffic, etc., is anticipated for the alternate alignments presented to the public. 25B-29 January 4, 2013 Page 3 TASK 6. DRAFT EIR The existing scope of work includes one review and revision iteration to the Administrative EIR to respond to City comments. Also included in this task is preparation of the Notice of Availability and Notice of Completion. The existing budget for this task is $2,220 (approximately 24 hours of professional time). Based on the complexity of the EIR and level of scrutiny by City staff, we do not believe that this budget will be adequate to complete the Draft EIR for public review. Optional tasks, therefore, have been included to accommodate translation of the notices and additional hours for revising the EIR to achieve the public review Draft EIR. Optional Tasks ¦ Translation of Notice of Availability from English to Spanish - Budget: $350 ¦ Additional Administrative Draft EIR revision per City staff review comments (2"d ADEIR). at up to 60 hours professional time (50 hours for PM, 10 hours for PD) and 24 hours combined for editing and word processing. - Budget: $11,670 (based on 50 hours for Project Manager (@$135/hr) and 16 hours for Project Directors (@$180/hour) and 12 hours each word-processing and editing ($75 and $95/hour, respectively) TASK 7. ADMINISTRATIVE DRAFT FINAL EIR The approved contract includes a total budget of $26,340 for preparation of the Administrative Final EIR. Since the level of comment on the Draft EIR cannot be predicted, this amount is an estimate. Additional fees may be required if the comment level is excessive and/or additional technical analyses/modeling, new alternatives, or other time intensive revisions are required to adequately respond to the comments. We will coordinate with the City upon receipt of all comments to determine whether additional effort and fees will be required to complete the Final EIR. In addition to preparation of the Administrative Draft EIR, this task includes preparation of the following: ¦ Findings of Fact ¦ Statement of Overriding Considerations, if required Mitigation Monitoring and Reporting Program (MMRP) TASK 8. FINAL EIR We will revise the Administrative Draft EIR, Findings, Statement of Overriding Considerations and MMRP upon the City's review and comment. We have not modified the budget for this task ($8,700) which will accommodate approximately 60 hours of professional staff time. It is our assumption that only one review/revision iteration will be required. TASK 9. NOTICE OF DETERMINATION No change to this task. TASK 10. MANAGEMENT & COORDINATION Work to Complete ¦ Contract Amendment No. 1 extended the management and coordination task 10 months in comparison to the original budget for this task. At that time (February 2012), it was anticipated project approval could be achieved by the end of 2012. The current schedule anticipates project completion and approval by mid-July 2013, approximately 7 more months. The extended schedule was primarily due to expanded public outreach and project revisions and beyond the control of The Planning Center. - Additional Budget: $10,580 (approximately 2 hours/week) 25B-30 January 4, 2013 Page 4 TASK 11. PROJECT MEETINGS As requested by the City for Contract Amendment No. 1, to avoid an increase in the meeting budget we eliminated some meetings in the original scope (1 ETAC or RDA meeting and 2 public hearings) to accommodate additional meetings we had already attended. At that time we had attended 8 meetings when the original budget only included 5 meetings. Per Contract Amendment No. 2 remaining budgeted meetings were limited to one meeting (ETAC or RTA) and 2 public hearings. The fees requested for this task cover additional meetings/workshops that we have attended and ongoing conference calls to coordinate team efforts. Work Completed Out of Scope ¦ Public Outreach Open House #1 - May 22, 2012 ¦ Public Outreach Open House #2 (July 10, 2012) ¦ 8 conference calls - Additional budget: $4,040 Remaining work within scope includes one meeting and 2 public hearings. Optional Task We will coordinate closely with staff to minimize remaining meeting time. We will participate in additional conference calls and meetings on a time and materials basis based on the hourly rates of the participants requested. We have allocated up to $4,000 as an optional task to accommodate additional conference calls, meetings and/or public hearing attendance. - Budget: $4,000 TASK 12. ETAC AND RDA MEETINGS ¦ Originally our attendance at two meetings was included in this task. Per the original scope the purpose of the meetings were interchangeable. As described above (Task 11), the budget for these meetings was used by other project meetings. Therefore, unless attendance at an ETAC meeting is requested by the City, this task is considered complete. TASK 13. PUBLIC SCOPING MEETING Work Completed Out of Scope ¦ A total of 8 hours was included for in the original budget for this task which was completed on October 18, 2012. Per the City's request we prepared a PowerPoint presentation and conducted numerous rounds or review/revisions to both the presentation slides and detailed presentation notes as requested by staff. Included in this task was extensive coordination with IBI Group to refine presentation figures of the alternative alignments (change line color and weight, remove text, change shading, etc.) - Additional budget: $4,860 25B-31 January 4, 2013 Page 5 TASK 14. PLANNING COMMISSION Work to Complete ¦ Contract Amendment No. 1 revised this task to include our attendance at one Planning Commission (PC) public hearing. Originally the project was scoped for our attendance at two PC hearings. We have included our attendance at a second hearing as an Optional Task. Optional Task ¦ Attendance at an additional PC Public Hearing (for two hearings total). Attendance by either Project Manager or Project Director. - Budget: $800 TASK 15. CITY COUNCIL Work to Complete ¦ Contract Amendment No. 1 revised this task to include our attendance at one City Council (CC) public hearing. Originally the project was scoped for our attendance at two CC hearings. We have included our attendance at a second hearing as an Optional Task. Optional Task ¦ Attendance at an additional CC Public Hearing (for two hearings total). Attendance by either Project Manager or Project Director. - Budget: $800 IN-HOUSE TECHNICAL STUDIES NOISE AND VIBRATION There are no changes to this task. AIR QUALITY AND GREENHOUSE GAS EMISSIONS There are no changes to this task. HAZARDS ASSESSMENT Work to Complete An addendum report to the Initial Site Assessment for Warner Avenue Widening between Main Street and Grand Avenue dated October 2009 will be prepared for an additional 4 parcels not included in the original assessment and revisions to another 11 parcels (expanded portions) not located within the site boundaries of the original assessment. The following tasks will be completed for the new parcels for the project: database search and record review, site inspection, data review and report preparation. An evaluation of business environmental risk associated with a parcel of commercial real estate may necessitate investigation beyond that identified in this environmental site assessment. - Additional budget: $3,335 ENVIRONMENTAL SUBCONSULTANTS Historic Resources (Urbana) ¦ Requires update to the report to include additional properties identified for City acquisition and replacement of outdated exhibits. - Additional budget: $ 3,200 25B-32 January 4, 2013 Page 6 Archaeological Resources (Cogstone) ¦ Requires update to the report to replace outdated figures; analysis is still valid. - Additional budget: $438 Geotechnical Resources (Geologic) ¦ Requires update to the report to replace outdated figures; analysis is still valid. - Additional budget: $330 ENGINEERING IBI's revised contract amendment is attached including the excerpts from their December 4, 2012 contract amendment request with detailed scope of work. The cost table attached to IBI's request details the distribution of requested fees by task and reflects the reduced amount. 25B-33 25B-34 EXHIBIT B COST ESTIMATE January 4, 2013 25B-35 January 4, 2013 Page 7 Table 1. Cost Estimate TOTAL REQUESTED CONTRACT CONTRACT APPROVED CONTRACT WITH ORIGINAL AMENDMENT CONTRACT AS AMENDMENT AMENDMENT TASK CONTRACT NO.1 AMENDED NO.2 NO.2 LABOR Task 1. Environmental Study Hazards $12,030 $0 $12,030 $ 0 $12,030 Task 2. Data Collection 6,440 0 6,440 4,680 11,120 Task 3. Initial Study 7,920 2,180 10,100 10,340 20,440 Task 4. NOP 1,600 0 1,600 350 1,950 Task 5. Admin. Draft EIR 91,550 6,940 98,490 0 98,490 Task 6. Draft EIR 2,220 0 2,220 0 2,220 Task 7. Admin. Final EIR 26,340 0 26,340 0 26,340 Task 8. Final EIR 8,700 0 8,700 0 8,700 Task 9. NOD 1,580 0 1,580 0 1,580 Task 10. Management & Coordination 33,400 7,560 40,960 10,580 51,540 Task 11. Project Meetings 8,280 0 8,280 4,040 12,320 Task 12. ETAC Meeting 3,200 0 3,200 0 3,200 Task 13. Public Scoping Meeting 1,160 0 1,160 4,860 6,020 Task 14. Planning Commission Hearings 3,200 0 3,200 0 3,200 Task 15. City Council Hearings 3,200 0 3,200 0 3,200 Inhouse Technical Studies Noise Study 7,470 4,860 12,330 0 12,330 Air Quality Study & Greenhouse Gas Emission Study 7.410 3,280 10,690 0 10,690 Hazards Assessment* 3,335 3,335 Labor Subtotal $225,700 $24,820 $250,520 $38,185 $288,705 UPI IUNAL 1ASK5 THE PLANNING CENTER Task 6. NOA translation $350 $350 Task 6. Additional Revisions (60 hours) 11,670 11,670 EXH,, 25B-36 January 4, 2013 Page 8 TOTAL REQUESTED CONTRACT CONTRACT APPROVED CONTRACT WITH ORIGINAL AMENDMENT CONTRACT AS AMENDMENT AMENDMENT TASK CONTRACT NO.1 AMENDED NO.2 NO.2 Task 11. Additional Meeting/conference call budget 4,000 4,000 Task 14. Additional PC Hearing 800 800 Task 15. Additional CC Hearing 800 800 Subtotal Optional Tasks $17,620 $17,620 SUBCONSULTANTS (INCLUDING 10% MARKUP) IBI $134,623 $19,595 $154,218 $24,750 $189,913 Urbana 19,646 0 19,646 3,200 22,846 VA 70,500 0 70,500 0 70,500 Geologic 20,550 0 20,550 330 20,880 Cogstone 6,999 0 6,999 438 7,437 Subcortsultant Subtotal $252,318 $19,595 $271,913 $28,718 $300,631 REIMBURSABLES Reimbursable Subtotal $20,913 50 $20,913 $-11,903 $9,010** GRAND TOTAL without Optional Tasks $498,932 144,415 $543,346 $55,000 $598,346 GRAND TOTAL with Optional Tasks $498,932 $44,415 $543,346 $72,620 $615,966 Original Hazards Assessment included in Talc 1 ** Assumes approximately $6,000 reserved for reimbursable expenses including reproduction, mailing costs, and $2995 California Department of Fish and Wildlife Eli filing fee. 25B-37 January 4, 2013 Page 9 The Planning Center - 2012 Standard Fee Schedule STAFF LEVEL HOURLY RATE Principal $200-$250 Director/ream Leader $140-$225 Senior Planner/Scientist/Designer II S1354215 Senior Planner/Scientist/Designer 1 $1154155 Associate Planner/Scientist/Designer II $105-$130 Associate Planner/Scientist/Designer 1 $95-$110 Assistant Planner/Scientist/Designer 11 $80-$100 Assistant Planner/Scientist/Designer 1 S60-$80 GIS/CAD Operator II $100-$135 G15/CAD Operator 1 S904105 Graphic Artist 11 $85-$130 Graphic Artist 1 $75-S95 Planning Tech nicia n/l ntern $60-$80 Technical Editor S954100 Word Processing $75-$85 Clerica I/Ad ministration 5604100 Third-Party CEQA Review $225 Expert Witness 2 x Normal Hourly Rate Notes: 1) Other direct costs are billed at cost plus 10%. 