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HomeMy WebLinkAbout FULL PACKET_2013-05-06MINUTES OF THE SPECIAL MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA APRIL 8, 2013 CALLED TO ORDER SOUTHWEST SENIOR CENTER 2201 W. MCFADDEN AVENUE SANTA ANA, CA 5:13 P.M. ATTENDANCE COUNCILMEMBERS Present: SAL TINAJERO, Mayor Pro Tern ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA VINCENT F. SARMIENTO COUNCILMEMBERS Absent: MIGUEL A. PULIDO, Mayor STAFF Present: KEVIN O'ROURKE, Interim City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council PUBLIC COMMENTS • Peter Katz, opined that City Council communicates well; focus on social issues including senior and lunch programs. WORK STUDY SESSION WS1 REVIEW AND DISCUSSION OF COUNCIL PRACTICES, POLICIES, AND PROTOCOLS Presentation by Interim City Manager O'Rourke, City Attorney Carvalho and Clerk of the Council Huizar: Agenda 1. Public Comments 2. Introduction of Purpose of Study Session by City Manager 3. Develop Meeting Ground Rules 4. Long Term Goal and Objectives 5. Review current practices, policies and protocols CITY COUNCIL MINUTES 1 APRIL 8, 2013 1 0A-1 6. Discussion of roles and expectations 7. Wrap up and next steps Suggested Ground Rules • Listen to each other • Focus on issues not on people • There are no bad ideas or bad questions • Be completely honest • Be respectful but do not filter comments • Keep phones off • Have fun • Councilmember Reyna added - One speaker at a time Long Term Goal • Develop and Approve City Council Norms and Operating Guidelines Meeting Objectives: • Review and discuss current practices, policies, and protocols • Strengthen Council and staff communication and identify expectations • Develop Issue Bin items for later discussion Current Policies • Council Code of Ethics and Conduct • Requirement of Measure D approved by Voters in February 2008 • City Council Adopted Resolution in June 2008 • Rules and Procedures for City Council Meetings • Most recent Resolution adopted June 2012 • City Council Orientation Manual Agenda Process - Ceremonial Items • Invocations Pledge of Allegiance • Councilmember Reyna suggested community groups such as Boy Scouts, Girl Scouts, etc. lead Pledge of Allegiance at City Council Meetings. • Council unanimously concurred with suggestion. Special Presentations • City Manager receives all requests and determines appropriateness of topic • Councilmember Benavides proposed that Special Presentations be scheduled the 2nd meeting of the month to receive special attention and not interfere with City Council recognitions. Presentations and Recognitions Policy implemented in 2010 • Presentations on first meeting of the month • Maximum of 2 presentations per councilmember per meeting • Policy identifies qualifications for groups to be recognized • Councilmember Reyna proposed that the names of all Councilmembers be included on all proclamations and CITY COUNCIL MINUTES 2 APRIL 8, 2013 1 0A-2 certificates and allowing community groups to co-present along with City Councilmember. • City Council unanimously agreed with proposal; also, proposed setting time limit of 3-5 minutes per presentation and limiting to one presentation for each councilmember. Agenda Process - Council Comments • City Council Travel Report • Must be reported out under Council Comments as a requirement of AB 1234 Staff Recommendation: • Add oral reports of major actions considered by regional boards on Agenda • Add oral reports on Council Committee meetings • City Council unanimously agreed with staff recommendation to include Oral Report-Out as placeholder on agendas. Agenda Approval Process • City Manager approves items to be placed on City Council, and Council Committee Meetings • Preliminary Agenda emailed City Council 10 days in advance • Final Agenda and staff reports emailed 4 days (96 hours) in advance to City Council, posted and distributed to community • Mayor Pro Tern Tinajero requested standing meetings between the Mayor Pro Tern and Mayor with City Manager to review Preliminary Agenda prior to release. • Councilmember Martinez proposed changing City Council Meeting date to 1 sc and 3rd Tuesday of the Month. Requests by Councilmembers to Add Agenda Items Charter Section 411: "Any member of the City Council may place items on the City Council agenda to be considered by the City Council." • Any Councilmember may request an item be placed on the agenda under Item 85 • Contact City Clerk with title at least 4 days (96 hours) in advance • No agenda report provided Proposed Change • Councilmembers identify issues for future Item 85 agenda items at a meeting • Staff proposed a new section can be added to the agenda for this purpose • Request an estimate from the City Manager of amount of staff time required and time frame to prepare an agenda report • General requests for information that require more than one hour of staff time will require the member to bring it before the Council for direction as an Item 85 CITY COUNCIL MINUTES 3 APRIL 8, 2013 1 0A-3 • Councilmember Sarmiento noted importance of quantifying staff time/resources expended on each request; Councilmembers should limit requests, however, flexibility on time sensitive/critical items • Councilmember Martinez commented that agendized matters usually require some analysis. • Mayor Pro Tern Tinajero suggested items be monitored through Robert's Rules of Order. • Council concurred that staff should draft language for City Council consideration on how to handle items that require staff analysis - policy should include options for council consideration such as council majority vote required to direct staff to prepare information. • Interim City Manager O'Rourke proposed adding language that allowed City Manager some discretion and also proposed that recommendations be included in Council Norms Policy. Agenda Process - Requests from Public to Add Agenda Items • A member of the public may address the Council on any subject matter jurisdiction of the City under public comments o Council may not take action on any matter not agendized • Members of the public do not place items on the Agenda • Councilmember Martinez suggested that language on who is able to call for Special Meetings be included in Council Norms. Agenda Process - Study Sessions • Open to the Public • Purpose is informal discussions by City Council with staff on topics of interest • Council may provide direction • No formal action may be taken; however direction may be given to agendize action item for future meeting • Items Scheduled for future Study Sessions: • AB1234 Ethics Training • Fiscal Year 2013-14 Budget Workshop • Medical Cannabis Supreme Court Decision / Ballot Measure • Strategic Plan • Councilmember Reyna suggested Work Study session on proposed alcohol and entertainment ordinance. • Councilmember Martinez proposed that once Strategic Plan is adopted by the City Council that all Request for Council Action include section on Impacts to Strategic Plan. Communication Methods to the City Council • Legislative Matters • League of California Cities Legislative Update (email) • Councilmember Martinez noted that League membership also benefits staff and staff involvement in League committees. • Annual Updates by State and Federal Lobbyists CITY COUNCIL MINUTES 4 APRIL 8, 2013 1 0A-4 • Councilmember Sarmiento suggested special presentation by lobbyist and include analysis and impact to City of Santa Ana. • Councilmember Martinez inquired as to who was providing direction to lobbyist to seek/monitor grants? Important to set Council goals and objectives as well as adopt strategic plan that would guide lobbyist; allow for efficient use of limited resources. • Interim City Manager O'Rourke proposed adding Council Committee to review Legislative matters. Council/Staff Communication • Council Requests for Information Request for information through the City Manager or Department Heads with cc to City Manager Councilmembers will have full access to any information requested, unless personnel related • Councilmember Sarmiento asked that City Manager/City Council staff be apprised of any policy changes. • Information Distribution from Staff City Manager will provide copies of the material requested to all Councilmembers Councilmembers will be informed by appropriate staff when unusual events i.e. Saddleback fire, police shooting, explosions, etc. • Council asked to be notified by phone and include in weekly newsletter when commercials, movies etc. are filmed in City; staff directed to review current permit policy - streamline process and promote City. Communication between Councilmembers • What is expectation of staff and role in facilitating communication between members? • Share weekly Council calendars? • How to handle reporting on Council Committee or Regional Committee items? Councilmember Martinez suggested that community events in addition to scheduled meetings be included on calendar. Council Committees • Development and Transportation Committee • Benavides, Sarmiento, Martinez • Public Safety and Neighborhood Improvement Committee • Benavides, Martinez, Reyna • Parks, Recreation, Education & Youth 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 CITY COUNCIL MINUTES 5 APRIL 8, 2013 1 0A-5 • Sarmiento, Martinez, Benavides Councilmembers Martinez and Sarmiento commented on need for bylaws; effective and efficient use for committees. City Manager O'Rourke noted that best practice for implementing both a strategic plan and council committees begins with a balance budget. Councilmember Martinez indicated that both Southern California Association of Governments (SCAG) and Transportation Corridor Agency (TCA) follow this process, but thus far the budget has not incorporated Council and community input, which are important. Also, Council priorities need to be aligned; Council committees have broad policy issues pending. Councilmember Tinajero echoed sentiment that budget, including Community Development Block Grant (CDBG) has not included council or community input. Email Policy and Brown Act Provisions • City email may be subject to: • public disclosure • Brown Act • California Brown Act • Closed Session Confidentiality • What are the Councilmembers' expectations in handling unauthorized disclosure of information? • Council requested that Code of Conduct and Ethics Council Committee review best practices and develop policy for Council approval - include sanctions/censure for violations and reporting methods. Review Issue Bin items: Action Items City Council Meeting Changes: • Provide mechanism to change Council Meeting days to the first and third Tuesdays of the month • Provide information on how to call a special meeting of the Council • Put a placeholder on the agenda for oral reports on council committees and regional board meetings • Reprint proclamations and certificates to include the names of all Councilmembers. Council Committees: • Create a Legislative Council Committee Legislative program needs to tie to strategic plan. Request reports from lobbyist regarding impact Next Steps Approve resolution incorporating all these changes. Revise Presentation Policy Amend Resolution and add new Committee. City Manager will work with consultants CITY COUNCIL MINUTES 6 APRIL 8, 2013 1 0A-6 on City, State and Federal. • Prepare language of best practices for enforcement options for code of ethics for review by Ethics Committee Council Meetings - Recognitions & Presentations: • Structure and agendize recognitions with the following parameters: o Number - 1 per meeting per Councilmember o Timing - 5 minutes. Try to group large recognitions. For example, give to coach. o Exceptions only if time sensitive o Allow community members to help facilitate presentation • Reprint proclamations and certificates to include the names of all Councilmembers • Schedule presentations from outside groups on the 2nd meeting of month Council/Manager Coordination: • City Manager reviews with Mayor/Mayor Pro Tern agenda Wednesday or Thursday of Council Meeting week • Institute mechanism to share council calendars - helps with special events attendance Completed Items: • Include Entertainment Ordinance on list of study session potential items • Ensure information on filming in town shared with City Council • Affirmed maintaining current process for placing 85A items on agenda City Attorney and City Clerk will schedule meeting with Ethics Committee and present options Revise administrative policy To be implemented Options currently being explored Staff to follow up Potential Next Steps • Schedule follow-up session • Develop Council Norms and Operating Guidelines • Incorporate information received at Work Study Session • Schedule annual team-building session • Opportunity to review operations, strategic plan, communication improvements, etc. • Agree on goals and objectives; have clear vision • Build strong relationships between the City Manager and staff based on trust, communication and accountability • Conduct Strategic Plan Meetings CITY COUNCIL MINUTES 7 APRIL 8, 2013 1 0A-7 COMMENTS 90A CITY MANAGER'S COMMENTS - None 90B CITY COUNCILMEMBER COMMENTS - None ADJOURNED- 7:26 p.m. Maria D. Huizar, Clerk of the Council CITY COUNCIL MINUTES 8 APRIL 8, 2013 1 0A-8 MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA APRIL 15, 2013 CLOSED SESSION MEETING CALLED TO ORDER ATTENDANCE PUBLIC COMMENTS - None COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 5:05 P.M. 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: KEVIN O'ROURKE, Interim City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council COUNCIL RECESSED to Room 147 for Closed Session discussion at 5:09 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) • Santa Ana Station District LLC, Santa Ana Station District Housing Partners LP, et. al v. Matosantos, Department of Finance City of Santa Ana Successor Agency et. al. CITY COUNCIL MINUTES 1 APRIL 15, 2013 1 0B-1 • Hilda Cuenca, Claudia Castaneda, Enima Hernandez, and Evangelina Avalos, on behalf of themselves and others similarly situated v. State of California Department of Finance: Ana J. Matasantos, in her official capacity as Director of the State of California Department of Finance; County of Sacramento Superior Court Case No. 34-2013-20001427 • Cesar Lopez v. City of Santa Ana, Orange County Superior Court Case No. 30-2013-00635890 1B CONFERENCE WITH LEGAL COUNSEL - ANTICIPATED/POTENTIAL LITIGATION pursuant to Government Code Section 54956.9(b) State of California, Department of Finance (DOF) ADJOURNED THE CLOSED SESSION MEETING AT 5:37 P.M. AND CONVENED TO THE REGULAR OPEN MEETING CITY COUNCIL MINUTES APRIL 15, 2013 1 0B-2 REGULAR OPEN SESSION CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 5:50 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: KEVIN O'ROURKE, Interim City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council PLEDGE OF ALLEGIANCE MAYOR PULIDO INVOCATION TOM JONES, Police Chaplain CLOSED SESSION REPORT - See report under Agenda Item 19A. PUBLIC COMMENT • Albert Castillo, questioned revenues and expenses of jail operation that does not service the City; Strategic Plan requires community input, not yet scheduled; oppose proposed street car project. • Erica Chavez, employee of Habitat for Humanity, urged City to comply with development agreement obligations. • Apolonio Cortez, member of SACReD, requested full compliance with Sunshine Ordinance - public participation on budget. • Clark Casler, member of SACReD, commented on need for Strategic Plan, include outreach. CITY COUNCIL MINUTES 3 APRIL 15, 2013 1 0B-3 • Adrian Munoz, requested information on cost of jail operation; opined that jail servicing Department of Homeland Security (DHS), no benefit to residents; support termination of contract with DHS. • Tixoc Ventura, spoke in support of Sunshine Ordinance; petition received and signed by more than 40 residents requesting additional budget meetings. o Mayor Pro Tern Tinajero requested timeline on Strategic Plan. ¦ Interim City Manager indicated that policy direction on negotiations strategy and Strategic Plan forthcoming in subsequent Work Study Sessions; also jail study underway. o Councilmember Sarmiento suggested that Management Partners canvass community before City Council discusses Strategic Plan. o Councilmember Benavides proposed modifying Sunshine Ordinance to allow for community input and thorough review of Strategic Plan. • Madeline Spencer, requested additional budget meetings; need for community engagement; support Strategic Plan. • Steve Rocco, spoke on proposed recall efforts. • Daniel Wright, spoke on Agenda Item 75A; City should exhaust all options before condemnation approved. • Jeannie Gillett, President of Old Orchard Conservancy, expressed concern with lack of alternatives on Environmental Impact Report (EIR) on Sexlinger project; recirculate EIR. • Nick Spain, echoed comments by Jeannie Gillett, oppose demolition of structure at site; Council to consider value in preserving site. • Steve Ray, opined that EIR on Sexlinger project inadequate; suggest moratorium on demolition of historic properties. • Theo Hirsch, commented on proposed street car project; suggest more community input on this and other projects of significance to community. • George Collins, spoke on upcoming OC Marathon event and need for additional safety measures as a result of recent bombing at the Boston Marathon. CONSENT CALENDAR ITEMS MOTION: Approve Consent Calendar Items 10A through 25E with the following modifications: • Councilmember Sarmiento abstained on Agenda Item 1313; • Councilmember Tinajero pulled Agenda Item 13A for separate discussion; and • Councilmember Benavides pulled Agenda Item 25B for separate discussion. MOTION: Martinez VOTE: AYES: NOES: SECOND: Benavides Amezcua, Benavides, Sarmiento, Tinajero (7) None (0) 4 1 0B-4 Martinez, Reyna, Pulido, CITY COUNCIL MINUTES APRIL 15, 2013 ABSTAIN: None (0) ABSENT: None (0) Items removed for separate action or modified are highlighted. Separate actions show the actual vote. Items without votes are adopted as part of the consent motion. ADMINISTRATIVE MATTERS MINUTES 10A MINUTES FROM THE REGULAR MEETING OF APRIL 1, 2013 - Clerk of the Council Office MOTION: Approve Minutes. BOARDS / COMMISSIONS / COMMITTEES 13A NOMINATED BY COUNCILMEMBER BENAVIDES AS THE WARD 4 REPRESENTATIVE FOR A PARTIAL TERM EXPIRING DECEMBER 9, 2014 -Clerk of the Council Office Mayor Pro Tern Tinajero noted that Mr. Bacerra was consultant for Downtown Inc.; concerned with potential conflict of interest. Motion to continue consideration of matter. Mayor Pulido trailed item to allow candidate to attend meeting and address concerns raised by Council. Mayor Pulido reconvened discussion of item after approval of Consent Calendar Items. Council discussion ensued. Councilmembers asked for clarification of role as consultant with Downtown Inc. and any other role obtained through contact that may pose conflicts. Mr. Bacerra noted for the record that he was willing to file his Statement of Economic Interest accounting for the past 12-months. City Attorney Carvalho to review Statement and address any issues. MOTION: Appoint. Residing Name Board/Commission Ward Phil Bacerra Planning Commission 3 (Replaces M. Turner) CITY COUNCIL MINUTES 5 APRIL 15, 2013 1 0B-5 MOTION: Benavides VOTE: AYES: NOES: ABSTAIN: ABSENT: SECOND: Pulido Amezcua, Benavides, Martinez, Reyna, Pulido, Sarmiento, Tinajero (7) None (0) None (0) None (0) 13B APPOINT COUNCILMEMBER SARMIENTO TO THE NEWPORT WATERSHED EXECUTIVE COMMITTEE AS THE ALTERNATE REPRESENTATIVE - Clerk of the Council Office MOTION: Appoint. *Councilmember Sarmiento abstained on Agenda Item 13B. MISCELLANEOUS ADMINISTRATION 19A CLOSED SESSION REPORT - City Attorney's Office MOTION: Approve settlement agreement. AGMT NO. 2013-056 - CONFERENCE WITH LEGAL COUNSEL-- EXISTING LITIGATION pursuant to Government Code Section 54956.9(a): Cesar Lopez v. City of Santa Ana, Orange County Superior Court Case No. 30-2013-00635890; in the amount of $10,000. 19B EXCUSED ABSENCES - None 19C AMENDMENT TO FISCAL YEAR 2012-2013 SEVEN-YEAR CAPITAL IMPROVEMENT PROGRAM (CIP) TO ADD MAPLE STREET CONTINUOUS DEFLECTIVE SEPARATION (CDS) IMPROVEMENT PROJECT AND BRISTOL STREET WIDENING PROJECT FROM THIRD STREET TO CIVIC CENTER - Public Works Agency MOTION: Approve an amendment to the Fiscal Year 2012/13 Capital Improvement Program to add the Maple Street CDS improvement Project and the Bristol Street Widening Project from Third Street to Civic Center. CITY COUNCIL MINUTES 6 APRIL 15, 2013 1 0B-6 BUDGETARY MATTERS SPECIFICATIONS - PURCHASE OF EQUIPMENT AND SERVICES MOTION: Award in accordance with Request for Council Action. (Items 22A through 22C) 22A SPEC. NO. 12-012 - SOIL, PLANT, AND WATER TREATMENT CHEMICALS - Renew the contracts for a one-year period, with provision for three, one-year renewals in annual amounts for the vendors listed below - Finance & Management Services Vendor Crop Production Services Waterline Technologies, Inc. Location Amount Santa Ana $42,000 Santa Ana $60,000 22B SPEC. NO. 13-017 - POLICE MOTORCYCLES - Award a contract to Long Beach BMW Motorcycles, under the Los Angeles County Sheriff's Department contract, for the purchase of three police equipped motorcycles in an amount not to exceed $84,287 - Finance & Management Services 22C SPEC NO. 12-015 - VARIABLE FREQUENCY DRIVES AND MOTOR CONTROL CENTER UPGRADES - Renew the contracts for a one-year period in an aggregate amount of $200,000 with the vendors listed below (Public Works Agency) - Finance & Management Services Vendor Location Carter Industrial Automation, Inc. Los Alamitos Academy Electric, Inc. Orange Hydro Industrial Electric Corp. Redlands (formerly F.M. Electric, Inc.) AGREEMENTS MOTION: Authorize the City Manager and Clerk of the Council to execute the following agreements, subject to non-substantive changes approved by the City Manager and City Attorney and/or actions as noted on the Request for Council Action report. (Item 25A and 25C through 25E) CITY COUNCIL MINUTES 7 APRIL 15, 2013 1 0B-7 25A AGMT NO. 2013-051 - AMENDMENT - ADDITIONAL SAFETY TRAINING SERVICES - With EHS International Inc. in an amount of $50,000 - Personnel Services Agency 25B AGMT NO. 2013-052 - JOINT USE AGREEMENT FOR MADISON,PARK AND SCHOOL TO MAINTAIN PROVISIONS OF. THE `1977 AGREEMENT AND ADD NEW MAINTENANCE, OPERATIONS AND; ACCESSIBILITY ARRANGEMENTS OF. THE' COMMUNITY GARDEN AND HALF BASKETBALL COURT Parks, Recreation & Community Services Agency MOTION: Authorize the City Manager and Clerk of the Council to execute an agreement, subject to non-substantive changes approved by the City Manager and City Attorney with Santa Ana Unified School District for a 30-year term with the option for two additional ten year terms. MOTION: Benavides SECOND: Martinez VOTE: AYES: Amezcua, Benavides, Martinez, Reyna, Pulido, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) 25C AGMT NO. 2013-053 - AMENDMENT - CONDUCT ADMINISTRATIVE HEARINGS - With Norman Knispel in an amount not to exceed $20,000 - Police Department 25D AGMT NO. 2013-054 - SETTLEMENT AGREEMENT FOR GRAND AVENUE WIDENING (PROJECT NO. 081732 NONGENERAL FUND) WITH TENANT OF THE PROPERTY LOCATED AT 1221 EAST FIRST STREET, UNIT 3 (APNs 398-454-12 & 13) - With Roberti's Insurance Agency Inc. in an amount of $6,085 - Public Works Agency 25E AGMT NO. 2013-055 - ANNUAL SOFTWARE MAINTENANCE AND SUPPORT FOR LEGAL ON-LINE RESEARCH SERVICES - With LexisNexis, Inc. in an annual amount not to exceed $24,984 - Police Department CITY COUNCIL MINUTES 8 APRIL 15, 2013 1 0B-8 **END OF CONSENT CALENDAR** BUSINESS CALENDAR ITEMS RESOLUTIONS 55A RESOLUTION - EXTENSION OF CONDITIONAL USE PERMIT NO. 2008-37 TO ALLOW THE EXPANSION OF THE ALLIANCE CHURCH OF ORANGE AT 2130 NORTH GRAND AVENUE - Planning and Building Agency MOTION: Adopt a resolution. RESOLUTION NO. 2013-016 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA FOR THE EXTENSION OF CONDITIONAL USE PERMIT NO. 2008-37 FOR ONE YEAR FOR THE PROPERTY LOCATED AT 2130 NORTH GRAND AVENUE MOTION: Martinez VOTE: AYES: NOES: ABSTAIN: ABSENT: PUBLIC HEARINGS SECOND: Tinajero Amezcua, Benavides, Martinez, Reyna, Pulido, Sarmiento, Tinajero (7) None (0) None (0) None (0) 75A PUBLIC HEARING - RESOLUTION AUTHORIZING CONDEMNATION OF A PORTION OF REAL PROPERTY AT 2909 S. BRISTOL (PROJECT NO. 063510 NON-GENERAL FUND) - Public Works Agency Legal Notice mailed to property owners on March 14, 2013. Mayor Pulido opened the Public Hearing. Daniel Wright of the Silverstein Law Firm presented letter of opposition for the record and stated objections to City's taking of property through eminent domain. City Attorney Carvalho requested continuance to allow staff to review comments received from Mr. Wright at the April 1, 2013 City Council Meeting. CITY COUNCIL MINUTES 9 APRIL 15, 2013 1 0B-9 There were no other speakers and the Mayor closed the Hearing. MOTION: Per staffs request, continue item to May 6, 2013 City Council meeting. MOTION: Benavides VOTE: AYES: NOES: ABSTAIN: ABSENT: SECOND: Sarmiento Amezcua, Benavides, Martinez, Reyna, Pulido, Sarmiento, Tinajero (7) None (0) None (0) None (0) 75B PUBLIC HEARING - COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM FISCAL YEAR 2013-2014 - Community Development Agency Legal Notice published in the Orange County Register on March 18, 2013. Mayor Pulido opened the Public Hearing. There were no speakers and he closed the Hearing. Councilmember Martinez expressed concern with lack of community and Councilmember input, review process and past practice. Parks, Recreation, Education, and Youth Council (PREY) Committee had requested information; suggest process open to community organizations. Mayor Pro Tern Tinajero motioned to continue matter for two weeks. Acting Deputy City Manager Jill Arthur noted that staff will recommend review process for next cycle of funds; also, 15% of total funds earmarked for social service programs. Councilmembers Sarmiento and Amezcua commented on need for transparent process. Councilmember Benavides inquired as to possibility of earmarking residual funds for non-profit organizations. MOTION: Continue consideration of matter to the May 6, 2013 City Council Meeting. MOTION: Tinajero SECOND: Sarmiento CITY COUNCIL MINUTES 10 APRIL 15, 2013 1 0B-10 VOTE: AYES: Amezcua, Benavides, Martinez, Reyna, Pulido, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) 75C PUBLIC HEARING - GRANT APPLICATION TO PURCHASE NEW SHUTTLE VANS FOR SENIOR TRANSPORTATION SERVICES - Parks, Recreation & Community Services Agency Legal Notice published in the Orange County Reporter on April 5, 2013. MOTION: Conduct public hearing as required by the Federal Transportation Act grant Section 5310 grant application for Seniors On-the-Go program vans. MOTION: Sarmiento SECOND: Martinez VOTE: AYES: Amezcua, Benavides, Martinez, Reyna, Pulido, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) COMMENTS 90A 90B CITY MANAGER'S COMMENTS Interim City Manager O'Rourke noted for the record that a follow-up session on the Communications Study Session held April 8, 2013 has been scheduled. CITY COUNCILMEMBER COMMENTS Councilmember Martinez: • Reflected on recent bombing at Boston Marathon; City preparedness in case of many incident or natural disaster important; CITY COUNCIL MINUTES 11 APRIL 15, 2013 1 0B-11 • Thanked SACReD for interest in community and support for transparent and open government; Sunshine Ordinance may need to be revised to allow City staff time to develop Strategic Plan; and • Commented on Sexlinger project; inquired as to process for amending EIR. Mayor Pro Tern Tinajero: • Noted importance of open communication between staff and Council; and • Requested that tonight's meeting be adjourned in memory of lives lost at the Boston Marathon bombing. Councilmember Amezcua: • Reported that April is Autism Awareness Month; asked residents to donate to www.austismspeaks.com to increase education. Councilmember Reyna: • Echoed comments by Councilmember Martinez on emergency preparedness and Sexlinger property; • Requested meeting with staff on jail operation; • Attended the "All Santa Ana High Schools Reunion"; well attended; • Attended Washington Square Neighborhood Association meeting with Councilmember Amezcua; • Thanked Rene Guzman for attending tonight's Council meeting after battling some health issues; • Invited all to attend the Relay for Life event at Valley High School on June 1 and 2, 2013; and • Urged all to shop in Santa Ana. ADJOURNED- 8:06 p.m. - Special meeting of the City Council is scheduled for Tuesday, April 16, 2013 at 5:00 p.m., immediately followed by the Closed Session Meeting at the Southwest Senior Center, 2201 W. McFadden Avenue, Santa Ana, California. Adjourn in memory of all victims of the Boston Marathon tragedy. Maria D. Huizar, Clerk of the Council FUTURE AGENDA ITEMS • Street Car Project Locally Preferred Alignment • Ordinance Addressing Homeless Shelters as per Requirements in SB 2 • Contracting Agreement for Specified Police Support Services • Janitorial Services for Police Admin/Jail CITY COUNCIL MINUTES 12 APRIL 15, 2013 1 0B-12 MINUTES OF THE SPECIAL MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA APRIL 15, 2013 The Special Joint Meeting of the City Council, Planning Commission, Personnel Board, Community Redevelopment and Housing Commission, Environmental and Transportation Committee (ETAC), Historic Resources Commission, Board of Parks and Recreation, Youth Commission, and Workforce Investment Board to hold a Study Session on the AB1234 Ethics Training was adjourned due to lack of quorum. The pre-scheduled AB1234 Ethics Training was conducted. Councilmembers Amezcua, Benavides and Reyna were in attendance, as well as commissioners: Eugen Andres (Personnel Board), Yesenia Godinez (ETAC), Laurence Hitterdale (Historic Resources Commission), Brian Leal (Board of Parks and Recreation), Michael Macres (Personnel Board), Sean Mill (Planning Commission), Phil Bacerra (Planning Commission), Karinna Moreno (Youth Commission), Wendy Tobiska (Board of Parks and Recreation), Dennis Wootan (Personnel Board), Cynthia Rosas (Historic Resources Commission), and Joel Crespo (Planning Commission). The next meeting will be a Special meeting scheduled for Tuesday, April 16, 2013 at 5:00 p.m., immediately followed by a Closed Session meeting at the Southwest Senior Center, 2201 W. McFadden Avenue, Santa Ana, California. Maria D. Huizar, Clerk of the Council CITY COUNCIL MINUTES APRIL 15, 2013 1 0B-13 1 0B-14 MINUTES OF THE SPECIAL MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA APRIL 16, 2013 CALLED TO ORDER ATTENDANCE SOUTHWEST SENIOR CENTER 2201 W. MCFADDEN AVENUE SANTA ANA, CA 5:11 P.M. 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: KEVIN O'ROURKE, Interim City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council PUBLIC COMMENTS - None WORK STUDY SESSION WS1 REVIEW AND DISCUSSION OF FISCAL YEAR 2013-14 GENERAL FUND BUDGET - Finance and Management Services Agency Presentation by Interim City Manager O'Rourke, Jan Perkins and Bob Leland of Management Partners: Presentation Outline • Purpose of Financial Forecast • Overview of the Development of the Forecast Model • Review of Assumptions for Model • Interactive Presentation of Model • Identification of Council Budget-Related Policy Issues CITY COUNCIL MINUTES APRIL 16, 2013 1 0C-1 • Closed Session on Labor Strategy Overview of Forecast Model • All values based on historical actuals (6 years) • Revenues by line item • Expenditures by major category by department • Personnel line items, contracts, commodities, fixed charges, capital, debt service • Payroll by labor unit by department • Applies growth factors by fiscal year, Cost of Living Increases (COLAs), PERS rates, and medical insurance premiums • Scenarios - test sensitivity of variables, instant display of results • Group variables by low, moderate, high levels • Flexibility to adjust any given factor • Useful for budget preparation/presentations, labor negotiations Forecast Assumptions - Dept. Structure & Personnel Costs 1. Departments to reorganize structure based on what the City can afford • Backlog of general fund vacancies eliminated • Replaced with requests from departments for new positions based on meeting target budget figures 2. Implements the expiration of compensation deferrals • Returns 80,000 hours of work, or the equivalent of 30-40 positions, to departments for employees represented by SEIU • Increases SEIU employees' net compensation by an average of 10% 3. No New Programs or Services • Department Directors charged with recreating the structure and services provided based on dollars available • Councilmember Martinez indicated that City departments have experienced significant cuts throughout the year; Strategic Plan may change focus of departments. 4. Continues to address Public Safety Costs • Continues fire services contract with OCFA ¦ Councilmember Benavides noted that Fire retirement system changing that may affect contract amount. • Examination of potential cost savings in Police Department is underway ¦ Councilmember Martinez noted that public safety is top priority and in line with other programs such as code enforcement. 5. No Increase in Negotiated Compensation • Assumes 2 years of no salary increases • However, merit increases are included which will add about 1 % growth annually, even with no salary increases • Every 1 % salary increase equates to approximately $900K 6. Increases in CalPERS and medical costs are included CITY COUNCIL MINUTES 2 APRIL 16, 2013 1 0C-2 • Increases by CalPERS of the equivalent of $7.6 million by 2015-16 and escalating thereafter ¦ Interim City Manager O'Rourke indicated that it may be as high as 50% of current rate by 2015-16 • Increases in medical costs of $1 million annually are included ¦ Councilmember Martinez inquired about unfunded liability. Major Costs: PERS and Health • Existing Oct-2012 CalPERS forecasted rates, plus ¦ 0.25% discount rate cut ¦ mortality improvements ¦ Rate smoothing/amortization changes ¦ PEPRA savings (lower benefits proposed for future hires) ¦ 11/12 investment loss (not included in assumptions by PERS) Estimated Net Rate Increase Over 13-14 as Percent of Payroll FY 1 All R FY 1 R/1 R FY 1A/17 • Safety 5.0% 13.2% 19.0% • Misc 3.8% 9.9% 14.2% Major costs: rtKzj ana rleann PERS Employer Rates • Major increases start FY • Recent growth 7.3%, 12/13 9%; 14/15 staff estimate is 9% ongoing • Major unknown: potential • Major unknown: Federal for greater discount rate Affordable Care Act impacts cut • Mayor Pulido indicated that in the past CalPERS reported being super funded; however, reform/structural changes are needed at the State level too. • Mayor Pro Tern Tinajero noted for comparison purposes that teacher's STRS program has 2.4% at 62 formula. Forecast Assumptions - Other 7. Growth Assumptions in Cost of Services and Supplies • No increases for 2013-14 and 2014-15 and 2% thereafter 8. No General Fund Contributions to CIP Included • Inventory of City facilities and infrastructure needs is underway CITY COUNCIL MINUTES 3 APRIL 16, 2013 1 0C-3 • Councilmember Martinez noted importance of infrastructure improvements and maintenance. • Mayor Pro Tern Tinajero reported that in 2010 all streets repaired, but not industrial streets. ? Public Works Executive Director Raul Godinez, III noted that the Asset Management Plan will include sewer and water maintenance plan. • Councilmember Sarmiento commented on need for Strategic Plan to drive priorities; labor impacts need to be vetted by councilmembers; and Management Partners canvass community and move forward with Strategic Plan. • Mayor Pulido requested that staff meet with new councilmembers to review past trends and budget. 9. Honors Council Approved Fiscal Policy • Ensures proper reserves for 2 months operating or $27-$30 million • Continues to reduce dependence on transfers - i.e. water • Commits on-going revenues to on-going expenditures without one- time monies • Forecast Assumptions - Revenue 10.Assumes Moderate Growth in Revenue Sources • Current Droiected national and state economic forecast Major General Fund Revenues -*-Property Tax -+-Sales Tax -*--Utility Tax 07 09 09 10 11 12 13 14 15 16 17 18 19 20 21 22 • Mayor Pulido requested State takeaways be included in forecast models, also other trends such as electric cars, gas price drop and technology changes that may affect UUT. Timing of Revenue Downturns - Potential for Next Recession CA Unemployment Rate and Recession Periods Periods of Recession" CA Rate ----Santa Ana Rate 16% 14% 12% 10% I 8% ? 6% ' 4% 2% np imp .? h n 0) pp Amp pp pnp prnp m 'n n pmQt? m 1? m .-? 0+ 0) On1 Q^) 6l Oni O^) S 0) Ol 01 0) O) S S S S S O N N r1 N N M N e1 N rl N H e4 H N ei N N N N N N N "Adverse impact on local government revenues may lag these periods CITY COUNCIL MINUTES 4 APRIL 16, 2013 1 0C-4 Councilmember Sarmiento proposed that Economic Development remain a priority - generate revenue and attract/retain businesses. Councilmember Benavides suggested branding campaign to better market City. Forecast Assumptions - Revenue 11. Returns Former Redevelopment Property Tax to General Fund • Assumes annual receipt of between $1.1 to $5 million (City has received $3.3 million for FY 2012-13) • Assumes $550,000 support from General Fund for Community Development Department programs 12. Risk to Significant Revenues Identified • UUT experienced decline in telecommunications revenues (Council Policy discussion on future of UUT) • Water transfer (Council Policy discussion) • Loss of property tax impact dependent on Redevelopment settlement Forecast Model Variables • Revenues • Sales Tax • Property Tax • Utility Users Tax • Other Issues • CDA residual • Water transfers • UUT risk level • Expenditures • Payroll growth rate • Vacancies cut • Maintenance expense added • Service/Supply growth • OFCA Contract • Councilmember Sarmiento proposed other variables be included in forecast model, such as external factors, assets may be long term flow of money. Council Budget-Related Policy Questions 1. Providing Labor Strategy Authority 2. Acceptance of restructuring of departments' organizations and services provided based on the dollars available 3. Affirm strategy of reviewing Police Dept. operations to identify financial savings 4. Affirm support of Reserve Levels 5. Use of on-going residual from former Redevelopment Agency 6. How to address CIP infrastructure needs and deferred maintenance issues 7. Modernizing the Utility Users Tax (UUT) CITY COUNCIL MINUTES 5 APRIL 16, 2013 1 0C-5 8. Adjusting of the Water Transfer Issue Bin Items: • Provide history of budget decisions over last several years to new councilmembers • Talk to Council before deciding any action that creates layoffs • Revenues assumptions must be constantly reviewed and updated • Modernizing UUT • Economic Development as a priority re: $550,000 from general fund to Community Development Agency (CDA) ¦ Ensure a business friendly environment ¦ Ensure a progressive business attraction/investment • What is CDA doing for economic development and what are opportunities to be part of strategy ¦ Number of businesses in town • Other variables that may be added ¦ Development projects that may generate revenues ¦ City assets that may be used as development projects that generate revenues [_OMMFNTS 90A CITY MANAGER'S COMMENTS Interim City Manager O'Rourke indicated that follow up meetings on the Budget and Communication would be scheduled shortly. 90B CITY COUNCILMEMBER COMMENTS - None RECESSED to Closed Session at 6:58 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 matter will prejudice the position of the City in existing and anticipated litigation: CITY COUNCIL MINUTES 6 APRIL 16, 2013 1 0C-6 1 CONFERENCE WITH LABOR NEGOTIATOR pursuant to Government Code Section 54957.6 Agency Negotiators: Employee Organizations Personnel Services Executive Director, Ed Raya Santa Ana Police Officers Association (POA) Service Employees' International Union (SEIU) Full-Time Employees Mayor Pro Tern Tinajero left the meeting at 7:42 p.m. and did not return. ADJOURNED- 7:43 p.m. Maria D. Huizar, Clerk of the Council CITY COUNCIL MINUTES 7 APRIL 16, 2013 1 0C-7 1 0C-8 MINUTES OF THE SPECIAL MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA CALLED TO ORDER ATTENDANCE PUBLIC COMMENTS - None APRIL 29, 2013 SOUTHWEST SENIOR CENTER 2201 W. MCFADDEN AVENUE SANTA ANA, CA 5:07 P.M. COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor (5:12 P.M.) SAL TINAJERO, Mayor Pro Tern ANGELICA AMEZCUA P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA (5:09 P.M.) VINCENT F. SARMIENTO (5:09 P.M.) COUNCILMEMBERS Absent: None STAFF Present: KEVIN O'ROURKE, Interim City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council CLOSED SESSION ITEMS The Brown Act permits legislative bodies to discuss certain matters without members of the public present. The City Council finds, based on advice from the City Attorney, that discussion in open session of the following matters will prejudice the position of the City in existing and anticipated litigation: 1 CONFERENCE WITH LABOR NEGOTIATOR pursuant to Government Code Section 54957.6 Agency Negotiators: Employee Organizations Personnel Services Executive Director, Ed Raya Santa Ana Police Officers Association (POA) Service Employees' International Union (SEIU) Full-Time Employees CITY COUNCIL MINUTES 1 APRIL 29, 2013 1 0D-1 Mayor Pro Tern Tinajero left the meeting at 6:25 p.m. and Councilmember Martinez left the meeting at 6:26 p.m. and did not return. CLOSED SESSION REPORT - None ADJOURNED- 6:50 P.M. Maria D. Huizar, Clerk of the Council CITY COUNCIL MINUTES 2 APRIL 29, 2013 1 0D-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 6, 2013 TITLE: BOARDS AND COMMISSIONS BIANNUAL ATTENDANCE REPORT OCTOBER 2012 TH G MARCH 2013 CITY`k1ANAGER RECOMMENDED ACTION APPROVED ? As Recommended ? As Amended ? Ordinance on 151 Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file Boards and Commissions Biannual Attendance Report. DISCUSSION The Boards and Commissions Attendance Report is prepared biannually to inform the City Council regarding member attendance at Board or Commission meetings. Pursuant to Council policy, the City Council may remove board or commission members who incur four unexcused absences within the six-month reporting period. Additionally, City Charter Section 901 provides that three consecutive unexcused absences would result in the vacation of a board or commission seat. Examination of attendance reports reveals that no current members warrant vacation of a board or commission seat. Therefore, the only action required is to receive and file the report. FISCAL IMPACT There is no fiscal impact associated with this action. Maria D. Huizar, r Clerk of the Council Attachments: Biannual Attendance Reports (8) ?dix Is, CLERK OF COUNCIL USE ONLY: 13A-1 13A-2 U z 0 U } UM Z?N ?Hs Q LL L Zak NON LU r, LL 0N Oz L }Q y 0 VW? ?0 Q J Q z z Q m z O O C7 z zz z w a 0 w w 0 w z CM G O U W a z z O U) O U Q O m N d rr 0 X X X x Z X X X Z Q C d o Z X X X Z X X x z N d ao ? _ ? UQZUwJJwO co :. W LO UQZUwJJW0 N r ? D Z= T Z w X X X Z X X X ? c UQZUwJJwO M? mo 2 0) w C 0D r UQZUwJJwO Wd d p O Q Z O w J J w O ? m m in W C N O Q Z O w J J WO Om z? to Z x x w x z x x x N LU Cc W ? m O to U Q Z U w J J W 0 V y O m c U Q Z U w J J w 0 w `-° O Q d v N y N z V N c J G a U) _ d W C) -? N 4) la > L. d >+ J D = N p d = O R W 0) co L 2 C c N = O O a > N O a) 0) m a. d N N a CD N x d c _ m N a d N x w w d 'o C m w a X W Y W U z a D z W H H a 13A-3 N d U? Q1 a=_ N d ? Q ? C m w W d W N N w ? a C) Z.S ? y ? d m ? 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N r r ?i 4, 0 a? co ?_ C CN C V- ca 0- CD 0 N w 0 N bA 13A-20 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 6, 2013 TITLE: QUARTERLY REPORT OF INVESTMENTS AS OF MARCH 31, 2013 CITY"MANAGER RECOMMENDED ACTION Receive and file. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 15' Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER 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 March 31, 2013. 19C-1 Quarterly Report of Investments May 6, 2013 Page 2 The following table represents percentage policy limits set by the City's Investment Policy and State law, and respective investment types, amounts and percentages, as of March 31, 2013. Type of Investment in $ in % CO Policy Li Limits State Law Limits Certificate of Deposit (CD) $0.00 0.00% 30% 30% Commercial Paper (C/P) $0.00 0.00% 25% 25% Federal Farm Credit Bank (FFCB) $14,988,500.00 5.94% None None Federal Home Loan Bank (FHLB) $25,260,962.50 10.01% None None Federal Home Loan Mortgage Corp. (FHLMC) $42,872,428.06 16.99% None None Federal National Mortgage Association (FNMA) $69,352,523.50 27.49% None None Overnight Sweep (C/P) $50,000,000.00 19.82% 25% 25% Local Agency Investment Fund $49,790,997.56 19.74% None None Treasuries $0.00 0.00% None None Total $252,265,711.62 100.00% The following graph represents percentages within the respective investment types, as of March 31, 2013. 5.94% 19.74% 10.01% 16.99% 19.82 ¦ FFCB ¦ FHLB ¦ FHLMC ¦ FNMA ¦ Overnight Sweep (C/P) LAI F FISCAL IMPACT There is no fiscal impact associated with this action. Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibit 1 Treasurer's Report 19C-2 Quarterly Report of Investments May 6, 2013 Page 3 CITY OF SANTA ANA TREASURER'S REPORT as of March 31, 2013 EXHIBIT 1 19C-3 U r m w Og E C E M Q 0 E _ cum E N O C p i V o 00. a F? 0.2 o O CL Ad 4) O CO > N CI N> CO o LO o o m N N M O .- O O O O ? O (O 0 O U n o N N r r co co In 0 in n (D M co 0 N V M N ? 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(D (D ID o N N N v i ? m n c •(a .. R N C O N d M V N N M O o o L y ? y L L O y y N N O CL t 0 N N Li ` o 0 a 0 0 w m o m Rc ° o ri j A N Q m O Ct C Ct O_ C M N U m o a = y L C m U U LL E y C C N C _ a 2 m > `0 0 m 11 ?o CL a Co ` c N i Q ? L N A # V C N O jp G) E (D O ° O 1- N O M U) > ? C O LL Z Y O M r U o C m a m a ¢ J CL s w m ?LL 19C-7 : D?II OO ? L co O Cl) A? C w 7 U _ L -A Y: d 7 ? a I.I. r Z N j F- o vii _ ?N N r ? W +?+ ty H d m F2Emto V m _N Q V 16 d Y O m U O a7 7 N c d E h c al y U C t0 CL E O U h 7 H C r N Z m d H 1 O O O O O O O O O m C, O O I C O O O O ? O O O O O 0 0l o ? ? tOD ? h O O O ? ? I N o n n 0 0 0 ? In N o n y o O) N N O O Q 0 0 0 A 0 Z rn } C U J J LL a E 0 m Z LL W U U Z 7 U co W c N m D LL it co co N ? o o ? 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V n p O N n V O ll C O A N M N N .1 O V O O O P O N a n n n n ID N n co ^ oo v eo O cm O O N M n n N N V7 v O V ID fp O N ? n n - n n - In N r n O V O NO N M N N 0 00000 c' I p A O N I L O 00 O O N N N N N L O 4) Q 0 0 0 O O 4) Q o o° 0 0 0 10 10 A A 0 0 a a ? rn C C C C C ? 7 7 J J J LL LL LL LL LL J E E E E E LL rn 0, rn rn rn c E t t r r t '? O U U U U U > C z ? z r z N T N N N N c C l6 l0 f6 (0 fE N `1 N N N c co F H H H N N N W N d N N N N 0 ? O D D O D W a c L LL O C N O O C c M N M ? s{ 0 0 0 0 0 0 ' co ao w w w co d C U Y C C t0 4) OI m co V N co O r Q : C M N M V 7 ? t O O O O O co N U) to co 00 co O co --? } 1 9 c v U) co N - N F a a? .d 7 C3 LC) M 20 M C d (6 L U d R d Y R 7 A F IL H 2 Z ? N ? W ~ C Y 2 N ° O m w M C L E m l0 U aNi ? W > cn c N m co 2 Q CL' U d 7 N a E N C a_I ? N U m m y 7 d w .U d C. N C d N H -I O O O O O O O N r ? ? O T 01 t0 V O O N Oi O O1 M ro v O o (n O O N T OOf M w v O O m 0 o m N N OD N Q 0 o v c W A O a in N Vl a a z z N N N N H ? O O O O/ co m LL LL N N N N 3 3 -T LO O O C O O 3 ao O O v V Q d Y l0 w (O C m m O m m r m O N O O O I C. O O O O O I O O O O O O O I O O O of F O am CD 0 N ? O Q CD v c A A O a y U J 0 a 0 z 0 rm r W D U Q m a N O ao N C O m (Q O M V ? c OD 7 (D h O O O O O T M (O V N O Of M m v 0 M v v 4 m H d C A 0 H 19C-9 H o °i > LL ? O ? ? a °a a p w h 0 N N O 0 19C-10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 6, 2013 TITLE: QUARTERLY REPORT OF CONTRACTS ENTERED INTO BY THE CITY MANAGER C 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 Receive and file the Quarterly Report of Contracts entered into between January 1, 2013 to March 31, 2013 valued at $25,000 and less. DISCUSSION On November 7, 2006, the voters approved a Charter Amendment increasing the authority of the City Manager to enter into contracts and agreements up to a value of $25,000. Section 421 of the Charter requires the City Manager to report to the City Council quarterly on the contracts entered into under his authority for informational purposes. The report is required to include the names of contractors and the amounts of each contract. Exhibit A is a listing of all purchase orders, agreements, and change notices entered into between January 1, 2013 to March 31, 2013 valued at amounts between $500 and $25,000. Unless included under a blanket contract, the City as a general rule does not purchase goods or services valued at under $500 through either a purchase order or an agreement. Purchase orders and service agreements valued at greater than $25,000 require approval by City Council. FISCAL IMPACT There is no fiscal impact associated with this action. 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M M M M M M M M M M m M M M M M M M M M M M M M M M M m M M M M M M M m M M M m N N N r-i H H N N N N r--I N H N N N N e-i N N N N N N N N r--I r--I r--I N N N N N N r-1 r--I N N e-I 0 V Ln Ln Ln Ln n r--I ei r--I r--1 N N V 00 00 01 O O O O O O O O O O O O~~. r--1 c-1 Ln V) to n r-i \\\\\\ N N N N r--I N N N N N r--I N N N N N N N N N N N N N . N N N N N N N N N N M m m m M M M m m m m m M M m m m m m m m m M M m m m m m m M m m m e-i r4 M V Ln tD r? m M O N N M V Ln tD r` W M o N N m V Ln tD r, W M O m V V) W 1? M M O N N N N N N N N N M M M M M M M M M M V V V V V -Zr V V V V Ln Ln Ln Ln Ln Ln Ln Ln Ln Ln W N N N N r r N N N N r r r N N e-1 r e-1 r e ti ti r-1 e-1 ? r r r ' r N r--1 e-1 1--1 -4 r r ' N 11 19D-6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 6, 2013 TITLE: DESTRUCTION OF OBSOLETE CITY RECORDS I ANAGER 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 Approve the requests for the destruction of obsolete records from various City departments in accordance with the retention schedule outlined in City Council Resolution No. 2013-014. DISCUSSION On April 1, 2013, the City Council approved a resolution outlining the records retention schedule for the agencies, departments, and offices of the City. City records are governed by the Public Records Act which provides the period in which records need to be retained. The Citywide Records Team compiled the Citywide Records Retention Schedule which sets forth the retention period for a particular record. The Municipal Code requires that the destruction of a City record be approved by the City Attorney. In accordance with Section 513 of the Citywide Records Retention Schedule Resolution, the City Attorney has approved the list of records proposed for destruction from the departments as outlined in the attached documents. FISCAL IMPACT There is no fiscal impact associated with this item. Attachments (2): Memorandum for Request for Destruction of Records - City Manager's Office Memorandum for Request for Destruction of Records - Santa Ana Police Department 19E-1 19E-2 MEMORANDUM To: Laura Sheedy, Assistant City Attorney City Attorney's Office From: Mark Lawrence, Executive Assistant to the City Manager Date: May 1, 2013 Re: REQUEST FOR DESTRUCTION OF RECORDS The City Manager's Office requests your consent to destroy city records on the attached listing, in accordance with the retention schedule outlined in City Council Resolution 2006-045. Thank you. 19E-3 CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE CITY MANAGER'S OFFICE 2013 RECORD RECORD RECORD EXPIRATION CATEGORY SERIES DESCRIPTION DATES Chronological Files Staff Memoranda and Correspondence April 1. 2011 and prior Correspondence/ April 1 2011 Chronological Files Councilmember Self-explanatory and prior Council Requests Mayor Inquiries processed for Mayor April 1 2011 and prior Wards 1 through 6 Inquiries processed for Councilmembers April 1. 2011 and prior Correspondence General Correspondence Self-explanatory April 1 2011 and prior Staff Inquiries processed for Staff April 1. 2011 and prior Monthly Status City Manager Self-explanatory April 1 2011 Reports and prior Payroll Records Council/Staff Self-explanatory April 1. 2011 and prior April 1. 2011 Travel Folders Council/Staff Self-explanatory and prior APPROVE" Kevin O' urke r Interim City pager Date RECORDS DESTROYED: Volume in Cubic Feet Weight in Pounds CONSENT: Sonia R. Carvalho Date City Attorney AUDITED Lawrence Date Assistant to the City Manager 19E-4 Memo To: Laura Rossini, Assistant City Attorney From: Bill Nimmo, Commander Date: 1/11/13 Re: Request for Destruction of Records , The Professional Standards Division/Police Department requests your consent to destroy city records on the attached listing, in accordance with the retention schedule outlined in City Council Resolution 2006-045. Thank you. 19E-5 ti CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE POLICE DEPARTMENT Division Name: PROFESSIONAL STANDARDS DIVISION Record Category Record Series Record Description Record Dates ADMINISTRATIVE EMPLOYEE ACCIDENTS INVOLVING ON- 1/1/07 to INVESTIGATIONS ACCIDENTS DUTY DEPARTMENTAL 12/31/07 PERSONNEL ADMINISTRATIVE K-9 REPORTS INVESTIGATIONS OF K-9 BITE 1/1/07 to INVESTIGATIONS INCIDENTS 12/31/07 ADMINSITRATIVE USE OF IN-CUSTODY INJURIES AND 1/1/07 to INVESTIGATIONS FORCE USE OF FORCE 12/31/07 ADMINISTRATIVE OFFICER INVESTIGATIONS OF OFFICER 1/1/07 to INVESTIGATIONS INVOLVED INVOLVED SHOOTINGS 12/31/07 SHOOTINGS CITIZEN BY INVESTIGATIONS OF ALLEGED 1/1/07 to COMPLAINTS EMPLOYEE EMPLOYEE MISCONDUCT 12/31/07 NAME Prepared by: Name: C. DuQuin Title: Date: October 23, 2012 Sr. Legal Secretary Number of boxes to be destroyed : 15 ------------------------------------------------------------------ ------------------------------------------------------------------ CONSENT BY: Carlos Rojas, A/Chief of Police Police Department APPROVED BY: Date Vu? _L'V , t. 1'?tuu vw Date Assistant City Attorney ?a Page 1 of 2 19E-6 L CITY OF SANTA ANA OBSOLETE RECORDS DESTRUCTION SCHEDULE POLICE DEPARTMENT Division Name: PROFESSIONAL STANDARDS DIVISION Records destroyed by: Print Name & Badge # Date of destruction: Signature Once your records have been destroyed return this form to the Records Manager and keep a copy of this form for your files. Page 2 of 2 19E-7 19E-8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 6, 2013 TITLE: CONTRACT AWARD TO ZEBRON CONTRACTING, INC. FOR SEWER MANHOLE REHABILITATION AND LINING SERVI E EC. NO. 13-016) MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1"Reading ? Ordinance on 2n"Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER Award a contract to Zebron Contracting, Inc. for the rehabilitation and lining of sewer manholes for a one-year period, with provisions for three one-year renewals, in an annual amount not to exceed $75,000, subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION The Public Works Water Resources Division performs an ongoing assessment of the condition of its 8,000 concrete and brick sewer manholes throughout the City. Staff identified 25 sewer manholes in need of rehabilitation, a process that repairs and seals the interior of the manhole with a polyurethane coating. The recommended action will repair leakage and prevent structural failure while extending the life of manholes for a fraction of the cost of replacement. The award amount reflects the funds budgeted for this service during the upcoming contract year. The notice inviting bids was advertised on April 1, 2013 and bids were solicited. A summary of the bid invitations and bids received is as follows: 4 Invitations For Bid mailed 2 Bids received Bids were received, opened on April 11, 2013, and evaluated (Exhibit 1). The bid received from Zebron Contracting, Inc. is responsive to the specifications and meets the City's requirements. FISCAL IMPACT Funds are available in the Public Works Sanitary Sewer Service account (no. 05617640-66220). APPROVED AS TO FUNDS AND ACCOUNTS: A Raul Godinez Executive Directdr Public Works Agency Francisco Gutierrez Executive Director Finance & Management Services Agency 22A-1 ABSTRACT OF BIDS SEWER MANHOLE REHABILITATION AND LINING SERVICES (SPEC. NO. 13-016) Sancon Bidder Engineering, Inc. Location Huntington Beach Terms Net 30 Bid Total $58,500.00 EXHIBIT 1 Zebron Contracting, Inc. Anaheim Net 30 $56,250.00 22A-2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 6, 2013 TITLE: CONTRACT AWARD FOR TRAFFIC SIGNAL MODIFICATION AT MCFADDEN AVENUE AND LYON STREET (PROJECT NO. 126760) CITY-9ANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 15f Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER 1. Award a contract to the lowest responsible bidder, PTM General Engineering Services, in accordance with the Base Bid plus Add Alternate A, totaling $289,923 for the traffic signal modifications at McFadden Avenue and Lyon Street. 2. Approve the Cost Analysis, as shown in Exhibit 1, for a total estimated project delivery cost of $362,402. DISCUSSION This project consists of installing a phased left-turn signal which includes upgrading the signals and enhancing the signage at the intersection of McFadden Avenue and Lyon Street, as shown in Exhibit 2. Once completed, these improvements will permit improved left-turn movements and communication with the traffic signal, and will allow traffic signal timing adjustments as necessary, based on real-time traffic conditions. The improvements will enhance traffic flow and increase safety at this location. The Notice Inviting Bids was advertised on March 11 & 12, 2013, and bids were opened on April 3, 2013. A summary of the bid invitations mailed, bids received, and bid results are as follows: Contractor Participation Data Santa Ana contractors receiving notices: 18 Contractors requesting bidding documents: 11 Bids received: 5 Bids received from Santa Ana contractors: 0 23A-1 Contract Award for Traffic Signal Modification May 6, 2013 Page 2 Bid Results Summary RANK BIDDERS NAME LOCATION BASE BID 1 PTM General Engineering Services Riverside $259,331.00 2 Siemens Industry, Inc. Anaheim $259,967.00 3 Steiny & Company, Inc. Baldwin Park $273,744.00 4 California Professional Engineering La Puente $275,020.50 5 Sully-Miller Contracting Company Brea $332,155.00 The Engineer's estimate is $260,125. A total of five bids were received and all were deemed responsive. The bid documents require that the contractor is selected based on the lowest base bid. The lowest base bid was submitted by PTM General Engineering Services for $259,331. Staff recommends including 'Add Alternate A' to upgrade signage in the surrounding area of the intersection as part of the contract, in the amount of $30,592, for a total construction contract cost of $289,923. Total project delivery, including contract administration, inspection and testing, and contingencies, is $362,402. ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended action is exempt from further review. Categorical Exemptions Environmental Review No. 2011-80 was filed for this project. In addition, a Certification of Categorical Exemption and a Statutory Worksheet have been prepared in accordance with the National Environmental Policy Act. FISCAL IMPACT Funding to cover total project delivery costs is available in the Select Street Construction Account (05917660-66220) and the Traffic Congestion Relief Account (05917663-66220). RauTGodinez II ? J Executive Direct r Public Works Agency RG/ET Exhibits 1: Cost Analysis 2: Project Location Map APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez o Executive Director Finance & Management Services Agency 23A-2 COST ANALYSIS PROJECT NO. 126760 CONTRACT AWARD FOR TRAFFIC SIGNAL MODIFICATION AT MCFADDEN AVENUE & LYON STREET Construction Contract $289,923 Contract Administration $17,395 Inspection and Testing $26,092 Contingencies $28,992 TOTAL PROJECT DELIVERY COST 362 402 Exhibit 1 23A-3 Description: This project consists of installing a left-turn signal phase by modifying the existing signals and upgrading signage at the intersection of McFadden Avenue and Lyon Street. The improvements will permit city staff to communicate with traffic signals, make traffic signal timing adjustments as necessary based on real time traffic conditions, and will enhance traffic flow and increase safety at this location. "WA Al" City Council Project No. 12-6760: Traffic Signal Modification at IIr pWA 1 Agenda Date McFadden Avenue/Lyon Street May 6.2013 Exhibit 2 ?Cwumldecl 23A-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 6, 2013 TITLE: CLERK OF COUNCIL USE ONLY: APPROVED CONTRACT AWARD FOR MADISON PARK COMMUNITY GARDEN CENTER AND BASKETBALL COURT, GARFIELD COMMUNITY CENTER OVERFLOW PARKING LOT, AND MABURY PARK SECURITY LIGHTING (PROJECT NOS. 137516, 107564 & 13712 ) ER RECOMMENDED ACTION CONTINUED TO FILE NUMBER Award a contract to the lowest responsible bidder, Hondo Company, Inc., in accordance with the Base Bid, totaling $554,306 for the construction of the Madison Park Community Garden Center and Basketball Court, Garfield Community Center Overflow Parking Lot, and Mabury Park Security Lighting. 2. Approve the Cost Analysis, as shown in Exhibit 1, for a total estimated project delivery cost of $747,900. DISCUSSION This project consists of constructing various upgrades to three City park facilities (Exhibit 2): • Madison Park - Construction of a new community garden center and basketball court on a portion of Santa Ana Unified School District property, including new fencing and lighting, to be used by both the community and school district. • Parking lot at Garfield and Brown Street - Construction of parking lot adjacent to Garfield and Brown Streets to accommodate Garfield Community Center and other public neighborhood- serving open space uses. • Mabury Park - Replacing the existing inadequate lighting system with new security lights. Once completed, these improvements will better serve the community and local schools. ? As Recommended ? As Amended ? Ordinance on 1" Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For 23B-1 Contract Awards for Madison Park, Garfield Community Center, and Mabury Park May 6, 2013 Page 2 This project is funded with Community Development Block Grant (CDBG) funds. Funding eligibility for CDBG grants requires the majority of the project area to be located within a low/moderate- income neighborhood. City staff reviewed the census tract information and confirmed that the recommended service areas meet the requirements. The Notice Inviting Bids was advertised on February 15 & 16, 2013, and bids were opened on March 7, 2013. A summary of the bid invitations mailed, bids received, and bid results follows: Contractor Participation Data Santa Ana contractors receiving notices: 18 Contractors requesting bidding documents: 33 Bids received: 10 Bids received from Santa Ana contractors: 1 Bid Results Summary RANK BIDDERS NAME LOCATION BASE BID 1 Hondo Company, Inc. Santa Ana $554,306 2 Optima RPM, Inc. Irvine $622,205 3 Roadway Engineering & Contracting, Inc. Mira Loma $635,002 4 Kasa Construction, Inc. Ontario $656,955 5 C.S. Legacy Construction Chino $670,887 6 Diversified Landscape Management, Inc. Corona $676,915 7 Excel Paving Company Long Beach $737,895 8 Pacific Wind Building, Inc. Irvine $746,924 9 Amtek Construction Whittier $762,835 10 Sunrise Landscape Company, Inc. Santa Fe Springs $844,177 The Engineer's estimate is $624,000. A total of ten bids were received and all were deemed responsive. The lowest responsive bid was submitted by Hondo Company, Inc., for $554,306. ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the recommended actions are exempt from further review. Categorical Exemptions Environmental Reviews Nos. 2013-16 (Madison Park), 2013-18 (Mabury Park), and 2013-19 (Garfield Community Center Overflow Parking Lot) were filed for these projects. In addition, a Certification of Categorical Exemption and a Statutory Worksheet have been prepared in accordance with the National Environmental Policy Act. 23B-2 Contract Awards for Madison Park, Garfield Community Center, and Mabury Park May 6, 2013 Page 3 FISCAL IMPACT A Project Cost Analysis, as shown in Exhibit the project are $747,900. That total includes and contingencies. Funding to cover these Block Grant Fund (Account 13518783-66220). 1, determines that the total funds needed to deliver contract administration, inspection, testing, survey, costs is available in the Community Development APPROVED AS TO FUNDS AND ACCOUNTS: Raul Godinez II Executive Director Public Works Agency Francisco Gutierrez Executive Director Finance & Management Services Agency Sandi Gottlieb Acting Executive Director Community Development Agency RG/TC Exhibits: 1. Cost Analysis 2. Project Location Map Gerardo Mouet / v Executive Director / Parks, Recreation & Community Services Agency 23B-3 COST ANALYSIS PROJECT NOS. 137516, 107564 & 137512 MADISON PARK COMMUNITY GARDEN AND BASKETBALL COURT, GARFIELD COMMUNITY CENTER OVERFLOW PARKING LOT AND MABURY PARK SECURITY LIGHTING Construction Contract $554,306 Contract Administration $29,200 Inspection and Testing $38,000 Survey Staking $15,533 Contingencies $110,861 TOTAL PROJECT DELIVERY COST 747 900 Exhibit 1 23B-4 Description: These projects provide a new community garden, renovated basketball court with sports lighting, new parking lot, and new security lights. is W PRox-cr umrs SANTA ANA n?F CITY COUNM PWA AaEwA DATE APiL 1'f, HOC! momem PAW Commm" OA1?@1 AND BA?78AL1 COUR GARBD 8TIM AT CIO YYN BTF?f PAgQiO l OT ??? MAWN PAFK GEOVM LOffM Ffwm f (fT7?16 107761,1= p.,T2 Exhibit 2 _1.J : McFA00s/ MOCOM I-Am i . Madison Park Construct new community garden center and basketball court which includes fencing and lighting to be used by both District and community. Parking Lot at Garfield & Brown St Construct a new parking lot. Mabury Park Replace the existing outdated and inadequate lighting with new security lighting. 23B-5 23B-6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: MAY 6, 2013 TITLE: APPROVED CONTINGENCY INCREASE FOR ? As Recommended BROADWAY REHABILITATION' ? As Amended ANAHURST TO FIRST STREET El Ordinance on Reading El Ordinance on 2 I d Reading (PROJECT NOS. 116736 & 116746) ? Implementing Resolution ? Set Public Hearing For CITY MANAGER RECOMMENDED ACTION CONTINUED TO FILE NUMBER Increase the contingency for the Broadway Rehabilitation Project by $80,000, which will increase the total funds available for the construction contract with All American Asphalt, Inc., to $2,767,682. DISCUSSION On July 16, 2012, the City Council awarded a contract for the Broadway Rehabilitation Project to All American Asphalt, Inc., in the amount of $2,443,348. The City Council also authorized a 10 percent construction contingency in the amount of $244,334, for a total authorized construction contract expenditure limit of $2,687,682. The project is currently 98 percent complete. This project consists of reconstructing the pavement; replacing curb and gutter, sidewalks, and curb ramps; and upgrading the antiquated streetlight system along Broadway from McFadden Avenue to Borchard Avenue. The high voltage streetlight system is very inefficient, requires extensive maintenance, and can be very dangerous if a streetlight is knocked down. The streetlight portion of this project requires the contractor to separate the high voltage streetlights along Broadway from the existing high voltage system at Birch Street and Russell Avenue (see Exhibit 1). The work includes removing the single high voltage (5,000 volts) wire from the existing conduit, installing three new wires into the existing conduit, installing new metal halide fixtures, and installing conduit and wire to an existing 240V service pedestal located one block east of Broadway on Borchard Avenue. The methodology described above to upgrade antiquated streetlight systems has been successfully completed in other areas of the City. Moreover, this methodology has proven to be the most cost effective solution to improve and upgrade existing streetlight systems. 23C-1 CONTINGENCY INCREASE BROADWAY REHABILITATION PROJECT May 6, 2013 Page 2 of 4 When the contractor was performing the Broadway streetlights work at Birch Street and Russell Avenue, it was unexpectedly discovered that the streetlights were interconnected, unlike what is shown on the as-builts (see Exhibit 1). We found similar conditions at Wilshire Avenue and Borchard Avenue (see Exhibit 2). Essentially, the existing streetlight system was found to be a continuous loop, and separating the system was not anticipated. Therefore, the planned streetlight upgrades need to be expanded as shown on Exhibit 2. The extra work includes all of the streetlights on Ross Street and Birch Street between McFadden Avenue and Edinger Avenue at a cost of $162,989. That cost is within the existing contract contingency. However, while performing the extra work and exposing the added conduits, they were found to be severely deteriorated and damaged beyond repair by corrosion and tree roots, necessitating conduit replacement at an added cost of $93,461. That brings the total cost of the streetlight upgrades to $256,450, and that amount exceeds the contract contingency by approximately $80,000 (see Exhibit 3). The extra work is necessary in order to complete the work and turn the lights back on. Deferring the conduit replacement would mean the streetlights will be off in the Wilshire Square neighborhood, and the cost would be higher due to the added re-mobilization cost. Having the streetlights off for an extended time also increases the City's liability exposure. Therefore, it is recommended to increase the project contract contingency by $80,000. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT The financial impact is a 3.3% extra cost over the standard contingency for a $2.77 million contract. Funds are available in the Proposition 1 B Fund (Accounting Unit 03017660). Rau odinez II Executive Director Public Works Agency RG:SA APPROVED AS TO FUNDS AND ACCOUNTS: TQS??t I-11L?si", Francisco Gutierrez Executive Director Finance & Management Services Agency TktA- 23C-2 CONTINGENCY INCREASE BROADWAY REHABILITATION PROJECT May 6, 2013 Page 3 of 4 ¦ ¦ ¦ Lt -0r 79 ¦ ¦ ¦ %F ¦ 13 ¦ ¦ ¦ ¦ ¦ ¦ y ? . ¦ • EdRGERAV m ___.--- Exhibit 1 a - As-Built Original Scope of Street Light Upgrades 23C-3 I ' ,e: X I I Ni9 .J1 2:n 2,5 1. »9 !33 q? 45 d9 1 5 1 ' D/ 3 Exhibit 1 b -Actual Condition 040 _ _ CONTINGENCY INCREASE BROADWAY REHABILITATION PROJECT May 6, 2013 Page 4 of 4 Authorized vs. Expended Funds Contract Amount Awarded Amount $2,443,348 Contract Qty Adjustment ($128,851) C0#1 $141,191 CO#2 $45,000 CO#3 $10,455 Total Construction $2,511,143 Cost Extra % -5.3% CO#4 (Proposed Street Lights) $256,450 Total Estimated Final Cost $2,767,593 3.3% Aggregate Authorized Amount Contract $2,443,348 Contingency $244,334 Total Authorized $2,687,682 Total Estimated Final Cost $2,767,593 Total Authorized to Date $2,687,682 Requested Additional Funds $79,911 Exhibit 2-Authorized vs. Expended Funds 23C-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: APRIL 1, 2013 TITLE: AGREEMENT FOR FEDERAL GOVERNMENT LIAISON SERVICES WITH HOLLAND & KNIGHT OF WASHINGTON, D.C. Y"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 -? 13 FILE NUMBER Authorize the City Manager and the Clerk of the Council to execute an agreement for government liaison services with Holland & Knight, based on the terms set forth in the attached draft agreement, in an annual amount not to exceed $84,000 for a 1 year term, with the option, at the City's discretion, of up to four one-year renewals, subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION Local government agencies rely upon the expertise of federal government consultants to represent their respective government agencies in Washington D.C. This service typically includes the review and monitoring of federal executive proposals and legislation, as well as administrative rules and regulations that may affect the City. Federal government liaison services are also essential in identifying funding opportunities and grant applications and other special programs for which the City may qualify. In the past year, the City has benefited from these services as we secured congressional support on grant applications submitted to the U.S. Department of Labor for a Workforce Innovation Grant and a H1- B Bridge to Engineering Grant; the latter was awarded $5 million over five years. In September 2012, staff was directed to prepare a Request for Proposals (RFP) for federal government liaison services. RFP 12-075 for Federal Government Liaison Services was released on November 21, 2012. Pursuant to the City's Standard Operating Procedures for RFP's, RFP 12- 075 was posted on the City's website and it was released to 50 consulting firms specializing in federal government liaison services. The 50 consulting firms were randomly selected from a list of 250 of the top consulting firms in the nation. Of the 50 firms solicited seven submitted proposals. 25A-1 Holland & Knight Agreement April 1, 2013 Page 2 All seven proposals complied with the basic requirements of the RFP and therefore each firm was notified that their respective proposals qualified to be included in the interview rating panel process. On January 17, 2013, a three-member rating panel consisting of representatives from the Public Works Agency, Parks, Recreation, and Community Services Agency, and the Community Development Agency convened to review each of the proposals and rate them in accordance with the following criteria as set forth in RFP 12-075: 1. Responsiveness to the RFP 2. Implementation Plan 3. Experience of the Firm/Personnel 4. Cost of Proposal Proposals were rated individually by each panel member on the basis of a possible 100 points. Each proposal received a total score by adding points assigned by each of the three panelists, for a possible total of 300 points. At the conclusion of the meeting, the rating panel selected the top three proposals based upon the final scores: Consultant Firm Final Score Rankin Proposal Holland & Knight 261 1 The Ferguson Group 257 2 Patton Boggs 256 3 The top tier consultant firms were invited to participate in the oral interview process to allow staff to further assess their respective proposals. On February 26, 2013, the top tier consultant firms were interviewed by an oral interview selection panel consisting of the City's Acting Chief of Police, the Executive Director of Public Works, and the Executive Director of Government Relations for the Orange County Transportation Authority. Each consultant firm was allotted one-hour to give a presentation outlining their services and to answer questions from the selection panel members. The selection panel ranked the interviews and proposals based upon the following criteria detailed in the RFP: 1. Overall qualifications of proposed team and experience in the required areas. 2. Demonstrated prior experience with similar operations in the public/private sectors. 3. Project management acumen including ability to effectively work together with city staff, customers and stakeholders. 4. Oral communication/interpersonal skills. Similar to the rating panel process, proposals were rated individually by each oral interview selection panel member on the basis of a possible 100 points. Subsequently, each panel members' individual scores were tallied and totaled according to each proposal, for a total possible 25A-2 Holland & Knight Agreement April 1, 2013 Page 3 300 points. At the conclusion of the meeting, the rating panel scored the proposals in the top tier based upon the final scores: Consultant Firm Final Score Rankin Proposal Holland & Knight 286 1 The Ferguson Group 275 2 Patton Boggs 273 3 Holland & Knight scored highest in the initial interview rating panel process and highest in the oral interview process. Based on the oral interview panel's assessment staff believes that Holland & Knight's proposal and oral interview demonstrated a level of knowledge, professionalism, and competency that exceeded all other proposals. Therefore, the selection panel recommends that the City execute an agreement with Holland & Knight to represent the City's interest in Washington D.C. FISCAL IMPACT Funds are available in the Public Works Administrative Services account (no. 10117601-62300) and General Fund Legislative Affairs (no. 01104012-62300). APPROVED AS TO FUNDS AND ACCOUNTS: I ? Raul Godinez Executive Director Public Works Agency Francisco Gutierrez Executive Director Finance & Mgmt. Services Agency 25A-3 25A-4 CONSULTANT AGREEMENT THIS AGREEMENT made and entered into this 1" day of April, 2013 by and between Holland & Knight, LLP (hereinafter "Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City"). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of providing government liaison services. B. Consultant represents that Consultant is able and willing to provide such services to the City. C. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: 1. SCOPE OF SERVICES Consultant shall provide government liaison and lobbying services to the City, as set forth in Consultant's Proposal dated December 12, 2012, attached as Exhibit A to this Agreement and incorporated by reference. 2. COMPENSATION a. City agrees to pay, and Consultant agrees to accept, compensation at the rate of seven- thousand dollars ($7,000.00) per month for time spent by Consultant in the performance of this Agreement and out of pocket expenses. The total amount payable under this Agreement shall not exceed eighty-four thousand dollars ($84,000.00), annually, during the term of this Agreement. b. Payment by City shall be made within thirty (30) days following receipt of monthly invoice, subject to City accounting procedures. 3. TERM This Agreement shall commence on April 1, 2013 and terminate on June 30, 2014, unless terminated earlier in accordance with Section 11, below. 4. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be 25A-5 provided in a manner consistent with all applicable standards and regulations governing such services. Any and all of Consultant's personnel shall be employees or subcontractors of Consultant and not employees of City. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 5. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, and employees from and against any claims, demands, suits, actions or proceedings, including, but not by way of limitation, workers' compensation claims resulting from or arising out of the negligent or wrongful acts, errors or omissions of Consultant, its employees or subcontractors. 6. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 7. CONFLICT OF INTEREST CLAUSE Consultant 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. City acknowledges that Consultant may represent other clients in Washington D. C. during the term of this Agreement. If a potential conflict of interest arises due to this representation, Consultant shall notify the City, in writing, immediately and provide the name and address of each client under contract. REPRESENTATIVES AND NOTICE The City Manager shall be the representative of City for purposes of this Agreement and may execute all consents, approvals, directives, or agreements on behalf of City called for by this Agreement except as otherwise expressly provided in this Agreement. Notice and written communications sent by one party to the other shall be personally delivered or sent by U.S. mail, postage prepaid, to the following addresses: To City: City Manager/Council Support Office 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, CA 92702-1988 Fax 714-647-6954 2 25A-6 To Consultant: Holland & Knight LLP 800 17'h Street NW, Suite 1100 Washington, D.C. 20006 Fax Attn: Eve O'Toole, Senior Policy Advisor 9. 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. 10. ASSIGNMENT Consultant shall not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City; provided, however, that claims for money due or to become due from City under this Agreement may be assigned to a bank, trust company or other financial institution, or to a trustee in bankruptcy, without such approval. Notice of such assignment or transfer shall be promptly furnished to City. 11. TERMINATION This Agreement may be terminated at any time by mutual agreement of the parties hereto or by thirty (30) days written notice by either party to the other. 12. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status, sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. /// 3 25A-7 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 KEVIN O'ROURKE Interim City Manager HOLLAND & KNIGHT, LLP (NAME) (Title) 4 25A-8 EXHIBIT A RESPONSE TO REQUEST FOR PROPOSAL FEDERAL GOVERNMENT LIAISON SERVICES DECEMBER 12, 2012 5 25A-9 e k, t. z a Holland & Knight 800 17' Street NW, Suite 1100 1 Washington, DC 20006 1 T 202.955.3000 1 F 202.955.5564 Holland & Knight LLP www.hklaw.com Eve M. O'Toole 202.419.2505 eve.otoole@hklaw.com December 12, 2012 Via Overnight Mail Paul M. Walters, City Manager City Manager's Office 20 Civic Center Plaza Santa Ana, CA 92701 Re: Response to RFP 12-075, Federal Government Liaison Services Dear Mr. Walters: Thank you for the opportunity to present our credentials to the City of Santa Ana to provide federal government liaison services to promote the City's interests in Washington, D.C. Our Holland & Knight team will work with the City to promote its vision for the future, together with its funding and policy goals, before Congress, the executive branch and regulatory agencies. Over the years, we have offered a bipartisan, comprehensive and, above all, successful approach to federal relations for local government clients and would like to do so for Santa Ana. As both a law and lobbying firm, Holland & Knight is comfortable representing clients in every venue in Washington, from the halls of Congress to the White House to the Supreme Court. We also have the expertise and personnel to coordinate lobbying with public relations, regulatory, and litigation activities as needed in order to achieve your objectives. We have a long history of representing California local governments and public entities in Washington, and maintain strong working relationships with the City's congressional delegation, the full California congressional delegation and California Senators. This includes representing clients such as the City and County of San Francisco, the City of Fremont, the City of Richmond, the City of West Sacramento and the League of California Cities. In Los Angeles, we represent many public entities such as the Los Angeles Community Development Commission, the Los Angeles County Metropolitan Transportation Authority and the Los Angeles County Office of Education. Our efforts are often recognized for their excellence. In a recent survey, The National Law Journal ranked us among the top five most successful lobbying firms in the nation. On the legal side, the Best Lawyers in America selected 21 Holland & Knight government lawyers for inclusion in its 2013 guide. Because of Holland & Knight's in-depth experience in addressing local government funding priorities, our team is able to obtain federal resources for a wide spectrum of local needs. This includes transportation and related infrastructure, water and wastewater systems, housing, homeless assistance, community and economic development, public safety initiatives, public health and social services and energy, environmental enhancement and sustainability projects. Our record of success defines us, resulting in significant federal funding for local government entities. This letter constitutes a representation by Holland & Knight that the firm is willing and able to perform the commitments contained in RFP 12-075. 1, Eve O'Toole, a senior policy advisor at 25A-11 Holland & Knight, will serve as your federal advocacy manager. Dan Maldonado, who also serves as a Holland & Knight senior policy advisor, will serve as the City's day-to-day point of contact. My contact information is above. If you have any questions or comments, please do not hesitate to contact me directly. Thank you for the opportunity to submit this qualification statement. We would consider it a privilege to represent and assist Santa Ana in achieving its funding, legislative and regulatory objectives. Very truly yours, Holland & Knight LLP Tom ve O'Toole, Senior Policy Advisor 25A-12 Firm and Personnel Experience ........................................................................ ...............1 ................................ Implementation Plan .......................................................... Statement and Rate Proposal ..........................................................................................................................18 References ....................................... Exceptions and Deviations ....................................................................................... 20 ........................................ Disclaimer: The information provided in this handout is general information and not designed to be and should not be relied on as your sole source of information when analyzing and resolving a specific legal issue. Each fact situation is different; the laws are constantly changing. If you have specific questions regarding a particular fact situation, we urge you to consult with legal counsel. Copyright © 2012 Holland & Knight LLP. All rights reserved. # 11854740 25A-13 Overview Founded in 1968, Holland & Knight is a limited liability partnership with approximately 1,000 lawyers and government advocacy professionals in 17 U.S. offices, including Los Angeles and San Francisco, as well as international offices in Mexico City, Abu Dhabi, Beijing and Bogota. Holland & Knight directs the majority of its government advocacy through our Public Policy & Regulation Group. The group, comprised of 70 senior policy advisors and attorneys primarily based in Washington, D.C., provide public and private sector clients with lobbying and representational expertise and experience. The firm's Public Policy & Regulation Group is widely known as one of the most successful and respected government advocacy practices in Washington, D.C., and includes a bipartisan group of former members of Congress, former high-ranking executive branch officials, chiefs of staff, professional committee staff and congressional policy advisors as well as experienced lawyers, senior policy advocates and professionals from a broad range of industries, local government, state and federal agencies and advocacy organizations. Several features that make our Washington team effective are: Bipartisanship. We have built a successful government affairs practice through our depth of experience and diversity - and by maintaining a bipartisan approach. We are a truly bipartisan group comprised of individuals with distinguished past service in both parties. These senior members of the group provide us with access to policymakers in either party, including the chairmen and ranking members of key committees and the White House. While some firms fluctuate depending on which party is in power, Holland & Knight remains steady election after election by nurturing longstanding relationships on both sides of the aisle while advocating on behalf of our clients. Team-Based Approach. We dedicate the personnel needed to provide the depth of relationships and substantive knowledge to cover the full range of issues outlined in the RFP. We provide a core team with one or two relationship managers, and then draw upon the resources of other senior advocacy professionals across the firm as appropriate to meet your needs. This organizational structure provides clients with a significant advantage that does not exist when hiring individuals in other advocacy organizations. They largely operate as independent actors or only have meaningful relationships with one body of Congress or one political party. Holland & Knight prefers the team approach. We meet regularly to share intelligence, coordinate advocacy activities and develop client action plans. A number of seasoned legislative aides provide support to the entire organization with their ability to track, monitor and report on legislative and regulatory developments in a timely manner. Policy and Funding. Washington insiders such as The Hill and Roll Call newspapers recognize Holland & Knight for its substantial experience in both these arenas. Our lawyers and professionals are former staff members of the authorizing and appropriating committees - or even former members of the committees themselves. We maintain deep and regular contact with the members and staff of the committees. We know the unwritten committee rules and how and when to intervene to secure legislative language and funding streams for clients. Holland & Knight Confidential Presentation for the City of Santa Ana 1 1 25A-14 Your Holland & Knight Team Eve O'Toole, Federal Advocacy Manager and White House Counsel Ms. O'Toole currently represents cities from San Francisco to Philadelphia, San Francisco International Airport, Port of San Francisco, the Los Angeles County Community Development Commission, San Mateo County's transportation agencies, and the 480-member League of California Cities, where she previously served as head of its Washington, D.C., office. With close working ties to Congress, the California delegation, and the executive branch, Ms. O'Toole has a strong record of advancing a wide range of interests. Dan Maldonado, Day-to-Day Contact Mr. Maldonado brings a record of over 30 years of advocacy on behalf of California local governments to the team, including his current work for the City and County of San Francisco, the Los Angeles County Community Development Commission, the Los Angeles County Office of Education and the San Bernardino County Office of Education, the Tejon Ranch Company and the California cities of Richmond and Fremont. Through this work, Mr. Maldonado has established strong working relationships with the full California congressional delegation, both Republicans and Democrats and California Senators. He also works closely with key members on the House and Senate Appropriations Committees. Lynn Cutler, White House and Senior Democratic Counsel Ms. Cutler joined the firm after serving as senior staff to President Clinton on Jeffrey Boothe, Transportation Specialist Intergovernmental Affairs. Her responsibility in the White House included advocacy for cities, counties and tribal governments. Since coming to Holland & Knight, Ms. Cutler has been active with the U.S. Conference of Mayors, serving for two years as co-chair of the Mayor's Business Council. She is also active in the Democratic Governor's Association, and the Large Urban County Caucus of the National Association of Counties. Ms. Cutler also maintains close ties to the National League of Cities. Mr. Boothe is nationally recognized on matters relating to transportation policy, and brings over 25 years of experience in providing federal advocacy leadership to local government and transportation clients covering funding, legislative and regulatory work on BRT, light rail and sustainable development and pedestrian access corridors. He is experienced in representing local transportation entities seeking federal appropriations, project authorization, negotiating Full Funding Grant Agreements (FFGAs) and sustainable development. Prior to entering private practice, Mr. Boothe spent 10 years on Capitol Hill as a legislative assistant to Sen. Mark Hatfield, R-Ore., and as a professional staff member on the U.S. Senate Appropriations Committee. Lauri Hettinger, Infrastructure & Senate Republican Liaison Ms. Hettinger provides federal advocacy to local governments to support their transportation and water infrastructure needs utilizing her close relationships z,, with House and Senate infrastructure authorizing committees, the U.S. Department of Transportation and the Army Corps of Engineers. Prior to joining Holland & Knight Confidential Presentation for the City of Santa Ana 1 2 25A-15 Holland & Knight, Ms. Hettinger served as staff director for the Senate Environment and Public Works Committee's Subcommittee on Transportation and Infrastructure Ranking Member George Voinovich, R-Ohio. Kathryn Lehman, House Republican Liaison A 15-year veteran of Capitol Hill, Ms. Lehman has significant and wide-ranging experience, having worked closely with the White House, administrative agencies, House and Senate leadership and committees, political committees and other key r members of government. Prior to entering private practice, Ms. Lehman served as i r 1 chief of staff for the House Republican Conference. Her career began as counsel on the House Judiciary Committee Staff. She later served as special assistant to then-Speaker Newt Gingrich, R-Ga., as policy director to House Majority Whip Tom DeLay, R-Texas, and director of coalitions and outreach for Speaker J. Dennis Hastert, R-111. Lisa Barkovic, Public Safety Liaison Providing grant support to the City will be Public Affairs Advisor Lisa Barkovic. Her close ties in DOJ and DHS' Grants Programs Directorate continue to provide clients with unique access opportunities, advanced notice of new DOJ, DHS and T3 FEMA funding opportunities as well as opportunities to give early input on the department's development of proposed regulations for new grant solicitations. In addition, she works closely with USCM, NLC and National Association of Counties (NACo) in advocating for full funding in annual appropriations for DOJ, DHS and FEMA local government grant programs. Scope Of Services A. Consultant will act as a Washington Representative to the City in Washington, D.C. To achieve success in Washington, the City of Santa Ana needs an aggressive, experienced and results-oriented team of strategists and advocates to serve on the City's behalf. Holland & Knight understands your federal issues and funding priorities and stands ready to assist. We are fully committed to helping the City achieve its federal objectives. We have a long and successful track record in advocating on behalf of municipal governments on a broad range of issues. These include multi-modal transportation; water and sewer infrastructure; sustainable community revitalization; affordable and low-income housing; economic development; energy conservation and greening program implementation; public safety, homeland security and workforce development. Our experienced team will use our strong working relationships with the Santa Ana and greater California delegation, House and Senate committees, the White House and key federal departments and agencies. We will work on all fronts to advance the City's federal priority projects and issues in a fast, highly partisan legislative environment. B. The Consultant will confer with the City Manager and such other City personnel as he may designate at the times and places mutually agreed to by the City and the Consultant on all organizational planning and program activity which has a bearing on the ability of the City to utilize federal programs. Holland & Knight Confidential Presentation for the City of Santa Ana i 3 25A-16 If selected, Holland & Knight will serve as an extension of Santa Ana in Washington, D.C. We will work with the City to craft its positions and develop its message on legislative, regulatory and operational issues affecting your City. We will work with you to keep your voice on critical legislative issues front and center before federal policymakers. As opportunities present themselves, and as the City's priorities evolve, we will adjust the federal agenda that we created together at the start of our partnership. While we will not hesitate to make recommendations, it is our intent to involve the City in every aspect of this process. As your advocates, we help you shape public policy decisions through careful, strategic positioning. Together, we will achieve your goals to benefit the citizens of Santa Ana. C. Consultant shall serve as lead advocate on City issues if the City contracts for the services of other Washington representatives. Consultant shall coordinate such other services. We would gladly coordinate services with other representatives if the City hires them. Our Washington, D.C., office is our largest, and is home to more than 70 individuals - including lawyers, senior policy professionals and experienced legislative associates. All of them would be at the City's service if selected and would work on a team basis. We have also worked in collaboration with other consultants to support a client's objectives. D. Consultant will review federal executive proposals, legislation under consideration, proposed and adopted administrative rules and regulations, and other Washington developments for the purpose of advising the City on those items which may have a bearing on City policy or programs We monitor pending regulations and legislation as a matter of course for our clients. We will provide the City with reports on specific action that affects it directly. We are also skilled at stopping harmful regulations and legislation for our clients that are often born in committee meetings. For example, our public safety team helped lead an effort to raise concerns regarding FEMA's proposal to consolidate the current homeland security grant programs into a new National Preparedness Grant Program (NPGP) for FY 2013. Both the House and Senate Appropriations Committees rejected FEMA's plan after hearing consistently from our coalition of local governments. E. Consultant will secure and furnish such detailed information as may be available on federal issues in which the City indicates an interest. As we do for many of our municipal clients, Holland & Knight will provide a monthly activity report and additional communications, which will include: • A monthly report with the status of legislative, regulatory, and public affairs initiatives we are addressing for the City. • "Eyes on Washington" weekly updates, which offer our clients the latest information on key developments in Congress and the executive branch. • Weekly Grant Notifications. Each week, we provide our clients with information regarding recently announced federal grant opportunities. We comb through the Federal Register, Grants.gov, and other resources to identify specific funding that may be of interest. We provide this service to our clients as part of our regular legislative efforts. • Strategic Grant Analysis. Should the City decide to pursue a particular grant opportunity, we are available to assist in mapping a strategic plan to pursue the grant, address selection Holland & Knight Confidential Presentation for the City of Santa Ana 1 4 25A-17 criteria, emphasize certain project aspects that the agency may be more focused on in a particular round of funding, as well as work with the City to organize the necessary political support to strengthen the City's grant application package. Beyond scheduled calls and written updates, our team will be in regular phone and email communication with the City on developments related to federal action on the City's priorities and provide the City with legislative and regulatory analysis of all related federal activity. We understand that important issues arise beyond the normal workday and we make ourselves readily available. We feel strongly about ensuring you feel a part of our day-to-day advocacy efforts in Washington and are always up to speed on our activities and progress. In terms of ongoing communication, the advocacy team members are available to the Mayor, City Council, City Manager, and key City personnel regardless of office hours. We feel strongly about ensuring that even if you are 2,666 miles away, we are working with you as a team in our day-to- day advocacy efforts in Washington and you are always up to speed on our activities and progress. F. At the request of the City Manager, Consultant will review and comment on proposals of the City which are being prepared for submission to federal agencies. With the new federal legislative and budgetary realities that no longer include appropriations earmarks, organizing and implementing an effective approach to federal competitive grants advocacy is essential to achieving the City's funding goals in Washington. Holland & Knight is highly skilled in assisting local governments pursue and secure federal grant funding across a broad range of funding categories, which includes multi-modal transportation, housing, community and economic development, public safety, energy efficiency, environment and sustainable development and health and human services. Specific examples of our work in these areas appears in the Implementation Plan section of this proposal, which begins on page 9. In addition to thoroughly reviewing and discussing with the City its federal proposals and grant applications, your Holland & Knight advocacy team will work with you on the refinement and execution of the City's interaction with federal departments/agencies. This will include: • Arranging meetings with relevant departments/agencies to discuss City initiatives, respond to questions, gather intelligence regarding funding plans, and gain inclusion in the annual administration budgets. • Developing strategies to position Santa Ana with department and agency officials early in the process so that grant guidelines include the City's ideas for innovative programs, as well as creating a broad coalition effort to effectively advance your priorities. • Keeping the City informed of opportunities to participate in agency programs and activities that provide the opportunity for the Mayor, City Council, City Manager and key City personnel to cultivate important relationships and raise Santa Ana's profile. We will also work with the Santa Ana congressional delegation to solicit support for grants through letters or contact with agency heads and staff, using our close relationships with the Administration to lobby on the City's behalf, and developing and working with the City to implement a successful grant advocacy strategy. Holland & Knight Confidential Presentation for the City of Santa Ana 1 5 25A-18 G. Consultant will maintain liaison with the City's Congressional delegation and will assist the delegation in any matter which the City determines to be in its best interest in the same manner as any other member of the City's administrative staff might render assistance. Holland & Knight maintains close working relationships with the City's congressional delegation and California Senators and will work closely with them to achieve success on the City's federal priority objectives, including having regular meetings with the members' and Senators' senior staff and strategizing on next steps with your proactive participation. In line with this effort, the team will: • Recommend and perform appropriate liaison and follow-up work with members of Congress and their staffs on behalf of the City. • Identify the critical times in the federal legislative or budgetary processes for the City to contact congressional members or Administration officials to advance a City project or issue or support a priority local government funding program. • Determine key local and regional events for the City's House and Senate delegation and top Administration/federal agency officials' participation. • Sustain delegation's interest in the City's project priorities through key visits in which business and community support can be effectively highlighted. • Identify pivotal times in the federal process for the City to contact or meet with congressional members and Administration officials. We would guide you in developing concise talking points, briefing materials and other preparatory materials for each meeting or contact. H. Consultant will counsel with the City regarding appearance by City personnel before Congressional committees and administrative agencies and will arrange for appointments and accommodations for City personnel as necessary. Holland & Knight will make all arrangements necessary for the City to send a delegation to Washington, D.C., and key national conferences, just as we have for other municipal clients over the years. We will undertake to: • Arrange meetings with the City's congressional delegation, California Senators, key House and Senate members from other states, White House, and key department and agency officials; and arranging meetings with mayors and key organizational leaders to work in coalition around critical issues. Create opportunities for elected officials to provide testimony to Congress, and serve on national committees. If selected to testify, it is standard practice for Holland & Knight professionals to assist you to make your testimony compelling and effective in achieving your goals. Provide advance work, including developing talking points, briefing materials, position papers, justification packets, and making appointments. We also will assist you in developing the City's resolutions before national local government conferences and securing co-sponsorship by other city officials. Holland & Knight Confidential Presentation for the City of Santa Ana 6 25A-19 • Provide assistance with travel logistics for Washington visits, including local transportation and meals for working meetings. 