2) Mileage reimbursement rate is the standard IRS-approved rate. Respectfully submitted, THE PLANNING CENTER 1oAnn C. Hadfield Principal, Environmental Services Attachments 25B-38 181 Group IBI 18401 Von Kerman Avenue-Suite 110 Irvine CA 92812 USA GROUP te1 949 833 5588 tax 949 833 5511 January 4, 2012 Ms. JoAnn Hadfield Principal The Planning CenterlDC&E 3 MacArthur Place, Suite 1100 Santa Ana, CA 92707 City of Santa Ana Warner Avenue Preliminary Engineering and Environmental Document Amendment #2 Scope of Work and Previous Work Summary Dear Ms. Hadfield: Attached, please find a revised Cost Estimate Table 1. at the end of this letter for Amendment #2 in the amount of $22,500. We understand that this amount has been established through negotiations with the City of Santa Ana. The table will be the determining factor on the resources we have available to address the tasks remaining and to be requested by the city. Within the table, the last three columns are most relevant to this amendment. We have highlighted how the budget augment of $22,500 is distributed amongst the tasks, what we have already expended as a result of prior requests by the city. And finally, the amount of budget that remains in each of the tasks that is yet to be completed. For reference only, we have retained the discussion previously provided to you and the city in our amendment #2 request letter dated December 10, 2012. It provides a narrative of the work completed to date, out of scope work, and an estimate of effort needed to respond to the city's comments at the time. It is noted that the estimated levels of effort has been superceded by the table attached. EXERCEPTS FROM IBI LETER DATED 12-10-12 IBI Group is pleased to be a part of your team on the Warner Avenue Widening Preliminary Engineering (PE)/Environmental Document (ED) Project. This letter provides a summary of additional work scope and anticipated task hours needed to complete the Warner Avenue preliminary engineering based on comments received to date. There were a number of significant events including the project being put on hold for almost two years and a number of staff changes, both with the city and team, during the evolution of the project that have led us to this point. What we have provided identifies work that we have been scoped to complete, including the amendment we received on February 10, 2012, out of scope work that we were asked to complete by the city, and an estimate of the effort needed to respond to the city's current comments. We have shown the amount of effort we have expended to address out of scope IBI Group is a group of firms providing professional services 25B-39 181 Group comments. We have shown the amount of effort we have expended to address out of scope work and estimated the effort necessary to respond to work yet to be completed. A key aspect that is worth highlighting is our original scope of work did not include public involvement and the required effort to support it. We believe that this is a significant departure from what was scoped back in 2009 that has never been addressed. ENGINEERING Task A.1: Project Management/Quality Control Plan/Administration Work Completed To-date Within Scope: • Project management and administration for the completion of three Build Alternatives and supporting technical documents leading to April 2010. • Amendment #1, support for the development of one new alternative based on discussion with Jason Gabriel, September 14, 2011. • Amendment #1, project management and administration for the refinement of the Preferred Build Alternative beyond the 2010 work. Work Completed Out of Scope: • Additional project management and administration needed to develop a total of six Build Alternatives • Based on unbilled work: o Staff hours: 4 o Fee: $388 Remaining Work to be Completed Within Scope: • Work on original scope and Amendment #1 has been completed however, ongoing comments and city refinements continue beyond the anticipated task hours for this task. Cost to be Complete: • Additional project management and administration time needed to respond to ongoing comments and city refinements. • Based on comments received to date: o Assumed staff hours: 16 o Assumed budget: $2,944 Task A.2: Meetings and Coordination Work Completed To-date Within Scope: • Project meetings for the completion of three Build Alternatives and supporting technical documents leading to April 2010. • Amendment #1, support for the development of one new alternative based on discussion with city, September 14, 2011. • Amendment #1, project meetings for the refinement of the Preferred Build Alternative beyond the 2010 work. Work Completed Out of Scope: • Additional meetings and conference calls requested by the city over and above the hours identified in the original scope of 104 hours and budget and the 4 hours identified in Amendment #1. • Based on unbilled work: o Staff hours: 16 o Fee: $1,554 Remaining Work to be Completed Within Scope: • Work on original scope and Amendment #1 has been completed however, ongoing 25B-40 0 Group comments and city refinements continue beyond the anticipated task hours for this task. Cost to Complete: • Additional meeting time needed to respond to ongoing comments and city refinements. • Based on comments received to date: o Assumed staff hours: 20 a Assumed budget: $1,942 Task CA: Research and Data Collection Work Completed To-date Within Scope: • Project research and data collection for the completion of three Build Alternatives and supporting technical documents leading to April 2010. Work Completed Out of Scope: Additional research and data collection as needed to develop a total of six Build Alternatives. Remaining Work to be Completed Within Scope: • None. Cost to Complete: • None assumed at this point, see other tasks. Task C.3: Project Scoping and Development of Build Alternatives Work Completed To-date Within Scope: • Alternatives definition and screening of three Build Alternatives and supporting technical documents leading to April 2010. • Identification of the Preferred Build Alternative by April 2010. • Amendment #1, support for the development of one new alternative based on discussion with city, September 14, 2011. • Amendment #1, screening and selection of the revised Preferred Build Alternative from the 2010 work. Work Completed Out of Scope: • Two new additional Build Alternatives were developed as a result of city request. • Additional technical support and screening analysis related to the two additional Build Alternatives. • Based on unbilled work: o Staff hours: 52 o Fee: $4,674 Remaining Work to be Completed Within Scope: • Responses to comments related to the alternatives screening, however, this is complicated to by the addition of the two new Build Alternatives that are not part of the original scope or Amendment #1. Cost to Complete: • Additional refinements, supporting technical work, and analysis based on the iterative comments from the city. • Based on comments received to date: o Assumed staff hours: 8 o Assumed budget: $777 25B-41 181 Group Task C.4: Hydrology and Drainage Studies Work Completed To-date Within Scope: • Hydrology and drainage studies for the three Build Alternatives and supporting technical documents leading to April 2010. • Amendment #1, support for the development of one new alternative based on discussion with city, September 14, 2011. • Amendment #1, revised hydrology and drainage studies for the Preferred Build Alternative. • Generation of a revised Drainage Report documenting the results. The report is included as part of the Preliminary Engineering Report. Work Completed Out of Scope: • Additional review of hydrology and drainage study based on the refinements to the Build Alternative. • Based on unbilled work: o Staff hours: 5 o Fee: $486 Remaining Work to be Completed Within Scope: • None if the city agrees with the recommendation to use the more conservative analysis. Cost to Complete: • The city identified an issue that may require a revision to the hydrology and drainage studies for the Preferred Build alternative. A full reanalysis of these elements was not included as part of the original scope or Amendment #1. • Based on comments received to date, a full reanalysis will require the following: o Assumed staff hours: 60 o Assumed budget: $5,568 • It is our opinion that the analysis may be conservative but applicable for the purposes of environmental assessment. We do not believe the rerunning of the analysis will provide value for the project. Task C.6: Preliminary Engineering Plans Work Completed To-date Within Scope: • Preliminary engineering plans for three Build Alternatives and supporting technical documents prepared by April 2010. • level of detail only to define the footprint for the purpose of environmental studies. Alternatives concept development did not include provisions for public involvement and related refinements. • Amendment #1, support for the development of one new alternative based on discussion with Jason Gabriel, September 14, 2011. • Amendment #1, support for refinement of preliminary engineering plans for the Preferred Build Alternative from the 2010 work. Work Completed Out of Scope: • Preliminary engineering for two new additional Build Alternatives developed as a result of city request. • Technical support related to the two additional Build Alternatives. • Continued support in the form of generating exhibits and support of public involvement for the project that was never scoped. • Based on unbilled work: o Staff hours: 60 25B-42 1131 Group o Fee: $5,357 Remaining Work to be Completed Within Scope: • None identified currently. Cost to Complete: • Refinements to the Preferred Build Alternative based on city comments provided to date. • Continued support in the form of generating exhibits and support of public involvement process. • Support of the city on tasks such as the ROW process that may have impacts on other task items such as the cost estimate. • Based on comments received to date: o Assumed staff hours: 32 o Assumed budget: $3,180+$78(Total Direct Costs)=$3,258 Task CA: Cost Estimates Work Completed To-date Within Scope: • Construction cost estimate for the Preferred Build Alternative that was developed in April 2010. • Preliminary update of the construction cost estimate to reflect the refinements on the Preferred Build Alternative since 2010. • Amendment #1, update of the estimate to reflect 2011 unit cost for all pay items identified in the estimate. Work Completed Out of Scope: None currently, however additional work may result as the city revises the ROW assessment on the Preferred Build Alternative. Remaining Work to be Completed Within Scope: • Final cost estimate as part of the Preliminary Engineering Report once data becomes available from other team members such as VA and/or city related to the revised Preferred Build Alternative. Cost to Complete: • Support for the city as it conducts a new ROW process on the Preferred Build Alternative. • Based on comments received to date: a Assumed staff hours: 8 o Assumed budget: $777 Task C.9: Preliminary Engineering Report Work Completed To-date Within Scope: • Preliminary Engineering Report based on the three Build Alternatives identified in the original 2009 proposal and developed in April 2010. • Identification of the Preferred Build Alternative in the April 2010 Preliminary Engineering Report. • Amendment #1, preparation of a revised Preliminary Engineering Report based on the refinements and additional Build Alternatives. Work Completed Out of Scope: • Two new additional Build Alternatives were incorporated into the Preliminary Engineering Report. This required additional analysis, summaries and write-ups. • Refinements to the document related to the additional Build Alternatives with supporting 25B-43 IBI Group technical studies and related materials. • Based on unbilled work: o Staff hours: 12 o Fee: $2530 Remaining Work to be Completed Within Scope: • Incorporation of additional iterative comments in the revision of the Preliminary Engineering Report. • However, this is complicated by comments (Nguyen email, 11-15-12, 5:12 PAf) that relate to the additional out of scope Build Alternatives. This includes work that was completed to support the out of scope Public Involvement effort such as the renaming of alternatives for public presentation that results in a deviation of the alternatives naming convention. Cost to Complete. • Further refinement of Preliminary Engineering Report to respond to the city's comments about the description of alternatives to match the public involvement. This would require a reformatting of the report for consistency. • Based on comments received to date: o Assumed staff hours: 16 o Assumed budget: $1,554 Task DA: Traffic Circulation and Impact Analysis Work Completed To-date Within Scope: • Traffic Impact Analysis Report based on the original 2009 proposal and completed in April 2010. • Amendment #1, update the Traffic Impact Analysis Report previously prepared in 2010 to the latest adopted city standards and guidelines with new data. Work Completed Out of Scope: • None currently identified, Remaining Work to be Completed Within Scope: • None currently identified within scope. • However, city comment (Nguyen email, 11-15-12, 5:22 P" has identified a request to analyze new construction impacts as a result of changed construction phasing. Cost to Complete: • New construction phasing impact analysis as identified by city • Based on comments received to date: o Assumed staff hours: 12 o Assumed budget: $719 Overall Summary of Costs Work Completed Out of Scope (based on unbilled work): • Staff hours: 149 • Fee: $14,989 (summation of different staff rates with expenses) Cost to Complete (based on comments received to date): • Staff hours: 136 • Fee: $17,539 (summation of different staff rates with expenses) END OF EXERCEPT FROM IBl LETER DATED 12.10.12 25B-44 181 Group This change order of $22,500 has been negotiated down from the original stated amount of $30,969. The request shall be for time and materials not to exceed the amount of $20,500 (sum of unbilled work completed out of scope and cost to complete based on comments received to date). Please provide your authorization for this contract amendment of $20,500 via e-mail. R you have any questions or comments regarding the attached scope of work and fee estimate, please do not hesitate to contact me or Addana Griffith at (949)833-5588 or dchow@ibigroup.com or addana.griffdh@ibigroup.com. Sincerely, IBI GROUP David Chow, PE, AICP Director 25B-45 Table 1. Summary of Budget and Revised Cost Estimate Warner Avenue as M p -0 v o C E o c o eu V a ° 2 c z" _ c c V aE c c a E E E w Task Iteri Preliminar E in rin T k D i ti m E l ee as escr p on y 0 L) A P 'Oct Mana rdinatiorJAdministrotion A.1 Project Management/Quality Control Plan/Coordination 50 so so so $388 $1,860 S1.472 A.2 Meetings 8 Coordination as required $14,131 $586 $14,717 $14,717 $0 $1,554 $1,942 5388 A.3 Progress Reports and invoices S2,283 $0 $2,283 52,283 so s0 So A.4 Support the TPC in development and updates of project ached 52,228 $0 $2,228 $2,228 SO SO SO Subtotal $18,642 $586 S19,228 $19,228 51,942 53,802 51,860 C Preliminary Engineering I C.1 Research and Data Collection S10,886 SO S10,886 S10,886 $0 SO $o SO C.2 Topo Surveys and Base Mapping $1,173 SO $1,173 $1,173 $o $0 So so C.3 Project Scoping and Development of Build Alternatives $10,654 S1,951 S12,605 S12,605 $0 54,674 55,451 5777 CA Hydrology0rainageStudies/WQMP 510,928 52,727 513,655 $13,655 $o 5486 $486 SO C.5 Prepare 40 Scale Preliminary Engineering plans 519,982 SI,659 $21,641 $21,64( SO 55,357 $6,911 51,554 C.6 Geotechnicaf Studies 50 SO s0 $ SO So $o 5o C.7 Landscape Concept Plans (3 build aftematives) $O $0 s0 $0 SO So so $0 C.6 Cost Estimates (civilltraffic/drainage/utilities) 57,129 $194 $7,323 56,483 5840 $0 -$63 5777 C.9 [Preliminary Engineering Report $9,646 $1,950 $11,596 511,596 SO $2,530 $3,695 $1,165 Subtotal $70,398 58,481 $78,879 578,039 5840 513,047 516,480 $4,273 0.1 Traffic Circulation and Impact Analysis D.1.1 Data Collection/Existing Traffic Conditions 55,935 $3,213 $9,148 $9,148 $o $o so D.1.2 Future Conditions $13,518 $3,213 $16,731 $16,731 $0 $480 $48 D.1.3 Documentation/Response to Comments 512,925 52,170 515,095 $15,095 SO $1,377 $1,617 $240 Subtotal $32,378 58,597 540,975 540.975 50 $1,377 52,0% 5719 5 Right-of W Mapping 51 Prepare Updated Right-of-Way Maps for City submittal so 5.2 A racy and Stakeholder input on proposed Improvements $o 5.3 Public meetings as per the RFP $0 subtata+ so so so so so so s0 so • ost Estimates 6.1 Cost Estimates for Future Project Phases s0 SO so 6.3 Right of Way appraisals and Acquisition Estimates $0 SO s0 Subtotal so $0 so so $0 So Total Staff Fee $121,416 517,664 5139,082 5138,242 5840 $16,366 522,379 $6,853 Anticipated Labor Rate Including Salary Increases (3%) S4,857 $4,857 54,857 SO So Total Direct Costs (Traffic counts, mileage, travel, other) $8,350 S150 58,500 $8,500 $0 $121 S1211 total cost $134,623 $17,514 $152,437 $151,599 $840 516 366 $22,500 56,974 25B-46 ?r (SCALE . NTS7 NTARY ® PROJECT AREA oR EXHIBIT 2 ?SANTA ANA AAENMENT TO AGREEMENT WH THE OOUNM PLANING CENTER FOR ENVFiONMENTAL P WA ACOVA DATB SERVICES FOR THE %MDENNGOFWARNER FEBRUARY „AVENUE FROM MAIN STREET TO GRAND AVENUE (PROJECT NO 09940) PAGE 1 OF 1 25B-47 7 ?1 25B-48 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2013 TITLE: AMENDMENT TO AGREEMENT WITH BLACK & VEATCH CORPORATION FOR PREPARATION OF A SANITARY SEWER AND WATER FINANCIAL PLAN CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1 sc Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER Direct the City Attorney to prepare and authorize the City Manager and the Clerk of the Council to execute an amendment to an agreement with Black & Veatch Corporation, subject to nonsubstantive changes approved by the City Manager and City Attorney, in an amount not to exceed $150,000, for the preparation of the City's Sanitary Sewer and Water Financial Plan. DISCUSSION On September 19, 2011, the City Council approved an agreement with Black and Veatch Corporation (B&V) for consultant services to provide a Sanitary Sewer and Water Financial Plan. The report will provide an assessment of the City's water and sanitary sewer system. It will include, among other items, a Rehabilitation and Replacement schedule, a Capital Asset Management & Prioritization System (CAMPS) model, and a rate analysis and model. Over the course of the past year, to move forward with the water possible sanitary sewer transfer City. Any change of ownership Enterprise. As such, it is managerially, and operationally. the City has identified several issues that need resolution in order and sewer study. One significant concern is the potential of a between the Orange County Sanitation District (OCSD) and the would involve a substantial change in costs to the City's Sewer ecessary to properly evaluate potential impacts financially, As a result of the infrastructure analysis, it has been determined that the City needs to develop a program to evaluate all water and sewer infrastructure on an annual basis to leverage the abilities of the CAMPS model. This assessment program will be used, in conjunction with the CAMPS model, to identify, categorize, evaluate, and propose whether rehabilitation or replacement is necessary for both the water and sewer systems. This model will be used to refine the Capital Improvement Program. 