1. Consultant will contact federal agencies on the City's behalf when City applications are under consideration by such agencies and otherwise take whatever steps appear to be necessary to obtain the most favorable consideration of such applications Developing a regular pattern of contacts with agency officials is an essential element of a successful funding strategy for the City. The advocacy team will work with the City to contact federal departments/agencies with regard to the City's grant proposals at strategic times in the grant application cycle, as well as corral the necessary local, regional and federal political support to improve the probability that the City will succeed in securing funding. Examples of our funding successes utilizing this strategy for other clients are available in the "Implementation Plan" section of this proposal. J. In fulfilling responsibilities under this Agreement, the Consultant will act in the name of the City of Santa Ana and with the title Washington Representative to the City Manager. Holland & Knight would consider it a privilege to be your Washington Representative and act in your name as we perform our services in the nation's capital. Our local government group excels at funding and policy advocacy in all areas of local government services. Our bipartisan strength is based on having on board senior policy experts and advocates from both parties, including former members of Congress, former high-ranking executive branch officials, chiefs of staff, professional committee staff and congressional policy advisors as well as experienced lawyers, senior policy advocates and professionals from a broad range of industries, local government, state and federal agencies and advocacy organizations. Organization Chart Name &Title 'Role & Responsibility Eve O'Toole, Federal Advocacy Manager Oversees entire federal advocacy program for the City, responsible for task assignments and deliverables, and manages all federal funding strategies. Capability: Public infrastructure, housing, economic, community and workforce development; coverage of federal housing, community and workforce development and health departments and agencies, House and Senate community development authorizing and appropriations committees; House Democratic leadership; City's congressional delegation; California congressional delegation and Senators; the White House and national local government coalitions. Dan Maldonado, Day-to-Day Contact In addition to day-to-day contact, provides strategy development and implementation on the City's economic, community and workforce development project priorities; alerting City to related federal opportunities. Capability: Housing, economic, community and workforce development and local finance programs; coverage of funding opportunities in these policy areas, City's congressional delegation; California congressional delegation and Senators; House Appropriations Committee. Holland & Knight Confidential Presentation for the City of Santa Ana 1 7 25A-20 flame & Title Role & Responsibility Lynn Cutler, Assists with overall strategy and development of federal White House and Senior Democratic program. Counsel Capability: Provides coverage of Democratic leadership and top officials at the White House. Also assists with U.S. Conference of Mayors and other groups. Jeffrey Boothe, Provides strategy development and implementation on the Transportation. Specialist City's public transportation priorities. Capability: Public transportation infrastructure programs and funding opportunities; coverage of House and Senate transportation authorizing and appropriations subcommittees , federal public transportation departments and agencies; coverage of public transportation coalitions. Lauri Hettinger, Provides strategy development and implementation on the Infrastructure & Senate Republican Citys priority transportation and water infrastructure projects Liaison , coverage of Senate GOP members. Capability: Transportation, water infrastructure and environmental programs and funding opportunities; coverage of Senate infrastructure and natural resources authorizing and appropriations committees and Senate Republicans. Kathryn Lehman, Assists with overall strategy and development of federal House Republican Liaison program. Capability: Covers strategies, meetings, and briefing issues related to House Republican leadership and Committee Chairs and members, including authorization and appropriations relationships; coverage of California House Republicans. Lisa Barkovic, Provides strategy development and implementation on the Public Safety Liaison City's public safety priorities. Capability: Public safety and homeland security programs and funding opportuniities; coverage of National Association of Counties (NACo) in advocating for full funding in annual appropriations for DOJ, DHS and FEMA local government grant programs. Holland & Knight Confidential Presentation for the City of Santa Ana i 8 25A-21 Consultant shall submit a general description of the deliverables and timelines to provide federal government liaison services. Overview Holland and Knight will function as a strategic extension of Santa Ana in Washington, D.C. As stated previously in this proposal, we will work with the City to organize and message Santa Ana's positions on legislative, regulatory and operational issues impacting the City. We will also partner with you to keep your voice on critical legislative issues front and center before federal policymakers. As your advocates, we help you shape public policy decisions through careful, strategic positioning. We know how, where and when to intervene to achieve desired results. To accomplish this, Holland & Knight's team would take a comprehensive bipartisan approach to developing successful lobbying strategies for Santa Ana if selected for this assignment. We would begin our working relationship by organizing an intensive strategic planning session with you to discuss the City's policy and funding priorities; focus on key legislative and agency processes as well as political and budgetary dynamics; and develop strategies and tasks required for Santa Ana to achieve success for each priority. Based on this session and the exchange of information and feedback, we will then produce a Comprehensive Strategy and Advocacy Plan. This plan will be the blueprint for pursuing each priority issue with clear assignment of tasks, accountability, and ongoing assessment of progress being made to achieve each objective. We will delineate for each funding and policy priority: legislative options, agency program considerations, political and budgetary pressures, timing and best course of action. As needed, we also will work with you to evaluate the strengths of your existing relationships, including those entities and stakeholders with whom you have worked with or joined in coalitions in the past. We will combine this effort with our comprehensive knowledge of the departments/agencies and congressional players, and our working relationships with them, in order to cultivate them as primary and secondary champions for your agenda. This includes targeted outreach to thought leaders such as think tank experts and stakeholders such as advocacy groups that will support our effort and embrace the opportunity to advance the City's policy goals. Our team will be able to meet with you in Santa Ana or elsewhere as requested. Holland & Knight is a national law firm with several offices across the country, including Los Angeles and Washington, D.C., giving us the capability to host meetings and events as needed. We can help you meet your goals because of the broad and deep reach of our team in all aspects of the legislative and regulatory process in Washington. Across issues, venues, and objectives, we are a coordinated, practiced group that can work together on Santa Ana's behalf. Holland & Knight Confidential Presentation for the City of Santa Ana 1 9 25A-22 Timeline Below is a schedule of activities that we would propose to pursue if selected for this assignment. Given the variations in the legislative and regulatory process, this is only an estimate of what the exact effort would entail. January 2013 • Site visit to Santa Ana and meetings with key personnel and City staff; discuss federal political dynamics, environment and areas of potential federal opportunity, assess City priority initiatives and develop federal agenda for consideration; develop written plan of action to implement federal agenda. • Monitor and update City on opening session of 113th Congress. • Provide input to Congress and City's congressional delegation on City's priorities as Congress continues sequestration reforms and begins FY 2014 budget and appropriations discussion. • Meet with relevant congressional staff and agency officials to discuss City's innovative initiatives and gain intelligence on department/agency priorities and key areas of concentration for upcoming grant opportunities. January - February 2013 • Finalize federal agenda and written plan of action to implement federal agenda. • Evaluate and respond to the President's FY 2014 budget proposal, and discuss in the context of the City's priorities with City's congressional delegation, key local government stakeholder organizations (U.S. Conference of Mayors, National League of Cities, National Association of Counties, League of California Cities, California State Association of Counties), and urban area representatives from across the country. • Monitor congressional action on sequestration and FY 2013 appropriations bills and engage the City's congressional delegation on the City's priorities with respect to these efforts as necessary. • Identify and alert City to pending grant opportunities capable of supporting the City's priority local projects and initiatives. • Provide update on pending and developing legislative and regulatory activity pertinent to the City's interests. February - April 2013 • Schedule and participate in meetings with City, relevant congressional staff and department/agency officials. • Assist the City with development and implementation of effective strategies to approach upcoming federal grant opportunities. • Draft legislative language and program requests as necessary. • Continue to identify and alert the City to new and upcoming grant opportunities. Holland & Knight Confidential Presentation for the City of Santa Ana 1 10 25A-23 Assist the City to develop FY 2014 programmatic funding priorities and share with City's congressional delegation, California Senators and local government stakeholder organizations and urban area representatives to develop coalition support for the City's priorities. April - June 2013 • Follow up with the City's congressional delegation, California Senators and key committees, including meetings with appropriations and authorizing committees on the City's federal priorities. • Maintain close communication with the City's congressional delegation, California Senators and key congressional and department/agency staff on the City's priorities. • Monitor budget and appropriations hearings as they relate to the City's priority federal programs. • Identify and alert City to pending grant opportunities capable of supporting the City's priority local projects and initiatives. • Provide update on pending and developing legislative and regulatory activity pertinent to the City's federal interests. June - September 2013 • Schedule meetings with federal departments/agencies as needed to advocate for grant opportunities to support the City's local projects and initiatives. • Assist City with organization of necessary local, regional and federal political support to present the most compelling federal grant application packages possible. • Provide input to congressional delegation, California Senators and congressional appropriations committee leaders on City's programmatic funding priorities in FY 2014 appropriations legislation. • Ongoing work on appropriations issues, including around markups. • Provide input to Administration on the President's FY 2015 budget. • Identify and alert City to pending grant opportunities capable of supporting the City's priority local projects and initiatives. • Provide update on pending and developing legislative and regulatory activity pertinent to the City's federal interests. October-December 2013 Conduct advocacy on City's programmatic funding and legislative policy priorities as Congress makes final negotiations on FY 2014 appropriations legislation and works to wrap up business for the year. Continue to provide strategic support to the City on its federal grant funding requests. Evaluate 2013 outcomes and work with City to prepare federal agenda for coming year based on congressional and administration priorities and political landscape. Holland & Knight Confidential Presentation for the City of Santa Ana 11 25A-24 Funding Successes With Holland & Knight Per the RFP, the City seeks assistance in identifying funding opportunities and grant applications and other special programs for which the City may qualify. Below are detailed descriptions of the federal departments listed in the RFP where Holland & Knight has had funding and policy successes with other clients: U.S. Department of Housing and Urban Development Holland & Knight has one of the premier housing and community development advocacy teams in Washington, D.C. We have been retained by local governments nationwide spanning from San Francisco to the District of Columbia, to ensure positive policy and funding results through the appropriations, authorization and agency decision-making processes. The team has consistently proven our strength utilizing our strong relationships with the House and Senate housing authorizing committees and appropriations subcommittees, as well as with HUD's offices of Public and Indian Housing (PIH), Community Development and Urban Planning (CPD), Sustainable Communities and Congressional and Intergovernmental Relations, putting our clients' success above all else. Our team has a strong track record in the area of housing, having provided federal advocacy services for the second-largest housing authority in Southern California for the past 15 years. We have also provided these high-quality services to a number of other local government housing authorities throughout the country. Primary focus areas of the community development team in the area of housing include the Section 8 program, the Choice Neighborhoods Initiative (CNI) and the HOME Investment Partnership Program (HOME). On the Section 8 program, our team has worked closely with the Department of Housing and Urban Development (HUD), members of the House Financial Services Committee as well as the Senate Banking, Housing and Urban Affairs Committee and housing advocacy groups - including the National Association of Housing and Redevelopment Officials (NAHRO) and the National Low- Income Housing Coalition (NLIHC) - on efforts to reauthorize and reform the Section 8 program. This is currently pending before Congress. We have also played a key role in working with national local government organizations to increase funding for new Section 8 vouchers through the annual appropriations process. We also worked to oppose a HUD proposal from the previous Administration to block grant the Section 8 program to states, which was defeated. With regard to the HOME Investment Partnership Fund program (HOME), our community development team has closely coordinated efforts with U.S. Conference of Mayors, the National League of Cities, and the National Association of Counties, among other groups, in advocating for full funding for the programs over the last several federal appropriations cycles, as Congress sought to reduce funding for this critical program. As part of this effort, Holland & Knight organized a grassroots campaign to protect HOME, mobilizing 482 cities across California through the League of California Cities to weigh in with their 53-member congressional delegation to urge preservation of funding for the program. This campaign has been successful, yielding an increase in House funding for the program in the chamber's FY 2013 version of the Transportation-HUD Appropriations bill. With regard to HUD competitive grants, our team has worked closely with the firm's local government clients to prepare them to seek funding under HUD's Choice Neighborhoods Initiative programs. Since the program was initially funded in FY 2010, Holland & Knight has increased its Holland & Ian fight Confidential Presentation for the City of Santa Ana 1 12 25A-25 level of service to clients interested in pursuing CNI Planning and Implementation Grant funding, providing not only technical assistance, strategic help and marshalling political support, but also offering full debriefs on the key components of successful grant applications over the history of the program through educational webinars. Below are examples of our strategic efforts in working with the City and County of San Francisco and the Columbus Chamber of Commerce to secure funding under this program. In 2010, Holland & Knight's community development team began working with the San Francisco Mayor's office to help organize a strategy to approach this grant, which included the development of a public-private partnership representative of the community's interests as well as a comprehensive effort to identify the most promising candidate out of a series of potential projects that could meet CNI's goals of revitalizing severely distressed public housing and generating investments in well-functioning services, effective schools, public assets, public transportation, and improving access to jobs. Through this effort, the City chose to advance a transformation plan for Alice Griffith Public Housing Development and the surrounding Bayview neighborhood. Under the grant proposal, the City will replace all 256 units in the Alice Griffith Development along with 248 new low income housing tax credit units. The City will also develop an additional 382 market-rate, 43 inclusionary and 281 workforce units will also be developed for a total of 1,210 units. The long-term goals for the Eastern Bayview neighborhood include an additional 6,640 units, of which 2,273 will be affordable or below-market rate, including 521 inclusionary units, 671 low income housing tax credit units, and 509 workforce units. Holland & Knight worked with the City to secure congressional support for the final grant proposal, and in August of 2011 HUD awarded the City $30.5 million in CNI funding to support the Alice Griffith transformation plan. San Francisco was one of only six awardees under the FY 2011 round of funding for this program and HUD's highest rated application in this grant category for that fiscal year. We employed a very similar strategy in assisting the Columbus Chamber of Commerce succeed in securing the maximum CNI Planning Grant award level for the City of Columbus' effort to organize the Poindexter Village Neighborhood Transformation Plan. Connecting Partnership officials and staff with appropriate HUD personnel at the local level, facilitating meetings with HUD in Washington, D.C., and conducting thorough strategy sessions with Partnership staff prepared Columbus' redevelopment partners to assemble a comprehensive plan that met HUD's criteria for the grant. The Chamber of Commerce's final Transformation Plan was supported through collaborative efforts of the Columbus Metropolitan Housing Authority (CMHA), the nearby The Ohio State University, nonprofit housing developer National Church Residences (NCR), and the City of Columbus. Ultimately, the Chamber of Commerce will undertake a four-phase process that will address education, health and wellness, jobs and economic development, housing, and safety utilizing their Transformation Plan developed with HUD's $300,000 CNI Planning Grant. U.S. Department of Labor Holland & Knight maintains a strong working relationship with the Secretary of Labor and senior officials within the Employment and Training Administration, and is very active on national labor policy as it impacts local governments. Workforce Investment Act (WIA): We are continuing our efforts with national local government organizations, community colleges and workforce training institutions to urge Congress to Holland & Knight Confidential Presentation for the City of Santa Ana 1 13 25A-26 reauthorize WIA, and to provide sufficient funding and flexibility to Workforce Investment Boards in any WIA reauthorization. Employment and Training Administration (ETA) Grants: We provide strategic advice to local government clients interested in pursuing funding under the grants administered by ETA. These include the Administration's YouthBuild, Reintegration of Ex-Offenders (RExO), Serving Adult and Youth Ex-Offenders through Strategies Targeted to Characteristics Common to Female Ex-Offenders and Serving Young Adult Ex-Offenders through Training and Service-Learning programs. U.S. Department of Transportation Holland & Knight's Public Policy & Regulation Group maintains over three decades of federal advocacy experience in assisting local governments public transportation entities successfully advance their priority projects and initiatives in Washington, D.C. Our proposed advocacy team has been successful in working with Congress, federal agencies, and the Administration to secure grant funding for local government clients similar the City of Santa Ana and its interests. Examples include: • San Mateo County Transit District (CA): Assisted in securing $3.5 million in FTA Bus Livability grant funding to enhance an multi-modal transit center. • San Antonio, TX.' $15 million in DOT TIGER funds for VIA Transit for a transit hub. • Des Moines, IA: Assisted the City in securing a $10 million DOT TIGER grant for the Southeast Connector project, which created 200 jobs by connecting downtown through the industrial quadrant of the City to the U.S. 65 Beltway. • Metropolitan Atlanta Rapid Transit Authority (GA): Assisted in securing $52.5 million in FTA funding for to re-furbish paratransit facility, bus maintenance facility, and acquire replacement buses. • Columbus Regional Airport Authority (OH): Secured $16 million in DOT TIGER funds to construct roadways around an intermodal facility in Pickaway County. • Philadelphia, PA: Assisted in securing $12.8 million DOT TIGER grant to rebuild a substation that powers the City's commuter rail system. U.S. Department of Justice & Department of Homeland Security Holland & Knight's proposed advocacy team has a strong record of assisting local governments successfully pursue federal funding to support local public safety initiatives and services through core justice Department and Department of Homeland Security grant programs. These programs include DOJ's COPS Hiring and Byrne/Justice Assistance grants as well as FEMA's Staffing for Adequate Fire and Emergency Response (SAFER) and Assistance to Firefighters (AFG) grants. Examples include: • Sacramento, CA: Secured the largest award in the nation under the COPS program - over $32.7 million in funding between FY 2010 and FY 2011 for the county Sheriffs Department. It cumulatively restored 50 deputy positions, which is being used specifically to combat youth and gang violence issues in the county. • Alameda, CA: Assisted the City in securing $1.76 million in FY 2012 FEMA SAFER grant funding to cover the full cost of six firefighter positions for a period of two years. Holland & Knight Confidential Presentation for the City of Santa Ana 1 14 25A-27 Philadelphia, PA: Assisted the City in securing $3.1 million in FY 2012 grant funding to partially fund the salary and benefits of 25 police officers over a three-year period. San Antonio, TX: Secured $10.3 million in FY 2009 COPS funding to hire 50 additional officers for their Problem Oriented Policing (POP) Project. Sarasota County, FL: Secured $1.9 million in FY 2009 and FY 2010 to build a new Emergency Operations Center including emergency technology and communications infrastructure to be used within the new EOC. U.S. Department of Commerce Holland & Knight has a long track record of assisting local governments interface with the diverse array of federal government agencies that reside at the U.S. Department of Commerce, including the Economic Development Administration (EDA) and the National Telecommunications and Information Administration (NTIA). With regard to EDA, Holland & Knight assists local governments in developing compelling projects to approach the Administration's grant programs, which include core programs like the Public Works and Economic Facilities Grant Program, as well as new programs like the Strong Cities, Strong Communities and Advanced Manufacturing Jobs and Innovation Accelerator Challenge. Holland & Knight has also worked with a number of local governments and local government consortiums to interact with NTIA in developing interoperable public safety communications networks, and is closely following all action with FirstNet, which was established in February of this year to build, deploy, and operate a national interoperable communications network for first responders, in consultation with federal, state, tribal and local public safety entities, and other key stakeholders. U.S. Department of Health and Human Services Our team knows the Affordable Care Act and the course it sets for reform. In studying the new law, and the recent Supreme Court ruling, we have paid close attention to its provisions that seek to build the health care workforce, strengthen public health and prevention efforts and expand primary care outreach. The Affordable Care Act created a new Prevention and Public Health Trust Fund under the jurisdiction of HHS. It appropriated $7 billion to the fund for FY 2010 through FY 2015 and $2 billion per year for subsequent fiscal years. The act authorized activities where trust fund monies may be used to include programs for diabetes prevention; training of nurse practitioners, community health workers, nurse education; and nursing retention programs as well as more advanced education programs. There is an obvious connection between the City's growing health care needs and the aims of the trust fund monies. We would work with you to identify the program areas where trust fund monies could be directed and to cultivate working relationships with the Health Resources and Services Administration (HRSA), the Office of the Secretary of Health and Human Services Department (HHS), and other decision makers at HHS and on Capitol Hill in advance of next fiscal year's allocations. Other recent health funding and legislative successes include: • Obtaining a $499,999 grant for the Cobb County, Ga., Board of Health to develop a county- wide plan to improve its environmental and policy-based prevention efforts aimed at Holland & Knight Confidential Presentation for the City of Santa Ana ( 15 25A-28 reducing chronic disease. The grant came from the Community Transformation Grant Program at the Centers for Disease Control and Prevention. Convincing the Senate Health, Education and Labor Committee, on behalf of a pro Bono client, to include language in a bill to raise awareness in the Latino and African American communities regarding autism and direct funds toward early detection and diagnosis. $13.3 million HHS Administration on a Children, Youth and Families grant for L.A. Gay and Lesbian Center. U.S. Department of Energy Holland & Knight has extensive experience in working with local governments and DOE on the local energy efficiency initiatives. Our energy team has also helped draft and shape energy and environmental legislation for over 20 years and brings an impressive track record in securing funding for major water and energy projects. Some examples include: • $100,000 in stimulus funds for the Children's Memorial Hospital Green Roof project • $1.2 million in Army Corps of Engineers funding for the Chicago Botanic Garden • $3.6 million in shoreline restoration CAP funds for the Chicago Botanic Garden U.S. Environmental Protection Agency Holland & Knight's has extensive experience in working with EPA and assisting local governments to pursue and secure funding under the Agency's competitive grant programs, and also maintains a strong record of assisting cities and counties pursue federal funding for environmental and water projects. Examples include: Placer County, CA: Holland & Knight has secured over $11 million in federal funding to design and construct a modern regional wastewater treatment system in this Northern California county of about 350,000 people. Under the regional alternative, modern wastewater treatment facilities will be preserved and seven older facilities located throughout the region will be abandoned. Together, the three modern facilities will be capable of meeting the area's wastewater treatment demands for decades to come. Eliminating effluent discharge from these outdated and ineffective facilities will improve water quality in the local receiving waters and reduce environmental impacts on the Bay-Delta system. Furthermore, the new treatment facilities can provide up to 30,000 acre-feet of reclaimed wastewater for agricultural purposes as well as irrigation of community open space and parks. The sale of reclaimed water for these purposes will help offset the cost of treatment while reducing the need for surface and/or ground water. City of West Sacramento, CA: The City is currently transitioning from its original authorized flood damage reduction project to a much larger project in the neighborhood of $400 million to $500 million. We have been successful in securing an increase in the current authorization level to allow additional work to be done and to bridge the gap between the two projects. Sarasota County, FL.: A top federal priority for the County has been the Phillippi Creek Septic System Replacement Program. The Holland & Knight team secured over $5.6 million to replace septic systems and connect approximately 25,000 low- to moderate-income homes and businesses Holland & Knight Confidential Presentation for the City of Santa Ana 16 25A-29 - who could not afford the costs to connect to a modern sanitary sewer system - to a central sewer in the Phillippi Creek basin and Sarasota Bay area. This funding is in addition to the $10 million we secured through Water Resource Development Act. Holland & Knight Confidential Presentation for the City of Santa Ana 1 17 25A-30 The proposer shall submit a fee schedule for all services to be provided pursuant this RFP. Based on the services described in RFP 12-075, Holland & Knight would propose a monthly fee of $7,000, inclusive of out-of-pocket expenses. You will note that we are not offering a billable hour because, as of January 1, 2012, Holland & Knight eliminated the tracking of billable hours for fixed fee clients - becoming the largest national practice group to do so. Holland & Knight embraces innovative fee structures that are directly tied to helping our clients achieve their goals. We recognize that our clients are under increased scrutiny to manage their spending efficiently and control costs. Please note that we welcome the opportunity to help our clients secure their goals through tailoring pricing structures. Communication and trust are the cornerstones of effective and meaningful alternative fee arrangements that are intended to work for both parties. Further, through a fixed fee arrangement, we are able to provide the City with the expertise of Holland & Knight's entire Public Policy & Regulation Group at no additional cost. Be assured that we are committed to helping our clients secure their goals through non-traditional pricing arrangements. Holland & Knight Confidential Presentation for the City of Santa Ana 1 18 25A-31 The Consultant shall submit a list of agencies, past and present, for whom the consultant has provided services similar to that identified in this RFP for the last five years. Reference Contact City and County of San Francisco, CA Jason Elliott, Director of Government Affairs Office of Mayor Edwin M. Lee 1 Dr. Carlton B. Goodlett Place San Francisco, CA 94102 415.554.5105 jason.elliot@sfgov.org League of California Cities Chris McKenzie, Executive Director 1400 K Street, Suite 400 Sacramento, CA 95814 916.658.8275 mckenzie@cacities.org City of Charlotte, NC Dana Fenton, Intergovernmental Relations Manager 600 E. Fourth St. Charlotte, NC 28202 704.336.7245 dfenton @ci. charlotte. nc.us Placer County, CA Allison Carlos, Principal Management Analyst 175 Fulweiler Avenue Auburn, CA 95603 530.889.4027 acarlos@placer.ca.gov Sacramento Regional Transit District Mike Wiley, General Manager/CEO P.O. Box 2110 Sacramento, CA 95812-2110 916.321.2811 mwiley@sacrt.com City of Austin, TX John Hrncir, Director of Government Affairs Office of City Manager P.O. Box 1088 Austin, TX 78767 512.974.2285 john.hrncir@austintexas.gov Holland & Knight Confidential Presentation for the City of Santa Ana 1 19 25A-32 Holland & Knight wishes to make the following statements regarding RFP 12-075: In response to Paragraph 5, Indemnification: Under its professional liability insurance, which is standard for law firms, Holland & Knight LLP can agree to indemnify the City, its officers, agents, employees, and consultants solely as to claims resulting from or arising out of Holland & Knight LLP's negligent or wrongful acts, errors or omissions. Should Holland & Knight LLP be awarded the contract, it would ask that Paragraph 5 be so amended. In response to Paragraph 7, the Conflict of Interest Clause: In compliance with clause 7 of the City's Consultant Agreement, Holland & Knight has no conflict of interest with regard to the firm's federal liaison and advocacy services on behalf of the City of Santa Ana; and has, in place, policies and procedures with regard to full disclosure and resolution of any potential conflict of interest that may arise due to this representation. With regard to the provision of legal services, we do provide such services to clients in California in land use and other legal matters, which are totally unrelated to the federal liaison services our firm would provide the City under the RFP. Currently, we represent a client, Formosa Plastics Corp, USA, in a legal matter adverse to several public entities, including the City of Santa Ana. The case involves United States et al v J-M Manufacturing Company, Inc. d/b/a/JM Eagle, and Formosa Plastics Corp, USA (Case No. ED CV06-0055-GW, U.S.D.C. Central Dist. of California; and in the States of Nevada and New Mexico, et al. v. J-M Manufacturing Company, Inc., Formosa Plastics Corporation, U.S.A. and Walter Wang, No. BC 459943, Superior Court of California for Los Angeles County (collectively, the "Qui Tam Actions"), alleging manufacturing defects associated with water pipes, wholly unrelated to the provision of federal advocacy and representation services under the RFP. Holland & Knight Confidential Presentation for the City of Santa Ana i 20 25A-33 25A-34 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 6, 2013 TITLE: AGREEMENT WITH COUNTY OF ORANGE SOCIAL SERVICES AGENCY FOR VOCATIONAL TRAINING AND WORK EXPERIENCE PROG C RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1s' Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached agreement with the County of Orange Social Services Agency in the amount of $1,600,000 for a term effective July 1, 2013 through June 30, 2015, subject to non-substantive changes approved by the City Manager and City Attorney. DISCUSSION The County of Orange Social Services Agency administers a CaIWORKs Welfare to Work (WTW) Program designed to provide case management, job services, job training, and supportive services to assist CalWORKs recipients to overcome barriers and obtain or maintain stable employment. The goal of the program is for the participating individuals to achieve economic self-sufficiency. County Welfare Departments may provide these services directly or may enter into contracts with private or public agencies for the provision of these services. The City of Santa Ana WORK Center has experience providing such services and was awarded a $1,600,000 contract to provide vocational training and work experience activities to CalWORKs WTW participants. Staff will also provide case management, employability skills training, worksite development, and job placement services. The program will serve 109 participants from July 1, 2013 through June 30, 2014 and 109 participants from July 1, 2014 through June 30, 2015 in an annual amount not to exceed $800,000 per year. 25B-1 Agreement with County of Orange SSA for Vocational Training and Work Experience May 6, 2013 Page 2 FISCAL IMPACT Funds will be appropriated as part of the Fiscal Year 2013-14 and 2014-15 budget process and will be available in the County of Orange Social Services Agency Welfare to Work Program account (no. 12418737 - various) upon adoption of the budget by City Council. APPROVED AS TO FUNDS AND ACCOUNTS: s r)Vtz? t/- Sandi Gottlieb Acting Executive Director Community Development Agency Francisco utierrez Executive Director Finance & Management Services Agency SG/LAO/CD/kg Exhibit: 1. County of Orange Social Services Agency Agreement 25B-2 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 FOR THE PROVISION OF VOCATIONAL TRAINING ACTIVITIES AND WORK EXPERIENCE THIS AGREEMENT, entered into this 1st day of July, 2013, which date is particularized for purpose of reference only, is by and between the COUNTY OF ORANGE, hereinafter referred to as "COUNTY," and CITY OF SANTA ANA, a California municipality, hereinafter referred to as "CONTRACTOR." This Agreement shall be administered by the County of Orange Social Services Agency Director or designee, hereinafter referred to as "ADMINISTRATOR." W I T N E S S E T H: WHEREAS, COUNTY desires to contract with CONTRACTOR for the provision of vocational training activities and work experience; and WHEREAS, CONTRACTOR agrees to render such services on the terms and conditions hereinafter set forth; EXHIBIT 1 AGREEMENT BETWEEN COUNTY OF ORANGE AND CITY OF SANTA ANA WHEREAS, such services are authorized and provided for pursuant to California Welfare and Institutions Code Section 11200 et seq., also known as the California Work Opportunity and Responsibility to Kids (CalWORKs) Act of 1997: NOW, THEREFORE, IT IS MUTUALLY AGREED AS FOLLOWS: (WAM0313) 1 of 48 (April 8, 2013) 25B-3 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 (WAM0313) 2 of 48 (April 8, 2013) 25B-4 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 TABLE OF CONTENTS Page 1. TERM ......................................................5 2. ALTERATION OF TERMS .......................................5 3. DEFINITIONS ...............................................5 4. STATUS OF CONTRACTOR ......................................9 5. DESCRIPTION OF SERVICES, STAFFING .........................9 6. LICENSES AND STANDARDS ...................................10 7. DELEGATION AND ASSIGNMENT/SUBCONTRACTS ...................11 8. FORM OF BUSINESS ORGANIZATION AND REAL PROPERTY DISCLOSURE13 9. NON-DISCRIMINATION .......................................16 10. NOTICES ..................................................20 11. NOTICE OF DELAYS .........................................20 12. INDEMNIFICATION ..........................................20 13. INSURANCE ................................................21 14. NOTIFICATION OF INCIDENTS, CLAIMS OR SUITS ...............22 15. CONFLICT OF INTEREST .....................................23 16.ANTI-PROSELYTISM PROVISION ...............................23 17. SUPPLANTING GOVERNMENT FUNDS .............................23 18. EQUIPMENT ................................................24 19. BREACH SANCTIONS .........................................26 20. PAYMENTS .................................................26 21. OVERPAYMENTS .............................................29 22. OUTSTANDING DEBT ..........................................29 23. REVENUE ..................................................30 24. PROGRAM INCOME ...........................................30 25. FINAL REPORT .............................................31 26. INDEPENDENT AUDIT ........................................31 27. RECORDS, INSPECTIONS AND AUDITS ..........................32 28. PERSONNEL DISCLOSURE .....................................35 29. EMPLOYMENT ELIGIBILITY VERIFICATION ....... 37 30. CHILD AND DEPENDENT ADULT/ELDER ABUSE REPORTING ..........38 31.NOTICE TO EMPLOYEES REGARDING THE SAFELY SURRENDERED BABY LAW ......................................................38 32. CONFIDENTIALITY ..........................................38 33. COPYRIGHT ACCESS .........................................40 34. WAIVER ...................................................40 35. PETTY CASH ...............................................40 36. PUBLICITY ................................................40 37. COUNTY RESPONSIBILITIES ..................................41 38. REFERRALS ................................................41 39. REPORTS ..................................................41 40. ENERGY EFFICIENCY STANDARDS ..............................42 41. ENVIRONMENTAL PROTECTION STANDARDS .......................42 42.CERTIFICATION AND DISCLOSURE REGARDING PAYMENTS TO INFLUENCE CERTAIN FEDERAL TRANSACTIONS .............................42 43. POLITICAL ACTIVITY .......................................44 44. TERMINATION PROVISIONS ...................................44 45. GOVERNING LAW AND VENUE ..................................45 46. SIGNATURE IN COUNTERPARTS ................................46 (WAM0313) 3 of 48 (April 8, 2013) 25B-5 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 EXHIBIT A 1. PROGRAM OBJECTIVE AND GOALS ...............................1 2. POPULATION TO BE SERVED ...................................2 3. SERVICES ..................................................3 4. CONTRACTOR RESPONSIBILITIES ...............................5 5. PRINCIPLES ................................................8 6. OUTSIDE CONTACTS ..........................................9 7. FACILITIES ................................................9 8. REPORTING REQUIREMENTS ...................................10 9. PERFORMANCE MONITORING AND REVIEW ........................11 10. QUALITY CONTROL ...........................................12 11. WELFARE FRAUD .............................................12 12. HANDLING COMPLAINTS .......................................13 13. HOURS OF OPERATION .......................................13 14. BUDGET FOR PROVISION OF VTR AND WEX ......................14 15. STAFF ....................................................17 (WAM0313) 4 of 48 25B-6 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 1. TERM The term of this Agreement shall commence on July 1, 2013, and terminate on June 30, 2015, unless earlier terminated pursuant to the provisions of Paragraph 44 of this Agreement; however, CONTRACTOR shall be obligated to perform such duties as would normally extend beyond this term, including but not limited to, obligations with respect to indemnification, audits, reporting, and accounting. CONTRACTOR and ADMINISTRATOR may mutually agree in writing to extend the term of this Agreement, for up to twelve (12) additional months upon the same terms and conditions, provided that COUNTY'S total maximum obligation as stated in Subparagraph 20.1 of this Agreement does not increase as a result. 2. ALTERATION OF TERMS This Agreement, including any Exhibit(s) attached hereto and incorporated by reference, fully expresses all understandings of the parties and is the total Agreement between the parties as to the subject matter of this Agreement. No addition to, or alteration of, the terms of this Agreement, whether written or verbal, by the parties, their officers, agents, or employees, shall be valid unless made in the form of a written amendment to this Agreement which is formally approved and executed by both parties. 3. DEFINITIONS 3.1 Barriers to Employment: Circumstances, such as mental health, substance abuse, housing issues, and learning disability etc., which interfere with Welfare-To-Work (WTW) participation, employment, or job search. (WAM0313) 5 of 48 25B-7 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 3.2 CalWORKs: The acronym for the California Work Opportunity and Responsibility to Kids Act of 1997 as described in the state of California Welfare and Institutions Code (WIC) Section 11200 et seq. 3.3 Multi-Disciplinary Team (MDT): A team of individuals from diverse backgrounds who meets to engage in a strength-based discussion of a client's situation. The MDT reviews case and family elements to optimize the client's WTW activities or develop other appropriate service plans for CalWORKs individuals and families. MDT members may consist of staff from the following areas: Social Services Agency (SSA) CalWORKs; Domestic Abuse Services; Behavior Health Services; Public Health Nurse; One-Stop Centers; SSA Children and Families Services; educational providers; Job Services and Employment Support; Vocational Assessment; WTW activity providers who could benefit from, or contribute to, the discussion; and all other relevant individuals. 3.4 One-Stop Centers: Employment-based facilities integrating COUNTY and contracted service providers into single workforce centers, which provide comprehensive career services and labor market information to participants seeking jobs under various Federal and State funded programs. The centers are established statewide under S.B. 1417 (Chapter 819, Statutes of 1994), to implement a collaborative system of employment, training and education programs and services, in support of California's economic development. Santa Ana One-Stop Center is also referred to as the WORK Center. 3.5 One-Stop Partner: One of the entities responsible for (WAM0313) 6 of 48 (April 8, 2013) 25B-8 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 conducting the day-to-day activities associated with the delivery of workforce development services to employers and job seekers, including daily management, supervision, and coordination of staff physically co-located at the One-Stop Center. 3.6 Participant: Recipients of CalWORKs financial assistance benefits who are required to participate, or have voluntarily enrolled, in the WTW program pursuant to State regulations and County policy. 3.7 Placement: A WTW participant is hired by an employer in an unsubsidized employment for the minimum required work participation hours and is earning at least minimum wage, as referenced in SSA policy. 3.8 Santa Ana Workforce Investment Board (SA WIB): Established under the Federal Workforce Investment Act (WIA) of 1998, SA WIB oversees workforce investment activities that increase the employment, retention, and earnings of participants, and increase attainment of occupational skills by participants. Workforce investment activities authorized by WIA are provided at the local level via the One-Stop Centers to individuals in need of those services, including job seekers, dislocated workers, youth, incumbent workers, new entrants to the workforce, veterans, persons with disabilities and employers. 3.9 Santa Ana Workforce Investment Board Case Manager (SA WIB CM) : An employee of the Santa Ana WORK Center, a division of the City of Santa Ana, assigned to work with the CalWORKs participant and WTW staff throughout the Vocational Training (VTR) and Work Experience (WEX) activities. The responsibilities of the WIA Case Manager include the following: (1) handle the (WAM0313) 7 of 48 (April 8, 2013) 25B-9 1 2 3 4 5 6 7 8 9 10 II 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 eligibility determination process for all customers referred to program; (2) review customer prerequisite for training, including career planning and using labor market information; (3) assist with referrals to VTR or WEX; (4) prepare and timely submit required paperwork; (5) screen and coordinate services with other One-Stop Center partners; (6) coordinate training to placement activities; and (7) offer supportive and follow-up services. 3.10 Supportive Services: Payments made by ADMINISTRATOR provided to or on behalf of WTW participants for child care, transportation, and ancillary expenses. 3.11 Vocational Assessment: An evaluation of participant's employability and the need for support services considering work history, employment knowledge, skills, and abilities; education and educational competency level; local labor market conditions; and physical limitations or behavioral conditions. The types of assessments utilized are Employment Readiness Assessment and Learning Disability Evaluation and are provided through a separate contracted service provider. 3.12 Welfare-To-Work (WTW): A mandated program under CalWORKs which requires parents or caretakers in families on CalWORKs assistance, unless exempted, to meet work requirements by participating in WTW activities with a goal of unsubsidized employment leading to self-sufficiency. 3.13 WTW Staff: An SSA employee or contracted case management staff, either an Initial Services Worker (ISW) or WTW Case Manager (WTW CM), who is assigned to each WTW participant to monitor the progression of the participant through the WTW program and has primary responsibility to resolve the (WAM0313) 8 of 48 25B-10 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 participant's supportive services needs and address barriers. 3.14 Welfare-To-Work Plan: A plan developed by WTW staff and the participant that specifies work related activities in which the participant shall engage and the supportive services to be provided to the participant. 3.15 Work Participation Hours: The number of hours per week a participant is required to engage in WTW activities, based on Federal and State requirements. 3.16 Worksite: An employment site for WEX training activities at public or private, for-profit or not-for-profit organizations. 4. STATUS OF CONTRACTOR CONTRACTOR is and shall at all times be deemed to be an independent contractor and shall be wholly responsible for the manner in which it performs the services required of it by the terms of this Agreement. Nothing herein contained shall be construed as creating the relationship of employer and employee, or principal and agent, between COUNTY and CONTRACTOR or any of CONTRACTOR's agents or employees. CONTRACTOR assumes exclusively the responsibility for the acts of its employees or agents as they relate to services to be provided during the course and scope of their employment. CONTRACTOR, its agents, employees, and volunteers shall not be entitled to any rights and/or privileges of COUNTY employees, and shall not be considered in any manner to be COUNTY employees. 5. DESCRIPTION OF SERVICES, STAFFING 5.1 CONTRACTOR agrees to provide those services, facilities, equipment and supplies as described in the Exhibit (WAM0313) 9 of 48 25B-11 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 "A" to the Agreement between County of Orange and City of Santa Ana for the Provision of Vocational Training Activities and Work Experience, attached hereto and incorporated herein by reference. CONTRACTOR shall operate continuously throughout the term of this Agreement with the number and type of staff described and as required for provision of services hereunder pursuant to the personnel disclosure provisions of this Agreement. 5.2 Subject to thirty (30) days written notice, ADMINISTRATOR may, in his or her sole discretion, require changes in staffing allocations to reflect current workload demands or service needs as long as COUNTY's maximum obligation as set forth in this Agreement is not exceeded. 5.3 Upon the request of ADMINISTRATOR, CONTRACTOR shall send appropriate staff to attend an orientation session and subsequent training sessions given by COUNTY. 6. LICENSES AND STANDARDS 6.1 CONTRACTOR warrants that it has all necessary licenses and permits required by the laws of the United States, State of California, County of Orange, and all other appropriate governmental agencies to perform the services described in this Agreement, and agrees to maintain these licenses and permits in effect for the duration of this Agreement. Further, CONTRACTOR warrants that its employees shall conduct themselves in compliance with such laws and licensure requirements including, without limitation, compliance with laws applicable to sexual harassment and ethical behavior. 6.2 In the performance of this Agreement, CONTRACTOR shall comply, unless waived in whole or in part by ADMINISTRATOR, with (WAM0313) 10 of 48 25B-12 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 all applicable provisions of the California Welfare and Institutions Code (WIC); Title 45 of the Code of Federal Regulations (CFR) ; Federal Office of Management and Budget (OMB) Circulars A-21, A-122, and A-87; Title 48 CFR Section 31.2; and all applicable laws and regulations of the United States, State of California, County of Orange Social Services Agency and all administrative regulations, rules and policies adopted thereunder as each and all may now exist or be hereafter amended. 6.2.1 For Federally funded Agreements in the amount of $25,000 or more, CONTRACTOR certifies that said Agency's officers and/or principals are not debarred or suspended from Federal financial assistance programs and/or activities. 7. DELEGATION AND ASSIGNMENT/SUBCONTRACTS 7.1 Delegation and Assianment: CONTRACTOR shall neither delegate its duties or obligations nor assign its rights with respect to this Agreement, either in whole or in part. Any such attempted delegation or assignment shall be void. The transfer of assets in excess of ten (10) percent of the total assets of CONTRACTOR, or any change in the corporate structure, the governing body, or the management of CONTRACTOR, which occurs as a result of such transfer, shall be deemed an assignment of benefits under the terms of this Agreement and shall be void. 7.2 Subcontracts: CONTRACTOR shall not subcontract for services under this Agreement without the prior written consent of ADMINISTRATOR. If ADMINISTRATOR consents in writing to a subcontract, in no event shall the subcontract alter, in any way, (WAM0313) 11 of 48 (April 8, 2013) 25B-13 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 any legal responsibility of CONTRACTOR to COUNTY. All subcontracts must be in writing and copies of same shall be provided to ADMINISTRATOR. CONTRACTOR shall include in each subcontract any provision ADMINISTRATOR may require. 7.2.1 Subcontracts of $25,000 or less: CONTRACTOR shall develop a standard form Purchase Order, subject to prior written approval of ADMINISTRATOR, to be utilized for the purchase of services by CONTRACTOR when the cumulative total cost of the services to be provided by any organization is anticipated to be twenty-five thousand dollars ($25,000) or less during the term of this Agreement. The basis for costs incurred by any such Purchase Order(s) shall be the actual cost of providing services or the usual and customary charges established by the organization(s) providing the services. 7.2.2 Subcontracts in excess of $25,000: CONTRACTOR shall develop and submit for approval to ADMINISTRATOR a system for the procurement of subcontracts with any organization in which the total cumulative cost of services provided by any single organization is anticipated to exceed twenty-five thousand dollars ($25,000) during the term of this Agreement. CONTRACTOR's proposed procurement system shall take into consideration such factors as: degree of price competition; pricing policies and techniques; experience and quality of service; methods of evaluating subcontractor responsibility; relationship of subcontractor to CONTRACTOR; and planning, award, and post-award management of subcontracts, including internal audit procedures and monitoring of (WAM0313) 12 of 48 25B-14 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 subcontractor's performance until completion of services. Upon ADMINISTRATOR's approval of CONTRACTOR's proposed procurement system, CONTRACTOR shall comply with such procurement system in obtaining subcontracts with a total cost in excess of twenty-five thousand dollars ($25,000) during the term of this Agreement. In addition, CONTRACTOR shall obtain ADMINISTRATOR's written consent prior to entering into a subcontract with any organization when the total cumulative cost of services to be provided by that organization is anticipated to exceed twenty-five thousand dollars ($25,000) during the term of this Agreement. CONTRACTOR and its subcontractor(s) shall establish and maintain accurate and complete financial records related to services provided under the terms of this Agreement. Such records may be subject to the satisfaction of ADMINISTRATOR, and to the examination and audit by ADMINISTRATOR or designee, for a period of five (5) years, or until any pending audit is completed. 8. FORM OF BUSINESS ORGANIZATION AND REAL PROPERTY DISCLOSURE 8.1 Form of Business Organization: Upon the request of ADMINISTRATOR, CONTRACTOR shall prepare and submit, within thirty (30) days thereafter, an affidavit executed by persons satisfactory to ADMINISTRATOR containing, but not limited to, the following information: 8.1.1 The form of CONTRACTOR's business organization, i.e., proprietorship, partnership, corporation, etc. 8.1.2 A detailed statement indicating the relationship of CONTRACTOR, by way of ownership or otherwise, to any parent (WAM0313) 13 of 48 25B-15 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 organization or individual. 8.1.3 A detailed statement indicating the relationship of CONTRACTOR to any subsidiary business organization or to any individual who may be providing services, supplies, material or equipment to CONTRACTOR or in any manner does business with CONTRACTOR under this Agreement. 8.2 Change in Form of Business Organization: If during the term of this Agreement the form of CONTRACTOR's business organization changes, or the ownership of CONTRACTOR changes, or CONTRACTOR's relationship to other businesses dealing with CONTRACTOR under this Agreement changes, CONTRACTOR shall promptly notify ADMINISTRATOR, in writing, detailing such changes. A change in the form of business organization may, at COUNTY's sole discretion, be treated as an attempted assignment of rights or delegation of duties of this Agreement. 8.3 Real Property Disclosure: If CONTRACTOR is occupying any real property under any agreement, oral or written, where persons are to receive services hereunder, CONTRACTOR shall submit the following information in addition to a copy of the lease, license or rental agreement, as well as any other information requested, prior to the provision of services under this Agreement: 8.3.1 The location by street address and city of any such real property. 8.3.2 The fair market value of any such real property as such value is reflected on the most recently issued County Tax Collector's tax bill. (WAM0313) 14 of 48 25B-16 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 8.3.3 A detailed description of all existing and pending agreements, with respect to the use or occupation of any such real property. Such description shall include, but not be limited to: 8.3.3.1 The term duration of any rental, lease or license agreement; 8.3.3.2 The amount of monetary consideration to be paid to the lessor or licensor over the term of the rental, lease or license agreement; 8.3.3.3 The type and dollar value of any other consideration to be paid to the lessor or licensor; 8.3.3.4 The full names and addresses of all parties to any agreement concerning the real property and a listing of liens (if any) thereof, together with a listing by full names and addresses of all officers, directors and stockholders of any private corporation, and a similar listing of all general and limited partners of any partnership which is a party. 8.3.4 A listing by full names of all of CONTRACTOR's officers, directors and/or partners, members of its administrative and advisory boards, staff and consultants, who have any family relationship by marriage or blood with a party to any agreement concerning real property referred to in Subparagraph 8.3.3, immediately above, or who have any present or future financial interest in such person's business, whether the entity concerned is a corporation or partnership. Such listing shall also include the full names of all of CONTRACTOR's officers, directors, partners and those holding a financial (WAM0313) 15 of 48 (April 8, 2013) 25B-17 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 interest. Included are members of its advisory boards, members of its staff and consultants, who have any family relationship by marriage or blood to an officer, director, or stockholder of the corporation or to any partner of the partnership. In preparing the latter listing, CONTRACTOR shall also indicate the names of the officers, directors, stockholders, or partner(s), as appropriate, and the family relationship which exists between such person(s) and CONTRACTOR's representatives listed. 8.3.5 True and correct copies of all agreements with respect to any such real property shall be appended to the affidavit described above and made a part thereof. If, during the term of this Agreement, there is a change in the agreement(s) with respect to real property where persons receive services, CONTRACTOR shall promptly notify ADMINISTRATOR, in writing, describing such changes. 9. NON-DISCRIMINATION 9.1 In the performance of this Agreement, CONTRACTOR agrees that it shall not engage nor employ any unlawful discriminatory practices in the admission of clients, provision of services or benefits, assignment of accommodations, treatment, evaluation, employment of personnel or in any other respect on the basis of sex, race, color, ethnicity, national origin, ancestry, religion, age, marital status, medical condition, sexual orientation, sexual preference, physical or mental disability or any other protected group in accordance with the requirements of all applicable Federal or State laws. 9.2 CONTRACTOR shall develop an Affirmative Action Program Plan which meets the lawful and applicable requirements of the (WAM0313) 16 of 48 25B-18 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 U.S. Department of Health and Human Services. 9.3 CONTRACTOR shall furnish any and all information requested by ADMINISTRATOR and shall permit ADMINISTRATOR access, during business hours, to books, records and accounts in order to ascertain CONTRACTOR's compliance with Paragraph 9 et seq. 9.4 CONTRACTOR shall comply with Executive Order 11246, entitled "Equal Employment Opportunity," as amended by Executive Order 11375 and as supplemented in Department of Labor regulations (Title 41 CFR Part 60). 9.5 Non-Discrimination in Employment 9.5.1 All solicitations or advertisements for employees placed by or on behalf of CONTRACTOR shall state that all qualified applicants will receive consideration for employment without regard to sex, race, color, ethnicity, national origin, ancestry, religion, age, marital status, medical condition, sexual orientation, sexual preference, physical or mental disability or any other protected group in accordance with the requirements of all applicable Federal or State laws. Notices describing the provisions of the equal opportunity clause shall be posted in a conspicuous place for employees and job applicants. 9.5.2 CONTRACTOR shall refer any and all employees desirous of filing a formal discrimination complaint to: California Department of Social Services Public Inquiry and Response Bureau P.O. Box 944243, M.S. 8-3-23 Sacramento, CA 94244-2430 Telephone: (800) 952-5253 (WAM0313) 17 of 48 25B-19 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 (800) 952-8349 (For the hard of hearing) 9.6 Non-Discrimination in Service Delivery 9.6.1 CONTRACTOR shall comply with Titles VI and VII of the Civil Rights Act of 1964, as amended; Section 504 of the Rehabilitation Act of 1973, as amended; the Age Discrimination Act of 1975, as amended; the Food Stamp Act of 1977, as amended, and in particular Section 272.6; Title II of the Americans with Disabilities Act of 1990; California Civil Code Section 51 et seq., as amended; California Government Code (CGC) Sections 11135-11139.5, as amended; CGC Section 12940 (c), (h) (1), (i), and (j); CGC Section 4450; Title 22, California Code of Regulations (CCR) Sections 98000-98413; Title 24, CCR Section 3105A(e); the Dymally-Alatorre Bilingual Services Act (CGC Section 7290-7299.8); Section 1808 of the Removal of Barriers to Interethnic Adoption Act of 1996; and other applicable Federal and State laws, as well as their implementing regulations (including Title 45 CFR Parts 80, 84, and 91; Title 7 CFR Part 15; and Title 28 CFR Part 42), and any other law pertaining to Equal Employment Opportunity, Affirmative Action and Nondiscrimination as each may now exist or be hereafter amended. CONTRACTOR shall not implement any administrative methods or procedures which would have a discriminatory effect or which would violate the California Department of Social Services (CDSS) Manual of Policies and Procedures (MPP) Division 21, Chapter 21- 100. If there are any violations of this paragraph, CDSS shall have the right to invoke fiscal sanctions or other legal remedies in accordance with WIC Section 10605, or CGC Sections 11135- 11139.5, or any other laws, or the issue may be referred to the (WAM0313) 18 of 48 25B-20 (April 8, 2013) I 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 appropriate Federal agency for further compliance action and enforcement of Subparagraph 9.6 et seq. 9.6.2 CONTRACTOR shall provide any and all clients desirous of filing formal complaint any and all information as appropriate: 9.6.2.1 Pamphlet: "Your Rights Under California Welfare Programs" (PUB 13) 9.6.2.2 Discrimination Complaint Form 9.6.2.3 Civil Rights Contacts: County Civil Rights Contact: Orange County Social Services Agency Program Integrity Attn: Civil Rights Coordinator P.O. Box 22001 (WAM0313) Santa Ana, CA 92702-2001 Telephone: (714) 438-8877 State Civil Rights Contact: California Department of Social Services Civil Rights Bureau P.O. Box 944243, M.S. 15-70 Sacramento, CA 94244-2430 Federal Civil Rights Contact: U.S. Department of Health and Human Services Office of Civil Rights 50 U.N. Plaza, Room 322 San Francisco, CA 94102 19 of 48 25B-21 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 10. NOTICES All notices, claims, correspondence, reports, and/or statements authorized or required by this Agreement shall be addressed as follows: COUNTY: County of Orange Social Services Agency Contract Services 888 N. Main Street Santa Ana, CA 92701 CONTRACTOR: Santa Ana WORK Center 1000 E. Santa Ana Blvd., Suite 200 Santa Ana, CA 92701 All notices shall be deemed effective when in writing and deposited in the United States mail, first class, postage prepaid and addressed as above. Any notices, claims, correspondence, reports, and/or statements authorized or required by this Agreement addressed in any other fashion shall be deemed not given. ADMINISTRATOR and CONTRACTOR may mutually agree in writing to change the addresses to which notices are sent. 11. NOTICE OF DELAYS Except as otherwise provided under this Agreement, when either party has knowledge that any actual or potential situation is delaying or threatens to delay the timely performance of this Agreement, that party shall, within one (1) business day, give notice thereof, including all relevant information with respect thereto, to the other party. 12. INDEMNIFICATION 12.1 CONTRACTOR agrees to indemnify, defend with counsel approved in writing by COUNTY, and hold U.S. Department of Health and Human Services, the State, COUNTY, and their elected and appointed officials, officers, employees, agents and those (WAM0313) 20 of 48 25B-22 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 II 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 special districts and agencies which COUNTY's Board of Supervisors acts as the governing Board ("COUNTY INDEMNITEES") harmless from any claims, demands or liability of any kind or nature, including but not limited to personal injury or property damage, arising from or related to the services, products or other performance provided by CONTRACTOR pursuant to this Agreement. If judgment is entered against CONTRACTOR and COUNTY by a court of competent jurisdiction because of the concurrent active negligence of COUNTY or COUNTY INDEMNITEES, CONTRACTOR and COUNTY agree that liability will be apportioned as determined by the court. Neither party shall request a jury apportionment. 12.2 COUNTY agrees to indemnify, and hold CONTRACTOR, its officers, employees, and agents harmless from any claims, demands or liability of any kind or nature, including but not limited to personal injury or property damage, arising from or related to the services, products or other performance provided by COUNTY pursuant to this AGREEMENT. If judgment is entered against CONTRACTOR and COUNTY by a court of competent jurisdiction because of the concurrent active negligence of CONTRACTOR, COUNTY and CONTRACTOR agree that liability will be apportioned as determined by the court. Neither party shall request a jury apportionment. 13. INSURANCE 13.1 CONTRACTOR certifies it is self-insured against the perils of bodily injury/property damage, automobile liability, professional liability, workers' compensation, and sexual harassment. Should there be any material change in the provisions of the self-insurance program, CONTRACTOR shall (WAM0313) 21 of 48 25B-23 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 provide thirty (30) days prior written notice to COUNTY. 13.2 Neither termination of this Agreement nor completion of the acts to be performed under this Agreement shall release any party from its obligation to indemnify as to claims or cause of action asserted. 13.3 Without limiting CONTRACTOR's liability for indemnification, CONTRACTOR attests that it is self-insured and shall maintain in force at all times during the term of this Agreement self-insurance covering its operations in the amounts acceptable to COUNTY. 13.4 If CONTRACTOR fails to maintain proof of insurance acceptable to the COUNTY for the full term of this Agreement. COUNTY may terminate this Agreement. 13.5 Letter of self-insurance evidencing the required insurance coverage shall be mailed to the County of Orange/SSA Contract Services, Attn: Contract Administrator upon request. 14. NOTIFICATION OF INCIDENTS, CLAIMS OR SUITS CONTRACTOR shall report to COUNTY: 14.1 Any accident or incident relating to services performed under this Agreement which involves injury or property damage which may result in the filing of a claim or lawsuit against CONTRACTOR and/or COUNTY. Such report shall be made in writing within twenty-four (24) hours of occurrence. 14.2 Any third party claim or lawsuit filed against CONTRACTOR arising from or related to services performed by CONTRACTOR under this Agreement. Such report shall be submitted to COUNTY within twenty-four (24) hour of occurrence. 14.3 Any injury to an employee of CONTRACTOR that occurs on (WAM0313) 22 of 48 25B-24 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 COUNTY property. Such report shall be submitted to COUNTY within twenty-four (24) hours of occurrence. 14.4 Any loss, disappearance, destruction, misuse, or theft of any kind whatsoever of COUNTY property, monies, or securities entrusted to CONTRACTOR under the term of this Agreement. Such report shall be submitted to COUNTY within twenty-four (24) hours of occurrence. 15. CONFLICT OF INTEREST 15.1 CONTRACTOR shall exercise reasonable care and diligence to prevent any actions or conditions that could result in a conflict with the best interests of COUNTY. This obligation shall apply to CONTRACTOR's employees, agents, relatives, subcontractors, and third parties associated with accomplishing the work hereunder. 15.2 CONTRACTOR's efforts shall include, but not be limited to, establishing precautions to prevent its employees or agents from making, receiving, providing, or offering gifts, entertainment, payments, loans, or other considerations which could be deemed to appear to influence individuals to act contrary to the best interests of COUNTY. 16. ANTI-PROSELYTISM PROVISION No funds provided directly to institutions or organizations to provide services and administer programs under Title 42 United States Code (USC) Section 604(a)(1)(A) shall be expended for sectarian worship, instruction, or proselytization, except as otherwise permitted by law. 17. SUPPLANTING GOVERNMENT FUNDS CONTRACTOR shall not supplant any Federal, State or COUNTY (WAM0313) 23 of 48 (April 8, 2013) 25B-25 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 funds intended for the purposes of this Agreement with any funds made available under this Agreement. CONTRACTOR shall not claim reimbursement from COUNTY for, or apply sums received from COUNTY with respect to, that portion of its obligations which have been paid by another source of revenue. CONTRACTOR agrees that it shall not use funds received pursuant to this Agreement, either directly or indirectly, as a contribution or compensation for purposes of obtaining Federal, State or COUNTY funds under any Federal, State or COUNTY program without prior written approval of ADMINISTRATOR. 18. EQUIPMENT 18.1 All items purchased with funds provided under this Agreement or which are furnished to CONTRACTOR by COUNTY which have a single unit cost of at least five thousand dollars ($5,000.00), including sales tax, shall be considered Capital Equipment. Title to all items of Capital Equipment purchased vests and will remain in COUNTY as such shall be designated by ADMINISTRATOR. The use of such items of Capital Equipment is limited to the performance of this Agreement. Upon the termination of this Agreement, CONTRACTOR shall immediately return any items of Capital Equipment to COUNTY or its representatives, or dispose of them in accordance with the directions of ADMINISTRATOR. CONTRACTOR further agrees to the following: 18.1.1To maintain all items of Capital Equipment in good working order and condition, normal wear and tear excepted. 18.1.2To label all items of Capital Equipment, do periodic inventories as required by ADMINISTRATOR and to maintain (WAM0313) 24 of 48 25B-26 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 an inventory list showing where and how the Capital Equipment is being used, in accordance with procedures developed by ADMINISTRATOR. All such lists shall be submitted to ADMINISTRATOR within ten (10) days of any request therefore. 18. To report in writing to ADMINISTRATOR immediately after discovery, the loss or theft of any items of Capital Equipment. For stolen items, the local law enforcement agency must be contacted and a copy of the police report submitted to ADMINISTRATOR. 18.1.4To purchase a policy or policies of insurance covering loss or damage to any and all Capital Equipment purchased under this Agreement, in the amount of the full replacement value thereof, providing protection against the classification of fire, extended coverage, vandalism, malicious mischief and special extended perils (all risks) covering the parties' interests as they appear. 18.2 The purchase of any Capital Equipment by CONTRACTOR shall be requested in writing, shall require the prior written approval of ADMINISTRATOR, and shall fulfill the provisions of this Agreement which are appropriate and directly related to CONTRACTOR's service or activity under the terms of the Agreement. COUNTY may refuse reimbursement for any costs resulting from Capital Equipment purchased, which are incurred by CONTRACTOR, if prior written approval has not been obtained from ADMINISTRATOR. 18.3 No personal computers or any component thereof may be purchased with funds provided under this Agreement. (WAM0313) 25 of 48 25B-27 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 19. BREACH SANCTIONS Failure by CONTRACTOR to comply with any of the provisions, covenants, or conditions of this Agreement shall be a material breach of this Agreement. In such event ADMINISTRATOR may, in its sole discretion, and in addition to immediate termination and any other remedies available at law, in equity, or otherwise specified in this Agreement: 19.1 Afford CONTRACTOR a time period within which to cure the breach, which period shall be established at the sole discretion of ADMINISTRATOR; and/or 19.2 Discontinue reimbursement to CONTRACTOR for and during the period in which CONTRACTOR is in breach, which reimbursement shall not be entitled to later recovery; and/or 19.3 Offset against any monies billed by CONTRACTOR but yet unpaid by COUNTY those monies disallowed pursuant to Subparagraph 19.2 above. ADMINISTRATOR will give CONTRACTOR written notice of any action pursuant to this paragraph, which notice shall be deemed served on the date of mailing. 20. PAYMENTS 20.1 Maximum Contractual Obliaation: The total maximum obligation of COUNTY under this Agreement shall not exceed the amount of $1,600,000; the amount of $800,000 for July 1, 2013 through June 30, 2014 and the amount of $800,000 for July 1, 2014 through June 30, 2015, or actual allowable costs, whichever is less. 20.2 Allowable Costs: During the term of this Agreement, COUNTY shall pay (WAM0313) 26 of 48 25B-28 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 CONTRACTOR monthly in arrears, for actual allowable costs incurred and paid by CONTRACTOR pursuant to this Agreement, as defined in OMB Circular A-87 or as approved by ADMINISTRATOR. However, COUNTY, in its sole discretion, may pay CONTRACTOR for anticipated allowable costs that will be incurred by CONTRACTOR for June 2014 and June 2015, during the month of such anticipated expenditure. 20.3 Claims: 20.3.1 CONTRACTOR shall submit monthly reimbursement claims to be received by ADMINISTRATOR no later than the twentieth (20th) calendar day of the month for expenses incurred in the preceding month. In the event the twentieth (20th) calendar day falls on a weekend or COUNTY holiday, CONTRACTOR shall submit the claim the next business day. COUNTY holidays include New Year's Day, Martin Luther King Day, President Lincoln's Birthday, Presidents' Day, Memorial Day, Independence Day, Labor Day, Columbus Day, Veteran's Day, Thanksgiving Day, Friday after Thanksgiving, and Christmas Day. 20.3.2A11 reimbursement claims must be submitted on a form approved by ADMINISTRATOR. ADMINISTRATOR may require CONTRACTOR to submit supporting source documents with the monthly claim, including, inter alia, a monthly statement of services, general ledgers, supporting journals, time sheets, invoices, canceled checks, receipts, and receiving records, some of which may be required to be copied. Source documents that CONTRACTOR must submit shall be determined by ADMINISTRATOR and/or the COUNTY's Auditor-Controller. CONTRACTOR shall retain all (WAM0313) 27 of 48 (April 8, 2013) 25B-29 I 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 financial records in accordance with Paragraph 27 (Records, Inspections, and Audits) of this Agreement. 20.3.3Payments should be released by COUNTY within a reasonable time period of approximately thirty (30) days after receipt of a correctly completed claim form and required supporting documentation. 20.4 Year End and Final Claims: 20. Final through June 30, 2014, 2014 at 5:00 p.m. 20. Final through June 30, 2015, 2015 at 5:00 p.m. 20. Claims claims must be claims must be receivE for the received for the received ?d after term of July 1, 2013 no later than August 30, term of July 1, 2014 no later than August 30, the dates specified in Subparagraphs 20.4.1 and 20.4.2 may not be reimbursed. ADMINISTRATOR may, in its sole discretion, modify the date upon which the final claim per term must be received, upon written notice to CONTRACTOR. 20.4.4The basis for final settlement shall be the actual allowable costs as defined in Title 45 CFR and OMB Circular A-87, incurred and paid by CONTRACTOR pursuant to this Agreement; limited, however, to the maximum obligation of COUNTY. In the event that any overpayment has been made, COUNTY may offset the amount of the overpayment against the final payment. In the event overpayment exceeds the final payment, CONTRACTOR shall pay COUNTY all such sums within five (5) business days of notice from COUNTY. Nothing herein shall be construed as limiting the remedies of COUNTY in the event an overpayment has (WAM0313) 28 of 48 25B-30 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 been made. 20.5 Seventy-Five Percent Expenditure Notifications: 20.5.1 CONTRACTOR shall maintain a system of record keeping that will allow CONTRACTOR to determine when it has incurred seventy-five percent (750) of the total contract authorizations under this Agreement. Upon occurrence of this event, CONTRACTOR shall send written notification to ADMINISTRATOR. 21. OVERPAYMENTS Any payment(s) made by COUNTY to CONTRACTOR in excess of that to which CONTRACTOR is entitled under this Agreement shall be repaid to COUNTY, in accordance with any applicable regulations and/or policies in effect during the term of this Agreement, or as established by COUNTY procedure. Any overpayments made by COUNTY which result from a payment by any other funding source shall be repaid, at the discretion of ADMINISTRATOR, to COUNTY or the funding source. Unless earlier repaid, CONTRACTOR shall make repayment within thirty (30) days after the date of the final audit findings report and prior to any administrative appeal process. In the event an overpayment owing by CONTRACTOR is collected from COUNTY by the funding source, then CONTRACTOR shall reimburse COUNTY within thirty (30) days thereafter and prior to any administrative appeal process. CONTRACTOR agrees to pay all costs incurred by COUNTY necessary to enforce the provisions set forth in this paragraph. 22. OUTSTANDING DEBT CONTRACTOR shall have no outstanding debt with ADMINISTRATOR, or shall be in the process of resolving (WAM0313) 29 of 48 (April 8, 2013) 25B-31 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 outstanding debt to ADMINISTRATOR's satisfaction, prior to entering into and during the term of this Agreement. 23. REVENUE Whenever CONTRACTOR receives any money specifically designated for use in programs funded through this Agreement, such monies shall be considered a cost off-set and treated as a reduction against the amount claimed by CONTRACTOR, except for Program Income as defined in Title 45 CFR Section 92.25, as that section currently exists or may be hereafter amended. The procedure for designating money as Program Income is set forth in Paragraph 24 of this Agreement. 24. PROGRAM INCOME It is mutually understood that the State or Federal agency responsible for providing the funding for this Agreement may designate certain revenue of CONTRACTOR as Program Income. To be designated as Program Income and, therefore, as other than a cost off-set, CONTRACTOR shall do all of the following: 24.1 Submit a plan to ADMINISTRATOR for the use of any and all proposed Program Income; 24.2 Set up and maintain a separate bank account for any proposed Program Income and account for any and all such income received; and 24.3 Report to ADMINISTRATOR any and all Program Income received no later than thirty (30) days from the date of receipt, record the amount received on internal financial records, and indicate the amount received on the monthly claim submitted to ADMINISTRATOR. 24.4 ADMINISTRATOR will then forward the plan for the (WAM0313) 30 of 48 25B-32 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 requested use of the proposed Program Income to the appropriate State and/or Federal agencies for approval. 24.5 CONTRACTOR shall not spend any of the proposed Program Income unless or until such time as ADMINISTRATOR obtains authorization for the use of the Program Income from the responsible State and/or Federal agency and provides CONTRACTOR with prior written approval for the use of the funds. 24.6 ADMINISTRATOR may, in its sole discretion, issue future policy statements and/or instructions with respect to Program Income. CONTRACTOR shall immediately comply with such policy statements and/or instructions. 25. FINAL REPORT CONTRACTOR shall complete and submit to ADMINISTRATOR a final report within sixty (60) days after the termination of this Agreement, which shall summarize the activities and services provided by CONTRACTOR during the term of this Agreement. CONTRACTOR and ADMINISTRATOR may mutually agree in writing to modify the date upon which the final report must be submitted. 26. INDEPENDENT AUDIT 26.1 CONTRACTOR shall employ a licensed certified public accountant who shall prepare and file with ADMINISTRATOR an annual organization-wide audit of related expenditures during the term of this Agreement in compliance with the OMB Circular A-133, Audits of States, Local Governments and Non-Profit Organizations. The audit must be performed in accordance with generally accepted government auditing standards and OMB Circular A-87. 26.2 It is mutually understood that CONTRACTOR's organization-wide audit covers fiscal years beginning July 1 and (WAM0313) 31 of 48 (April 8, 2013) 25B-33 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 ending June 30. CONTRACTOR agrees to provide ADMINISTRATOR with a copy of its organization-wide audit for the period July 1, 2013, through June 30, 2014, by August 30, 2014. CONTRACTOR further agrees to provide ADMINISTRATOR with copies of its organization-wide audits for the period July 1, 2014, through June 30, 2015, by August 30, 2015. Failure to provide a copy of the organization-wide audits, for the period July 1, 2013, through June 30, 2015, shall be sufficient cause for ADMINISTRATOR, in its sole discretion, to deny payment under this or any subsequent Agreement with CONTRACTOR until such time as the required audits are provided to ADMINISTRATOR. ADMINISTRATOR may, in its sole discretion, modify the date upon which the organization-wide audits must be received, upon notice to CONTRACTOR. 27. RECORDS, INSPECTIONS AND AUDITS 27.1 Financial Records: 27. 1. 1 CONTRACTOR shall prepare and maintain accurate and complete financial records. Financial records shall be retained, by CONTRACTOR, for a minimum of five (5) years from the date of final payment under this Agreement or until all pending COUNTY, State and Federal audits are completed, whichever is later. 27.1.2 CONTRACTOR shall establish and maintain reasonable accounting, internal control and financial reporting standards in conformity with generally accepted accounting principles established by the American Institute of Certified Public Accountants and to the satisfaction of ADMINISTRATOR. 27.2 Participant Records: (WAM0313) 32 of 48 (April 8, 2013) 25B-34 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 27.2.1 CONTRACTOR shall prepare and maintain accurate and complete records of participants served and dates and type of services provided under the terms of this Agreement in a form acceptable to ADMINISTRATOR. 27. All participant records related to services provided under the terms of this Agreement shall be retained by CONTRACTOR for a minimum of five (5) years from the date of final payment under this Agreement or until all pending COUNTY, State, and Federal audits are completed, whichever is later. Notwithstanding anything to the contrary, upon termination of this Agreement, CONTRACTOR shall relinquish control with respect to participant records to COUNTY in accordance with Subparagraph 44.2. 27.2.3 COUNTY may refuse payment for a claim if participant records are determined by COUNTY to be incomplete or inaccurate. In the event participant records are determined to be incomplete or inaccurate after payment has been made, COUNTY may treat such payment as an overpayment within the provisions of this Agreement. 27.3 Public Records: With the exception of participant records or other records referenced in Paragraph 32, entitled Confidentiality, all records, including but not limited to, reports, audits, notices, claims, statements and correspondence, required by this Agreement may be subject to public disclosure. COUNTY will not be liable for any such disclosure. 27.4 Inspections and Audits: 27.4.1The U.S. Department of Health and Human (WAM0313) 33 of 48 25B-35 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Services, Comptroller General of the United States, Director of CDSS, State Auditor-General, ADMINISTRATOR, COUNTY's Auditor- Controller and Internal Audit Department, or any of their authorized representatives, shall have access to any books, documents, papers and records, including medical records, of CONTRACTOR which any of them may determine to be pertinent to this Agreement for the purpose of financial monitoring. Further, all the above mentioned persons have the right at all reasonable times to inspect or otherwise evaluate the work performed or being performed under this Agreement and the premises in which it is being performed. 27. 4.2 CONTRACTOR shall make available its books and financial records within the borders of Orange County within ten (10) days after receipt of written demand by ADMINISTRATOR. 27.4.3In the event CONTRACTOR does not make available its books and financial records within the borders of Orange County, CONTRACTOR agrees to pay all necessary and reasonable expenses incurred by COUNTY, or COUNTY's designee, necessary to obtain CONTRACTOR's books and financial records. 27.4.4 CONTRACTOR shall pay to COUNTY the full amount of COUNTY' s liability to the State or Federal government or any agency thereof resulting from any disallowances or other audit exceptions to the extent that such liability is attributable to CONTRACTOR's failure to perform under this Agreement. 27.5 Evaluation Studies: CONTRACTOR shall participate as requested by COUNTY in research and/or evaluative studies designed to show the effectiveness and/or efficiency of CONTRACTOR's services or (WAM0313) 34 of 48 (April 8, 2013) 25B-36 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 provide information about CONTRACTOR's project 28. PERSONNEL DISCLOSURE 28.1 CONTRACTOR shall make available to ADMINISTRATOR a current list of all personnel providing services hereunder, including resumes and job applications. Changes to the list will be immediately provided to ADMINISTRATOR in writing, along with a copy of a resume and/or job application. The list shall include: 28.1.1Names of all full or part-time personnel by title, including volunteer personnel, whose direct services are required to provide the programs described herein; 28.1.2A brief description of the functions of each position and the hours each person works each week; or for part- time personnel, each day or month, as appropriate; 28. The professional degree, if applicable, and experience required for each position; and 28. The language skill, if applicable, for all personnel. 28.2 CONTRACTOR's employment applications shall require applicants to provide detailed information regarding the conviction of a crime by any court, for offenses other than minor traffic offenses. Information not disclosed in the employment application discovered subsequent to the hiring or promotion of any applicant shall be cause for termination of that employee. 28.3 Where authorized by law, CONTRACTOR shall conduct, at no cost to the COUNTY, criminal record background checks on all employees and/or volunteers who will provide services under this Agreement. Candidates will satisfy background checks consistent with and comparable to those required for COUNTY employees. (WAM0313) 35 of 48 25B-37 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 28.4 CONTRACTOR warrants that all persons employed or otherwise assigned by CONTRACTOR to provide services under this Agreement have satisfactory past work records and/or reference checks indicating their ability to perform the required duties and accept the kind of responsibility anticipated under this Agreement. CONTRACTOR shall maintain records of background investigations and reference checks undertaken and coordinated by CONTRACTOR for each employee and/or volunteer assigned to provide services under this Agreement for a minimum of five (5) years from the date of final payment under this Agreement or until all pending COUNTY, State and Federal audits are completed, whichever is later, in compliance with all applicable laws. 28.5 CONTRACTOR shall immediately notify ADMINISTRATOR concerning the arrest and/or subsequent conviction, for offenses other than minor traffic offenses, of any paid employee and/or volunteer staff performing services under this Agreement, when such information becomes known to CONTRACTOR. ADMINISTRATOR, in its sole discretion, may determine whether such employee and/or volunteer may continue to provide services under this Agreement and shall provide notice of such determination to CONTRACTOR in writing. CONTRACTOR's failure to comply with ADMINISTRATOR's decision shall be deemed a material breach of this Agreement, pursuant to Paragraph 19 above. 28.6 COUNTY has the right to approve or disapprove all of CONTRACTOR's staff performing work hereunder and any proposed changes in CONTRACTOR's staff, including, but not limited to, CONTRACTOR's One Stop Manager. 28.7 COUNTY shall have the right, at its sole discretion, to (WAM0313) 36 of 48 (April 8, 2013) 25B-38 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 require CONTRACTOR to remove any employee from the performance of services under this Agreement. At the request of COUNTY, CONTRACTOR shall immediately replace said personnel. 28.8 CONTRACTOR shall notify COUNTY immediately when staff is terminated for cause from working on this Agreement. 28.9 Disqualification, if any, of CONTRACTOR staff, pursuant to Paragraph 28, shall not relieve CONTRACTOR of its obligation to complete all work in accordance with the terms and conditions of this Agreement. 29. EMPLOYMENT ELIGIBILITY VERIFICATION As applicable, CONTRACTOR warrants that it fully complies with all Federal and State statutes and regulations regarding the employment of aliens and others and that all its employees performing work under this Agreement meet the citizenship or alien status requirement set forth in Federal statutes and regulations. CONTRACTOR shall obtain, from all employees performing work hereunder, all verification and other documentation of employment eligibility status required by Federal or State statutes and regulations including, but not limited to, the Immigration Reform and Control Act of 1986, 8 U.S.C. §1324 et seq., as they currently exist and as they may be hereafter amended. CONTRACTOR shall retain all such documentation for all covered employees for the period prescribed by the law. CONTRACTOR shall indemnify, defend with counsel approved in writing by COUNTY, and hold harmless, COUNTY, its agents, officers, and employees from employer sanctions and any other liability which may be assessed against CONTRACTOR or COUNTY or both in connection with any alleged violation of any (WAM0313) 37 of 48 25B-39 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Federal or State statutes or regulations pertaining to the eligibility for employment of any persons performing work under this Agreement. 30. CHILD AND DEPENDENT ADULT/ELDER ABUSE REPORTING CONTRACTOR shall establish a procedure acceptable to ADMINISTRATOR to ensure that all employees, volunteers, consultants, or agents performing services under this Agreement report child abuse or neglect to one of the agencies specified in Penal Code Section 11165.9 and dependent adult or elder abuse as defined in Section 15610.07 of the WIC to one of the agencies specified in WIC Section 15630. CONTRACTOR shall require such employee, volunteer, consultant or agent to sign a statement acknowledging the child abuse reporting requirements set forth in Sections 11166 and 11166.05 of the Penal Code and the dependent adult and elder abuse reporting requirements as set forth in Section 15630 of the WIC and will comply with the provisions of these code sections as they now exist or as they may hereafter be amended. 31. NOTICE TO EMPLOYEES REGARDING THE SAFELY SURRENDERED BABY LAW CONTRACTOR shall notify and provide to its employees, a fact sheet regarding the Safely Surrendered Baby Law, its implementation in Orange County, and where and how to safely surrender a baby. The fact sheet is available on the Internet at www.babysafe.ca.gov for printing purposes. The information shall be posted in all reception areas where clients are served. 32. CONFIDENTIALITY 32.1 CONTRACTOR agrees to maintain the confidentiality of (WAM0313) 38 of 48 (April 8, 2013) 25B-40 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 its records pursuant to WIC Sections 10850-10853, the CDSS MPP, Division 19-000, and all other provisions of law, and regulations promulgated thereunder relating to privacy and confidentiality, as each may now exist or be hereafter amended. 