25C-1 RECOMMENDED ACTION Amendment to an Agreement with Black & Veatch Corporation for Preparation of a Sanitary Sewer and Water Financial Plan February 4, 2013 Page 2 Staff recommends that the agreement with Black & Veatch Corporation be amended in order to complete the water and sanitary sewer system study. B&V has performed well and has been responsive to all City requests. In addition, B&V has a demonstrated successful record of assisting utilities through the complex Proposition 218 requirements. They have recently worked with the Cities of South Gate, Downey, San Juan Capistrano, Oxnard, and Long Beach on water and wastewater financial analyses. Over the course of the last five years, B&V has conducted more than 30 such rate studies in accordance with Proposition 218 requirements. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds are available in the Water Administrative and Engineering Fund (Account 06017645-62300). Raul Godinez II Executive Director Public Works Agency APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez- f Executive Director Finance & Management Services Agency RG: RB Exhibit: 1. Consultant Contract Agreement 2. Black & Veatch Proposal 25C-2 AMENDMENT TO AGREEMENT THIS AMENDMENT TO AGREEMENT is entered into on February 4, 2013, by and between Black and Veatch Management Consulting, a California corporation ("Contractor") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California ("City" ). RECITALS: A. The parties entered into Agreement A-2011-238, dated October 17, 2011, (hereinafter "said Agreement") by which Contractor has provided financial and engineering services required to prepare a sanitary sewer and water utility financial plan. B. In accordance with the terms and conditions of said Agreement, the parties wish to i.) amend the Scope of Services to provide additional services related to the capital repair and replacement needs survey, including separate studies and resulting financial support for the water and sewer utilities, ii.) increase compensation to pay for the additional services, and iii.) extend the term of said Agreement. 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: Section 1, SCOPE OF SERVICES, shall be deleted in its entirety and replaced with the following: "Consultant shall provide financial and engineering evaluation services to prepare a sanitary sewer and water utility financial plan for the City, as set forth in Exhibit A, attached to said Agreement. Said financial plan shall include separate analysis of both water and sewer utility services. Additionally, Consultant shall 1) update the CAMPS model, provide preliminary condition assessments for currently planned water and sewer projects, and 2) assist the City to update and implement the water and sewer rate studis, as set forth in Exhibit A-1, attached hereto and incorporated by this reference." 2. Section 3.a., COMPENSATION, shall be amended to add $100,000.00 to pay for the additional study services, as set forth in Exhibit A-1. A $50,000.00 contingency shall be available for additional services related to the rate study or implementation, to be authorized at the written request of the Executive Director of Public Works. The total sum to be expended pursuant to said Agreement shall not exceed $380,000, during the term of said Agreement. 3. Section 4, TERM, shall be amended to extend the termination date to December 31, 2013. 4. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. ///Exhibit 1 25C-3 IN WITNESS WHEREOF, the parties hereto have executed this Second Amendment to Agreement on the date and year first written above. ATTEST: CITY OF SANTA ANA MARIA D. HUIZAR PAUL M. WALTERS Clerk of the Council City Manager APPROVED AS TO FORM: Laura Sheedy Assistant City Attorney RECOMMENDED FOR APPROVAL: RAUL GODINEZ, II Executive Director - PWA BLACK AND VEATCH JOHN R. KERSTEN Vice President 25C-4 EXHIBIT A-1 ADDENDUM REQUEST JANUARY 10, 2013 25C-5 25C-6 BLACK&VEATCH z Building a world of difference? January 27, 2013 City of Santa Ana Attn: Brian Ige PWA - Water Division 220 S. Daisy Ave. M-85 Santa Ana, CA 92703 Dear Mr. Ige: BLACK & VEATCH CORPORATION 800 WILSHIRE BLVD., SUITE 600, LOS ANGELES, CA 90017 +1407-408-1885 I KERSTENIR@BV.com Per your request, Black & Veatch is pleased to submit to the City of Santa Ana (City) the following scope of work and fee estimate for the additional work items. Task 1 - Capital Asset Repair & Replacement (R&R) Needs Under this task, Black & Veatch will perform the following subtasks: • Upgrade the Capital Asset Management & Prioritization System (CAMPS) model. The intent of the upgrade is to the CAMPS model to allow City staff to update asset conditions and project high-level R&R cost schedules. As part of the model upgrade, a GIS element, using the City's existing Geographic Information System (GIS) data will be incorporated. The GIS module will allow the City to update asset conditions that can then be transferred to the new Cityworks system once the latter becomes operational. Provide preliminary condition assessments for planned Water and Sewer R&R projects. Black & Veatch understands that the City has two large capital projects planned that may require Black & Veatch's assistance. The first project is the 16" water transmission main repair/replacement project along Bristol Street; the second project involves repair/replacement of approximately 371 sewer sites that have a NASSCO rating of 5. For the proposed projects, Black & Veatch will work with City staff to develop a systematic process for conducting and evaluating asset condition. A total of 3 workshops will be held with City staff to develop the methodology and process for executing an asset management program. As part of the outcomes of the workshops, Black & Veatch may provide preliminary break frequency analysis to help refine condition assessment of these lines. Results of such an analysis would be incorporated in the CAMPS model as well. Task 2 - Financial Support Services The City has experienced many delays and identified several potential issues with respect to moving forward on its planned water and sewer rate adjustments. As a result, under this task, Black & Veatch proposes to perform the following subtasks: • Update the water and sewer rate study, Specifically, Black & Veatch will update the study to reflect fiscal year (FY) 11/12 actuals and preliminary FY 12/13 budget EXHIBIT 2 25C-7 41 ADDENDUM REQUEST PAGE 2 JANUARY 27, 2013 figures. Projections for necessary revenue adjustments will also be updated as necessary. • Provide recommendations on cost recovery mechanisms for capital projects. For this subtask, Black & Veatch will work with City staff to help development funding mechanisms for specifically identified needs, such as sewer lateral repairs. As needed, we will work with Finance and City staff to outline any business processes that may be necessary to implement any recommendations. • Assist City with rate implementations. For this subtask, Black & Veatch will work with City staff to help with implementation of the recommendations from the rate studies, as well as other identified issues. Such assistance may include, but is not limited to, development of policies for reserve levels, external department cost allocations, and level of service agreements. • Assist City with Asset Transfers. Black & Veatch understands that the City is in discussion with Orange County Sanitation District (OCSD) regarding the transfer of certain sewer mains to the City. Under this subtask, Black & Veatch will work with City staff to help determine the impacts of such a transfer. Task 3 - Meetings and Reports This task covers necessary meetings and reports that are generated through the completion of Tasks 1 and 2. Based on our understanding of the City's request, we estimate that the above additional items may be performed for a not-to-exceed fee of $149,960. A summary of the level of effort and expenses for these tasks is provided in the table below. Project Senior Project Total description Manager QA/QC Leads Analyst Cost Task 1. Capital Asset R&R Needs 80 4 200 230 $98,280 Task2. Financial Support Services 60 2 100 $32,240 Task 3. Meetings & Reports 20 18 28 $13,440 Total Hours 160 6 218 358 $143,960 Direct Expenses $6,000 .Hourly Rate $245 1 $270 1 $210 1$145-$1851 25C-8 41 ADDENDUM REQUEST PAGE 3 JANUARY 27, 2013 We are pleased to proceed with this engagement and look forward to working with the City. If you have any questions, please contact our Project Manager for this engagement, Ms. Ann Bui at (949) 302-6017 (BuiATObv.com). Yours very truly, BLACK & VEATCH CORPORATION. ohn R. Kersten Vice President, Black & Veatch Management Consulting 25C-9 25C-10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2013 TITLE: AGREEMENT RENEWAL WITH GRAFFITI PROTECTIVE COATINGS, INC., FOR GRAFFITI REMOVAL SERVICES aCITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 15t Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached renewal agreement for graffiti removal services with Graffiti Protective Coatings, Inc., in an amount not to exceed $600,000, for the period of March 1, 2013, through February 28, 2014, subject to nonsubstantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Agency Maintenance Division is responsible for citywide graffiti abatement, which is performed 365 days a year. Graffiti is typically removed within 24 hours based on requests received from City staff and residents through the City's graffiti hotline. In February 2011, Council entered into an agreement with Graffiti Protective Coatings, Inc., for a one-year period with provisions for 4 one-year renewals. The contractor has consistently demonstrated the ability to meet contract specifications by providing color matching, daily upper- level graffiti removal, and facilitating graffiti crime analysis citywide. The graffiti removal program also realized a 15 percent decrease in Graffiti Hotline calls for service, credited to the proactive performance by the contractor. A 65 percent decrease in Code Enforcement referrals during the same period is attributed to contractor removing graffiti from windows and commercial signs. Real Time dispatching has resulted in a 95 percent success rate for responding within 24 hours of receiving service requests and, through consistent staffing levels, the contractor has been able to remove approximately 60,000 additional square feet of graffiti each month. The contractor has also exceeded the contract specifications by providing additional services at no additional cost to the City. These services include two clean-up days at Santa Ana parks in 2012 (one in January at Memorial Park and another in June at Santiago Park); a sixth truck provided on a part-time basis, 20 hours a week to assist with graffiti removal in parks; unlimited upgrades and support for the graffiti tracking software; a 4G tablet for the Gang Task Force to allow access to the graffiti tracking system while in the field; and a free Citizen's Smartphone App to report and manage graffiti services requests. 