32.2 All records and information concerning any and all persons referred to CONTRACTOR by COUNTY or COUNTY's designee shall be considered and kept confidential by CONTRACTOR, CONTRACTOR's staff, agents, employees, and volunteers. CONTRACTOR shall require all of its employees, agents, subcontractors and volunteer staff who may provide services for CONTRACTOR under this Agreement to sign an agreement with CONTRACTOR before commencing the provision of any such services, to maintain the confidentiality of any and all materials and information with which they may come into contact, or the identities or any identifying characteristics or information with respect to any and all participants referred to CONTRACTOR by COUNTY, except as may be required to provide services under this Agreement or to those specified in this Agreement as having the capacity to audit CONTRACTOR, and as to the latter, only during such audit. CONTRACTOR shall comply with any audits specified in Paragraph 27, provide reports and any other information required by COUNTY in the administration of this Agreement, and as otherwise permitted by law. 32.3 CONTRACTOR shall inform all of its employees, agents, subcontractors, volunteers and partners of this provision and that any person knowingly and intentionally violating the provisions of said State law may be guilty of a crime. 32.4 CONTRACTOR agrees that any and all subcontracts entered (WAM0313) 39 of 48 25B-41 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 into shall be subject to the confidentiality requirements of this Agreement. 33. COPYRIGHT ACCESS The U.S. Department of Health and Human Services, the CDSS, and COUNTY will have a royalty-free, nonexclusive and irrevocable license to publish, translate, or use, now and hereafter, all material developed under this Agreement including those covered by copyright. 34. WAIVER No delay or omission by either party hereto to exercise any right or power accruing upon any noncompliance or default by the other party with respect to any of the terms of this Agreement shall impair any such right or power or be construed to be a waiver thereof. A waiver by either of the parties hereto of any of the covenants, conditions, or agreements to be performed by the other shall not be construed to be a waiver of any succeeding breach thereof or of any other covenant, condition or agreement herein contained. 35. PETTY CASH CONTRACTOR is authorized to establish a petty cash fund in an amount not to exceed two hundred and fifty dollars ($250.00). 36. PUBLICITY 36.1 Information and solicitations, prepared and released by CONTRACTOR, concerning the services provided under this Agreement shall state that the program, wholly or in part, is funded through COUNTY, State and Federal government funds. 36.2 CONTRACTOR shall not disclose any details in connection with this Agreement to any person or entity except as may be (WAM0313) 40 of 48 (April 8, 2013) 25B-42 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 otherwise provided hereunder or required by recognizing CONTRACTOR's need to identify related clients to sustain itself, COUNTY CONTRACTOR from publishing its role under th the following conditions: 36.2. 1 CONTRACTOR shall develop all in a professional manner; and 36.2.2During the term of this Agreement, CONTRACTOR shall not, and shall not authorize another to, publish or disseminate any commercial advertisements, press releases, feature articles, or other materials using the name of COUNTY without the prior written consent of COUNTY. COUNTY shall not unreasonably withhold written consent. 37. COUNTY RESPONSIBILITIES ADMINISTRATOR will provide consultation and technical assistance, and will monitor performance of CONTRACTOR in meeting the terms of this Agreement. 38. REFERRALS CONTRACTOR shall provide services to individuals referred by ADMINISTRATOR. law. However, in its services and shall not inhibit is Agreement within publicity material 39. REPORTS CONTRACTOR shall provide information deemed necessary by ADMINISTRATOR to complete any State-required reports related to the services provided under this Agreement. CONTRACTOR shall maintain records and submit reports containing such data and information regarding the performance of CONTRACTOR's services, costs or other data relating to this Agreement, as may be requested by ADMINISTRATOR, upon a form (WAM0313) 41 of 48 25B-43 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 approved by ADMINISTRATOR. ADMINISTRATOR may modify the provisions of this paragraph upon written notice to CONTRACTOR. 40. ENERGY EFFICIENCY STANDARDS As applicable, CONTRACTOR shall comply with the mandatory standards and policies relating to energy efficiency in the State Energy Conservation Plan (Title 24, CCR). 41. ENVIRONMENTAL PROTECTION STANDARDS CONTRACTOR shall be in compliance with Section 306 of the Clean Air Act [Title 42 USC Section 1857(h)], Section 508 of the Clean Water Act (Title 33 USC Section 1368), Executive Order 11738 and Environmental Protection Agency, hereinafter referred to as "EPA," regulations (Title 40 CFR Part 15), as any may now exist or be hereafter amended. Under these laws and regulations, CONTRACTOR assures that: 41.1 No facility to be utilized in the performance of the proposed grant has been listed on the EPA List of Violating Facilities; 41.2 It will notify COUNTY prior to award of the receipt of any communication from the Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be utilized for the grant is under consideration to be listed on the EPA List of Violating Facilities; and 41.3 It will notify COUNTY and the EPA about any known violation of the above laws and regulations. 42. CERTIFICATION AND DISCLOSURE REGARDING PAYMENTS TO INFLUENCE CERTAIN FEDERAL TRANSACTIONS CONTRACTOR shall be in compliance with Section 319 of Public Law 101-121 pursuant to Title 31 USC Section 1352 and the (WAM0313) 42 of 48 (April 8, 2013) 25B-44 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 guidelines with respect to those provisions set down by the OMB and published in the Federal Register dated December 20, 1989, Volume 54, No. 243, pp. 52306-52332. Under these laws and regulations, it is mutually understood that any contract which utilizes Federal monies in excess of $100,000 must contain and CONTRACTOR must comply with the following provisions: A. The definitions and prohibitions contained in the clause at Federal Acquisition Regulation 52.203-12, Limitation on Payments to Influence Certain Federal Transactions, included in this solicitation, are hereby incorporated by reference in paragraph (B) of this certification. B. The offeror, by signing its offer, hereby certifies to the best of his or her knowledge and belief as of December 23, 1989, that 1) No 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 on his or her behalf 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 (including profit or fee received under a covered Federal transaction) have been paid, or will be paid, to any person for influencing or attempting to influence an officer or employee of (WAM0313) 43 of 48 25B-45 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress on his or her behalf in connection with this solicitation, the offeror shall complete and submit, with its offer, OMB standard form LLL, Disclosure of Lobbying Activities, to the Contracting officer; and 3) He or she will include the language of this certification in all subcontract awards at any tier and require that all recipients of subcontract awards in excess of $100,000 shall certify and disclose accordingly. C. Submission of this certification and disclosure is a prerequisite for making or entering into this Agreement imposed by Section 1352, Title 31, USC. Any person who makes an expenditure prohibited under this provision or who fails to file or amend the disclosure form to be filed or amended by this provision, shall be subject to a civil penalty of not less than $10,000, and not more than $100,000, for each such failure. 43. POLITICAL ACTIVITY CONTRACTOR agrees that the funds provided herein shall not be used to promote, directly or indirectly, any political party, political candidate or political activity, except as permitted by law. 44. TERMINATION PROVISIONS 44.1 ADMINISTRATOR may terminate this Agreement without penalty immediately with cause or after thirty (30) days written notice without cause, unless otherwise specified. Notice shall be deemed served on the date of mailing. Cause shall be defined as any breach of contract, any misrepresentation or fraud on the (WAM0313) 44 of 48 (April 8, 2013) 25B-46 1 2 3 4 5 6 7 8 9 1.0 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 part of CONTRACTOR. Exercise by ADMINISTRATOR of the right to terminate this Agreement shall relieve COUNTY of all further obligations under this Agreement. 44.2 Upon termination, or notice thereof, CONTRACTOR agrees to cooperate with ADMINISTRATOR in the orderly transfer of service responsibilities, active case records, and pertinent documents. 44.3 The obligations of COUNTY under this Agreement are contingent upon the availability of Federal and/or State funds, as applicable, for the reimbursement of CONTRACTOR's expenditures, and inclusion of sufficient funds for the services hereunder in the budget approved by the Orange County Board of Supervisors each fiscal year this Agreement remains in effect or operation. In the event that such funding is terminated or reduced, ADMINISTRATOR may immediately terminate this Agreement, reduce COUNTY's maximum obligation, or modify this Agreement, without penalty. The decision of ADMINISTRATOR will be binding on CONTRACTOR. ADMINISTRATOR will provide CONTRACTOR with written notification of such determination. CONTRACTOR shall immediately comply with ADMINISTRATOR's decision. 44.4 If any provision of this Agreement or the application thereof is held invalid, the remainder of this Agreement shall not be affected thereby. 45. GOVERNING LAW AND VENUE This Agreement has been negotiated and executed in the State of California and shall be governed by and construed under the laws of the State of California. In the event of any legal action to enforce or interpret this Agreement, the sole and (WAM0313) 45 of 48 25B-47 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 exclusive venue shall be a court of competent jurisdiction located in Orange County, California, and the parties hereto agree to and do hereby submit to the jurisdiction of such court, notwithstanding Code of Civil Procedure Section 394. Furthermore, the parties specifically agree to waive any and all rights to request that an action be transferred for trial to another county. 46. SIGNATURE IN COUNTERPARTS The parties agree that separate copies of this Agreement may be signed by each of the parties and this Agreement will have the same force and effect as if the original had been signed by all the parties. (WAM0313) 46 of 48 25B-48 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 (WAM0313) 47 of 48 (April 8, 2013) 25B-49 1 2 3 4 5 6 7 8 9 10 1.1 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 WHEREFORE, the parties hereto have executed this Agreement in the County of Orange, California. By: Dated: Attest: By: KEVIN O'ROURKE INTERIM CITY MANAGER OF SANTA ANA MARIA D. HUIZAR CLERK OF THE COUNCIL By: COUNTY OF ORANGE CHAIR OF THE BOARD OF SUPERVISORS Dated: APPROVED AS TO FORM; By: LISA STORCK ASSISTANT CITY ATTORNEY SIGNED AND CERTIFIED THAT A COPY OF THIS DOCUMENT HAS BEEN DELIVERED TO THE CHAIR OF THE BOARD PER G.C. SEC. 25103, RESO 79-1535 ATTEST: Clerk of the Board of Supervisors Orange County, California APPROVED AS TO FORM COUNTY COUNSEL COUNTY OF ORANGE, CALIFORNIA By: DEPUTY Dated: (WAM0313) 48 of 48 25B-50 (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 II 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 EXHIBIT A TO AGREEMENT BETWEEN COUNTY OF ORANGE AND CITY OF SANTA ANA FOR THE PROVISION OF VOCATIONAL TRAINING ACTIVITIES AND WORK EXPERIENCE 1. PROGRAM OBJECTIVE AND GOALS It is mutually understood that the primary objective of the CalWORKS program is to promote family well-being by enhancing employability, of participants through preparatory activities and placement in paying jobs, with appropriate support where they will earn enough, or consistently progress toward enough earnings, to be considered self-sufficient and leave the program within State provisions. 1.1 CONTRACTOR shall provide Vocational Training (VTR) and Work Experience (WEX) activities to participants to prepare them for unsubsidized employment. 1.2 CONTRACTOR shall meet each of the following goals throughout the term of this Agreement: 1.2.1 VTR Enrollments: Eighty percent (800) of all participants, referred per Subparagraph 2 of this Exhibit A to this Agreement shall be enrolled in VTR activities. 1.2.2 WEX Enrollments: Eighty percent (80o) of all participants referred per Subparagraph 2 of this Exhibit A to (WAM0313) 1 of 22 (April 8, 2013) 25B-51 I 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 this Agreement shall be enrolled in WEX activities. 1.2.3 VTR Completion Rate: Seventy percent (700) of participants enrolled in VTR activities will complete the activities per the WTW staff referral. 1.2.4 WEX Completion Rate: Seventy percent (700) of participants placed at a WEX worksite will complete the program per the WTW staff referral. 1.2.5 VTR Employment Rate: Sixty percent (60%) of CalWORKs WTW participants who attend VTR activities will obtain unsubsidized employment within thirty (30) calendar days of completing VTR activities. Employment will be verified on a format approved by ADMINISTRATOR. 1.2.6 WEX Employment Rate: Sixty percent (60%) of CalWORKs WTW participants who attend WEX activities will obtain unsubsidized employment within thirty (30) calendar days of completing WEX activities. Employment will be verified on a format approved by ADMINISTRATOR. 2. POPULATION TO BE SERVED 2.1 Participants who meet all of the following criteria may be referred for VTR and WEX activities, per SSA policy: 2.1.1 Meet all eligibility requirements of the VTR activity; 2.1.2 Are deemed suitable for the activity by WTW Staff; and 2.1.3 Have not obtained unsubsidized employment sufficient to meet minimum required hours of WTW participation; and 2.1.4 Have significant barriers to secure employment; (WAM0313) 2 of 22 (April 8, 2013) 25B-52 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 and 2.1.5 Have completed a Vocational Assessment; and 2.1.6 Continue to meet CalWORKs financial eligibility criteria; and 2.1.7 Reside in Orange County. 2.2 CONTRACTOR agrees to provide services to participants referred to CONTRACTOR by ADMINISTRATOR under this Agreement. All participants referred to VTR activities must meet all eligibility requirements of the VTR activity. 2.3 CONTRACTOR shall not refuse participants without discussion and concurrence by WTW staff prior to any action to minimize issues that impede participants' ability to complete VTR activities. 3. SERVICES 3.1 CONTRACTOR shall engage participants for the number of hours as referred by WTW staff. 3.2 Individual CalWORKs WTW participation requirements are currently as follows and are subject to change according to State and Federal mandates: 3.2.1 One (1) Parent Assistance Unit: A. Twenty (20) hours per week for single parents with a child under six (6) years old. B. Thirty (30) hours per week for single parents without a child under six (6) years old. 3.2.2 Two (2) Parent Assistance Unit: A. Thirty-five (35) hours per week for two (2) parent Assistance Units. One (1) parent can satisfy the total thirty-five (35) hour requirement. If both parents contribute to (WAM0313) 3 of 22 (April 8, 2013) 25B-53 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 the thirty-five (35) hour requirement then at least one parent shall participate a minimum of twenty (20) hours per week. 3.3 VTR is a temporary, transitional, and short-term educational activity, not to exceed twelve (12) months, to prepare participants for employment in a specific trade, occupation, or vocation. Due to the WTW twenty-four (24) Month Time Clock, the VTR twelve (12) month lifetime limit has been extended an additional twenty-four (24) months, not to exceed a total of thirty-six (36) months, with prior approval from the SSA Program Manager. VTR activities must be provided by vocational- technical schools, postsecondary institutions or proprietary schools. VTR activities shall be made available to participants in areas identified as growth oriented, current or emerging occupation, meeting an unmet community need, and in high demand for new employees. VTR activities shall include, but not be limited to, the following: 3.3.1 Certified Nurse's Assistant 3.3.2 Office Technology 3.3.3 Child Care Provider 3.3.4 Medical Liens Collections 3.3.5 Health Care careers 3.3.6 Hospitality 3.3.7 Protective Services 3.3.8 Transportation 3.4 WEX is a planned, structured learning experience that occurs in the workplace for a limited period not to exceed four (4) months in length. The WEX work site may include public or private, for-profit or nonprofit organizations. WEX is a post- (WAM0313) 4 of 22 (April 8, 2013) 25B-54 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 assessment activity designed to provide the participant exposure to work environments. Under close supervision, WEX activities provide basic job skills and enhance existing job skills and work experience while meeting an identified community need. 3.5 CONTRACTOR shall be reimbursed by COUNTY for one hundred percent (1000) of the salary and benefits paid to each WEX participant. CONTRACTOR shall pay WEX participants at a rate not to exceed eight dollars ($8.00) per hour, or prevailing California Minimum Wage, for each hour worked, not to exceed the total number of hours referred by WTW staff. At the end of the training period it is generally expected that the employer will hire the participant as a regular employee. 3.6 CONTRACTOR shall obtain prior approval from ADMINISTRATOR for all VTR and WEX activities provided under this Agreement. 4. CONTRACTOR RESPONSIBILITIES CONTRACTOR shall; 4.1 Assign a SA WIB CM who will work closely with each participant and develop a relationship to understand the participant's needs, assess career goals, and arrange an appropriate VTR or WEX activity. 4.2 Discuss and obtain concurrence with WTW staff prior to returning participant for identified barriers /noncooperation to minimize issues that impede participants' ability to complete the VTR or WEX activity. 4.3 Provide an orientation to VTR and WEX activities to all participants. (WAM0313) 5 of 22 (April 8, 2013) 25B-55 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 4.4 Provide workshops that will enhance participants' success on the job, empower participants to manage conflict and change at the workplace, and assist participants in discovering opportunities for growth and development at any job. 4.5 Provide training, case management, and coaching to assist the participant in order to address barriers, ensure completion of VTR/WEX program, and assist in obtaining employment. 4.6 Work with and motivate difficult to place participants who have multiple barriers, which may include a resistance to program participation. 4.7 Provide services to meet ethnic diversity in a manner sensitive to individual with literacy, language and sociocultural issues that demonstrate language or cultural barriers to employment, including resistance to pursuing employment in occupation s that may be perceived as nontraditional. 4.8 Resolve attitudinal barriers toward obtaining and retaining employment, such as fear of going to work, anger and resentment from being required to participate, low self- esteem/motivation, problems with public transportation, and child care concerns. 4.9 Assign participant to an appropriate VTR or WEX activity based on the participant's vocational assessment, experience and interest within seven (7) business days from the date of the referral, unless otherwise directed by ADMINISTRATOR. 4.10 Monitor the progress of all participants by meeting every two (2) weeks, or more often if needed, with the participant and the training facility or work site to discuss (WAM0313) 6 of 22 (April 8, 2013) 25B-56 1 2 3 4 5 6 7 8 9 10 II 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 action steps needed to successfully complete the program. 4.11 Use positive reinforcement techniques and ensure participants are aware that their assignment is being closely monitored. 4.12 Refer participants' supportive services needs, such as food, transportation, housing, mental health and substance abuse issues, legal assistance, and clothing, to WTW staff for assistance. 4.13 Maintain a case file for each participant served under this Agreement in each VTR and WEX activity in a format approved by ADMINISTRATOR. The case file will include, but not be limited to, the following: 4.13.lInitial referral form. 4.13.2 Documentation of all correspondence in regards to the participant's participation in VTR or WEX activities, including any correspondence involving any subcontractors. 4.13.3 Participant attendance records. 4.13.4 Documentation, including dates, of any problem occurrences reported by the VTR or WEX work site. 4.13.5All correspondence related to anv Workers' Compensation injury. 4.14 Develop relationships with local businesses by networking and developing work sites for WEX participants. 4.15 Develop appropriate training and WEX sites in the community, monitor participant's attendance, and communicate participant and attendance issues with WTW staff, as determined by ADMINISTRATOR. 4.16 Attend meetings as requested by ADMINISTRATOR. (WAM0313) 7 of 22 (April 8, 2013) 25B-57 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 4.17 Cooperate with ADMINISTRATOR with respect to sanctions applied to participants in the event of participant non- cooperation. This may include testifying at participant non- compliance hearings. 4.18 Provide internal forms that are not mandated by ADMINISTRATOR or by program requirements for review and approval by ADMINISTRATOR prior to implementation. 4.19 Ensure that all services provided to participants under this Agreement are conducted in a manner sensitive to literacy, language, and socio-cultural issues that may impact participants. CONTRACTOR's staff shall be trained in cultural differences to ensure their ability to recognize and assist participants who demonstrate language or cultural barriers to employment, including resistance to participation in Vocational Training activities (VTR) and Work Experience (WEX). CONTRACTOR shall employ staff who will provide services in the participant's language or obtain interpreters when necessary. 5. PRINCIPLES CONTRACTOR shall ensure that the delivery of services is based on the following principles: 5.1 Opportunities shall be maximized to provide integrated, coordinated and easily accessible resources for participants; 5.2 Services shall be family-friendly and family-centered; 5.3 Services shall be community-based and provide integrated services that coordinate Federal, State and community funding opportunities; 5.4 Participants' strengths shall be identified, utilizing motivational and strength-based techniques; and (WAM0313) 8 of 22 (April 8, 2013) 25B-58 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 5.5 Services shall be outcome-driven and identify indicators that accurately reflect progress towards stated goals. 6. OUTSIDE CONTACTS 6.1 CONTRACTOR shall immediately inform ADMINISTRATOR of any inquiry from an elected official, their representative, participant advocate, or the press, and immediately provide information to ADMINISTRATOR for assistance in coordinating a response. 6.2 CONTRACTOR shall consult with ADMINISTRATOR prior to initiating contact with an elected official, their representative, participant advocate, or the press regarding programs provided under this contract. 7. FACILITIES 7.1 It is mutually understood that VTR and WEX activities shall be provided at a variety of facilities/work sites throughout Orange County, as defined by CONTRACTOR. It is mutually understood that participants will be referred to CONTRACTOR at the following facility: Santa Ana WORK Center 1000 E. Santa Ana Blvd., Suite 200 Santa Ana, CA 92701 7.2 Participants will have access to the Santa Ana WORK Center where they can access a wide variety of resources including labor market information and job vacancy listings. They will also have full access to computers with Internet connectivity, telephones, faxes, and copy machines. 7.3 CONTRACTOR and ADMINISTRATOR may mutually agree in writing to add, change, modify, or delete facility locations as necessary to best serve the needs of participants and (WAM0313) 9 of 22 (April 8, 2013) 25B-59 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 ADMINISTRATOR. 8. REPORTING REQUIREMENTS 8.1 CONTRACTOR shall maintain records, collect data, and provide reports mandated by Federal and State governments and as may be required by ADMINISTRATOR. Reporting requirements shall include all reports and data collection that is required to track goals and report progress as noted in Paragraph 1 of this Exhibit A to this Agreement. 8.2 Reports of problems, including attendance issues, achievements, or other inquiries about VTR/WEX activities shall be addressed immediately with the affected participant and employer/instructor; CONTRACTOR shall inform WTW staff within twenty-four (24) hours, through verbal or electronic communication, which will allow for quick intervention and results oriented action to address the issue with the participant. 8.3 CONTRACTOR shall report each participant's monthly attendance and progress, including achievements, to WTW staff by the tenth (10th) calendar day of the following month in a report format approved by ADMINISTRATOR. 8.4 CONTRACTOR shall provide, by the tenth (10th) calendar day of each month, a status report for the preceding month, in a format approved by ADMINISTRATOR. The monthly status report shall identify, but not be limited to, the following: 8.4.1 Referrals received 8.4.2 Participants enrolled 8.4.3 Participants referred back to ADMINISTRATOR for non-attendance (WAM0313) 10 of 22 (April 8, 2013) 25B-60 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 8.4.4 Participants disenrolled by WTW staff 8.4.5 Participants carried forward from previous month 8.4.6 Completions of VTR/WEX activity 8.4.7 Placements in unsubsidized employment 8.4.8 Average wage 8.4.9 Complaints received 9. PERFORMANCE MONITORING AND REVIEW 9.1 CONTRACTOR's performance will be monitored and reviewed by ADMINISTRATOR. CONTRACTOR shall cooperate and assist ADMINISTRATOR in monitoring performance. ADMINISTRATOR will conduct case reviews as part of an on-going evaluation of CONTRACTOR's performance. 9.2 ADMINISTRATOR may use a variety of inspection methods to evaluate CONTRACTOR's performance, including but not limited to: 9.2.1 Random sampling of program activities including a review of case files each month; 9.2.2 Activity checklists and random observations; 9.2.3 Inspect output items on a periodic basis as deemed necessary; 9.2.4 Computer Information System reported results; 9.2.5 Participants' complaints and/or participants' questionnaires; and 9.2.6 Service provider complaints or reports. 9.3 CONTRACTOR may require corrective action plans when it is determined that services are performed unsatisfactorily during the review period. CONTRACTOR shall remedy the performance defects within the time period specified in the corrective action (WAM0313) 11 of 22 (April 8, 2013) 25B-61 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 plan. 9.4 Performance evaluation meetings will be conducted by ADMINISTRATOR as necessary. 9.5 CONTRACTOR shall cooperate with ADMINISTRATOR in providing the information necessary for monitoring this Agreement, and with authorized State or Federal representatives who may audit WTW Program services. 10. QUALITY CONTROL 10.1 CONTRACTOR shall maintain a complete internal Quality Control Plan to ensure that the requirements of this Agreement are met. The Quality Control Plan shall include, but not be limited to: 10. 1. 1 Activities to be inspected on either a scheduled or unscheduled basis, how often inspections will be accomplished, and the title of the individual(s) who will perform the inspections; 10.1.2Specific methods to identify and prevent deficiencies in the quality of service performed, prior to unacceptable performance levels; 10.1.3Method for continuing services in the event of a strike of CONTRACTOR's employees or a natural disaster; and 10.1.4Maintenance of all inspection files and, if necessary, corrective action taken. 10.2 CONTRACTOR shall cooperate with any third party audit or inspections as required by ADMINISTRATOR or other COUNTY, State or Federal agency. 11. WELFARE FRAUD 11.1 CONTRACTOR shall report to the appropriate CalWORKs WTW I (WAM0313) 12 of 22 (April 8, 2013) 25B-62 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 staff, when eligibility or supportive services payment fraud is suspected, either by the participant or a service provider. 12. HANDLING COMPLAINTS CONTRACTOR shall develop, operate, and maintain procedures for receiving, investigating, and responding to service providers and participant complaints, including Civil Rights complaints against direct service providers made by participants, requests for State Hearings and formal grievances, requests for COUNTY reviews, and other complaints relating to VTR activities and WEX. 12.1 ADMINISTRATOR shall be notified immediately of all Civil Rights complaints. 12.2 With respect to any complaints made by participants, CONTRACTOR shall identify issues with potential legal implications, and review any such cases with ADMINISTRATOR prior to responding to the complaints. 12.3 CONTRACTOR shall maintain a log for identification and response to participants' complaints. When complaints cannot be resolved informally, a system of follow-through shall be instituted which adheres to formal plans for specific actions and response to complaints within two (2) business days. 12.4 CONTRACTOR shall provide, in a format approved by ADMINISTRATOR, information pertaining to complaints, as well as CONTRACTOR's response to any complaints to ADMINISTRATOR, as described above, within ten (10) business days of the complaint. 12.5 CONTRACTOR shall include a summary of all complaints received in the Monthly Status Reports submitted to COUNTY per Subparagraph 8.4 above. 13. HOURS OF OPERATION (WAM0313) 13 of 22 (April 8, 2013) 25B-63 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 At a minimum, CONTRACTOR shall maintain business hours of Monday through Friday from the hours of 8:00 a.m. to 5:00 p.m. (COUNTY holidays and days the City of Santa Ana offices are closed are excluded) as well as scheduled evening and weekend hours to best meet the needs of participants and their families. See Subparagraph 20.3.1 of this Agreement for a list of COUNTY holidays. 14. BUDGET FOR PROVISION OF VTR AND WEX 14.1 The budget for services provided pursuant to Exhibit A of this Agreement shall span twenty-four (24) months and is set forth as follows: Budget Period July 1, 2013 - June 30, 2014 Maximum Line Items Hourly FTE Budget Rate Salaries and Benefits Workforce Specialist II $34.02 1.00 $70,762 Workforce Specialist IT $34.24 1.00 $71,219 Economic Development Specialist $61.43 0.05 $6,389 III $82.64 0.02 $3,438 Economic Development Manager $49.97 0.03 $3,118 Sr, Management Analyst $30.87 0.05 $3,210 Sr. Accounting Assistant Subtotal Salaries $158,136 Benefits (39.20) $62,070 Subtotal Salaries and Benefits (1) (`) $222,206 Operations Communications $1,530 Contracted Vendor Personnel Services $300 User Fee $15,220 Office Supplies $1,949 Computer Services $80 IS Strategic Plan $2,980 Insurance $4,930 Indirect Costs $9,580 (WAM0313) 14 of 22 (April 8, 2013) 25B-64 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Subtotal Operations $36,569 Participant Costs Work Experience Wages (3) $226,560 Benefits (4) $16, 665 Vocational Training (5) $300,000 Subtotal Participant Costs $543,225 MAXIMUM COUNTY OBLIGATION (7/1/13- 6/30/14) $800,000 Budget Period July 1, 2014 - June 30, 2015 Maximum Line Items Hourly FTE Cost Rate Salaries and Benefits Workforce Specialist IT $34.02 1.00 $70,762 Workforce Specialist IT $34.24 1.00 $71,219 Economic Development Specialist $61.43 0.05 $6,389 III Economic Development Manager $82.64 0.02 $3,438 Sr. Management Analyst $49.97 0.03 $3,118 Sr. Accounting Assistant $30.87 0.05 $3,210 Subtotal Salaries $158,136 Benefits (39.20) $62,070 Subtotal Salaries and $220,206 Benefits (1) (2) Operations Communications $1,530 Contracted Vendor Personnel Services $300 User Fee $15,220 Office Supplies $1,949 Computer Services $80 IS Strategic Plan $2,980 Insurance $4,930 Indirect Costs $9,580 Subtotal Operations $36,569 Participant Costs Work Experience Wages (3) $226,560 Benefits (4) $16, 665 Vocational Training (5) $300,000 (WAM0313) 15 of 22 (April 8, 2013) 25B-65 1 2 3 4 5 6 7 8 9 10 II 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 Subtotal Participant Costs $543,225 MAXIMUM COUNTY OBLIGATION (7/1/14- 6/30/15) $800,000 TOTAL MAXIMUM COUNTY OBLIGATION (7/1/13- 6/30/15) $1,600,000 (1) Total salaries are calculated on maximum hourly rates. July 1, 2013 - June 30, 2015 salary costs are based on total hours worked that includes anticipated furlough hours and days the city offices are closed for Workforce Specialist IT and Fiscal Specialist positions. (2) Employee Benefits include health insurance, dental insurance, life insurance, and long-term disability insurance. Also included are payroll taxes such as FICA, Federal Unemployment Tax, State Unemployment Tax, and Worker's Compensation Tax, based on the currently prevailing rates. (3) Enrollments in WEX activities are contingent upon availability of funds and shall consist of a minimum of fifty-nine (59) enrollments for the period of July 1, 2013 through June 30, 2014 and fifty-nine (59) enrollments for the period of July 1, 2014 through June 30, 2015. (4) Benefits costs included are payroll taxes such as FICA, Federal Unemployment Tax, State Unemployment Tax, and Worker's Compensation Tax, based on the currently prevailing rates. (5) Enrollments in VTR activities are contingent upon availability of funds and shall consist of a minimum of fifty (50) enrollments for the period of July 1, 2013 through June 30, 2014 and fifty (50) enrollments for the period of July 1, 2014 through June 30, 2015. 14.2 CONTRACTOR and ADMINISTRATOR may agree, subject to advance written notice to add, delete, or otherwise modify line items and/or amounts and/or the number and type of FTE positions without changing COUNTY'S maximum obligation as stated in Subparagraph 20.1 of this Agreement or reducing the level of service to be provided by CONTRACTOR. Further, in accordance with Subparagraph 44.3 of this Agreement, in the event ADMINISTRATOR reduces the maximum obligation as stated in Subparagraph 20.1, CONTRACTOR and ADMINISTRATOR may mutually (WAM0313) 16 of 22 (April 8, 2013) 25B-66 I 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 agree in writing to proportionately reduce the service goals as set forth in this Exhibit A to this Agreement. 15. STAFF CONTRACTOR shall employ staff with experience in placing participants with a limited English vocabulary in an environment that facilitates the development of the English language. CONTRACTOR's staff shall be able to read, write, speak, and understand English. CONTRACTOR shall provide bilingual staff to serve participants who speak Spanish or Vietnamese. The ratio of bilingual staff shall be consistent with and proportional to the target population, as determined by ADMINISTRATOR. In addition, CONTRACTOR shall be required to provide translation services for all other languages as needed to ensure all participants are provided services in the language they speak. CONTRACTOR shall comply with all COUNTY, State, and Federal regulations regarding Limited English Proficiency (LEP) LEP regulations affect anyone who participates in a Federally funded program, and who has English as his or her second language and is limited in his or her English language proficiency. 15.1 Staff Traini 15. 1.1CONTRACTOR's staff directly serving participants and first line supervisors shall be thoroughly familiar with the WTW service delivery model contained in the current Orange County CalWORKs Plan; COUNTY policies and related instructions; COUNTY data systems, including service delivery and payment systems; welfare fraud and child abuse/elder abuse reporting requirements; the State Hearing process; and Civil Rights compliance requirements. (WAM0313) 17 of 22 (April 8, 2013) 25B-67 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 15.1.2COUNTY will provide relevant program policies and operational procedures to CONTRACTOR during start-up, and subsequently as these materials are revised or new policies are developed. 15.1. COUNTY will provide initial training to a limited number of CONTRACTOR's staff with respect to CalWORKS WTW regulations and COUNTY policies and procedures. CONTRACTOR shall conduct subsequent training(s) and refresher training yearly. COUNTY will provide technical information to CONTRACTOR on these requirements, but it will be CONTRACTOR's sole responsibility to ensure that CONTRACTOR's staff understand and correctly implement the requirements cited when providing WTW services. 15. 1. 4 CONTRACTOR shall be required to attend training(s) and/or meetings that COUNTY determines to be mandatory, and provide CONTRACTOR staff with ongoing training and assistance to ensure that contract deliverables are met. 15. 1.5 CONTRACTOR shall ensure that CONTRACTOR's staff receives training in understanding the cultural differences among groups of participants, and recognizes and effectively intervenes to overcome any language and/or cultural barriers to employment. 15.1.6CONTRACTOR shall maintain a log of in-house training activities and participants. This log shall be made available to COUNTY upon request. 15.2 Staff Duties and Qualifications: CONTRACTOR shall provide the following described staff positions: 15.2.1Workforce Specialist II (SA WIB Case Manager) Duties: (WAM0313) 18 of 22 (April 8, 2013) 25B-68 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 15.2.1.1 Determines applicant eligibility for workforce development programs, manages a caseload, advises clients of career and training opportunities, develops client's employment plan, and is responsible for client outcomes. 15.2.1.2 Oversees client job search activities and program enrollments, identifies and develops job opportunities appropriate to clients, and uses a computer to track client progress. 15.2.1.3 Markets services to employers and to job-seekers, conducts employment/job sector workshops, gives presentations and prepares informational materials, and maintains contacts within the business community to provide employers with qualified candidates. 15.2.1.4 Monitors employment rate/employee retention rate and customer satisfaction rate and develops plans for improvement. 15.2.1.5 Monitors eligibility and program files to ensure compliance with Federal and State regulations, including WTW regulations; performs site visits, and maintains details records and writes reports. 15.2.1.6 Collects and compiles data to generate detailed technical reports, writes articles, and prepares publications regarding the WIB to the public. 15.2.1.7 Organizes and implements WIB sponsored events, participates as a team player, and applies principles of Total Quality Service in all activities. Qualifications: 15.2.1.8 One (1) year of progressively (WAM0313) 19 of 22 (April 8, 2013) 25B-69 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 responsible workforce development program experience or college level coursework in psychology, sociology, counseling, human services, business administration, accounting, public administration, and other related subjects may be used in combination with experience to meet the necessary qualifications, or any equivalent combination of training and experience which provides the desirable knowledge, skills, and abilities. 15.2.1.9 Knowledge of Federal and State regulations pertaining to workforce development programs, interviewing techniques and methods of determining program eligibility; employment market; agencies providing resources; methods of case management, data collections, and monitoring. 15.2.1.10 Ability to understand, interpret, and implement Federal and State regulations; organize and effectively manage a heavy and varied caseload to meet program performance standards; coordinate and conduct meetings; make public presentations; communicate clearly and concisely; and keep detailed and accurate records. 15.2.2Economic Development Specialist III Duties: 15.2.2.1 Directs, coordinates, monitors and evaluates economic development programs. 15.2.2.2 Conducts economic research, analyses, market feasibility studies concerning the City's business base and other related research. 15.2.2.3 Analyzes financial requirement of businesses interested in financial assistance and designs and implements a business retention program. (WAM0313) 20 of 22 (April 8, 2013) 25B-70 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 15.2.2.4 Prepares applications for grants and oversees approved grant programs. 15.2.2.5 Plans and directs marketing efforts, including media relations, print materials and advertising. 15.2.2.6 Plans and implements programs tc encourage import/export trade. 15.2.2.7 Establishes and maintains communications and coordinates activities with organizations to promote and facilitate economic development. 15.2.2.8 Coordinates the Division budget and supervises subordinate-level employees. Qualifications: 15.2.2.9 Three (3) years experience in local government or private economic development programs, one year of which must be as program manager or project leader. Graduation from an accredited college or university with specialization in economics, business or public administration, commercial finance, or a directly related field may be used in combination with experience to meet the minimum qualifications; or any equivalent combination of experience and training which provide the knowledge, skills and abilities of the job. 15.2.3Economic Development Manager M,,+- o- - 15.2.3.1 Administers the development and implementation of business outreach programs. 15.2.3.2 Administers the creation and maintenance of an economic development database for the community. 15.2.3.3 Directs the design, implementation and (WAM0313) 21 of 22 (April 8, 2013) 25B-71 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 servicing of incentive loan and rebate programs for commercial and industrial concerns in the City of Santa Ana. 15.2.3.4 Serves as Executive Director of the Economic Development Corporation (EDC) and provides staff support for EDC Committees. 15.2.3.5 Supervises and implements all Federal Workforce Development Programs. 15.2.3.6 Serves as Executive Director of SA WIB. 15.2.3.7 Directs the administration and development of Santa Ana Foreign Trade Zone, prepares and administers Federal and State grants and administers the operation of the Business Enterprise Center. 15.2.3.8 Acts as liaison with the business community, other Economic Development Agencies and professional organizations to develop linkages to further economic development programs. 15.2.3.9 Supervises staff of the Economic Development Division. 15.2.3.10 Establishes division budget, goals and objectives. Qualifications: 15.2.3.11 Three (3) years experience in administrative and supervisory capacity in economic development or similar work. Graduation from an accredited college or university with specialization in economics, business or public administration, may be used in combination with experience and training which provide the knowledge, skills and abilities of the job. (WAM0313) 22 of 22 (April 8, 2013) 25B-72 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 15. Sr. Manaaement Analvst Tl.. } . .... . 15.2.4.1 Performs responsible and professional staff work to ensure efficient and effective internal operations of administrative and management systems in a large division is achieved. 15.2.4.2 Performs complex studies, research and analysis relative to programs. 15.2.4.3 Conducts studies of operations, services and program activities and writes reports and recommendations based on analysis of collected data. 15.2.4.4 Prepares and monitors department budget, revenues and expenditures, makes revenue projections, performs cost-benefits analyses and acts as liaison between division and Finance. 15.2.4.5 Prepares grant applications and monitors grant-funded programs and contracts. 15.2.4.6 Assists with management and supervision of special departmental projects, programs and core functions. 15.2.4.7 Coordinates and facilitates personnel related activities. 15.2.4.8 Develops and revises written procedures to clarify, describe, or create department standards and policies. 15.2.4.9 Reviews legislation related to departmental activities and determines effect on departmental operations. 15.2.4.10 Attends and (WAM0313) 23 of 22 25B-73 participates in (April 8, 2013) 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 meetings, makes presentation to city staff and the public, implements utilization of information systems, and supervises staff. Qualifications: 15.2.4.11 Three (3) years experience in governmental administrative staff experience and education or experience equivalent to graduation from a four year accredited college or university with specialization in political science, business or public administration or closely related field; supervisory and/or program/project management experience; or any equivalent combination of education, training and experience which provide the knowledge, skills and abilities of the job. 15.2.5Senior Accountinct Assistant Duties: 15.2.5.1 Prepares and maintains financial and accounting records by gathering, assembling, tabulating, comparing, verifying, and posting financial and statistical data. 15.2.5.2 Prepares or verifies and processes bills, invoices, and similar documents. 15.2.5.3 Posts and balances cash books, ledgers, subsidiary journals, and other financial and accounting records. 15.2.5.4 Reconciles accounts to general ledgers and prepares routing reports and statements. 15.2.5.5 Analyzes and prepares reports of encumbrances and expenditures for department programs. 15.2.5.6 Performs cost research and cost recovery analysis. 15.2.5.7 Receives money and maintains records of (WAM0313) 24 of 22 (April 8, 2013) 25B-74 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 receipts, files of invoices and other financial transaction documents. Qualifications: 15.2.5.8 Two (2) years of experience performing responsible accounting, financial, statistical or other specialized office clerical work supplemented by courses in accounting, finance, business, office practices, or related coursework; or any equivalent combination of training and experience which provides the knowledge, skills and abilities in accounting methods and government budgeting. 15.2.5.9 Knowledge of bookkeeping principles and practices, fund accounting and governmental accounting methods. 15.2.5.10 Ability to keep bookkeeping accounts a nd prepare financial statements and make arithmetic calculation s. I (WAM0313) 25 of 22 (April 8, 2013) 25B-75 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 (WAM0313) 26 of 22 (April 8, 2013) 25B-76 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 6, 2013 TITLE: AGREEMENT WITH GOVERNMENT TRAINING INSTITUTE, INC FOR CONDUCTING THE ACTIVE SHOOTER TRAINING PROGRAM 7 RANT) CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1stReading ? 