25D-1 Agreement Renewal with Graffiti Protective Coatings, Inc. for Graffiti Removal Services February 4, 2013 Page 2 Graffiti Protective Coatings, Inc., has exceeded staff expectations and has consistently demonstrated the ability to provide a high standard of service. The contractor has agreed to renew the contract for an additional year with no increase in pricing. Staff recommends the approval of the one-year renewal agreement. FISCAL IMPACT Funds for FY 12/13 expenditures are available in the Environmental Sanitation Fund (Account 06817642-62300). Additional funds will be budgeted in FY 13/14 from the same account. APPROVED AS TO FUNDS AND ACCOUNTS: Raul Godinez II Francisco Gutierrez Executive Director Executive Director Public Works Agency Finance & Management Services Agency RG/DM Exhibit: 1. Amendment 2501-2 SECOND AMENDMENT TO AGREEMENT THIS SECOND AMENDMENT TO AGREEMENT is entered into on February 4, 2013, by and between Graffiti Protective Coatings, Inc., a California corporation ("Contractor") and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California («City"). RECITALS: A. The parties entered into Agreement A-2011-028, dated February 7, 2011, (hereinafter "said Agreement") by which Contractor has provided graffiti removal services. B. The Parties exercised the first option to extend by Amendment A-2012-040, dated March 6, 2012. C. In accordance with the terms and conditions of said Agreement, the parties wish to exercise the second option to extend the term, and provide compensation during the extended term. 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 Second Amendment to Agreement, the parties agree as follows: 1. Section 2, COMPENSATION, shall be amended to add $600,000.00 to pay for graffiti removal services during the second one-year extension period, March 1, 2013 through February 28, 2014. 2. Section 3, TERM, shall be amended to reflect the parties exercise of the second option to extend. The termination date shall be extended to February 28, 2014. The term may be extended for up to two (2) additional one year periods, at the option of the City. effect. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and IN WITNESS WHEREOF, the parties hereto have executed this Second Amendment to Agreement on the date and year first written above. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: Laura Sheedy Assistant City Attorney RECOMMENDED FOR APPROVAL: RAUL GODINEZ, II Executive Director - PWA CITY OF SANTA ANA PAUL M. WALTERS Interim City Manager GRAFFITI PROTECTIVE COATINGS, INC. CARLA LENHOFF President Exhibit 1 25D-3 25D-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2013 TITLE: AGREEMENT WITH DISCOVERY SCIENCE CENTER FOR PUBLIC EDUCATION SERVICES (GRANT FUNDING) ti ITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 15t Reading ? Ordinance on 2"d Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached agreement with the Discovery Science Center, subject to non-substantive changes approved by the City Manager and City Attorney, for public education services in the amount of $120,000 annually for a two-year period, to be paid for with CalRecycle grant funding. DISCUSSION The Department of Resources Recycling and Recovery (CalRecycle) has made City/County Payment funding available to cities and counties for programs that focus on beverage container recycling and litter cleanup activities. The purpose of the grant is to reach and maintain an 80 percent recycling rate for all California Refund Value (CRV) beverage containers (aluminum, glass, plastic, and bi-metal). Programs implemented by cities and counties are required to assist in reaching and maintaining this goal. The City of Santa Ana receives an annual per capita allocation of available City/County funds. The funds are used for a variety of citywide programs, which have included program implementation, such as coffee house and fitness center recycling, and the anti-litter art contest; and public education through the quarterly Santa Ana Green newsletter distributed to all single- and multi- family households. The Discovery Science Center (DSC) has produced an award-winning Eco Challenge exhibit that provides a new approach waste disposal and recycling public education. The exhibit engages visitors of all ages in a fun, interactive experience that teaches new behaviors through educational content accompanied by stage shows and hands-on demonstrations. In recent years, DSC has offered free admission to Santa Ana residents one Tuesday per month. In 2012, a portion of the CalRecycle grant funds was utilized to provide free admission on Sundays in October and November to Santa Ana children to visit the DSC and to promote recycling through the Eco Challenge exhibit. Each child brought a CRV beverage container to receive the promotion. 25E-1 Agreement with Discovery Science Center February 4, 2013 Page 2 DSC has proposed an enhanced public education program specifically tailored to Santa Ana residents entitled Santa Ana Waste Free Days. One day each month, DSC would welcome Santa Ana residents free of charge and offer a range of programs, activities, and guest incentives focused on the promotion of positive recycling and waste disposal habits. DSC proposes to reach over 9,000 Santa Ana residents through this program each year. The total cost for an entire year of development, programming, and reporting is $120,000. CalRecycle has provided approval to implement the Santa Ana Waste Free Days program. This program will be paid for with available CalRecycle grant funds. FISCAL IMPACT Grant funds have been received and are available in the Public Works Refuse Collection Service Fund (Account 06917640-62300). APPROVED AS TO FUNDS AND ACCOUNTS: Raul Godinez II ?J/ Executive Director Public Works Agency Francisco Gutierrez Executive Director Finance & Management Services Agency RG/CK Exhibit: 1. Agreement 25E-2 PROGRAM FUNDING AGREEMENT THIS AGREEMENT, made and entered into this 4th day of February, 2013 by and between Discovery Science Center, a California 501(c)(3) non-profit organization, (hereinafter "DSC"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City"). RECITALS A. City is the recipient of CalRecycle grant funds from the California Department of Resources Recycling and Recovery, to provide recycling education and programming to residents of Santa Ana (hereinafter "Grant Funds"). B. The City would like to utilize Grant Funds to provide funding to the Discovery Science Center for its Santa Ana Waste Free Days recycling education program for children. C. Discovery Science Center is an approved recipient of Grant Funds for its Eco Challenge exhibit, and the Santa Ana Waste Free Days Program (hereinafter "Program") will provide recycling education through exciting hands-on programming. D. City desires to engage DSC to provide the Program. E. DSC represents that it is qualified and willing to provide said educational programming. 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. DSUS OBLIGATIONS DSC shall provide its `Santa Ana Waste Free Days' recycling education program, as set forth in Exhibit A, attached hereto and incorporated by this reference. a. DSC agrees to use all grant funds received from City pursuant to this Agreement exclusively to provide the "Santa Ana Waste Free Days" program ("Program"), as set forth in "Exhibit A," attached hereto and by this reference incorporated herein. b. All funds received by DSC from City pursuant to this Agreement shall be separately accounted for apart from any other funds of DSC, or of any principal or member of DSC. c. DSC shall keep records of all funds received from City under the terms and conditions of this Agreement. DSC agrees to keep monthly records of the number of Santa Ana residents participating in the Program. DSC shall submit quarterly reports within fifteen (15) days after the quarter is completed. Said quarterly report shall include monthly accounting of- i. Number of Santa Ana residents targeted for services, ii. Actual number of Santa Ana residents attending the Santa Ana Waste Free Days program, iii. Number of guest surveys completed, iv. Number of incentive coupons redeemed 25E-3 V. Number of Eco Challenge attendees on Santa Ana Waste Free Days vi. Documentation of program components, including samples of printed materials. d. City and/or its representatives shall have access for purposes of monitoring, auditing, and examining DSC's activities and performance, to books, documents and papers, and the right to examine records of DSC's subcontractors, bookkeepers and accountants, employees and participants in regard to said Program. City and/or its representatives shall also schedule on-site monitoring at its discretion. Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. e. All accounting records and evidence pertaining to all costs of DSC and all documents related to this Agreement shall be kept available at DSC's office or place of business for the duration of the Agreement. Records which relate to costs and expenses of this Agreement to which City or any other governmental agency takes exception, shall be retained beyond the four (4) years until resolution or disposition of such appeals, litigation, claims, or exceptions. f. Without prejudice to any other provisions of this Agreement, DSC shall, where applicable, maintain the confidential nature of information provided to it concerning participants in accordance with the requirements of federal and state law. However, DSC shall submit to City or its representatives, all records requested, including audit, examinations, monitoring and verifications of reports submitted by DSC, costs incurred and services rendered hereunder. 2. CITY'S OBLIGATIONS Upon execution of this Agreement by DSC, City shall pay to DSC from CalRecycle grant funds, for the Santa Ana Waste Free Days Program, at the rate of $10,000 per month for DSC's provision of one educational Program day per month, to a maximum aggregate payment of One Hundred Twenty Thousand Dollars ($120,000), annually, in quarterly installments. Payments shall be made to DSC quarterly in advance. However, City shall withhold quarterly payment if DSC fails to provide the quarterly reporting as required by Section 1.C., above, in conformance with this Agreement. 3. TERM This Agreement shall commence on the date first written above and terminate on February 28, 2015, unless terminated earlier in accordance with Section 12, below. The term of this Agreement may be extended upon a writing executed by the Executive Director of Public Works. 4. INDEPENDENT CONTRACTOR DSC 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 DSC performs the services which are the subject matter of this Agreement; however, the services to be provided by DSC shall be provided in a manner consistent with all applicable standards and regulations governing such services. DSC 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. 2 25E-4 5. INSURANCE Prior to undertaking performance of work under this Agreement, DSC shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. DSC 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 DSC'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. 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. Worker's Compensation Insurance. In accordance with the provisions of Section 3700 of the Labor Code, Consultant, if DSC 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, DSC agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. c. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i.) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii.) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (iii.) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. (iv.) Certificates and renewals shall be sent to Christy Kindig. f. If DSC 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 DSC's right to be paid for its time and materials expended prior to notification of termination. DSC 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 DSC agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability (1) for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the direct or indirect operations of DSC or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in this Agreement; and (2) from any claim that personal injury, damages, just compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects arising from this Agreement. This indemnity and hold harmless agreement applies to all claims for damages, just compensation, restitution, judicial or equitable relief suffered, or alleged to have been suffered, by reason 25E-5 of the events referred to in this Section or by reason of the terms of, or effects, arising from this Agreement. DSC further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party challenging the validity of this Agreement, or asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. 7. CONFIDENTIALITY If DSC receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, DSC 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 DSC disclosed in a publicly available source; (c) is in rightful possession of DSC without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by DSC without reference to information disclosed by the City. 8. CONFLICT OF INTEREST CLAUSE DSC covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 9. NOTICE With the exception of insurance certificates and renewals covered by Section 5.e.iv, above, any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax 714- 647-6956 With courtesy copy to: Santa Ana Public Works Agency - Administrative Services City of Santa Ana 20 Civic Center Plaza (M-21) P.O. Box 1988 Santa Ana, California 92702 Fax 714- 647-5069 4 25E-6 To DSC: Discovery Science Center Mr. Joe Adams 2500 N. Main Street Santa Ana, California 92705 Fax 714-263-3927 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by telefacsimile, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 10. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein. 11. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 12. TERMINATION A. This Agreement may be terminated on thirty (30) days' written notice by either party. In the event of such termination, DSC shall only be entitled to reimbursement for approved expenses incurred prior to the effective date of termination. B. This Agreement may be suspended or terminated by City upon five (5) days' written notice for violation by DSC of the terms and conditions of the this agreement or applicable State or Federal requirements. In the event of such suspension or termination, DSC shall only be entitled to reimbursement for approved expenses incurred up to the effective date of suspension or termination. 5 25E-7 13. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 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 Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 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. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. /// /// 6 25E-8 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA D. HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: Laura Sheedy Assistant City Attorney CITY OF SANTA ANA PAUL M. WALTERS City Manager RECOMMENDED FOR APPROVAL: DISCOVERY SCIENCE CENTER RAUL GODINEZ, II Executive Director - PWA JOE ADAMS President 7 25E-9 Santa Ana Waste Free Days Program Scope DISCOVERY SCIENCE CENTER Background With the opening of the award-winning Eco Challenge exhibit last fall, the County of Orange and Discovery Science Center ushered in an entirely new approach to public education in the area of waste disposal and recycling. Backed by DSC's world-class educational content and accompanied by stage shows and hands-on demonstrations, the Eco Challenge exhibit engages visitors of all ages in a fun, interactive experience that teaches new behaviors. Program An innovative partnership with the City of Santa Ana, particularly the Department of Public Works, to create Santa Ana Waste Free Days. One day each month, DSC will welcome Santa Ana residents free of charge and implement a range of programs, activities, and guest incentives focused on the promotion of positive recycling and waste disposal habits. As a national leader in science education outreach, and as the home of the award-winning Eco Challenge exhibit, DSC possesses a blend of resources that present a unique opportunity for the City of Santa Ana and its residents. DSC will deliver the following program elements that will make Santa Ana Waste Free Days an immersive educational experience for all ages: ? Our Eco Challenge "Minute to Win It" interactive audience show will run in our Sun Stage theater regularly during the day ? Our Eco Challenge "Jeopardy" multi-media game show will run at regular intervals in our 4D Theater ? In the Eco Challenge exhibit area, our Education team will present a special table-top demonstration focused on a key aspect of the science behind Reduce, Reuse & Recycle ? Each Santa Ana resident guest will be provided with a program containing: ? A schedule of shows, demonstrations and other activities ? A guest survey providing an opportunity to gauge learning, complete with a prize drawing to incentivize completion ? Recycling and waste disposal information from the City ? An incentive coupon redeemable upon a visit to a County Household Hazardous Waste Collection Center. Based on our attendance projections for the coming year and the programming enhancements listed above, DSC intends to reach over 9,000 Santa Ana residents through this program each year. Total cost for the entire year of development, programming, and reporting is $120,000. 8 25E-10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2013 TITLE: AGREEMENT AMENDMENT WITH ACTIVE NETWORK TO PROVIDE CLASS SOFTWARE MAINTENANCE AND SUPPORT 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 amendment with Active Network, for a one-year period, to provide Class Software maintenance and support services, subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION The Active Network provides the Parks, Recreation and Community Services Agency with the Class software system, which helps the agency manage two of its biggest operations, the leisure class program and the facility reservations program. The Registration module services the thousands of registrations for our many leisure class programs, including course descriptions, dates/times offered and participant information and payments. The Reservations module manages reservations for all the agency facilities including all building rentals, room rentals and athletic field rentals. The Reservations module also tracks participant information and payments. The City currently has an agreement with Active Network to begin the development of an on-line registration system for leisure classes, which will make it possible for residents to view up to the minute leisure class availability and register and pay on-line. The cost of this project is $11,000 and is expected to begin in February 2013 with an anticipated go live date of Fall 2013. The current agreement also includes the $10,964 maintenance payment for 2012. This attached agreement amendment will cover the $11,017 maintenance payment for 2013 and will add a $2,000 contingency for the on-line registration project for unanticipated work, for a total not to exceed agreement amount of $34,981. 