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 Government Training Institute, Inc., subject to non-substantive changes approved by the City Manager and City Attorney, to provide the Active Shooter Training Program to first responders in the Anaheim/Santa Ana Urban Area in an amount not to exceed $200,000. DISCUSSION The United States Department of Homeland Security, Office of Grants and Training has developed the Urban Areas Security Initiative (UASI) funding program. This initiative was designed to enhance the domestic preparedness of urban areas by ensuring that all emergency first responders have adequate and appropriate training, exercises and equipment to prevent, respond to, and recover from acts of terrorism. Santa Ana has been designated as an Urban Area Core City for the ninth year. The City of Santa Ana has fiscal responsibility for the FY11 UASI Grant for the Anaheim/Santa Ana Urban Area (ASAUA) which encompasses 34 jurisdictions in Orange County. The ASAUA Urban Area Working Group (UAWG) has identified regional active shooter training program as a priority for public safety agencies in Orange County. The tactics, techniques, and procedures (TTPs) adopted by the Orange County regional UASI Active Shooter Training Program are designed to prepare public safety first responders to react to an active shooter event - both homegrown/domestic threats and terrorism based events. These TTPs are based on SWAT, HRT, and military Special Operations tactics that have been modified for public safety personnel working in the Field Operations environment. Prior to being selected as the tactical model to be taught these TTPs were evaluated and selected by experienced public safety personnel. This tactical model was then presented to the UAWG and accepted as the UASI regional active shooter training model. The ASAUA seeks to continue its active shooter training program by entering into an agreement with the Government Training Institute, Inc. to provide active shooter training in compliance with the TTPs. 25C-1 Agreement for Active Shooter Training Program May 6, 2013 Page 2 This comprehensive training program will better equip public safety personnel with the skills they need to respond to an active shooter event. In addition, the program will train local instructors in order to build a training cadre which can continue training additional personnel and maintain perishable skills. The contract was awarded to the Government Training Institute, Inc. after successfully completing the competitive bidding process. The RFP 13-005 was issued February 12, 2013 and two qualified bids, one from Government Training Institute and one from Andrews International, were received by closing date March 5, 2013. The bids were reviewed by representatives of the urban area and Government Training Institute, Inc., received the highest scores based on experience, curriculum and costs. FISCAL IMPACT Funds are available in the FY 2011 UASI Grant fund account (no. 12514407-62300-12424001187- 3498) as approved by the City Council with Resolution No. 2011-061. APPROVED AS TO F NDS AND ACCOUNTS: Carlos Rojas Francisco Gutierrez Acting Chief of Police Executive Director Police Department Finance & Mgmt. Services Agency` Exhibit: Agreement 25C-2 CONSULTANT AGREEMENT THIS AGREEMENT, made and entered into this 6`h day of May, 2013 by and between Government Training Institute, an Idaho corporation (hereinafter "Consultant"), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City"). RECITALS A. The City desires to retain a consultant having special skill and knowledge in the field of law enforcement tactical training services. B. City, acting through the Santa Ana Police Department in its capacity as a Core City for the Anaheim/Santa Ana Urban Area under the FYI I and FYI 2 Urban Areas Security Initiative, has applied for, received and accepted a grant from the Federal Department of Homeland Security, Office of Domestic Preparedness, through the State of California, Emergency Management Agency, to enhance countywide emergency preparedness and public awareness, hereinafter referred to as "the Grant." C. Consultant was chosen in a competitive bidding process and represents that it is able and willing to provide such services to the City. D. In undertaking the performance of this Agreement, Consultant represents that it is knowledgeable in its field and that any services performed by Consultant under this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting firm in the field. NOW THEREFORE, in consideration of the mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows: SCOPE OF SERVICES Consultant shall provide an active shooter training program, as set forth in City's RFP 13-005 Active Shooter Training Program Scope of Work, attached hereto as Exhibit A. Said services shall include the provision of Three Day Immediate Action Teams (IAT), One Day Refresher Course and Train the Trainer classes, as set forth in Exhibit A-1, Consultant's Scope of Work. All referenced exhibits are attached hereto and incorporated by this reference. All aspects of the active shooter training program shall adhere to applicable California and Federal guidelines, as well as the Department of Homeland Security grant program requirements, prior to being offered to City pursuant to this Agreement. COPYRIGHT Curriculum and written material provided and used in the IAT Training, Refresher Courses and Train the Trainer are proprietary of Consultant and will not be reproduced without Consultant's written consent. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges set forth in Exhibit A-1, including; 25C-3 • $22,500 per class, for up to four (4) Three Day IAT classes; • $3,000 per Refresher class scheduled consecutively with the Three Day IAT class, $4,650 if Refresher is not consecutive with the Three Day IAT, for up to twenty seven (27) classes; • $17,000 for one (1) Train the Trainer course. Said charges include tuition costs, equipment as outlined in Exhibit A, certificate of completion for each student, and Consultant travel expenses. The total amount to be expended shall not exceed $200,000 during the term of this Agreement. b. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed and deliverables completed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set for in the Recitals which may reasonably be expected by City. 4. TERM This Agreement shall commence on the date first written above and terminate on satisfactory completion of all training, which the parties agree should be complete on or before April 30, 2014, unless terminated earlier in accordance with Section 13, below. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create and employer-employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain and shall require its subcontractors, if any, to obtain and maintain insurance as described below: a. Commercial General Liability Insurance. Consultant shall maintain commercial general liability insurance naming the City, its officers, employees, agents, volunteers and representatives as additional insured(s) and shall include, but not be limited to protection against claims arising from bodily injury and personal injury, including death resulting there from and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the performance of this Agreement, including, without limitation, acts involving vehicles. The amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting there from, and property damage, in the total amount of $1,000,000 per occurrence, $2,000,000 general aggregate. Consultant shall supply City with a fully executed additional insured endorsement which 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 25C-4 the City; (c) contain standard separation of insureds provisions; and provide City thirty day notice of cancellation of coverage. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage for owned, hired and non-owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, Consultant, if Consultant has any employees, is required to be insured against liability for worker's compensation or to undertake self-insurance. Prior to commencing the performance of the work under this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. d. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim. e. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City, ten (10) days notice if cancellation is due to non payment of premium. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not affect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims from personal injury, including death, and claims for property damage, which may arise from the direct or indirect operations of the Consultant or its contractors, subcontractors, agents, employees, or other persons acting on their behalf which relates to the services described in Section 1 of this Agreement, to the extent the same are due to the negligence or other wrongful conduct of Consultant, its contractors, subcontractors, agents, employees or other persons acting on behalf of Consultant. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, 25C-5 including fees and costs for special counsel to be selected by the City, regarding any action by a third party asserting that personal injury, damages, just compensation, restitution, judicial or equitable relief due to personal or property rights arises by reason of the terms of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. 8. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. The foregoing obligations of non-use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City. 9. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which would conflict in any manner with performance of services specified under this Agreement. 10. NOTICE Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana P.O. Box 1988 Santa Ana, CA 92702-1988 Fax (714) 647-6956 Copy to: Chief of Police City of Santa Ana 60 Civic Center Plaza (M-97) P.O. Box 1981 Santa Ana, CA 92702 Fax (714) 245-8007 And: City Attorney City of Santa Ana 25C-6 20 Civic Center Plaza (M-29) P.O. Box 1988 Santa Ana, CA 92702 To Consultant: Government Training Institute (GTI) Alec Sarrazolla 25 E Fairview Ave. Suite #215A Meridian, Idaho 83642 A party may change its address by giving notice in writing to the other party. Thereafter, communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by telefacsimile, communication shall be effective or deemed to have been given twenty-four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 11. EXCLUSIVITY AND AMENDMENT This Agreement represents the complete and exclusive statement between the City and Consultant, and supersedes any and all other agreements, oral or written, between the parties. In the event of a conflict between the terms of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant nor the City. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party which are not embodied herein. 12. ASSIGNMENT Inasmuch as this Agreement is intended to secure the specialized services of Consultant, Consultant may not assign, transfer, delegate, or subcontract any interest herein without the prior written consent of the City and any such assignment, transfer, delegation or subcontract without the City's prior written consent shall be considered null and void. Nothing in this Agreement shall be construed to limit the City's ability to have any of the services which are the subject to this Agreement performed by City personnel or by other consultants retained by City. 13. TERMINATION This Agreement may be terminated by either party upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the City Manager, or his designee, may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by 25C-7 law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 14. DISCRIMINATION Consultant shall not discriminate because of race, color, creed, religion, sex, marital status sexual orientation, age, national origin, ancestry, or disability, as defined and prohibited by applicable law, in the recruitment, selection, training, utilization, promotion, termination or other employment related activities. Consultant affirms that it is an equal opportunity employer and shall comply with all applicable federal, state and local laws and regulations. 15. JURISDICTION - VENUE This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. 16. PROFESSIONAL LICENSES Consultant shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, the State of California, the City of Santa Ana and all other governmental agencies. Consultant shall notify the City immediately and in writing of its inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 17. CONSULTANT CERTIFICATIONS a. Audit Records - For a period of three years after final delivery hereunder or until all claims related to this Agreement are finally settled, whichever is later, Consultant shall preserve and maintain all documents, papers and records relevant to the services provided in accordance with this Agreement, including the Attachments hereto. For the same time period, Consultant shall make said documents, papers and records available to City and the agency from which City received grant funds or their duly authorized representative(s), for examination, copying, or mechanical reproduction on or off the premises of Consultant, upon request during usual working hours. b. Consultant shall provide to City all records and information requested by City for inclusion in quarterly reports and such other reports or records as City may be required to provide to the agency from which City received grant funds or other persons or agencies. c. Section 504 of the Rehabilitation Act of 1973 (Handicapped) - All recipients of federal funds must comply with Section 504 of the Rehabilitation Act of 1973 (The Act). Therefore, the consultant pursuant to the requirements of The Act hereby gives assurance that no otherwise qualified handicapped person shall, solely by reason of handicap be excluded from the participation in, be denied the benefits of or be subject 25C-8 to discrimination, including discrimination in employment, in any program or activity that receives or benefits from federal financial assistance. The Consultant agrees it will ensure that requirements of The Act shall be included in the agreements with and be binding on all of its contractors, subcontractors, assignees or successors. d. Americans with Disabilities Act of 1990 - (ADA) Consultant must comply with all requirements of the Americans with Disabilities Act of 1990 (ADA), as applicable. Political Activity - None of the funds, materials, property, or services provided directly or indirectly under this agreement shall be used for any partisan political activity, or to further the election or defeat of any candidate for public office, or otherwise in violation of the provisions of the "Hatch Act". £. Civil Rights Compliance and Notification of Findings - Consultant will comply, and all its contractors (or subrecipients) will comply, with the nondiscrimination requirements of the Omnibus Crime Control and Safe Streets Act of 1968, as amended, 42 USC 3789 (d), or Victims of Crime Act (as appropriate); Title VI of the Civil Rights Act of 1964, as amended; Section 504 of the Rehabilitation Act of 1964, as amended; Subtitle A, Title II of the Americans with Disabilities Act (ADA) (1990); Title IX of the Education Amendments of 1972; the Age Discrimination Act of 1975; Department of Justice Non-Discrimination Regulations, 28 CFR Pail 42, Subparts C, D, E, and G; and Department of Justice regulations on disability discrimination, 28 CFR Part 35 and 39. In the event a Federal or State court, Federal or State administrative agency, or the Consultant makes a finding of discrimination after a due process hearing on the grounds of race, color, religion, national origin, sex, or disability against a recipient of funds, the Consultant will forward a copy of the findings to City which will, in turn, submit the findings to the Office of Civil Rights, Office of Justice Programs, U.S. Department of Justice. g. Consultant will comply, and all its contractors (or subrecipients) will comply, with all requirements of the Executive Order 11246 of September 24, 1965, entitled "Equal Employment Opportunity," as amended by Executive Order 11375 of October 13, 1967, and as supplemented in Department of Labor regulations (41 CFR chapter 60), as applicable. h. Consultant will comply, and all its contractors (or subrecipients) will comply, with all requirements of the Copeland "Anti-Kickback" Act (18 U.S.C. 874) as supplemented in Department of Labor regulations (29 CFR Part 3), as applicable. Consultant will comply, and all its contractors (or subrecipients) will comply, with all requirements of the Davis-Bacon Act (40 U.S.C. 276a to 276a-7) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. j. Consultant will comply, and all its contractors (or subrecipients) will comply, with all requirements of Sections 103 and 107 of the Contract Work and Safety Standards Act (40 U.S.C. 327-330) as supplemented by Department of Labor regulations (29 CFR Part 5), as applicable. 25C-9 k. Consultant will comply, and all its contractors (or subrecipients) will comply, with all applicable standards, orders or requirements issued under Section 306 of the Clean Air Act (42 U.S.C. 1857(h)), Section 508 of the Clean Water Act (33 U.S.C. 1368), Executive Order 11738, and the Environmental Protection Agency regulations (40 CFR part 15), as applicable. 1. Consultant, and all its contractors (or subrecipients) will comply, with all requirements of the Energy Policy and Conservation Act (Pub. L. 94-163, 89 Stat. 871), (53 FR 8078, 8087, Mar. 11, 1988, as amended at 60 FR 19639, 19645, Apr. 19, 1995), as applicable. in. Consultant agrees that the Department of Homeland Security shall have the authority to seek patent rights for any process, product, invention or discovery developed and paid for with funding through this Agreement. n. Consultant may copyright any books, publications or other copyrightable materials developed in the course of or under this Agreement. However, the federal awarding agency, State Administrative Agency (SAA) and City reserve a royalty-free, non- exclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for federal government, SAA and/or City purpose: (1) the copyright in any work developed through this Agreement; and (2) any rights of copyright to which the subcontractor purchases ownership with support through this grant. The Federal government's, SAA's and City's rights identified above must be conveyed to the publisher and the language of the publisher's release form must ensure the preservation of these rights. 18. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature herein below has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. c. Cancellation Policy. The City may cancel any course without cost or penalty by providing 30 days advance written notice of cancellation to Consultant. The Parties will mutually agree to the date for rescheduling any such cancelled course. 25C-10 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA HUIZAR Clerk of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: LAURA SHEEDY Assistant City Attorney RECOMMENDED FOR APPROVAL: CARLOS ROJAS Acting Chief of Police CITY OF SANTA ANA, a charter city and municipal corporation KEVIN O'ROURKE Interim City Manager GOVERNMENT TRAINING INSTITUTE CHADD HARBAUGH President 25C-11 EXHIBIT A: RFP 13-005 SECTION I SCOPE OF WORK 1.0 INTRODUCTION The purpose of this Request for Proposal is to identify a suitable vendor to support the Active Shooter Training Program for the Anaheim / Santa Ana Urban Area (ASAUA). This vendor will be responsible for working with the stakeholders in the Urban Area to train public safety personnel on how to respond to an active shooter event and train-the-trainer on how to deliver the training with the input and coordination of the Urban Area's stakeholders. The selected vendor shall provide an active shooter training curriculum that is DHS approved. 1.2 BACKGROUND INFORMATION The support requested for this active shooter training program will be paid in part or in full with funding from the United States Department of Homeland Security's Urban Areas Security Initiative (UASI) grant. Funding from this grant is applied to homeland security related training, exercises, equipment, and projects in the Anaheim / Santa Ana Urban Area (ASAUA). The ASAUA is comprised of the 34 cities and two universities in Orange County, California. The Santa Ana and Anaheim Police Departments alternate fiscal responsibility for the grant. The ASAUA Urban Area Working Group (UAWG) has identified regional active shooter training program as a priority for public safety agencies in Orange County. The tactics, techniques, and procedures (TTPs) adopted by the Orange County regional UASI Active Shooter Training Program are designed to prepare public safety first responders to react to an active shooter event - both homegrown/domestic threats and terrorism based events. These TTPs are based on SWAT, HRT, and military Special Operations tactics that have been modified for public safety personnel working in the Field Operations environment. Prior to being selected as the tactical model to be taught these TTPs were evaluated and selected by public safety personnel with decades of public safety experience in the field, as SWAT operators, and as Army Special Forces operators. Most importantly these evaluators have years of practical experience teaching and utilizing these tactics in actual lethal threat environments. This tactical model was then presented to the UAWG and accepted as the UASI regional active shooter training model. The ASAUA seeks to continue its active shooter training program. The training program consists of three parts. They are as follows: 1. Three-day comprehensive active shooter training course is designed to train line level public safety personnel on the tactics needed to respond to an event. There will be a combination of lecture to review the tactics and exercises to demonstrate practical applications of tactics. There will be up to 4 courses delivered, 30 students per class, before December 31, 2013. At a minimum, the Proposer shall provide one instructor for every 10 students. 2. One-day refresher course is a condensed version of the three-day training course. This is aimed at refreshing the skills of public safety personnel who have taken the three-day course in the past. There will be up to 27 courses delivered, 30 students per class, before December 31, 2013. At a minimum, the Proposer shall provide one instructor for every 10 students. 25C-12 3. The train-the-trainer course is aimed at building a strong cadre of local instructors who can provide active shooter training at their local jurisdiction or work collaboratively with other trainers to put on regional training for law enforcement personnel in Orange County. This course can be incorporated into the three-day training and one-day training courses in order for trainers to get hands on experience in teaching the tactical model and facilitate training from start to finish. This course will train up to 20public safety personnel before December 31, 2013. This comprehensive training program will better equip public safety personnel with the skills they need to respond to an active shooter event. In addition, the program will train local instructors in order to build a training cadre who can continue training additional personnel and maintain perishable skills. 1.3 TACTICAL MODEL The Proposer shall provide an approved DHS curriculum that follows this tactical model. Through this proven tactical model public safety personnel will be able to take immediate action to protect victims and bystanders while quickly locating, isolating, and eliminating the active shooter threat(s). This tactical model utilizes the following TTPs: • Double or single stack formations - dependent on hallway space/configuration. • Cross coverage - maximize target acquisition and minimize threat angles. • Blocking - ensure safe entry into rooms or past thresholds by eliminating opposing threat angles. • Room entries - depth and width, limited depth and width, and strong wall entry techniques. • Open area movement - crossing potential threat areas when advancing on a building or moving between buildings. • Rear security and exiting buildings - survival in the 360 degree threat environment. This training must be predominantly hands on - preparing students to take action with limited assets in an active shooter environment; students must be able to operate in one, two, three, and four officer elements. The training must create a high intensity, high stress realistic atmosphere where public safety personnel must respond to varying situations with varying levels of support (number of public safety personnel immediately available and patrol based weapons systems). The students must be able to respond to both known shooter locations as well as determine an unknown shooter's location, and effectively handle single shooter and multiple shooter environments. For the three-day training the Proposer shall provide a half day of live fire range training. This training will include: • Instruction in the Principles and Fundamentals of pistol marksmanship • Instructor explained and demonstrated drills for the following: o Handgun drills starting with static shooting for accuracy to drills ultimately culminating in shooting while moving in width and depth. o Carbine drills starting with static accuracy, use of iron sights and reflex sights, culminating with shooting while moving in width and depth. • All drills will be designed to support techniques taught during the entry portion of the course. 25C-13 The Proposer shall work with local instructors and subject matter experts to update and revise the tactical model to meet the needs of the region. The Proposer shall be expected to expand on the above-noted components where appropriate, and provide suggestions which might lead to efficiencies and enhance the results or usefulness of the tactical model. The final tactical model will be approved by local instructors and subject matter experts the ASAUA selects as reviewers. 1.4 TRAINING MODEL The Proposer's training model shall follow a "crawl, walk, run" training philosophy where limited instruction is initially given to the students in the classroom environment utilizing a PowerPoint presentation and discussion; no more than 2 hours. This presentation will explain the TTP's utilized in the active shooter tactical model. The classroom presentation will be followed by tape drills designed to demonstrate, reinforce, and evaluate the student understanding of the TTP's. Following the tape drills the students will conduct dry runs through a structure, further developing and refining their understanding of the TTP's. Student training will transition to scenario based training, involving exercises of increasing tactical complexity. Students will start with simple single room clearing exercises involving Simunitions and paper targets (both threat and non-threat targets); these scenarios will emphasize depth and width room entry tactics - squeezing-up, clearing hard corners, moving to points of domination, and index/re-index of the room. As student understanding of the TTP's evolves the scenarios will incorporate follow on rooms, and hallway movements - double/single stack, cross coverage, and blocking will be emphasized. When appropriate force-on-force use of Simunitions will be incorporated into the scenarios; threat and non-threat role-players will be utilized in these scenarios. 1.5 PROPOSER SUPPLIED EQUIPMENT The Proposer shall supply equipment to support the training program. The below supply list is the minimum amount of equipment needed based on a class size of 30 students for the three-day training course. Simunitions Training Aid: • Simunitions, 5.56 rounds 2500 • Simunitions, 9mm rounds 2500 • Simunitions, 9mm handguns 30 • Simunitions, training bolts for M4 platform carbines 30 • Blanks, .38 cal. 75 General Items: • Safety equipment (masks, helmets, throats protectors) 10 • .38 cal. revolver (for blank rounds) 1 • First Aid Kit 1 • Range box with range supplies 1 • Simunitions cleaning rods 2 • Tape - paper rolls, 1 inch 3 • Spray Adhesive - cans 6 • Sanitizer wipes - 35 count 2 • Coveralls - role players 2 25C-14 Targets: • TQ19-E (traditional bottle targets) 70 • Geos 33 • 6-inch dots 33 • 3-inch dots 15 • Realistic threat 15 • No-shoot overlays 5 • Target Backers - long, brown cardboard 30 The below supply list is the minimum amount of equipment needed based on a class size of 30 students for the one-day training course. Simunitions Training Aids: • Simunitions, 5.56 rounds 2000 • Simunitions, 9mm rounds 2000 • Simunitions, 9mm handguns 30 • Simunitions, training bolts for M4 platform carbines 30 • Blanks, .38 cal. 35 General Items: • Safety equipment (masks, helmets, throats protectors) 10 • .38 cal. revolver (for blank rounds) 1 • First Aid Kit 1 • Simunitions cleaning rods 2 • Tape - paper rolls, 1 inch 3 • Sanitizer wipes - 35 count 2 • Coveralls - role players 2 Targets: • Realistic threat 15 • No-shoot overlays 5 1.6 CLASSROOM ENHANCEMENTS At a minimum, the Proposer shall provide students with manuals at the beginning of each training program. At the end of the training program a certificate of completion for each student shall be provided and students will be asked to evaluate the training program. The Proposer shall be expected to expand on the above-noted components where appropriate, and provide suggestions which might lead to efficiencies and enhance the results or usefulness of the classroom environment. 1.7 ASAUA SHALL PROVIDE The ASAUA shall promote the training program to public safety personnel in the region and will be in charge of signing up personnel for each training course provided. In addition, the ASAUA shall identify up to 20 qualified candidates for the train-the-trainer course. 25C-15 The ASAUA shall provide the facilities needed to execute the training program which includes a classroom with appropriate audio visual equipment, facility for tape drills and facility for range sessions. 1.8 DEFINITIONS The following words used in this RFP shall be understood to refer respectively to: Word in RFP Definition DHS Department of Homeland Security UASI Urban Area Security Initiative UAWG Urban Area Working Group- an advisory group comprised of representatives from various disciplines who provide direct and indirect representation to members of the Urban Area Anaheim / Santa Ana Incorporates all of the cities within Orange County, Urban Area (ASAUA) and the University of California-Irvine and California State University-Fullerton City City of Santa Ana, California State State of California, US RFP Request for Proposal Proposer The person, firm or corporation who is responding to this Request for Proposal and with whom the agreement is made by said City and the agent, or legal representative, who may be appointed to represent such person, firm or corporation in the signing and performance of said agreement. TTP Tactics, Techniques and Procedures SWAT Special Weapons And Tactics HRT Hostage Rescue Team 25C-16 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 6, 2013 TITLE: CONSOLIDATED PLAN ANNUAL UPDATE AND SUBSTANTIAL AMENDMENTS CITY'ANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1ST Reading ? Ordinance on 2"d Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER 1. Approve the 2013-2014 Consolidated Plan Annual Update and authorize the submittal to the U.S. Department of Housing and Urban Development; 2. Approve the Substantial Amendment to the 2010/11-2014/15 Consolidated Plan and authorize its submittal to the U. S. Department of Housing and Urban Development; and 3. Approve the Substantial Amendment to the 2012-2013 Action Plan and authorize its submittal to the U. S. Department of Housing and Urban Development. COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION RECOMMENDATION At its regular meeting on April 16, 2013, by a vote of 7:0 the Community Redevelopment and Housing Commission approved the recommended actions. DISCUSSION Each year the City of Santa Ana receives funding from various formula grant allocation programs administered by the U. S. Department of Housing and Urban Development (HUD). These funds provide for affordable and supportive housing, community development programs, public services and economic opportunities. The programs include the Community Development Block Grant (CDBG), the HOME Investment Partnership Grant (HOME), the Emergency Solutions Grant (ESG), and the Housing Opportunities for Persons with AIDS (HOPWA) Grant. HOPWA funds have been provided to the City of Santa Ana since the inception of the program for use throughout the county to provide resources, supportive services and incentives for long-term comprehensive strategies to meet the housing needs for persons with HIV/AIDS. During fiscal year 2013-2014, the City anticipates receiving the approximate following allocations: 29A-1 Consolidated Plan & Substantial Amendments May 6, 2013 Page 2 Program Allocation Program Allocation CDBG $5,680,480 ESG $538,354 HOME $1,228,217 HOPWA $1,471,187 Every five years the City must submit to HUD its Consolidated Plan. This is a five-year comprehensive planning document and application for all of these programs. It describes a strategy to meet the needs of the community and identifies resources and programs that can be used to address them. In May 2010, the Five Year Plan for the period of July 1, 2010 to June 30, 2015 was submitted to HUD. Each year the City is required to submit an Annual Update to the Consolidated Plan. This document establishes a one-year investment plan that outlines the intended use of resources in the forthcoming fiscal year. The proposed Annual Update covers the 2013-14 fiscal year. It reaffirms the established policy of allocating funding in neighborhoods where programs and resources would have a maximum impact. In addition, key programs will continue to be operated throughout the City (and distributed countywide for HOPWA funds) in order to better serve the diverse needs in the community. HUD regulations require that the draft Annual Update be made available for a 30-day public review and comment period. On March 16, 2013, notification was published in the Orange County Register that the draft plan was available for review beginning March 16, 2013, and that the public hearing would be held on April 16, 2013. It was also noticed in La Opinion and Nguoi Viet as well as on the City's website. The 30-day public comment period will conclude on April 16, 2013, at 5pm. In accordance with federal regulations, all neighboring jurisdictions were also informed of the draft's availability for review. All comments received, including all funding recommendations made by the City Council on May 6, 2013, will be included in the final document, which is due to HUD no later than May 15, 2013. FISCAL IMPACT There is no fiscal impact associated with this action. Sandi Gottlieb Acting Executive Director Community Development Agency SG/SLB/TE/kg Exhibit: 1. Draft Consolidated Plan - Annual Update 2013-14 2. Substantial Amendment 2010/11 - 2014/15 3. Substantial Amendment FY 2012-13 29A-2 CITY OF SANTA ANA JULY 1, 2013 - JUNE 30, 2014 DRAFT CONSOLIDATED PLAN ANNUAL UPDATE Exhibit 1 29A-3 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN 2013/14 I ACTION PLAN TABLE OF CONTENTS PAGE Executive Summary ....................................................................................................................1 Standard Forms 424 .........................................................................................................................5 Resources .......................................................................................................................................17 Activities to be Undertaken ...........................................................................................................21 Geographic Distribution .................................................................................................................21 Homeless and Other Special Needs ...............................................................................................24 Other Required Actions .................................................................................................................28 Program Specific Requirements .....................................................................................................39 Monitoring .....................................................................................................................................43 Certifications .................................................................................................................................. 45 EXHIBITS Exhibit 1: Proof of Publication 30-Day Comment Period & Public Hearing & Summary of Public Comments ...........................................................................55 Exhibit 2: Summary of Five-Year Planned Outcomes and Accomplishments .......................59 Exhibit 3: Listing of Proposed Activities 2013-2014 ..............................................................71 LIST OF MAPS Map 1: 2013-2014 HUD-funded Planned Activities ...........................................................23 DRAFT 04/22/2013 29A-4 2013/14 ( 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN INTENTIONALLY BLANK DRAFT 04/22/2013 29A-5 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN 2013/14 ACTION PLAN 2013-2014 ACTION PLAN EXECUTIVE SUMMARY The 2013-2014 Action Plan provides specific information regarding the resources the City of Santa Ana will utilize and the activities the City will undertake to address priority needs and objectives during a 12-month period. The Action Plan will serve as the link between the objectives developed to address priority housing and community needs identified in the City's 2010-2014 Consolidated Plan/Strategic` Plan with federal resources allocated to the City by HUD. The 2013-2014 Action Plan timeframe begins July 1, 2013, and ends June 30, 2014. This timeframe is referred to as a Fiscal Year (FY) or Program Year (PY). The 2013-2014 Action Plan consists of several required components: ¦ Standard Form 424 - These forms serve as the City's formal application to HUD for grant funds for the 2013-2014 Program Year ¦ Resources - Federal, non-federal and private funds expected to be available to address priority needs and specific objectives identified in the Consolidated Plan. This estimate includes program income for all federal grant funds. The Annual Plan also provides information regarding leveraging of non-federal and private resources with federal grant funds, and how the matching requirements of HUD programs will be met ¦ Description of Activities to be Undertaken - This information is provided in a format prescribed by HUD, including a short description of the activity, the location of the activity, and the target beneficiary population ¦ Geographic Distribution - A description of the geographic distribution of federal grant funds, including information regarding the distribution of federally funded assistance in areas of racial/ethnic minority concentration ¦ Homeless and other Special Needs - An outline specifying the activities that will be undertaken during the PY to address the needs of the City's households at risk of hornelessness, those that are situational homeless, chronic homeless, and persons that are not homeless, but have special needs ¦ Other Actions - HUD requires that the City evaluate how strategies outlined in the Consolidated Plan will be addressed during the Program Year including strategies to: DRAFT 04/22/2013 1 29A-6 2013/14 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN ¦ Address obstacles to meeting underserved needs ¦ Foster and maintain affordable housing ¦ Remove barriers to affordable housing ¦ Evaluate and reduce lead-based paint hazards ¦ Reduce the number of poverty level families ¦ Develop institutional structure ¦ Enhance coordination between public/private housing and service agencies ¦ Foster assisted housing improvements and resident initiatives ¦ Actions taken to address impediments to fair housing choice that may exist in the City ¦ Program Specific Requirements - There are certain program requirements that must be included in the Action Plan for each federal grant program. Monitoring - A description of the standards and procedures that the City will use to monitor activities carried out in furtherance of the plan and ensure proper use of federal funds. ¦ Certifications - HUD requires the City to submit various certifications related to the implementation of federal grant programs - these are standard HUD certifications. HUD requires that the City implement an outcomes measurement management system. This system is outlined in the 2010-2014 Consolidated Plan. The City has incorporated outcome measurement requirements into contracts with all sub-grantees and grantee- funded activities. Finally, the City has utilized a portion of HUD's Consolidated Plan Management Program (CPMP) tool to prepare the 2013-2014 Action Plan. HUD regulations also require that the City prepare an executive summary for each Action Plan that not only summarizes how the City will utilize HUD funds for 2013-2014, but also reviews prior year accomplishments. Since the 2012-2013 Fiscal Year was the only partially complete, no program/project information for this year has been reported in this plan. In subsequent years, a more complete executive summary will be incorporated into each Annual Plan. The City of Santa Ana is a recipient of four significant grants from the U.S. Department of Housing and Urban Development (HUD); these grants and the amount the City anticipates it will receive are listed below (see TABLE 1): 2 DRAFT 04/22/2013 29A-7 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ( 2013/14 ACTION PLAN TABLE 1: ANTICIPATED FEDERAL GRANT RESOURCES FOR FY 2013-2014 RESOURCES Community Development Block Grant (CDBG) ANTICIPATED AmOUNT $5,680,480 CDBG Program Income $0 CDBG Prior Year Program Income $0 CDBG Reprogrammed Funds $300,000 HOME Investment Partnership Program (HOME) $1,228,217 HOME Program Income $0 Emergency Shelter Grant (ESG) $538,354 ESG Reprogrammed Funds (from prior years) $0 Housing Opportunities for Persons With AIDS (HOPWA) $1,471,187 Housing Opportunities for Persons With AIDS (HOPWA) - Prior Yr $0 TOTAL $9,218,238 Source: U.S. Department of Housing and Urban Development and City of Santa Ana CDA As noted above, in addition to entitlement funds, there may be program income and prior year unexpended funds that may be added to the amounts listed above to carry out eligible activities. A summary of activities planned for implementation during the 2013-2014 Fiscal Year is found on TABLE 2. These activities include the following: TABLE 2: PLANNED USE OF 2013-2014 HUD FUNDS AcTjvrry CDBG Public Facility & Improvements FUNDING SOURCE CDBG FUNDING AmOUNT $1,577,384 CDBG Public Services CDBG $852,000 CDBG Economic Development CDBG $400,000 CDBG Code Enforcement CDBG $920,000 CDBG Housing Rehabilitation CDBG $795,000 CDBG Planning CDBG $100,000 CDBG Administration & Fair Housing CDBG $1,036,096 ESG- Street Outreach ESG $54,304 ESG- Emergency Shelter ESG $229,700 ESG Homelessness Prevention ESG $79,200 ESG Rapid Rehousing ESG $124,800 ESG Administration ESG $40,350 ESG Administration Homeless Management Information System ESG $10,000 HOME Administration - Program oversight HOME $122,821 HOME CHDO Allocation HOME $550,000 HOME Multifamily Acquisition/Rehabilitation HOME $455,396 DRAFT 04/22/2013 29A-8 2013/14 I 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN HOME Single Family Acquisition and/or Rehabilitation I HOME 1 $100,000 HOPWA Administration 1 HOPWA $44,136 HOPWA Support Services Z HOPWA $827,051 HOPWA Tenant Based Rental Assistance z HOPWA $600,000 * "Funding Amount" is based on anticipated 13-14 grants - does not include additional prior year/reprogrammed funds or program income 1. Santa Ana receives and administers HOPWA funds on behalf of the entire Orange County region. 2. HOPWA-funded programs and services will be available countywide. CDBG-funded activities will be available to income-eligible households, i.e., households with an income equal to or less than 80 percent of the County median income or in areas of the City where HUD has determined at least 51 percent of residents meet the 80 percent median income standard (see MAP 1).1 HOME-funded activities will also benefit homeowners at the 80 percent income standard and renters with lower incomes. ESG will be limited to programs that prevent eminent eviction/foreclosure or assist those individuals/families that are already homeless and need appropriate housing and/or support services. As indicated in TABLE 2, HOPWA funds will be utilized to support programs that address the housing and service needs of Orange County residents living with HIV/AIDS. Pursuant to the Citizen Participation Plan and HUD requirements, the City prepared the draft 2013-2014 Action Plan in compliance with the City's citizen participation process. The draft 2013-2014 Action Plan was available for public review for a 30-day period. This comment period began March 16, 2013 and ended April 15, 2013. Additionally, a public hearing was held April 16, 2013 to receive additional public input on proposed 2013-2014 HUD-funded activities. A public notice regarding the 30-day comment period and public hearing was published on March 16, 2013 (see EXHIBIT 1). A summary of public comments received and staff's written response to comments is also incorporated into EXHIBIT 1. 1 The City is eligible to utilize HUD's uncapped 80% income standard versus the HUD's capped income limits. Additional information regarding capped versus uncapped is found on page 22. 4 DRAFT 04/22/2013 29A-9 STANDARD FORM 424 OMB i n! f, 4040-0004 Application for Federal Assistance SF-424 Version 02 *1. Type of Submission: *2. Type of Application * If Revision, select appropriate letter(s) ? Preapplication ® New ® Application ? Continuation Other (Specify) ? Changed/Corrected Application ? Revision 3. Date Received 4. Applicant Identifier: 5a. Federal Entity Identifier: *5b. Federal Award Identifier: B-13-MC-06-0508 B-13-MC-06-0508 State Use Onl : 6. Date Received by State: 7. State Application Identifier: 8. APPLICANT INFORMATION: *a. Legal Name: City of Santa Ana *b. Employer/Taxpayer Identification Number (ElN/TIN): *c Organizational DUNS: 95-6000785 083153247 d. Address: *Street 1: 20 Civic Center Plaza Street 2: *City: Santa Ana County: Orange *State: CA Province: *Country: USA *Zip / Postal Code 92702 e. Organizational Unit: Department Name: Division Name: Community Development Agency Administration Division f. Name and contact information of person to be contacted on matters involving this application: Prefix: Ms *First Name: Nancy Middle Name: T *Last Name: Edwards Suffix: Title: Interim Executive Director, Community Development Agency Organizational Affiliation: *Tc^icphv^iic Vumber: 714-667-2244 Fax Number: 714-647-6713 *Email: nedwards@santa-ana.org DRAFT 04/22/2013 29A-10 OMB Number 4040-0004 Expirabon Date: 01/3112009 Application for Federal Assistance SF-424 Version 02 *9. Type of Applicant 1: Select Applicant Type: City or Township Government Type of Applicant 2: Select Applicant Type: Type of Applicant 3: Select Applicant Type: *Other (Specify) *10 Name of Federal Agency: Housing and Urban Development 11. Catalog of Federal Domestic Assistance Number: 14-218 CFDA Title: Community Development Block Grant *12 Funding Opportunity Number: NA *Title: NA 13. Competition Identification Number: NA Title: NA 14. Areas Affected by Project (Cities, Counties, States, etc.): City of Santa Ana, CA *15. Descriptive Title of Applicant's Project: Funds to be used to support improvement of public facilities in the City's Low/Mod areas, housing rehab, economic development, and public services. Funds will also be used for program administration and fair housing services. DRAFT 04/22/2013 29A-11 OMB Number 4040-0004 F.nbnnnn nom nvwwa Application for Federal Assistance SF-424 Version 02 16. Congressional Districts Of: •a. Applicant: 46 & 47 *b. Program/Project: 46 & 47 17. Proposed Project: •a. Start Date: 07/01/2013 *b. End Date: 06/30/2014 18. Estimated Funding *a. Federal 5,680,480 *b. Applicant *c. State *d. Local *e. Other (Carry Forward) $300,000 *f. Program Income •g. TOTAL 5,980,480 *19. Is Application Subject to Review By State Under Executive Order 12372 Process? ? a. This application was made available to the State under the Executive Order 12372 Process for review on ? b. Program is subject to E.O. 12372 but has not been selected by the State for review. ® c. Program is not covered by E. 0.12372 *20. Is the Applicant Delinquent On Any Federal Debt? (if "Yes", provide explanation.) ? Yes ® No 21. *By signing this application, I certify (1) to the statements contained in the list of certifications** and (2) that the statements herein are true, complete and accurate to the best of my knowledge. I also provide the required assurances** and agree to comply with any resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties. (U. S. Code, Title 218, Section 1001) ® **I AGREE ** The list of certifications and assurances, or an intemet site where you may obtain this list, is contained in the announcement or agency specific instructions Authorized Representative: Prefix: *First Name: Kevin Middle Name: *Last Name: O'Rourke Suffix: *Title: Interim City Manager *Telephone Number: 714-647-5200 Fax Number: 714-647-6713 * Email: korourke@santa-ana.org -Signature of Authorized Representative: --T .Date Signed: -L- ?.