25F-1 Active Network Agreement February 4, 2013 Page 2 FISCAL IMPACT Funds for this agreement are available in the PRCSA Administrative Services, Contract Services account (no. 01113200 62300). APPROVED AS TO FUNDS AND ACCOUNT: -,", '4 dlf?z? Gerardo Mouet, Executive Directo Parks, Recreation and Community Services Agency Francisco Gutierrez, Executive Director Finance and Management Services Agency 25F-2 AMENDMENT TO SOFTWARE MAINTENANCE AGREEMENT THIS AMENDMENT, made and entered into this _ day of 2013, by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California ("City"), and Active Network ("Provider"). RECITALS A. The City and Provider entered into that certain Agreement dated , 20_, hereinafter referred to as "said Agreement" (#N- -) to provide class software maintenance and support services for the City's leisure class programs. B. The parties hereto now desire to amend said Agreement to extend said Agreement, and increase the amount of compensation to Provider. WHEREFORE, in consideration of the mutual and respective covenants and promises hereinafter contained and made, and subject to all of the terms and conditions of said Agreement as hereby amended, the parties hereto do hereby agree as follows: 1. Compensation is hereby amended to increase the amount by $11,017 for the annual maintenance services, for a total not to exceed amount of $34,981. 2. The term of said Agreement is extended to November 30, 2013. 3. 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 said Agreement the date and year first above written. ATTEST: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Lisa Storck, Asst. City Attorney CITY OF SANTA ANA Paul Walters City Manager RECOMMENDED FOR APPROVAL: PROVIDER - ACTIVE NETWORK Gerardo Monet, Executive Director Parks, Rec. & Community Services Agency By: Title: 25F-3 25F-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2013 TITLE: RESOLUTION - ENVIRONMENTAL ENHANCEMENT AND MITIGATION PROGRAM GRANT APPLICATION t CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1s' Reading ? Ordinance on 2`' Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER Adopt a resolution authorizing the Executive Director of the Public Works Agency to submit applications for funding consideration under the Environmental Enhancement and Mitigation Program through the Natural Resources Agency of the State of California. DISCUSSION The Transportation Blueprint Legislation of 1989 authorized the California State Legislature to allocate $10 million annually for grants to local, state, and federal governmental agencies and to nonprofit organizations. Funds are dispersed by the California Natural Resources Agency (CNRA) through the Environmental Enhancement and Mitigation Program. Eligible grants can be in one of four categories: highway landscaping and urban forestry projects, resource lands projects, roadside recreation projects, and mitigation projects beyond the scope of the lead agency. Staff has identified a project for grant funding that is eligible under the fourth category, since it mitigates the loss of prior pedestrian and bicycle access at the now closed at-grade railroad crossing at Fairhaven and Lincoln Avenues (see Exhibit 1). In 2007, the Orange County Transportation Authority constructed a second railroad track on the Southern California Regional Rail Authority railroad that runs parallel and east of Lincoln Avenue between the Park Santiago and Fairhaven Neighborhoods. After completion of this project, truck safety issues arose leading to the full closure, as directed by the California Public Utilities Commission. This work was completed in 2011. As a result of the permanent closure, pedestrians and bicyclists are now required to travel an extra mile and they no longer have the same access to Santiago Park, its regional trail, or to/from Fairhaven and Lincoln Avenues. The Lincoln Avenue Safety Pathway - Park Lane to Santiago Park project will reconnect pedestrians and bicyclists via a new pathway shown in Exhibit 1. The total funding request is for $920,000 to restore this connection and no city matching funds are required. Adjacent property owner support has been identified and the project design and environmental phase of this work is funded in the City's FY 12/13 CIP. 55A-1 Resolution - Environmental Enhancement & Mitigation Program Grant Application February 4, 2013 Staff is requesting approval of the attached resolution (Exhibit 2) which formalizes the grant application submitted on January 4, 2013. The CNRA accepted a draft resolution as part of the application with the understanding that the approved resolution would follow within 30 days. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with this action. Raul Godinez II Executive Director Public Works Agency RG/MS Exhibits: 1. Location Map With Proposed Pedestrian Pathway 2. Resolution for EEMP Application 55A-2 SAGREEK P ARK SA"11AG0 \\ EXISTING \ PATHWAY PP\,OSEp \ PHw p,Y ??-\\ , NOT TO SCALE \ 0 `° \ SCRRA RAILROAD c?EM 00'1 SEE ?,? 2_1:1 VY DETAIL A PARK SA"?1PGO ? ??? I FAIRHAVEN AV "A El : ??; FAIRHAVEN NA ?? ocw LOCATION MAP r_ Z n O r - z D DETAIL A LEGEND RAILROAD (DOUBLE TRACK) SCRRA-SOUTHERN CA REGIONAL RAIL AUTHORITY WALL ------ EXISTING PATHWAY - - - - - - - PROPOSED PATHWAY J E EXISTING RAILROAD BRIDGE NA=NEIGHBORHOOD ASSOCIATION EXHIBIT 1 SANTA ANA Title: CITY COUNCIL PIA AGENDA ENVIRONMENTAL ENHANCEMENT AND MITIGATION u DATE e PROGRAM NATURAL RESOURCES AGENCY GRANT PUBLIC WORKS AGENCY FEBRUARY 4, 2013 APPLICATION 55A-3 55A-4 RESOLUTION NO. 2013- Lss1 /14/13 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE SUBMITTAL OF AN APPLICATION FOR ENVIRONMENTAL ENHANCEMENT AND MITIGATION PROGRAM GRANT FUNDS TO THE CALIFORNIA NATURAL RESOURCES AGENCY FOR THE LINCOLN AVENUE SAFETY PATHWAY - PARK LANE TO SANTIAGO PARK PROJECT 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. The Environmental Enhancement and Mitigation Program (EEMP) was established by the Legislature of the State of California in 1989 (AB 471 (Chapter 106 of the Statutes of 1989)), to provide ten million dollars ($10,000,000) annually to local, state and federal agencies and nonprofit entities for projects to enhance and mitigate the environmental impacts of modified or new public transportation facilities; and B. The California Natural Resources Agency has established procedures and criteria for reviewing grant proposals and submitting a list of recommended projects to the California Transportation Commission, from which grant recipients will be selected ; and C. Said procedures and criteria established by the Natural Resources Agency require a resolution certifying the approval of application by the City Council before submission of the application to the State; and D. The application contains assurances that the City of Santa Ana must comply with; and E. The City, if selected, will enter into an agreement with the State of California to carry out the Lincoln Avenue Safety Pathway - Park Lane to Santiago Park Project. Section 2: The City Council of the City of Santa Ana approves the submittal of an application for the Environmental Enhancement and Mitigation EXHIBIT 2 55A-5 Program for the Lincoln Avenue Safety Pathway - Park Lane to Santiago Park Project. Section 3: The City Council certifies that the City of Santa Ana will make adequate provisions for the operation and maintenance of the Project. Section 4: The City Council appoints the City Manager, or the Executive Director of the Public Works Agency or his designee, as agent for the City of Santa Ana to conduct all negotiations, execute and submit all documents, as well as applications, agreements, amendments, payment requests and so on, which may be necessary for the completion of the project. Section 5: This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this day of APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Laura Sheedy Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers EXHIBIT 2 2013. Miguel A. Pulido Mayor 55A-6 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2013-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 EXHIBIT 2 55A-7 55A-8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2013 TITLE: RESOLUTION - AUTHORIZING DONATION TO SANTA ANA HISTORICAL PRESERVATION SOCIETY FOR SANTA ANA FIRE MUSEUM AND APPROVAL OF LICENSE AGREEMENT C?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 Adopt a resolution authorizing donation of a 1921 Seagrave fire truck and $5,000 to the Santa Ana Historical Preservation Society; 2. Direct the City Attorney to prepare and authorize the City Manager and the Clerk of the Council to execute approval of a license Preservation Society to maintain Santa Ana property, subject to nonsubstantive changes Attorney. DISCUSSION agreement with the Santa Ana Historical Fire Department memorial plaques on City approved by the City Manager and City For more than 125 years the City of Santa Ana operated the Santa Ana Fire Department (SAFD) which proudly provided service to the City's residents, visitors and businesses. In July 2012, the City transitioned SAFD to the Orange County Fire Authority (OCFA) to continue providing fire services to the community. To acknowledge and preserve the history of SAFD, the Santa Ana Historical Preservation Society (SAHPS) has proposed merging with the Santa Ana Fire Museum (SAFM) to continue the Museum's operation. SAHPS is in the process of finalizing a lease agreement with OCFA to allow it to operate SAFM at Fire Station 75. To facilitate SAHPS's desire to operate SAFM, SAHPS has requested a donation of $5,000 dollars from the City. This donation will assist in offsetting the start-up cost of operating the Museum. SAHPS has also requested that the City donate a 1921 Seagrave fire truck which will be displayed at the SAFM and used for civic celebrations and events. The 1921 Seagrave fire truck was purchased and fully restored by members of SAFD through volunteer efforts. This fire truck 55B-1 Resolution - Authorizing Donation To Santa Ana Historical Preservation Society February 4, 2013 Page 2 was often used by the City for parades and other special events and will continue to be