„ - L. 1 -P-1-U.. DRAFT 04/22/2013 Standard Form 41-4 (Revised 10/2005) Prescribed by OMB Circular A-10'- 29A-12 OMB NUNMER: 4040-0004 F....r.I;n.. - Ill I] 1/HMO Application for Federal Assistance SF-424 Version 02 *1. Type of Submission: *2. Type of * If Revision, select appropriate letter(s) ? Preapplication Application ® Application ® New ? Changed/Corrected Application ? Continuation *Other (Specify) ? Revision 3. Date Received 4. Applicant Identifier: 5a. Federal Entity Identifier: *5b. Federal Award Identifier: M-13-MC-06-0508 M-13-MC-06-0508 State Use Only: 6. Date Received by State: 7. State Application Identifier: 8. APPLICANT INFORMATION: *a. Legal Name: City of Santa Ana *b. Employer/Taxpayer Identification Number (EIN/TIN): Organizational DUNS: E 95-6000785 532 47 o d. Address: *Street l : 20 Civic Center Plaza Street 2: *City: Santa Ana County: Orange *State: CA Province: *Country: USA *Zip / Postal Code 92702 e. Organizational Unit: Department Name: Division Name: Community Development Agency Housing Division f. Name and contact information of person to be contacted on matters involving this application: Prefix: Ms *First Name: Shelly Middle Name: *Last Name: Landry-Bavle Suffix: Title: Housing Manager Organizational Affiliation: *Telephone Number: 714-667-22287 Fax Number: 714-647-2225 *Email: slandry-bayle@santa-ana.org DRAFT 04/22/2013 29A-13 OMB Number: 4040-0004 Expiration Date: 01/31!2009 Application for Federal Assistance SF-424 Version 02 *9. Type of Applicant 1: Select Applicant Type: City or Township Government Type of Applicant 2: Select Applicant Type: Type of Applicant 3: Select Applicant Type: *Other (Specify) *10 Name of Federal Agency: Housing and Urban Development 11. Catalog of Federal Domestic Assistance Number: 14-239 CFDA Title: Home Investment Partnerships Act *12 Funding Opportunity Number: NA *Title. NA 13. Competition Identification Number: NA Title: NA 14. Areas Affected by Project (Cities, Counties, States, etc.): City of Santa Ana, CA *15. Descriptive Title of Applicant's Project: Funds to be used to expand and preserve the City's supply of affordable housing and program administration. ADDI funds received in prior years will be used to assist l't homebuyers. l DRAFT 04/22/2013 29A-14 OMn Number: 4040-0004 Exoiration Date: 01/31/2009 Application for Federal Assistance SF-424 Version 02 16. Congressional Districts Of: *a. Applicant: 46 & 47 *b. Program/Project: 46 & 47 17. Proposed Project: *a. Start Date: 07/01/2013 *b. End Date: 06/30/2014 18. Estimated Funding *a. Federal 1,228,217 *b. Applicant *c. State *d. Local *e. Other *f. Program Income *g. TOTAL 1,228,217 *19. Is Application Subject to Review By State Under Executive Order 12372 Process? ? a. This application was made available to the State under the Executive Order 12372 Process for review on ? b. Program is subject to E.O. 12372 but has not been selected by the State for review. ® c. Program is not covered by E. O. 12372 *20. Is the Applicant Delinquent On Any Federal Debt? (If "Yes", provide explanation.) ? Yes ® No 21. *By signing this application, I certify (t) to the statements contained in the list of certifications** and (2) that the statements herein are true, complete and accurate to the best of my knowledge. I also provide the required assurances** and agree to comply with any resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties. (U. S. Code, Title 218, Section 1001) ® **I AGREE ** The list of certifications and assurances, or an internet site where you may obtain this list, is contained in the announcement or agency specific instructions Authorized Representative: Prefix: *First Name: Kevin Middle Name: *Last Name: O'Rourke Suffix: *Title: Interim City Manager *Telephone Number 714-647-5200 "Telephone Number: 714-647-5200 "Email' korourke@santa-ana.org *Signature of Authorized Representative: *Date Signed: Autnor¢ed for Local Reproduction 10 standard Form 424 (Revised 1012005) Prescribed by OMB Circul. A-102 DRAFT 04/22/2013 29A-15 OMB Number: 4040-0004 Expiration Date: 01/312009 Application for Federal Assistance SF-424 Version 02 *1. Type of Submission: *2. Type of * If Revision, select appropriate letter(s) ? Preapplication Application ® Application ® New ? Changed/Corrected Application ? Continuation *Other (Specify) ? Revision 3. Date Received 4. Applicant Identifier: 5a. Federal Entity Identifier: *5b. Federal Award Identifier: 5-13-MC-06-0508 5-13-MC-06-0508 State Use Onl : 6. Date Received by State: 7. State Application Identifier: 8. APPLICANT INFORMATION: *a. Legal Name: City of Santa Ana *b. Employer/Taxpayer Identification Number (EIN/TIN): c. Organizational DUNS: L 95-6000785 83153247 C d. Address: *Street 1: 20 Civic Center Plaza Street 2: *City: Santa Ana County: Orange *State: CA Province: *Country: USA *Zip / Postal Code 92702 e. Organizational Unit: Department Name: Division Name: Community Development Agency Administration Division f. Name and contact information of person to be contacted on matters involving this application: Prefix: Ms *First Name: Nancy Middle Name: T *Last Name: Edwards Suffix: Title: Interim Executive Director, Community Development Agency Organizational Affiliation: *Telephone Number: 714-667-2244 Fax Number: 714-647-6713 *Email: nedwards@santa-ana.org DRAFT 04/22/2013 11 29A-16 OMB Numb- 4040-0004 Expiration Date. 01/31/2009 Application for Federal Assistance SF-424 Version 02 *9. Type of Applicant 1: Select Applicant Type: City or Township Government Type of Applicant 2: Select Applicant Type: Type of Applicant 3: Select Applicant Type: *Other (Specify) *10 Name of Federal Agency: Housing and Urban Development 11. Catalog of Federal Domestic Assistance Number: 14-231 CFDA Title: Emergency Solutions Grant *12 Funding Opportunity Number: NA *Title: NA 13. Competition Identification Number: NA Title: NA 14. Areas Affected by Project (Cities, Counties, States, etc.): City of Santa Ana, CA *15. Descriptive Title of Applicant's Project: Funds to be used to provide homeless assistance (street outreach and shelter), rapid re-housing, homelessness prevention and program admin. I 12 DRAFT 04/22/2013 29A-17 OMB Number: 4040-0004 E--ration Date= 01/31/2009 Application for Federal Assistance SF-424 Version 02 16. Congressional Districts Of: *a. Applicant: 46 & 47 *b. Program/Project: 46 & 47 17. Proposed Project: *a. Start Date: 07/01/2013 *b. End Date: 06/30/2014 18. Estimated Funding *a. Federal 538,354 *b. Applicant *c. State *d. Local *e. Other (Prior Year) *f Program Income *g. TOTAL 538,354 *19. Is Application Subject to Review By State Under Executive Order 12372 Process? ? a. This application was made available to the State under the Executive Order 12372 Process for review on ? b. Program is subject to E.O. 12372 but has not been selected by the State for review. ® c. Program is not covered by E. O. 12372 *20. Is the Applicant Delinquent On Any Federal Debt? (If "Yes", provide explanation.) ? Yes ® No 21. *By signing this application, I certify (1) to the statements contained in the list of certifications** and (2) that the statements herein are true, complete and accurate to the best of my knowledge. I also provide the required assurances** and agree to comply with any resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties. (U. S. Code, Title 218, Section 1001) ® **I AGREE ** The list of certifications and assurances, or an intemet site where you may obtain this list, is contained in the announcement or agency specific instructions Authorized Representative: Prefix: *First Name: Kevin Middle Name: *Last Name: O'Rourke Suffix: *Title: Interim City Manager *Telephone Number: 714-647-5200 `Telephone Number: 714-647-5200 *Email: korourke@santa-ana.org *Signature of Authorized Representative: *Date Signed: Authorized for Local K,-production DRAFT 04/22/2013 13 29A-18 Standard Form 424 (Revised 102005) Prescribed by O'vfB Circular A-102 OMB Number: 4040-0004 Emiration Dates Cl/31/2009 Application for Federal Assistance SF-424 Version 02 *1. Type of Submission: *2. Type of Application * If Revision, select appropriate letter(s) ? Preapplication ® New ® Application ? Continuation *Other (Specify) ? Changed/Corrected Application ? Revision 3. Date Received 4. Applicant Identifier: 5a. Federal Entity Identifier: *5b. Federal Award Identifier: CA 16 H13-FO75 CA 16 H13-FO75 State Use Onl : 6. Date Received by State: 7. State Application Identifier: 8. APPLICANT INFORMATION: *a. Legal Name: City of Santa Ana *b. Employer/Taxpayer Identification Number (EIN/TIN): *c. Organizational DUNS: 95-6000785 083153247 d. Address: *Street l: 20 Civic Center Plaza Street 2: *City: Santa Ana County: Orange *State: CA Province: *Country: USA *Zip / Postal Code 92702 e. Organizational Unit: Department Name: Division Name: Community Development Agency Housing Division f. Name and contact information of person to be contacted on matters involving this application: Prefix: Ms *First Name: Shelly Middle Name: *Last Name: Landry-Bavle Suffix: Title: Housing Manager Organizational Affiliation: *Telephone Number: 714-667-22287 Fax Number: 714-647-2225 *Email: slandry-bayle@santa-ana.org 14 DRAFT 04/22/2013 29A-19 OMB Number: 4040-0004 Expiration Date. 01/312009 Application for Federal Assistance SF-424 Version 02 *9. Type of Applicant 1: Select Applicant Type: City or Township Government Type of Applicant 2: Select Applicant Type: Type of Applicant 3: Select Applicant Type: *Other (Specify) *10 Name of Federal Agency: Housing and Urban Development 11. Catalog of Federal Domestic Assistance Number: 14-241 CFDA Titles Housing Opportunities for Persons with AIDS *12 Funding Opportunity Number: NA *Title: NA 13. Competition Identification Number: NA Title: NA 14. Areas Affected by Project (Cities, Counties, States, etc.): Orange County, CA *15. Descriptive Title of Applicant's Project: Funds to be used to provide housing and supportive services for individuals with HIV and AIDS. Funds will also be used for program admin. Funds e:l!l be used throughout Orange County CA. DRAFT 04/22/2013 15 29A-20 OMB Number: 4040-0004 F-i-inn Pate- Ill/31/7(X19 Application for Federal Assistance SF-424 Version 02 16. Congressional Districts Of: *a. Applicant: 39, 41, 45, 46, 47 & 48 *b. Program Project: 39, 41, 45, 46, 47 & 48 17. Proposed Project: *a. Start Date: 07/01/2013 *b. End Date: 06/30/2014 18. Estimated Funding ($): *a. Federal 1,471,187 *b. Applicant *c. State *d. Local *e. Other (Prior Yr) *f. Program Income *g. TOTAL 1,471,187 *19. Is Application Subject to Review By State Under Executive Order 12372 Process? ? a. This application was made available to the State under the Executive Order 12372 Process for review on ? b. Program is subject to E.O. 12372 but has not been selected by the State for review. ® c. Program is not covered by E. O. 12372 *20. Is the Applicant Delinquent On Any Federal Debt? (If "Yes", provide explanation.) ? Yes ® No 2 L *By signing this application, I certify ( l) to the statements contained in the list of certifications** and (2) that the statements herein are true, complete and accurate to the best of my knowledge. I also provide the required assurances** and agree to comply with any resulting terms if I accept an award. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties. (U. S. Code, Title 218, Section 1001) ® **I AGREE ** The list of certifications and assurances, or an internet site where you may obtain this list, is contained in the announcement or agency specific instructions Authorized Representative: Prefix: *First Name: Kevin Middle Name: *Last Name: O'Rourke Suffix: *Title: Interim City Manager *Telephone Number 714-647-5200 *Telephone Number: 714-647-5200 * Email: korourke@santa-ana.org *Signature of Authorized Representative: *Date Signed: Autnor¢ed tar Local Keproducuon 16 Standard Form 424 (Revised 10/2005) Prescribed by OMB Circular A-102 DRAFT 04/22/2013 29A-21 RESOURCES FEDERAL RESOURCES As part of the Action Plan, federal regulations require the City of Santa Ana to delineate federal and non-federal resources expected to be available to address the priority needs and specific objectives identified in the Consolidated Plan. TABLE 3 provides a summary of HUD grants and program income that will be programmed during FY 2013-2014. HUD also asks communities to outline other resources that may be available during the program year to leverage federal grant funds in an effort to address priority needs. TABLE 3 provides a more comprehensive listing of potential federal, state and local private resources that are or may be available to the City to undertake activities to meet housing and community needs. TABLE 3: POTENTIAL RESOURCES AVAILABLE FOR HOUSING & COMMUNITY DEVELOPMENT 2013-2014 PROGRAM DESCRIPTION ELIGIBLE ACTIVITIES FEDERAL RESOURCES This is an entitlement program that is awarded to ' Social Services Community Development Block the City on a formula basis. The objectives are to ' Public Facilities Grant (CDBG) fund housing activities and expand economic Improvements opportunities. Projects must meet one of three • Housing Rehabilitation $5,680,480 national objectives: benefit low- and moderate- ¦ Code Enforcement (plus program income & reprogrammed income persons; aid in the prevention or ¦ Historic Preservation funds) elimination of slums or blight; or meet other ¦ Economic Development urgent needs ¦ Admin. & Planning HOME Investment Partnerships ¦ Multi-Family (HOME) Program Grant program for housing to expand the supply Acquisition/Rehabilitation of decent, safe, and sanitary affordable housing. ¦ Multi-family New $1,228,217 HOME is designed as a partnership program Construction (plus program income & funds from between the federal, state, and local ¦ Single-Family Rehabilitation previous grant years) governments, nonprofit and for-profit housing entities to finance, build/rehabilitate and manage ' Acquisition (plusADDI funds -approximately housing for lower-income owners and renters ' CHDO Assistance $165,000 available) ¦ Program Administration Emergency Solutions Grant Annual grant funds are allocated on a formula ¦ Outreach/Assessment (ESG) basis. Funds are intended to assist with the ¦ Homelessness Prevention $538,654 provision of shelter and social services for the ¦ Shelter/Rapid Re-housing homeless ¦ Program Administration Housing Opportunities for Funds are allocated to Santa Ana on behalf of all ¦ Rental Assistance Persons with AIDS (HOPWA) jurisdictions in Orange County. Funds are made available countywide for supportive housing ¦ Supportive Services $1,471,187 services, affordable housing development, & ' Housing development ® rental assistance ¦ Program Administration DRAFT 04/22/2013 17 29A-22 PROGRAM DESCRIPTION ELIGIBLE ACTIVITIES ¦ Vocational Training Workforce Investment funds are used to assist ¦ On-the Job Training economically disadvantaged Santa Ana youths ¦ ESL & GED Prep Courses Workforce Investment Act and laid-off adults to develop work skills and vocational training in order to obtain productive Welfare to Work employment opportunities. ' Resume Prep, Lay-off ® Aversion • Business Retention & Outreach Program that subsidizes rental for very low- Housing Choice Vouchers income families, individuals, seniors and the 0 disabled. Participants pay approximately 30% of adjusted income toward rent. SA Housing ' Rental Assistance $27,541,014 Authority pays balance of rent to property owner and administers the program -2,699 vouchers Neighborhood Stabilization • Acquisition Program (NSP) 1,2 & 3 Federal grant program that provides targeted ¦ Rehabilitation assistance to acquire and redevelop foreclosed ¦ Resale of foreclosed & $2,952,558 homes and residential properties that might abandoned residential (balance of grant funds & program otherwise become sources of blight. properties income) ¦ Program administration Program encourages private capital investment to ¦ New Construction Low Income Housing Tax Credit develop affordable rental housing for low-income (LIHTC) households. Tax credits are available to ' Housing Rehabilitation individuals and corporations investors ' Acquisition STATE RESOURCES California Dept of Housing & Low interest loans for the development of ¦ Ownership & Rental Community Development affordable housing Housing Projects CITY OF SANTA ANA RESOURCES Santa Ana Redevelopment Agency Low Income Housing Redevelopment Agency activities were Set-Aside Fund terminated by the State Legislature. Resources no ¦ None longer available $0 The City allows an increase in density to Density Bonus developers who set-aside at least 25% of their ¦ Density Bonus project to low- and moderate-income persons The Housing Authority has the authority to issue Tax Exempt Bonds tax-exempt bonds. Bond proceeds are used to ¦ Housing Development develop affordable housing If available and appropriate, City or City/Agency Owned Land Redevelopment Agency owned land might be ¦ Housing made available. 18 DRAFT 04/22/2013 29A-23 DESCRIPTION ELIGIBLE ACTIVITIES PRIVATE RESOURCES 1. Community Home Buyer Program - Fixed rate Federal National Mortgage mortgages 2. Community Home Improvement Mortgage . Homebuyer Assistance Assoc. (Fannie Mae) Program - Mortgages for both purchase and ¦ Homebuyer rehabilitation of a home Assistance/Rehab Freddie Mac 3. Fannie Neighbor -Under served low-income ¦ Expand Home Ownership minorities are eligible for low down-payment for Minorities FHA mortgages for the purchase of single family homes California Community Nonprofit mortgage banking consortium that ¦ New Construction Reinvestment Corp. pools resources to reduce lender risk in financing (CCRC) affordable housing Rehabilitation Federal Home Loan Bank Direct subsidies to nonprofit and for-profit • New Construction Affordable Housing Program developers, and public agencies for affordable ¦ Expand Home Ownership low-income ownership and rental projects for Lower Income Persons Orange County Affordable Nonprofit lender consortium ' Construction Financing Housing Clearinghouse ¦ Permanent Financing OTHER NON-FEDERAL PUBLIC AND PRIVATE RESOURCES As outlined above (TABLE 3) , there are additional federal, non-federal and private resources that the City anticipates it may receive or seek in support of meeting priority needs and specific objectives identified in the Consolidated Plan. LEVERAGING OF RESOURCES HUD requires the City to discuss how federal resources to be made available during the 2013-2014 Program Year will leverage other non-federal public and private resources. In past years the City of Santa Ana had implemented a strategy of linking non-federal resources for housing and community development needs with federal grant funds. This strategy involves identifying federal resources that may be available to undertake a project. If grant funds are insufficient other non-federal resources will be utilized to meet project finance gaps. In past years local redevelopment funding was the primary source of leveraging (and HOME match). Unfortunately as of February 2012, State legislation has resulted in the dissolution of all California redevelopment agencies, and while some legislation is being considered that may address affordable housing needs, for the short- to medium-term, this funding source will no longer be available. The City will be severely challenged in identifying new resources that can be used to leverage declining federal funds. To the extent resources are available, the City will continue to commit non-federal resources to undertake activities that are not federally funded, but address the priority needs of the community. HUD's IDIS system will help facilitate more accurate reporting of DRAFT 04/22/2013 19 29A-24 leveraging resources. The list of resources identified in TABLE 3 may be used during the course of the year to leverage HUD funding. FEDERAL MATCH REQUIREMENTS There is no federal requirement for the City to match CDBG funds with other non-federal program resources. The HOME program does require that for every HOME dollar spent, the City must provide a 25% match with non-federal dollars; however, under certain circumstances, HUD will waive or reduce the match requirement. As of January 2, 2013, the City was included on the list of HOME Participating Jurisdictions that have been granted a match reduction.2 According to this notice, the City's HOME match requirement has been reduced to 0% because the City's "family poverty rate" is 125% or more of the average national poverty rate, the jurisdiction qualifies as distressed based on the family poverty rate criterion, and the City's per capita income is less than 75% of the national average. Even though Santa Ana is not required to provide HOME matching funds, the City will continue to implement its current strategy to match HOME funds by undertaking projects that blend local and private resources with HOME funds. HUD allows the City to use various resources to meet this match requirement including: ¦ Cash ¦ Value of waived taxes, fees or charges ¦ Value of donated land ¦ Value of donated materials and/or labor Based on past actions, HOME match resources will include the value of donated land and value of donated labor and materials, and/or direct subsidies with non-federal funds. As required, the City currently maintains a log of current match sources including a balance of excess match. The Emergency Solutions Grant (ESG) program also has a match requirement. The City must match ESG expenditures dollar for dollar. The City of Santa Ana requires that subrecipients of ESG funds provide documentation of matching resources. An annual report of matching funds is provided to HUD as part of the Consolidated Annual Performance and Evaluation Report. 2 See HUD website http://portal.hud.gov/hudportal/HUD?src=/program offices/comm planning/affordablehousing/programs/home/match 20 DRAFT 04/22/2013 29A-25 ACTIVITIES TO BE UNDERTAKEN An outline of activities the City of Santa Ana will undertake during the 2013-2014 Program Year is provided in TABLE 2. Activities were selected for implementation in order to address HIGH priority needs identified in the City's Consolidated Plan. A detailed description of activities to be undertaken is provided in EXHIBIT 3 - LISTING OF PROPOSED ACTIVITIES. Descriptions of Activities include: ¦ Number and type of accomplishment the proposed activity will address ¦ Location of activity ¦ Proposed end date ¦ Amount/source of HUD entitlement funds ¦ Priority need and proposed outcome/performance measure To facilitate the evaluation of Santa Ana's progress toward meeting five-year objectives the City has chosen to use HUD TABLE 3A (Version 2) to track one- and five-year accomplishments. This table will be updated annually and incorporated into year-end performance reports. This HUD table is incorporated into the Annual Plan as EXHIBIT 2. Additional tracking of goals will be carried out by updating various tables found in the Consolidated Plan, which will be incorporated into subsequently Annual Plans. GEOGRAPHIC DISTRIBUTION The geographic distribution of HUD grant funds is depicted in MAP 1. This map provides a view of the City's CDBG Target Area where CDBG resources will be focused, and plots where proposed activities will be located. As evidenced by MAP 1, HUD-funded activities are limited to the City's Low-and Moderate-Income area, which encompasses the majority of the City's residential areas. Areas of the City outside of the CDBG target areas will benefit from activities that are limited-clientele in nature, that is, a person/household can benefit from a federally assisted program provided they meet the program's eligibility criteria. Eligibility is typically established by household income and household size. HOPWA-funded activities will be available on a countywide basis. In July 2003, HUD notified the City of Santa Ana that it is exempt from the cap on Low- and Moderate-Income levels currently applied to the CDBG and HOME programs. Traditionally, DRAFT 04/22/2013 21 29A-26 HUD has capped the 80 percent income level to an amount lower than the actual 80 percent of the area's median income. Utilization of the uncapped 80 percent income level theoretically allows more households to qualify for CDBG and HOME funded activities. The City of Santa Ana has chosen to utilize the capped 80 percent income standard for limited clientele activities and the uncapped income for area-wide benefit activities. The table below provides a listing of HUD's 2013 "Capped and 2013 Uncapped" income standard for Orange County. TABLE 4: 2013 CAPPED AND 2013 UNCAPPED HUD INCOME LIMITS HOUSEHOLDS SIZE 1 Person 2013 MAXIMUM • HOUSEHOLDS • $51,520 2013 MAXIMUM "UNCAPPED" HOUSEHOLDS INCOME $47,100 2 Persons $58,600 $53,800 3 Persons $65,900 $60,550 4 Persons $73,200 $67,300 5 Persons $79,100 $72,650 6 Persons $84,950 $78,050 7 Persons $90,800 $83,450 8+ Persons $96,650 $88,800 Source: U.S. Department of Housing and Urban Development 22 DRAFT 04/22/2013 29A-27 ? z M ? a N Z Q W H G Q O W Z Z a 0 0 z W Z O N rn r'I O N a-1 Q 2 W o ,? a Q u H G ? R E ; O w r f ` N ?tp a is aavH O y ? O J _? m W mcZ O =c? CD o - W ma m --_ - ? ? Q p C?7 0 C y N W o- .T. p m-? V O C J W mJ _. J m °u o'a m N m ti 0 N N a O LL Q O 29A-28 2013/14 I 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN HOMELESS AND OTHER SPECIAL NEEDS The Action Plan delineates the specific activities that the City will undertake during the 2013-2014 Program Year that address objectives and goals identified in the Consolidated Plan to meet the needs of Santa Ana's homeless and special need populations. As reported in the 2010-2014 Consolidated Plan, it is estimated in 2009 there were 1,925 homeless individuals Santa Ana at the time the County undertook its biennial Point In Time census of the region's homeless. Because individuals enter and leave homelessness on an ongoing basis, it was estimated that 4,961 Santa Ana residents were homeless over the course of a year. To address the needs of these individuals, the City will continue its efforts to identify efficient and effective means to distribute limited resources for homeless needs. The City has designated emergency and transitional housing as high priorities for addressing homelessness. There are 16 emergency and transitional shelters in the City, providing an estimated 265 emergency and 317 transitional housing beds - more than any other city in the County.3 During the 2013-2014 Program Year the City will also incorporate into its agreements a provision that each ESG-funded agency prepare and implement a policy that will help ensure persons discharged from local publicly funded institution have access to housing/services thus preventing their immediate homelessness upon discharge. On May 20, 2009, President Obama signed into law a bill to reauthorize HUD's McKinney- Vento Homeless Assistance programs. The bill included parts of the Helping Families Save Their Homes Act. Since the provisions of the bills were identical, both have become known as the Homeless Emergency Assistance and Rapid Transition to Housing (HEARTH) Act. The HEARTH Act made numerous changes to HUD's homeless assistance programs: ¦ Replaced the Emergency Shelter Grant (ESG) program with the Emergency Solutions Grant (ESG) program ¦ Homelessness prevention is significantly expanded ¦ New incentives place more emphasis on outreach/assessment and rapid re-housing, especially for homeless families ¦ The existing emphasis on creating permanent supportive housing for people experiencing chronic homelessness will continue, although now families can also be considered chronically homeless 3 Total emergency shelter beds do not include 250 seasonal beds that are opened during winter months offered at the National Guard Armory located in Santa Ana. 24 DRAFT 04/22/2013 29A-29 2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN 2013/14 I ACTION PLAN ¦ Consultation with Continuum of Care (CoC) -The City must consult with the CoC that serves the regional homeless ¦ The HEARTH Act also required changes to the way ESG funds are allocated; specifically, only 60 percent of the City's ESG grant may be used for shelter and outreach services The Act also modified the definition of homelessness and allows ESG grantees to use some Continuum of Care funding for people who are not homeless under HUD's definition, but are homeless under definitions of homelessness used by other federal agencies. Additionally, the HEARTH Act added a definition for a person that is at imminent risk of homelessness or where a family or unaccompanied youth is living unstably. The Hearth Act also required that the City make certain modifications to its Consolidated Plan, Action Plan and year-end performance reports. Amendments to the Consolidated Plan will be undertaken by the City as part of a separate action. The 2013-2014 Action Plan takes into account required modifications as will the upcoming 2012-2013 Consolidated Annual Performance and Evaluation Report (CAPER, i.e., year-end performance report). Taking the HEARTH Act into account, during the 2013-2014 Program Year, the City will undertake the following homeless housing/service activities: HOMELESS ASSISTANCE - OUTREACH & SUPPORTIVE SERVICES Santa Ana's homeless strategy calls for the provision of outreach and support services to assist individuals and families that are homeless or at risk of becoming homeless. ESG resources will be provided to local nonprofit organizations and the City's police department; outreach services will be provided to an estimated 1,714 individuals during FY 2013-2014. Additionally, the City has allocated CDBG funds to fund the HEART Program, which will be used to supplement ESG funding for outreach/assessment. Planned accomplishments for the 2013-2014 Program Year are outlined in the LISTING OF PROPOSED PROJECTS - EXHIBIT 3. HOMELESSNESS PREVENTION A key component of the City's homeless strategy is to prevent individuals and families from slipping into homelessness. This is accomplished by providing monetary assistance and counseling/support services to at risk households. The City's continuum of care strategy calls for providing ESG resources to agencies that provide this type of assistance. An estimated 108 individuals will be assisted with homelessness prevention services during 2013-2014. Planned accomplishments for the 2013-2014 Program Year are outlined in the LISTING OF PROPOSED PROJECTS- EXHIBIT 3. DRAFT 04/22/2013 2$ 29A-30 2013/14 I 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN SHELTER The City will provide funds to shelter providers via the ESG and HOPWA programs. These funds will help offset the costs of providing emergency shelter, transitional housing and support services (e.g., legal assistance) for Santa Ana's homeless (and the region's homeless with HIV/AIDS with HOPWA funding). Emergency shelters are geared toward providing immediate housing to persons without shelter. Stays in emergency shelters are typically limited to a short period of time (1 to 90 days). When blended with support services, this environment can help stabilize a household in order to ascertain interim housing and service needs. The critical link between homelessness and self-sufficiency is often provided by transitional housing programs. In this setting, homeless individuals/families are provided housing, enriched with support services aimed at building self-reliance skills. An estimated 760 individuals will be assisted with ESG-funded emergency shelter services during FY 2013- 2014.4 s Planned accomplishments for the 2013-2014 Program Year are outlined in the LISTING OF PROPOSED PROJECTS- EXHIBIT 3. RAPID RE-HOUSING/TRANSITION TO PERMANENT HOUSING In recent years a new model to address the housing and service needs of the homeless has emerged - rapid re-housing. In contract to the shelter/services model, the primary notion of rapid re-housing is to transition a homeless individual or household into stable housing as quickly as possible, thus avoiding the creation of separate housing and services for people who happen to be at risk of or who are already experiencing homelessness. PROGRAM ADMINISTRATION AND DATA COLLECTION Additionally, ESG funding has been allocated for program administration and data collection (i.e., Homeless Management Information Systems or HMIS). Access to decent, affordable permanent housing is the ultimate goal of the City's Continuum of Care system. In the past, the City has provided HOME, CDBG and Redevelopment resources to nonprofit service providers in order to acquire and rehabilitate 26 DRAFT 04/22/2013 29A-31 2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN 2013/14 I ACTION PLAN housing units for persons leaving homeless programs. Some of these units have been targeted for special need populations such as the disabled, youth, and individuals living with HIV/AIDS. During the 2013-2014 Program Year, the Housing Authority will reserve ten vouchers to assist households graduating out of a transitional housing program. The City has also allocated ESG resources to fund five service providers, which will place an estimated 53 homeless individuals in permanent housing via rapid re-housing programs. The City will encourage service providers to make every effort to minimize the amount of time an individual/household remain homeless, provide access to affordable housing, and to minimize recidivism. SPECIAL NEEDS OF PERSONS NOT HOMELESS BUT IN NEED OF SUPPORTIVE HOUSING Santa Ana will continue to provide federal resources to meet the needs of persons with special needs (e.g., elderly, victims of domestic violence, persons with disabilities, persons living with HIV/AIDS). Various programs will be undertaken during the 2013-2014 Program Year including housing rehabilitation (which may include installation of items such as ramps, grab bars, wider doors, etc.), to improve mobility for persons with disabilities, and public services. Planned accomplishments for the 2013-2014 Program Year are outlined in the LISTING OF PROPOSED PROJECTS- EXHIBIT 3. DRAFT 04/22/2013 27 29A-32 2013/14 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN OTHER ACTIONS IDENTIFICATION OF IMPEDIMENTS TO FAIR HOUSING CHOICE As a recipient of federal grant funds, the City of Santa Ana is required to prepare an Analysis of Impediments to Fair Housing choice (AI). In addition to identifying impediments, a strategy to overcome these barriers must be implemented. The Al must be prepared to complement the Consolidated Plan. The City was a participant in the development of a regional Al, prepared by the Fair Housing Council of Orange County (FHCOC) on behalf of ten municipal jurisdictions and the County of Orange. This document covers an array of private and public sector policies affecting housing choice locally and in the Orange County region. This document has served as the basis for fair housing planning. The AI covers the 2010-2014 timeframe. Summary of Impediments Identified in the Analysis 1. Housing Discrimination: Evidence suggests housing discrimination may be underreported throughout the nation; therefore, the number of complaints received may not accurately measure the actual extent of this fair housing impediment. Even so, for the 5-year period of 2005 to 2009, 302 housing discrimination complaints arising from Regional AI participants were filed with the California Department of Fair Employment and Housing (DFEH). A review of available data indicated that at the time the Regional Al was prepared, complaints within the region were mainly related to disability (35 percent), race and color (20 percent) and national origin (14 percent). 2. Real Estate Advertising: This impediment refers to print or online advertisements for the sale or rental of a dwelling that indicate a preference, limitation or discrimination based on race, color, religion, sex, marital status, national origin, ancestry, familial status, disability, sexual orientation, source of income, or age (other than housing for persons 55 or older). A review of relevant data (sampled from online and newspaper print ads) found about 14 percent contained "questionable language," which is language that deviates from the physical description of a property or its associated services. The majority of the questionable language was "No Pets", which is a possible discouragement to disabled persons with assistance animals. Other questionable language included that detailing refusal or acceptance of housing assistance or a unit's proximity to a particular house of worship. 3. Hate Crimes: A hate crime is defined in the Al as "a criminal act committed, in whole or in part, because of one or more of the following actual or perceived characteristics of the victim: disability, gender, nationality, race or ethnicity, religion, sexual orientation, or their association with a person/group with one or more of these actual or perceived 28 DRAFT 04/22/2013 29A-33 2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN 1 2013/14 ACTION PLAN characteristics." Of particular concern as an impediment to fair housing choice is the occurrence of hate crimes at or adjacent to housing. 4. Unfair Lending: This impediment refers to underwriting, marketing or pricing that discriminates because of race or ethnicity, gender, age, marital status, source of income, or another protected characteristic of a potential or actual borrower. It also includes the practice of 'redlining', where borrowers are treated adversely or denied on the basis of where they live or the location of a property they wish to finance. An evaluation of 2008 Home Mortgage Disclosure Act (HMDA) data found there was disparity in loan approval/denial rates among racial and ethnic minority borrowers, in particular, Hispanic applicants had higher loan denial rates than White, Non-Hispanic borrowers. 5. Zoning Policies and Practices: Federal and state laws, related to funding or planning requirements, oblige all local governments to affirmatively further fair housing (AFFH) opportunities. One way to accomplish AFFH is to implement zoning policies and practices that address the needs of persons with disabilities and other special needs populations. This can include making reasonable accommodations in building, land use, and housing requirements or policies when they are necessary to afford disabled persons an equal opportunity to use and enjoy a dwelling. 6. City has identified the following impediments: ¦ Lack of supportive and transitional housing zoning regulations ¦ Lack of reasonable accommodation ordinance ¦ Lack of visitability and universal design regulations in the Municipal Code Actions to Address Identified impediments: The following have been identified in the Al as actions that may be taken to address identified impediments to fair housing in collaboration with the FHCOC, lending institutions, real estate associations, and other service agencies: ¦ The City will contract with the FHCOC to receive, investigate and address housing discrimination complaints filed by City residents. Compile an Annual Report on housing discrimination complaints filed with the FHCOC, DFEH and HUD. The report will include housing discrimination complaints unique to the City as well as those of the entire County. The Annual Report will describe emerging trends within the City and County. Through the funding of FHCOC fair housing services, enforcement activities will be undertaken that provide investigation and response to allegations of illegal housing discrimination. Complaints that cannot be conciliated are referred to the U.S. Department of Housing and Urban Development (HUD), DFEH, or to a private attorney, as appropriated and as directed by the complainant. DRAFT 04/22/2013 29 29A-34 2013/14 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN ¦ FHCOC will conduct investigative testing and auditing to identify discriminatory housing practices. These efforts will primarily use its Fair Housing Initiatives Program (FHIP) Private Enforcement Initiative (PEI) to fund this activity. This investigative testing and auditing of the local real estate market, in both rental and sales, will evaluate apparent discriminatory housing practices in Santa Ana, particularly as to issues related to race, national origin and disability. If such audits reveal discrimination, FHCOC has standing to bring a formal complaint with HUD, DFEH or in the courts. Results of audits showing discrimination will be publicized when possible to both inform and serve as a deterrent to other property owners, managers or agents who might be engaging in discriminatory practices. ¦ FHCOC will provide education and outreach activities to Santa Ana residents, real estate professionals, apartment owners/managers, bankers and advocacy groups. These activities will include the distribution multi-lingual fair housing literature, conducting landlord, tenant and foreclosure workshops, providing fair housing training, and participating in public outreach events. ¦ FHCOC will monitor lending, housing providers, and local real estate practices. Monitoring will focus on reasons for denial of home purchase, refinancing and home improvement loans. Activities will also engage local lenders to provide additional community education and outreach on the loan approval process, how to improve credit ratings, available favorable home purchase tools, and will also assist lenders in marketing financial literacy programs at City Hall. ¦ To address local impediments, the City will consider implementing the following: ¦ Implement the Uniform Building Code in new and major rehabilitation projects ¦ Amend the City's zoning code to address the requirements of Government Code Section 65583(a)(5).6 ¦ The City will consider creating a reasonable accommodation ordinance that includes a local definition of disability ¦ The City will evaluate the feasibility of visitability and universal design concepts for incorporation into the Municipal Code.7 6 State code requires that the City identify a zone(s) where year-round emergency shelters are permitted without a conditional use permit or other discretionary permit. Designated zone(s) must have adequate capacity to accommodate the unmet emergency shelter need of local homeless. Per the City's Al, "visitability" refers to housing designed to be lived in by people who have trouble with steps or who use wheelchairs or walkers. A house is visitable when it meets three requirements: one zero-step entrance, door with 32 inches of clear passage space, and one bedroom on the mail floor accessible by a wheelchair. 30 DRAFT 04/22/2013 29A-35 2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN ( 2013/14 ACTION PLAN ¦ The City, in partnership with the FHCOC and other service agencies, will examine certain private sector impediments identified in the Al in the following areas: • Housing discrimination • Real estate advertising • Blockbusting. • Denial of reasonable accommodations or modifications for disabled persons • Hate crimes • Unfair lending In furtherance of addressing these private sector impediments identified in the Regional Al, and in addition to the strategies listed above, FHCOC will endeavor to undertake the following actions as resources allow: ¦ Revise its website to: 1) explain the discrimination complaint investigation and resolution process, and to allow the online completion of a complaint form; 2) to include additional information on how individuals can detect or realize they may have been a victim of illegal housing discrimination; and, 3) include quarterly, general updates on the filing of complaints and their resolutions, that do not compromise client confidentiality. ¦ Prepare a summary of the accomplishments each year and transmit it to the City in August of each year for inclusion in the Consolidated Annual Performance and Evaluation Report (CAPER), which is published every September. ¦ Periodically review "for rent" and "for sale" ads published in local print and online media. In particular print and online ads run by the Orange County Register and its associated local area weeklies, the Los Angeles Times, the PennySaver, the Recycler, and Craigslist will be included in the review. ¦ Encourage the Orange County Register to publish a Fair Housing Notice in the "For Rent" classified section and to identify the FHCOC as an agency that can respond to fair housing questions. ¦ Encourage the Los Angeles Times and Orange County Register to publish a "No Pets" disclaimer that indicates rental housing owners must provide reasonable accommodations, including accommodations for service and companion animals for disabled persons. ¦ Provide information on its website regarding blockbusting, including examples and an appropriate response if it is detected. ¦ Contact the California Department of Real Estate to determine if any Orange County real estate licensees have been accused of blockbusting or had their licenses suspended or revoked for engaging in blockbusting. If any licensees are identified in this process, an DRAFT 04/22/2013 31 29A-36 2013/14 I 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN attempt will be made to provide fair housing training to the responsible broker and all related salespersons. ¦ Provide education on the law regarding reasonable accommodations and reasonable modifications to housing providers, managers, and consumers, including at educational seminars conducted by the Apartment Association of Orange County. ¦ Assist persons with disabilities in making requests for necessary reasonable accommodations or modifications, and assist them in filing complaints when such requests are improperly denied. ¦ Coordinate with the Orange County Human Rights Commission (OCHRC), the Center OC, and the Orange County Victims Assistance Partnership to monitor and respond when appropriate to hate crimes occurring within Santa Ana and at the regional level, and provide referrals to hate crime victims. ¦ Continue to monitor Home Mortgage Disclosure Act (HMDA) data annually using the 2008 HMDA analysis as a benchmark, and complete a HMDA analysis of the top 10 lenders in Orange County to compare and contrast loan denial rates. ¦ Conduct a follow-up analysis of loan denial rates at the neighborhood level to determine to what extent, if any, redlining may exist in Orange County. This follow-up will be completed when Census 2010 data is available on minority populations at the census tract level. ¦ Conduct outreach to cultural, ethnic and minority organizations, particularly those serving Hispanic and African-American individuals, to potentially increase interest in and readiness for home purchases. ¦ Provide homebuyer education programs in neighborhoods with high denial rates, high minority population concentrations and limited English speaking proficiency to help increase loan approval rates. STRATEGY IMPLEMENTATION HUD requires that the City reevaluate how the additional strategies outlined in the Consolidated Plan will be addressed during the Program Year. OBSTACLES TO MEETING UNDERSERVED NEEDS The City of Santa Ana will undertake many activities aimed at addressing the needs of the community's underserved. The underserved include the elderly, disabled, youth, homeless, and very low-income households. In order to serve these populations, the City will focus limited resources toward upgrading existing housing units and expanding the number of affordable housing units for both owners and renters. Housing rehabilitation and 32 DRAFT 04/22/2013 29A-37 2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN 2013/14 I ACTION PLAN acquisition/development of new rental housing units are examples of activities slated for implementation during the 2013-2014 Program Year although these efforts will be severely limited due to the loss of redevelopment funding. Additionally, the City will use American Dream Downpayment Initiative (ADDI) funds on hand to assist an estimated four households to purchase a home.8 Finally, the City and local nonprofits will continue to provide services for underserved City residents. Social services to be funded during the 2013-2014 Program Year include senior meals, homelessness outreach, youth and gang diversion/enforcement services. By focusing resources on the housing and community needs identified as HIGH priority the City will be able to utilize limited resources more efficiently. When available, Santa Ana will seek out additional resources beyond federal and local funds to address barriers. FOSTERING AND MAINTAINING AFFORDABLE HOUSING Many of the barriers to maintaining and expanding affordable housing opportunities for all residents of Santa Ana are attributable to market constraints. Many of these market constraints are beyond the control of the City. Overcoming these barriers has been made more difficult with the loss of redevelopment funding. Prior to February 2012, the City would utilize its limited resources to foster and maintain affordable housing by leveraging federal funds with local redevelopment funds. The City will now seek other funding resources such as those available to nonprofit housing developers in an effort to increase the supply of long term affordable housing. The City's owner occupied housing stock will be preserved with rehabilitation funds for homeowners and enforcement of local housing/building codes. In July 2008, the Housing and Economic Recovery Act of 2008 was signed into law. This law authorized the creation of the Neighborhood Stabilization Program (NSP), which aims to curtail the negative impact of foreclosed homes on residential neighborhoods. The City of Santa Ana qualified as a direct HUD-NSP round one recipient ($5,795,151). With these funds, the City implemented a program that used funds to acquire and rehabilitate foreclosed residential properties. These units were marketed and sold to qualified homebuyers. Additionally, the City allocated 25 percent of program funds for housing for Very Low-Income persons by working in partnership with a nonprofit and for-profit housing developer. In January 2010, the City was awarded $10,000,000 in NSP2 funds as part of a nationwide competition. These resources were used in the same manner as NSP1 funding. The City has also qualified for NSP3 funds. In total the City has received approximately $17 8 The funding for the ADDI program has been terminated; however, the City has approximately $195,000 in funding on hand. DRAFT 04/22/2013 33 29A-38 2013/14 12010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN million. At the conclusion of the NSP program, the City anticipates it will have assisted 75 households to become new homeowners, plus producing at least 76 newly constructed or refurbished rental units that are affordable to very low-income households. BARRIERS TO AFFORDABLE HOUSING The City will implement an array of housing programs in order to enhance and expand the supply of affordable housing in Santa Ana. As outlined above, the City will provide housing rehabilitation programs for both owner- and rental-housing units. Additionally, programs to provide new homeownership opportunities will be undertaken with NSP funding. For renters, the City will evaluate various activities including rental assistance vouchers, acquisition and new construction or rehabilitation activities. The City will continue to utilize its strategy to leverage federal funds with non-federal resources (to the extent they are available), especially those available to nonprofit housing developers. A recent and significant barrier to the provision of affordable housing opportunities for Santa Ana residents is the end of redevelopment in California. For Santa Ana, the mandated termination of the redevelopment agency activities translates to the loss of several million dollars annually dedicated solely for affordable housing. For 2013-2014 this issue has been compounded by significant reductions in HOME and CDBG funds. LEAD-BASED PAINT As outlined in the City's 2010-2014 Consolidated Plan, HUD estimates that 74 percent of dwellings built prior to 1980 have some level of lead-based paint. Since over 80 percent of Santa Ana's housing was built before 1980, the City recognizes lead-based paint hazards as an economic and health issue. The cost of removing lead paint often acts as a deterrent to addressing this problem especially for lower income families. The City has implemented HUD's lead-based paint hazards regulations (Title X). These regulations require that certain types of HUD-funded housing activities must be tested for lead-based paint hazards prior to the beginning of any work. If the property owner moves forward with the HUD-funded housing activity, all lead-based paint hazards will be controlled or abated using HUD defined "safe work practices." Complying with lead paint requirements has increased rehabilitation costs, and has also added to the project timeline. These regulations have also prompted some potential program participants to drop their request for rehabilitation assistance. Nonetheless, the City will provide educational materials to program participants that outline the need and benefits of identifying and eliminating lead-based paint hazards. 