available for these purposes. In addition, SAHPS is seeking a license agreement with the City to maintain two existing marble plaques at Fire Station 75 and a marble plaque at Fire Station 74 which serve as memorials to sworn and non-sworn deceased members of SAFD. For many years these plaques were maintained and updated by the Santa Ana Fireman's Benevolent Association (SAFBA). With the City's transition to OCFA, it has become necessary to have an organization other than SAFBA continue to maintain these plaques. Staff has reviewed these requests and recommends that the City adopt the resolution as stated in the recommended action. FISCAL IMPACT Funds are budgeted and available in the City Manager's Office - Miscellaneous Operating Expenses account (01105015-63001). APPROVED AS TO FUNDS AND ACCOUNT: I NR?6m z. I ),,-, t 0 ?!, h . I-, it Paul Walters City Manager Francisco Gutierrez Executive Director Finance & Management Services Agency 55B-2 RESOLUTION NO.2013- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING 1) THE DONATION OF A 1921 SEAGRAVE FIRE TRUCK AND $5,000 TO THE SANTA ANA FIRE MUSEUM AND 2) APPROVAL OF A LICENSE AGREEMENT TO MAINTAIN A PLAQUE ON CITY PROPERTY NOW, THEREFORE, BE IT RESOLVED, by the City Council of the City of Santa Ana: SECTION 1. Findings. A. For more than 125 years the City of Santa Ana maintained an independent fire department (SAFD) that proudly provided service to the City's residents, visitors and businesses. Too acknowledge and preserve the history of SAFD, the Santa Ana Historical Preservation Society (SAHPS) has proposed merging with the Santa Ana Fire Museum (SAFM) to continue the Museum's operation. SAHPS is in the process of finalizing a lease agreement with OCFA to allow it to operate SAFM at Fire Station 75. To facilitate SAHPS's desire to operate SAFM, SAHPS has requested a donation of $5,000 dollars from the City. This donation will assist in offsetting the start-up cost of operating the Museum. B. As the City readied itself for the transition of its fire department to the Orange County Fire Authority items were identified that were previously stored or maintained by the City such as a 1921 Seagrave fire truck. This fire truck was often used by the City and others for civic celebrations and events. It was maintained by members of the fire department through volunteer efforts. In order to preserve its history and use the City would like to donate the fire truck to the Museum. C. For many years the Santa Ana Firemens Benevolent Association maintained two marble plaques at Fire Station Five. The plaques contain the names of deceased sworn members of the department. In addition, the Association maintained a memorial plaque within the landscaped area at Fire Station Four. This plaque contains the names of non-sworn deceased members of the department. The City desires to provide the Museum with a license to access each of the plaques for the purpose of maintaining them. 55B-3 SECTION 2. The City Council hereby authorizes the Finance Director pursuant to Santa Ana Municipal Code Section 2-703 to convey the subject fire truck to the Santa Ana Fire Museum and to issue a check in the amount of $5,000 to the Museum. In addition, the City Council authorizes the City Attorney to prepare and the City Manager to execute a license agreement to authorize volunteers of the Museum to maintain a plaque on City property. The Finance Director and City Attorney shall also ensure that the Museum signs a release from liability for the fire truck. SECTION 3. This Resolution shall be effective upon adoption. ADOPTED this day of January, 2013. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers 55B-4 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. 2013- to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Clerk of the Council City of Santa Ana 55B-5 55B-6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: FEBRUARY 4, 2013 TITLE: MEDICAL CANNABIS RESTRICTION AND LIMITATION INITIATIVE - RESOLUTION AUTHORIZING REIMBURSEMENT TO THE COUNTY OF ORANGE, REGISTRAR OF VOTERS FOR PETITION SIGNATURE VERIFICATION SERVICES 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 Adopt a resolution authorizing the Clerk of the Council to reimburse the County of Orange Registrar of Voters for petition signature verification services. 2. Direct staff to prepare a report as allowed by Election Code § 9212, if desired. DISCUSSION On January 24, 2013, proponents of the Medical Cannabis Restriction and Limitation Initiative submitted their petition. Following a prima facie count, the Clerk of the Council's staff determined that the petition contained 16,948 signatures. According to information provided by the Registrar of Voters, the official number of registered voters in the City of Santa Ana applicable to this initiative is 109,155. The minimum number of signatures needed to qualify for a Special Election is 15% or 16,374; and for the 2014 General Municipal Election is 10% or 10,916. Since it was determined that the proponents submitted sufficient signatures for official filing of the petition requiring formal signature verification, the Clerk of the Council submitted a formal request to the Orange County Registrar of Voters on January 25, 2013 to conduct a random sample of signature count. Pursuant to Elections Code Section 9114, the Orange County Registrar of Voters must complete the verification process within thirty working days following the January 24, 2013 submission date. 55C-1 Medical Cannabis Initiative - Petition February 4, 2013 Page 2 The City has been informed by the Orange County Registrar of the Voters that the charge for signature verification is $3.40 per signature. A full count of the petition would cost approximately $57,830.60, while a random count will cost approximately $1,734. These costs are to be paid for by the City. Pursuant to Elections Code Section 9115, the random count must result in a number that is within 95% to 110% of the required valid signatures, if not a full count must be conducted. If necessary, the full count must be completed within 60 working days of the date the petition was filed. Additionally, Election Code § allows the City Council to request a report from City staff addressing any or all of the following issues as it relates to the approval of said initiative: (1) Its fiscal impact to the City budget. (2) Its effect on the internal consistency of the City's general and specific plans, including the housing element, the consistency between planning and zoning, and the limitations on city actions under Section 65008 of the Government Code and Chapters 4.2 (commencing with Section 65913) and 4.3 (commencing with Section 65915) of Division 1 of Title 7 of the Government Code. (3) Its effect on the use of land, the impact on the availability and location of housing, and the ability of the City to meet its regional housing needs. (4) Its impact on funding for infrastructure of all types, including, but not limited to, transportation, schools, parks, and open space. The report may also discuss whether the measure would be likely to result in increased infrastructure costs or savings, including the costs of infrastructure maintenance, to current residents and businesses. (5) Its impact on the community's ability to attract and retain business and employment. (6) Its impact on the uses of vacant parcels of land. (7) Its impact on agricultural lands, open space, traffic congestion, existing business districts, and developed areas designated for revitalization. (8) And any other matters the legislative body requests to be in the report. The report shall be presented to the City Council no later than 30 days after the City certifies the sufficiency of the petition. FISCAL IMPACT In order to ensure that sufficient funds are available, authorization is requested to reimburse the County for signature verification in an amount not to exceed $58,000. Funds are available in Account No. 011-05015-62300. APPROVED AS TO FUNDS AND ACCOUNTS: Maria D. Huizar, Clerk of the Council Francisco Gutierrez Executive Director Finance & Mgmt Services Agency 55C-2 RESOLUTION NO. 2013-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING REIMBURSEMENT TO THE COUNTY OF ORANGE FOR PETITION SIGNATURE VERIFICATION SERVICES RELATED TO THE MEDICAL CANNABIS INITIATIVE PETITION 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 January 24, 2013, initiative petitions were received by the Clerk of the Council, as Elections Official, regarding Medical Cannabis. B. On January 24, 2013, the Clerk of the Council determined, prima facie, that the petitions contained 16,948, which exceeded the 16,:74 needed for a Special Election and 10,916 to qualify for the 2014 General Municipal Election; sufficient for official filing of the petition and requiring formal signature verification by the Orange County Registrar of Voters (OC Voter Registrar). C. Pursuant to Elections Code Sections 9114, the Registrar must complete the verification process within 30 working days following January 24, 2013, and may utilize a 500-signature random count process. D. The Clerk of the Council, upon advice of the Registrar and in accordance with Elections Code Section 9115, has determined to utilize a 500- signature random verification process. E. The Registrar has estimated the cost of - full count will be approximately $57,830.60, while a random count will cost approximately $1,700. These costs must be borne by the City. F. Under Elections Code Section 9115, the random count must result in a number that is at least 110% of the required valid signatures; otherwise a full count must be conducted. If necessary,, the full count must be completed within 60 working days of January 24, 2013. Section 2. The Clerk of the Council is hereby authorized to reimburse the County of Orange the costs of the signature verification, not to exceed $57,830.60. Resolution No. 2013-XXX Page 1 of 2 55C-3 Section 3. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this day of , 2013. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, 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. 2013-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. 2013-XXX Page 2 of 2 55C-4