34 DRAFT 04/22/2013 29A-39 2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN 2013/14 I ACTION PLAN ANTI-POVERTY STRATEGY The City has identified numerous factors it can influence to combat poverty. Activities and services the City will implement during the 2013-2014 Program Year to combat poverty include the following: ¦ Affordable housing programs including rehabilitation, rental assistance, and creation of new affordable housing units (via new construction or acquisition/rehabilitation). ¦ Homeless assistance including outreach, prevention activities, emergency shelter, transitional housing, and rapid re-housing/permanent housing opportunities. Support services will be blended with these activities. ¦ Public safety to prevent criminals from victimizing the poor (e.g., gang enforcement services). ¦ Public facility improvements to improve the overall infrastructure of the City, but more specifically to eliminate public improvements/infrastructure that negatively impact residential neighborhoods. ¦ Job training, job-search skills and job placement to provide those living in poverty with employment opportunities that pay higher wages. ¦ Youth recreation and diversion services which provide youth living in poverty with alternatives to gang and crime activities. ¦ Economic Development programs to assist start-up microenterprises. ¦ The Housing Authority will continue to implement the Family Self-Sufficiency (FSS) program, which will provide rental assistance, life skills training and referrals to employment training for program participants. As indicated above, reductions in HUD and the loss of local redevelopment funds have impede the implementation of affordable housing activities. These same resources were also identified by the City as the funding source for several of the activities aimed at reducing poverty in the City. As with housing programs, the City will need to reevaluate which of the planned activities aimed at reducing poverty in the community are still viable and/or which will be scaled back due to budget cuts. DEVELOPMENT OF INSTITUTIONAL STRUCTURES In light of reductions/elimination of the primary sources of funding that support the City's Consolidated Plan strategic plan, the City increase efforts to develop institutional structures and enhance coordination between public and private housing and social service agencies, and foster assisted housing improvements and resident initiatives. DRAFT 04/22/2013 35 29A-40 2013/14 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN The City will continue to utilize a network of referrals, contacts and partnerships to implement the strategies outlined in the Consolidated Plan. The City's Workforce Investment Board will work closely with local businesses to identify their workforce needs. The "One Stop" center will assist current and former welfare recipients obtain training and gainful employment. The Center will also help adult displaced workers who are seeking new employment opportunities after being laid-off. In the area of housing, the City will seek out new relationships with local housing providers such as private developers, nonprofit developers, and neighboring housing authorities, to ensure that limited housing resources are utilized in the most efficient and effective manner possible. The City will also continue to participate in the regional Continuum of Care Steering Committee in order to identify the housing and service needs of the County's homeless. Santa Ana will also participate in the implementation of a regional Analysis of Impediments to Fair Housing working with the Fair Housing Council to monitor and report actions taken to overcome impediments to fair housing choices. With respect to federal HOPWA funds, the City will consult with private, nonprofit, community, and public institutions to assess the needs of persons with HIV/AIDS, and determine the allocation of resources. Finally, the City and the Housing Authority of the City of Santa Ana will continue to work jointly to meet the housing needs of Santa Ana's very low-income renters. STRUCTURES To ENHANCE COORDINATION IN THE COMMUNITY Coordination will be enhanced between public agencies, private entities, and community residents through various means. For example, coordination between the City and residential neighborhoods will continue to be enhanced through the City's Neighborhood Improvement (NIP) Program. NIP will be responsible for assisting Santa Ana's 63 neighborhood associations by bringing key staff from the City, County, other governmental agencies, the private sector, etc., directly to neighborhoods to address their concerns and needs. Additionally, the City will continue to support the Santa Ana Resource Network's efforts to coordinate the efficient delivery of services to community residents. FOSTER AND MAINTAIN ASSISTED HOUSING IMPROVEMENTS AND INITIATIVES The Housing Authority of the City of Santa Ana does not operate public housing - it only provides Housing Choice Voucher rental assistance. 36 DRAFT 04/22/2013 29A-41 2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN 2013/14 I ACTION PLAN The Housing Authority is required to prepare a Five-Year and Annual plans that highlight its mission, goals and objectives as it relates to the Housing Choice Voucher program. The Authority's plans were prepared in conjunction with the City's Consolidated Plan. Both documents contain references to programs that may offer mutual support to meeting respective Plan objectives. The City will support the Housing Authority's efforts to assist its participants, just as the Authority is dedicated to assisting the City to implement its Consolidated Plan objectives. ECONOMIC DEVELOPMENT The City of Santa Ana has developed a variety of programs aimed at stabilizing and expanding economic opportunities for its residents and the Orange County region in general. These programs include: ¦ W.O.R.K Center, a resource center with a primary focus on employment training and job placement needs ¦ State designated Enterprise Zone ¦ Business attraction and retention programs to provide economic opportunities to City residents ¦ Enterprise Zone and HUB Zone ¦ New for 2013-2014, CDBG Economic Development microenterprise assistance It is important to note that the City's economic development strategy dependent on local redevelopment funds and State resources; both of these funding sources are slated for significant reductions. For FY 2013-2014 the City will implement a pilot CDBG-funded economic development program aimed at assisting start-up businesses. Program ill offer small grants, technical assistance, and business support to support the establishment of microenterprises. It is estimated that 100 jobs will be created via this program. MEASURE OUTCOMES The City has implemented HUD's results oriented management and accountability system for HUD-funded activity. This system is an effort to measure outcomes of HUD-funded programs as well as measure outputs. The City of Santa Ana implemented this system during the 2005-2006 Program Year based on information provided by HUD, and subsequently revised these efforts as dictated by HUD's final regulations. Presently all HUD- funded activities are linked to outcome measurements that are incorporated into the City's 2010-2014 Consolidated Plan. Grant applications, grant agreements and quarterly DRAFT 04/22/2013 37 29A-42 2013/14 I 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN accomplishment reports have been prepared to include HUD-required outcome data to facilitate accurate reporting in IDIS. This information has been utilized to complete data found in EXHIBIT 2. 38 DRAFT 04/22/2013 29A-43 2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN ( 2013/14 ACTION PLAN PROGRAM SPECIFIC REQUIREMENTS HUD requires that the City discuss how certain program specific requirements will be addressed during the program year. These actions are outlined below. COMMUNITY DEVELOPMENT BLOCK GRANT The City of Santa Ana will expend CDBG funds on eligible activities to address priority housing and community needs. It is anticipated that 100 percent of CDBG funded activities will benefit Low- and Moderate-Income households (that is, no CDBG funds will be spent on activities that do not benefit a minimum of 51 percent Low- and Moderate-Income households). These activities are described in detail in EXHIBIT 3. The City anticipates it will receive program income during the 2013-2014 Program Year. As required by HUD regulations, these resources will be utilized during the program year. The City did not have any grant funds returned to its line of credit, nor will it undertake float-funded activities (thus it will not realize any program income from float-funded activities). Finally, the City does not anticipate undertaking urgent need activities during the 2013-2014 Program Year. HOME The City of Santa Ana 2013-2014 HOME program is designed to undertake eligible activities to preserve existing affordable housing, expand the supply of decent and affordable housing, and strengthen public-private partnerships. All HOME assisted units will have appropriate covenants and written agreements in accordance with HUD regulations. To comply with HOME regulations a homeownership unit will meet certain "affordable" requirements: ¦ The initial purchase price cannot exceed 95 percent of the area median purchase price ¦ The home must be the principal residence of low-income household ¦ The unit is subject to resale restrictions; specifically for Santa Ana, the City will allow for subsequent purchase of a HOME-assisted property only by low income buyer. Affordability covenants will be in place for 15 years. ADDI is a subprogram of the HOME grant. No new ADDI funds have been provided by HUD; however, the City may use remaining prior year allocations to help qualified homebuyers obtain mortgage financing. Over the past years, the City has received a total of $341,240 in ADDI funding from HUD - presently the City has a balance of approximately $195,000. DRAFT 04/22/2013 39 29A-44 2013/14 I 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN Federal regulations require that if HOME funds are used to refinance existing debt secured by multi-family housing, the City must ensure that its rehabilitation program guidelines comply with section 92.206(b) of the HOME Program regulations. Even though no such project is contemplated for the 2013-2014 fiscal year, HUD requires that the City outline certain program provisions in the Action Plan; therefore, should a multi-family housing rehabilitation/refinance project present itself to the City, at a minimum, the following program provisions will be implemented: ¦ Refinancing will be permitted on a citywide basis; however such assistance will only be provided to permit or continue affordability for projects undertaken by a qualified nonprofit affordable housing development organization in good standing with City, HUD, private lenders, etc. ¦ The minimum affordability period shall be 15 years. ¦ Rehabilitation, not refinancing, must be the primary eligible purpose for the use of HOME funds. To ensure that this requirement is met a minimum level of rehabilitation of $15,000 per unit is required. ¦ A review of management practices will be undertaken by the City to determine that disinvestment in the property has not occurred, that the long term needs of the project can be met, and that the feasibility of serving the targeted population over the extended affordability period can be demonstrated. During the 2013-2014 Program Year, the City does not plan to use HOME funds for homebuyer assistance; however, if such assistance were to be provided, the City will market the program citywide, and in various languages. Housing Choice Voucher rental assistance recipients and residents currently residing in manufactured housing will also be targeted to fill HOME-assisted units. In order to ensure participating households are suitably prepared to become homeowners, all participants will be required to attend pre- and post-ownership training provided by a HUD-authorized housing counseling center. Furthermore, to ensure compliance with the housing affordability terms of 24 CFR 92.254, the City will impose a recapture provision that will recoup all of the HOME assistance provided to a homebuyer if the housing unit does not continue to be the principal residence of the program participant during the period of affordability. As required by the HOME program, the City has implemented an Affirmative Marketing program for all projects with five or more HOME-assisted units. This is to insure that multi- family owners receiving HOME funds will inform and solicit rental applications from persons in the housing market who are not likely to apply for the housing without special outreach. 40 DRAFT 04/22/2013 29A-45 2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN 2013/14 I ACTION PLAN Additionally, the City has adopted a Minority Outreach Program to ensure minorities- and women- businesses are provided the opportunity to participate in HOME-funded activities. EMERGENCY SOLUTIONS GRANT In December 2012, a Request for Proposals was mailed to homeless service providers soliciting applications for FY 2013-2014 ESG funds. Twenty-five applications were received by the City requesting over $1,226,000. Grant applicants primarily sought funds to offset the costs of shelter operations and essential services. To a lesser degree, homelessness prevention and rapid rehousing funding was requested. In February 2013 an ad hoc committee conducted interviews to rate and rank proposals. Evaluation criteria took into consideration the following factors: ¦ Number of people being served ¦ Location of the service being provided • Percentage of program budget represented by the request ¦ Prior funding history with the City of Santa Ana ¦ Need for the service being proposed The ad hoc committee funding recommendations were considered at the 2013-2014 Annual Plan public hearing. Subsequently, the City Council approved the allocation of all 2013-2014 Emergency Solutions Grant funds. All ESG grant applicants are required to identify the source of match funds in their application. Match funds must equal or exceed the amount of grant funds requested. Grant applicants have identified other Federal, State, and/or local government funds, private donations and fees for services as ESG matching funds. ESG subrecipients are required to submit certified proof of the receipt of these funds with each payment request. HOUSING OPPORTUNITIES FOR PERSONS WITH AIDS HOPWA funds for Program Year 2013-2014 will be utilized to undertake eligible activities to meet the needs of individuals living with HIV/AIDS that presently are not met by other public and private resources. This survey was a community-based planning effort that incorporated the input of interested community members including individuals living with HIV/AIDS, representatives of HIV/AIDS service and housing organizations, housing developers, representatives of local government agencies, advocates, and others. Relevant planning, housing, homelessness, DRAFT 04/22/2013 41 29A-46 2013/14 I 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN and epidemiological data were reviewed and incorporated into the planning effort. Critical issues and service gaps were identified and an advisory committee developed recommendations. This strategy meeting was held on February 4, 2013. These findings have been used by the Housing Committee of the Orange County HIV Planning Council to develop a list of recommended activities for HOPWA funding during FY 2013-2014, as well as the expenditure of approximately $2.06 million in Ryan White and $166,730 in Minority AIDS Initiative resources that are expected to be available during The specific activities to be undertaken in program year 2013-2014 will be to provide supportive housing services and tenant-based rental assistance. To better measure the intended outcomes of HOPWA-funded activities, HUD has implemented a comprehensive reporting document. The City will work with its subrecipients to ensure all required data is captured and reported. As required by HUD, the following information is provided regarding HOPWA-funded activities for the 2013-2014 Program Year: TABLE 5: HOPWA ANNUAL GOALS 2013-2014 HIV/AIDS HOUSING PROGRAM Short Term Rent ANNUAL .. 50 Individuals Mortgage/Utility Assistance 75 Individuals Emergency Shelter Transitional Housing Tenant-Based Rental Assistance 50 Individuals Housing Units Under Lease or Under Development 0 Units Source: City of Santa Ana LOmmunity Development Agency In order for grassroots, faith-based and other community organizations to have access to HOPWA-funded housing services, the City of Santa Ana ensures that all such organizations are invited to the HIV Planning Council's strategic planning meeting. These same agencies are also invited to participate on the Housing Committee of the HIV Planning Council. Furthermore, nonprofit housing development agencies are provided information regarding housing development opportunities that are funded through HOWPA. 42 DRAFT 04/22/2013 29A-47 2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN 2013/14 ACTION PLAN MONITORING Below are the standards and procedures that the City will use to monitor activities funded during 2013-2014. The goal of the City's monitoring program is to ensure long-term compliance with respective program requirements, including minority business outreach. COMMUNITY DEVELOPMENT BLOCK GRANT: Most CDBG funded activities, including those carried out by subrecipients, are required to submit quarterly reports to the City. Housing and public improvement project reports provide a description of project progress and dates for milestones such as a completion date. Service providers are required to include information on clients served, program progress, and outcome measurements. City staff also has an on-site monitoring program to review performance, quality of services, and grant administration provided by subrecipients. In addition to ensuring CDBG-funded activities are being carried out in an effective manner, monitoring is used to ensure the timely expenditure of CDBG resources. EMERGENCY SOLUTIONS GRANT: The same standards utilized for CDBG subrecipients are used to monitor ESG agencies. Occasionally desk monitoring may also be conducted. HOME: A HOME project-monitoring plan has been developed and implemented by the City. In compliance with HOME regulations, this plan calls for an annual on-site visits to subrecipients. During these visits staff will sample tenant files to review household income, rent levels and lease information to ensure compliance with HOME regulations and applicable affordability covenants. Staff will also review respective administrative procedures to ensure compliance with the City's Affirmative Marketing and Minority Outreach program. Finally, staff will continue to conduct periodic housing quality standards inspections as required by HUD program regulations. For ownership rehabilitation and assistance activities, the Plan calls for the City to continue its existing underwriting procedures that are designed to ensure participant eligibility and property standards compliance. The City will also continue its efforts to provide contract opportunities for minority/women owned businesses. These efforts will be reported as part of the comprehensive Consolidated Annual Performance Report submitted to HUD. HOUSING OPPORTUNITIES FOR PERSONS WITH AIDS: A comprehensive report of all activities funded under the HOPWA program is prepared annually and submitted as part of the comprehensive annual performance report to HUD. The City has established a formal monitoring system for HOPWA-funded activities. DRAFT 04/22/2013 43 29A-48 2013/14 I 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN In addition to quarterly, annual and project close out reports, the City monitors all HUD- funded programs with the assistance of the Finance Department to ensure all federal funds are spent in a timely manner. Finally, HUD's Integrated Disbursement and Information System (IDIS) allows the City to monitor line of credit balances and project status. Santa Ana has taken extensive measures to safeguard public funds and ensure timely use of funds. 44 DRAFT 04/22/2013 29A-49 2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN 2013/14 1 ACTION PLAN CERTIFICATIONS In accordance with the applicable statutes and the regulations governing the consolidated plan regulations, the jurisdiction certifies that: Affirmatively Further Fair Housing -- The jurisdiction will affirmatively further fair housing, which means it will conduct an analysis of impediments to fair housing choice within the jurisdiction, take appropriate actions to overcome the effects of any impediments identified through that analysis, and maintain records reflecting that analysis and actions in this regard. Anti-displacement and Relocation Plan -- It will comply with the acquisition and relocation requirements of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended, and implementing regulations at 49 CFR 24; and it has in effect and is following a residential antidisplacement and relocation assistance plan required under section 104(d) of the Housing and Community Development Act of 1974, as amended, in connection with any activity assisted with funding under the CDBG or HOME programs. Drug Free Workplace -- It will or will continue to provide a drug-free workplace by: 1. Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the grantee's workplace and specifying the actions that will be taken against employees for violation of such prohibition; 2. Establishing an ongoing drug-free awareness program to inform employees about - (a) The dangers of drug abuse in the workplace; (b) The grantee's policy of maintaining a drug-free workplace; (c) Any available drug counseling, rehabilitation, and employee assistance programs; and (d) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; 3. Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required by paragraph 1; 4. Notifying the employee in the statement required by paragraph 1 that, as a condition of employment under the grant, the employee will - (a) Abide by the terms of the statement; and (b) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in the workplace no later than five calendar days after such conviction; Notifying the agency in writing, within ten calendar days after receiving notice under subparagraph 4(b) from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice, including position title, to every grant officer or other designee on whose grant activity the convicted employee was working, unless the Federal agency has designated a central point for the receipt of such notices. Notice shall include the identification number(s) of each affected grant; DRAFT 04/22/2013 45 29A-50 2013/14 12010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN 6. Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph 4(b), with respect to any employee who is so convicted - (a) Taking appropriate personnel action against such an employee, up to and including termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended; or (b) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency; 7. Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs 1, 2, 3, 4, 5 and 6. Anti-Lobbying -- To the best of the jurisdiction's knowledge and belief: No Federal appropriated funds have been paid or will be paid, by or on behalf of it, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement; 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, it will complete and submit Standard Form- LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions; and 3. It will require that the language of paragraph 1 and 2 of this anti-lobbying certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. Authority of Jurisdiction -- The consolidated plan is authorized under State and local law (as applicable) and the jurisdiction possesses the legal authority to carry out the programs for which it is seeking funding, in accordance with applicable HUD regulations. Consistency with plan -- The housing activities to be undertaken with CDBG, HOME, ESG, and HOPWA funds are consistent with the strategic plan. Section 3 -- It will comply with section 3 of the Housing and Urban Development Act of 1968, and implementing regulations at 24 CFR Part Signature/Authorized Official Date interim City Manager Title 46 DRAFT 04/22/2013 29A-51 2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN ( 2013/14 ACTION PLAN Specific CDBG Certifications The Entitlement Community certifies that: Citizen Participation -- It is in full compliance and following a detailed citizen participation plan that satisfies the requirements of 24 CFR 91.105. Community Development Plan -- Its consolidated housing and community development plan identifies community development and housing needs and specifies both short-term and long-term community development objectives that provide decent housing, expand economic opportunities primarily for persons of low and moderate income. (See CFR 24 570.2 and CFR 24 part 570) Following a Plan -- It is following a current consolidated plan (or Comprehensive Housing Affordability Strategy) that has been approved by HUD. Use of Funds -- It has complied with the following criteria: 1. Maximum Feasible Priority. With respect to activities expected to be assisted with CDBG funds, it certifies that it has developed its Action Plan so as to give maximum feasible priority to activities which benefit low and moderate income families or aid in the prevention or elimination of slums or blight. The Action Plan may also include activities which the grantee certifies are designed to meet other community development needs having a particular urgency because existing conditions pose a serious and immediate threat to the health or welfare of the community, and other financial resources are not available); 2. Overall Benefit. The aggregate use of CDBG funds including section 108 guaranteed loans during program year(s) 2013, (a period specified by the grantee consisting of one, two, or three specific consecutive program years), shall principally benefit persons of low and moderate income in a manner that ensures that at least 70 percent of the amount is expended for activities that benefit such persons during the designated period; 3. Special Assessments. It will not attempt to recover any capital costs of public improvements assisted with CDBG funds including Section 108 loan guaranteed funds by assessing any amount against properties owned and occupied by persons of low and moderate income, including any fee charged or assessment made as a condition of obtaining access to such public improvements. However, if CDBG funds are used to pay the proportion of a fee or assessment that relates to the capital costs of public improvements (assisted in part with CDBG funds) financed from other revenue sources, an assessment or charge may be made against the property with respect to the public improvements financed by a source other than CDBG funds. The jurisdiction will not attempt to recover any capital costs of public improvements assisted with CDBG funds, including Section 108, unless CDBG funds are used to pay the proportion of fee or assessment attributable to the capital costs of public improvements financed from other revenue sources. In this case, an assessment or charge may be made against the property with respect to the public improvements financed by a source other than CDBG funds. Also, in the case of properties owned and occupied by moderate-income (not low-income) families, an assessment or charge may be made against the property for public improvements financed by a source other than CUBG funds if the jurisdiction certifies that it lacks CDBG funds to cover the assessment. DRAFT 04/22/2013 47 29A-52 2013/14 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN Excessive Force - It has adopted and is enforcing: 1. A policy prohibiting the use of excessive force by law enforcement agencies within its jurisdiction against any individuals engaged in non-violent civil rights demonstrations; and 2. A policy of enforcing applicable State and local laws against physically barring entrance to or exit from a facility or location which is the subject of such non-violent civil rights demonstrations within its jurisdiction; Compliance With Anti-discrimination laws -- The grant will be conducted and administered in conformity with title VI of the Civil Rights Act of 1964 (42 USC 2000d), the Fair Housing Act (42 USC 3601-3619), and implementing regulations. Lead-Based Paint -- Its activities concerning lead-based paint will comply with the requirements of 24 CFR Part 35, subparts A, B, J, K and R; Compliance with Laws -- It will comply with applicable laws Signature/Authorized Official Date Interim City Manager Title 48 DRAFT 04/22/2013 29A-53 2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN ( 2013/14 ACTION PLAN Specific HOME Certifications The HOME participating jurisdiction certifies that: Tenant Based Rental Assistance -- If the participating jurisdiction intends to provide tenant-based rental assistance: The use of HOME funds for tenant-based rental assistance is an essential element of the participating jurisdiction's consolidated plan for expanding the supply, affordability, and availability of decent, safe, sanitary, and affordable housing. Eligible Activities and Costs -- it is using and will use HOME funds for eligible activities and costs, as described in 24 CFR § 92.205 through 92.209 and that it is not using and will not use HOME funds for prohibited activities, as described in § 92.214. Appropriate Financial Assistance -- before committing any funds to a project, it will evaluate the project in accordance with the guidelines that it adopts for this purpose and will not invest any more HOME funds in combination with other Federal assistance than is necessary to provide affordable housing; Signature/Authorized Official Date Interim City Manager Title DRAFT 04/22/2013 49 29A-54 2013/14 I 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN ESG Certifications The Emergency Solutions Grants Program Recipient certifies that: Major rehabilitation/conversion - If an emergency shelter's rehabilitation costs exceed 75 percent of the value of the building before rehabilitation, the jurisdiction will maintain the building as a shelter for homeless individuals and families for a minimum of 10 years after the date the building is first occupied by a homeless individual or family after the completed rehabilitation. If the cost to convert a building into an emergency shelter exceeds 75 percent of the value of the building after conversion, the jurisdiction will maintain the building as a shelter for homeless individuals and families for a minimum of 10 years after the date the building is first occupied by a homeless individual or family after the completed conversion. In all other cases where ESG funds are used for renovation, the jurisdiction will maintain the building as a shelter for homeless individuals and families for a minimum of 3 years after the date the building is first occupied by a homeless individual or family after the completed renovation. Essential Services and Operating Costs - In the case of assistance involving shelter operations or essential services related to street outreach or emergency shelter, the jurisdiction will provide services or shelter to homeless individuals and families for the period during which the ESG assistance is provided, without regard to a particular site or structure, so long the jurisdiction serves the same type of persons (e.g., families with children, unaccompanied youth, disabled individuals, or victims of domestic violence) or persons in the same geographic area. Renovation - Any renovation carried out with ESG assistance shall be sufficient to ensure that the building involved is safe and sanitary. Supportive Services - The jurisdiction will assist homeless individuals in obtaining permanent housing, appropriate supportive services ( including medical and mental health treatment, victim services, counseling, supervision, and other services essential for achieving independent living), and other Federal State, local, and private assistance available for such individuals. Matching Funds - The jurisdiction will obtain matching amounts required under 24 CFR 576.201. Confidentiality - The jurisdiction has established and is implementing procedures to ensure the confidentiality of records pertaining to any individual provided family violence prevention or treatment services under any project assisted under the ESG program, including protection against the release of the address or location of any family violence shelter project, except with the written authorization of the person responsible for the operation of that shelter. Homeless Persons Involvement - To the maximum extent practicable, the jurisdiction will involve, through employment, volunteer services, or otherwise, homeless individuals and families in constructing, renovating, maintaining, and operating facilities assisted under the ESG program, in providing services assisted under the ESG program, and in providing services for occupants of facilities assisted under the program. Consolidated Plan - All activities the jurisdiction undertakes with assistance under ESG are consistent with the jurisdiction's consolidated plan. 50 DRAFT 04/22/2013 29A-55 2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN i 2013/14 ACTION PLAN Discharge Policy - The jurisdiction will establish and implement, to the maximum extent practicable and where appropriate policies and protocols for the discharge of persons from publicly funded institutions or systems of care (such as health care facilities, mental health facilities, foster care or other youth facilities, or correction programs and institutions) in order to prevent this discharge from immediately resulting in homelessness for these persons. Signature/Authorized Official Date Interim City Manager Title DRAFT 04/22/2013 51 29A-56 2013/14 I 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN HOPWA Certifications The HOPWA grantee certifies that: Activities -- Activities funded under the program will meet urgent needs that are not being met by available public and private sources. Building -- Any building or structure assisted under that program shall be operated for the purpose specified in the plan: 1. For at least 10 years in the case of assistance involving new construction, substantial rehabilitation, or acquisition of a facility, 2. For at least 3 years in the case of assistance involving non-substantial rehabilitation or repair of a building or structure. Signature/Authorized Official Date Interim City Manager Title 52 DRAFT 04/22/2013 29A-57 2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN 2013/14 I ACTION PLAN APPENDIX TO CERTIFICATIONS INSTRUCTIONS CONCERNING LOBBYING AND DRUG-FREE WORKPLACE REQUIREMENTS: A Lobbying Certification This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. B. Drug-Free Workplace Certification I . By signing and/or submitting this application or grant agreement, the grantee is providing the certification. 2. The certification is a material representation of fact upon which reliance is placed when the agency awards the grant. If it is later determined that the grantee knowingly rendered a false certification, or otherwise violates the requirements of the Drug-Free Workplace Act, HUD, in addition to any other remedies available to the Federal Government, may take action authorized under the Drug-Free Workplace Act. 3. Workplaces under grants, for grantees other than individuals, need not be identified on the certification. If known, they may be identified in the grant application. If the grantee does not identify the workplaces at the time of application, or upon award, if there is no application, the grantee must keep the identity of the workplace(s) on file in its office and make the information available for Federal inspection. Failure to identify all known workplaces constitutes a violation of the grantee's drug-free workplace requirements. 4. Workplace identifications must include the actual address of buildings (or parts of buildings) or other sites where work under the grant takes place. Categorical descriptions may be used (e.g., all vehicles of a mass transit authority or State highway department while in operation, State employees in each local unemployment office, performers in concert halls or radio stations). 5. If the workplace identified to the agency changes during the performance of the grant, the grantee shall inform the agency of the change(s), if it previously identified the workplaces in question (see paragraph three). 6. The grantee may insert in the space provided below the site(s) for the performance of work done in connection with the specific grant: DRAFT 04/22/2013 53 29A-58 2013/14 12010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN Place of Performance (Street address, city, county, state, zip code) Check if there are workplaces on file that are not identified here. This information with regard to the drug-free workplace is required by 24 CFR part 21. 7. Definitions of terms in the Nonprocurement Suspension and Debarment common rule and Drug-Free Workplace common rule apply to this certification. Grantees' attention is called, in particular, to the following definitions from these rules: "Controlled substance" means a controlled substance in Schedules I through V of the Controlled Substances Act (21 U.S.C. 812) and as further defined by regulation (21 CFR 1308.11 through 1308.15); "Conviction" means a finding of guilt (including a plea of nolo contendere) or imposition of sentence, or both, by any judicial body charged with the responsibility to determine violations of the Federal or State criminal drug statutes; "Criminal drug statute" means a Federal or non-Federal criminal statute involving the manufacture, distribution, dispensing, use, or possession of any controlled substance; "Employee" means the employee of a grantee directly engaged in the performance of work under a grant, including: (i) All "direct charge" employees; (ii) all "indirect charge" employees unless their impact or involvement is insignificant to the performance of the grant; and (iii) temporary personnel and consultants who are directly engaged in the performance of work under the grant and who are on the grantee's payroll. This definition does not include workers not on the payroll of the grantee (e.g., volunteers, even if used to meet a matching requirement; consultants or independent contractors not on the grantee's payroll; or employees of subrecipients or subcontractors in covered workplaces). 54 DRAFT 04/22/2013 29A-59 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN 2013/14 1 ANNUAL PLAN EXHIBIT 1 PROOF OF PUBLICATION 30-DAY COMMENT PERIOD & PUBLIC HEARING & SUMMARY OF PUBLIC COMMENTS 04/22/2013 55 EXHIBIT 1 29A-60 2013/14 I 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN INTENTIONALLY BLANK EXHIBIT 1 56 04/22/2013 29A-61 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN 2013/14 I ANNUAL PLAN t e y? ft? v ? Tt) 1? fttt . tlfi 0iM11A CfWirltrflYli?-? 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' - ..+?uafcSAYli'tirlss ?'xa ti{•Aa .. _ - 41 AWN" 04/22/2013 57 EXHIBIT 1 29A-62 2013/14 I 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN SUMMARY OF PUBLIC COMMENTS SUMMARY OF PUBLIC COMMENTS RECEIVED DURING 30-DAY COMMENT PERIOD AND STAFF RESPONSE Public comments to be inserted at the end of the 30-day public comment period 04/16/2013 REDEVELOPMENT & HOUSING COMMISSION PUBLIC HEARING: Public comments to be inserted after the public hearing EXHIBIT 1 58 04/22/2013 29A-63 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN 2013/14 I ACTION PLAN T l+ DRAFT 04/22/2013 EXHIBIT 2 SUMMARY OF S-YEAR PLANNED OUTCOMES AND ACCOMPLISHMENTS 59 EXHIBIT 2 29A-64 2013/14 I 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN INTENTIONALLY BLANK EXHIBIT 2 60 DRAFT 04/22/2013 29A-65 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN 2013/14 I ACTION PLAN HUD TABLE 2A PRIORITY HOUSING NEEDS/INVESTMENT PLAN GOALS Plan ! Act Plan Act Plan Act Plan Act Plan Act Plan Act Renters 0 - 30 of MFI 42 16 10 3 12 13 4 TBD 3 TBD 31 - 50% of MFI 103 28 10 7 14 21 5 TBD 15 TBD 51 - 80% of MFI 40 ` 1 1 1 0 0 5 TBD 6 TBD Owners 0 - 30 of MFI 10 11 12 9 15 i 2 12 TBD 2 TBD 31 - 50 of MFI 30 14 12 6 16 8 8 TBD 9 TBD 51 - 80% of MFI 68 11 10 6 2 5 7 TBD 30* TBD Homeless* Individuals 400 183 75 84 90 ! 99 162 TBD TBD Families z 160 j 73 30 33 36 40 65 TBD TBD NON-HOMELESS SPECIAL NEEDS 3 Elderly - - Frail Elderly - - i Severe Mental Illness - - Physical Disability - Developmental Disability 40 0 0 0 0 0 0 TBD TBD Alcohol/Drug Abuse - - HIV/AIDS - Victims of Domestic Violence - - Total 693 264 130 116 149 i 148 203 TBD TBD Total Section 215 i 215 Renter 175 45 21 11 16 34 4 TBD 16 TED 215 Owner 100 5 0 4A 3 1? 5 TBD 3* TBD * Homeless individuals and families assisted with transitional and permanent housing (permanent supportive housing & rapid re-housing) - excludes HOPWA goals and accomplishments Source: HUD 2000 CHAS data, City of Santa Ana 2010-2014 Consolidated Plan Strategic Plan and City of Santa Ana CDA 1. Section 215 refers to the section of the HOME progrom regulations that stipulates the affordability requirements of both rental and ownership housing that is benefits from NOME funding. 2. Estimate based on 2.5 individuals per household -this figure is not included in "Total." 3. Figures are not included in "Total" - Special Needs goals are incorporated into Renter and Owner "Plan" and "Act" goals. # Figure does not include 14 rental units acquired, rehabbed and resold utilizing NSP resources. + Figures do not include seven households assisted with homebuyer assistance. A- Four HOME-assisted homebuyers (ADDI) * Three HOME-assisted homebuyers (ADDI) DRAFT 04/22/2013 61 EXHIBIT 2 29A-66 2013/14 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN HUD TABLE 2A (CONTINUED) PRIORITY HOUSING ACTIVITIES CDBG Plan Act Plan Act Plan Act Plan Act Plan Act Plan Act Acquisition of existing rental units - - Production of new rental units - - - Rehabilitation of existing rental units 10 0 10 0 10 0 10 ! TBD- 8 TBD Rental assistance i Acquisition of existing owner units - - I i Production of new owner units - s - - t Rehabilitation of existing owner units 50 i 32 30 18 30 1 14 19 ! TBD 26 ! TBD Homeownership assistance i - HOME Acquisition of existing rental units 100 45 3 11 0 i 34 4 TBD 8 TBD Production of new rental units 75 0 15 0 16 0 0 TBD 8 TBD Rehabilitation of existing rental units - 4 - - Rental assistance - - Acquisition of existing owner units - - - 51 - Production of new owner units - - - - Rehabilitation of existing owner units 55 2 4 2 3 0 3 TBD 9 TBD Homeownership assistance 0 5 0 4 - 1 01 TBD 3 TBD HOPWA Rental assistance 250 11 101 50 , 51 50 50 50 TBD 50 TD Short term rent/mortgage utility payments 437 300 60 i 182 175 118 392 TBD 140 ! TBD Facility based housing development - - - Facility based housing operations - - - - Supportive services 3,000 1 947 336 491 376 456 376 TBD TBD Other NSP Homebuyer Assistance - 4 2 2 0 j TBD it TBD NSP Rental Acq/Rehab/Resale 31 - 14 17 0 TBD 0 TBD Redevelopment Homebuyer Assistance - 2 2 2 0 TBD - Cal Home Owner Rehabilitation 2 1 1 12 TBD 1. Proposed program will utilized HOME funds to purchase, rehabilitate and resell single family foreclosed properties to qualified Low-Income buyers. EXHIBIT 2 62 DRAFT 04/22/2013 29A-67 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN 2013/14 I ACTION PLAN HUD TABLE 2B PRIORITY COMMUNITY DEVELOPMENT NEEDS Priority Need 5-Yr. Goals Plan/Act Yr.I Goals Plan/Act Yr.2 Goals Plan/Act Yr.3 Goals Plan/Act Yr.4 Goals Plan/Act Yr.5 Coal s Plan/ Act Acquisition of Real Property Disposition Clearance and Demolition Clearance of Contaminated Sites - Code Enforcement Public Facility (General) 2 0 0 TBD Senior Centers - - - Handicapped Centers - Homeless Facilities - - - Youth Centers 1 0 0 TBD Neighborhood Facilities 4 1 0 4 0 TBD 0 TBD Child Care Centers - - - Health Facilities Mental Health Facilities - - - - - - - Parks and/or Recreation Facilities 5 2 4 1 2 1 5 TBD 1 TBD Parkin Facilities 4 0 1 0 - - - Tree Planting - - - - - - Fire Stations/Equipment 2 2 1 0 Abused/Neglected Children Facilities Asbestos Removal Non-Residential Historic Preservation Infrastructure (General) Water/Sewer Improvements - 1 1 Street Improvements 5 6 1 1 1 5 3 : TBD 1 TBD Sidewalks/ADA Ramps - 1 - - - 1 - Solid Waste Disposal Improvements - - Flood Drainage Improvements - - - - - Public Services (General) 10000 0 0 0 0 0 122' TBD 1100 TBD Senior Services 3750 2554 885 1361 1300 1193 1300 TBD 1585 TBD Handicapped Services 100 0 0 0 0 0 0 TBD 0 TBD Legal Services - - - - - - - Youth Services 10000 9774 2900 4955 4250 4819 3750 TBD 6500 TBD Child Care Services - - - - - Transportation Services Substance Abuse Services Employment/Training Services Health Services Lead Hazard Screening - - - - - Crime Awareness 275476 275476 275476 275476 275,476 275476 18715 TBD 18715 TBD Fair Housing Activities 6,000 1803 1170 964 1,160 839 990 TBD 850 TBD Tenant Landlord Counseling - - - Other- Emergency Shelter 5,000 ; 1520 771 724 761 796 588 TBD 712 TBD Economic Development (General) C/I Land Acquisition/Disposition C/I Infrastructure Development C/1 Building Acq/Const/Rchab ED Assistance to For-Profit ED Technical Assistance Micro-enterprise Assistance 50 TBD Other a. ESG funds will be used to serve the same 122 via homeless outreach/assessment. DRAFT 04/22/2013 63 EXHIBIT 2 29A-68 2013/14 I 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN U.S. Department of Housing OMB Approval No. 2506-0117 and Urban Development (Exp. 4/30/2011) Table 3A Summary of Specific Annual Objectives Grantee Name: City of Santa Ana Specific Objective Source of Year Performance Expected Actual Percent Funds Indicators Number Number Completed Availabili/Accessibili of Decent Hous n H-1) DH OWNER-OCCUPIED CODE 2010 Housing Units 2,090 2,737 131.0% 1.1 ENFORCEMENT: 2011 Housing Units 2,090 1,800 86.1% Inspection & enforcement CDBG 2012 Housing Units 2,090 TBD TBD of housing & building 2013 Housing Units; 1,800 TBD TBD codes 2014 MULTI-YEAR GOAL 7,442 4,537 60.9% DH RENTAL HOUSING NEW CDBG 2010 Housing Units 15 0 0% 1.2 CONSTRUCTION: 2011 Housing Units 16 0 0% Construct new multi- HOME 2012 Housing Units 0 TBD TBD family housing for renters 2013 Housing Units 8 TBD TBD (subsidies for 3 rojects) 2014 p Redev MLLTI-YE AR GOAL 75 0 0% DH EMERGENCY SHELTER: 2010 Individuals 771/14 724/20 93.994/142.9% 1.3 Support service agencies 2011 Individuals 761/75 796/48 104.6%/64.0% that provide short-term 2012 Individuals 580/67 TBD TBD shelter (up to 3 months) ESG/ 2013 Individuals 712/1 TBD TBD to households that are in HOPWA 2014 immediate need of MULTI-YEAR GOAL 5,000 ESG 1,520 30.4% shelter & support services 343 HOPWA 68 19.8% DH TRANSITIONAL HOUSING: 2010 Individuals 75/89 84/106 112.0%/119.1% 1.4 Support service agencies 2011 Individuals 130/70 89/82 68.5%/117.1% that provide transitional 2012 Individuals 63/129 TBD TBD housing (3 to 24 months) 2013 Individuals 48/1 TBD TBD to homeless households ESG/ 2014 that are stabilized yet still HOPWA require housing, case ement & other life mana g skills in order to become MULTI-YEAR GOAL 350 ESG 173 49.4% self sufficient 37 HOPWA 188 508.1% DH PERMANENT 2010 Units 10/50 0/51 0.0%/102.0% 1.5 SUPPORTIVE HOUSING: 2011 Units 10/50 10/50 100%/100% Support local service Housing 2012 Units 109/50 TBD TBD agencies that provide Vouchers/ 2013 Units ®50 TBD TBD permanent housing for HOPWA/ 2014 homeless households that ESG Rapid have graduated from Re- transitional housing and housing are prepared to integrate MULTI-YEAR GOAL 50 Vouchers 10 20.0% into the community. 250 HOPWA 101 40.4% EXHIBIT 2 64 DRAFT 04/22/2013 29A-69 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN , 2013/14 ACTION PLAN Specific Objective Source of Year Performance Expected Actual Percent Funds Indicators Number Number Completed DH FAIR HOUSING SERVICES: 2010 Households 1,170 964 82.4% 1.6 Implement the actions 2011 Households 1,160 839 72.3% outlined in the City's 2012 Households 990 TBD TBD Analysis of Impediments 2013 Households 850 TBD TBD to fair Housing 2014 including financial support for fair housing CDBG education, training & referral services; enforce fair housing laws & prosecute fair housing law violators MULTI-YE AR GOAL 6,000 1,803 30.1% Affordabiliof Decent Housing (DH-2) DH HOUSING CHOICE 2010 Households 2,600 2,646 101.8% 2.1 VOUCHER RENTAL 2011 Households 2,658 2,812 105.8% ASSISTANCE: Support for Housing 2012 Households 2,658 TBD TBD Santa Ana Housing Choice 2013 Households 2,699 TBD TBD Authority's efforts to Voucher 2014 provide Housing Choice (formerly Vouchers to lower income Section 8) households & to obtain MULTI-YEAR GOAL 2,629 2,729 103.8% additional HUD vouchers (2 Yr Avg) (2 yr Avg) DH HOMELESSNESS 2010 Individuals 207/148 163/182 78.7%/123.0% 2.1 PREVENTION: Support 2011 Individuals 761/175 180/70 23.7%/40.0% service providers that 2012 Individuals 288/392 TBD TBD assist households at risk 2013 Individuals 108/1 TBD TBD of becoming homeless. 2014 Assistance may include ESG/ short-term financial HOPWA subsidy to prevent eviction, foreclosure and/or utility termination & support services MULTI-YE AR GOAL 1,000 ESG 343 34.3% 437 HOPWA 252 57.7% Sustainability of Decent Housing (DH-3) DH HOMEOWNER OCCUPIED 2010 Housing Units 30 19 63.3% 3.1 HOUSING REHAB: Provide 2011 Housing Units 30 14 46.7% rehab loans & other 2012 Housing Units 33 TBD TBD forms of subsidies to CDBG 2013 Housing Units 30 TBD TBD assist homeowners 2014 improve primary HOME residence to correct code violations, address Cal Home deferred maintenance & improve neighborhood aesthetics MULTI-YE AR GOAL 75 33 44.0% DRAFT 04/22/2013 65 EXHIBIT 2 29A-70 2013/14 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN Specific Objective Source of Year Performance Expected Actual Percent Funds Indicators Number Number Completed DH MOBILE HOME REHAB: 2010 Housing Units 4 2 50% 3.2 Zero % interest loans to 2011 Housing Units 3 0 0% coach owners to upgrade 2012 Housing Units 1 TBD TBD home to minimum 2013 Housing Units 5 TBD TBD housing standards or to HOME 2014 replace substantially deteriorated coaches that can't be rehabbed MULTI-YE AR GOAL 30 2 6.7% DH RESIDENTIAL HISTORIC 2010 Housing Units 0 0 NA 3.3 PRESERVATION: Assist 2011 Housing Units 0 0 NA owners of historic 2012 Housing Units 0 TBD TBD properties to restore CDBG 2013 Housing Units 0 TBD TBD structure to Sec of 2014 Interior Standards for Historic Preservation MULTI-YE AR GOAL 3 0 0% DH RENTAL HOUSING 2010 Housing Units 7 11 157.1% 3.4 ACQUISITION/REHAB: CDBG 2011 Housing Units 0 34 NA Assist with acquisition 2012 Housing Units 4 TBD TBD &/or rehab of affordable HOME 2013 Housing Units 16 TBD TBD rental housing - projects 2014 may be undertaken with Redev assistance of a CHDO MULTI-YE AR GOAL 100 45 45.0% DH RENTAL HOUSING 2010 Housing Units 10 0 0% 3.5 REHAB: Assist private 2011 Housing Units 10 0 0% property owner(s) rehab CDBG 2012 Housing Units 10 TBD TBD affordable rental housing 2013 Housing Units 0 TBD TBD it 2014 un s MULTI-YE AR GOAL 10 0 0% DH RENTER-OCCUPIED CODE 2010 Housing Units 1,000 1,005 100.5% 3.6 ENFORCEMENT: 2011 Housing Units 1,000 1,176 117.6% Inspection & enforcement CDBG 2012 Housing Units 1,000 TBD TBD of housing &• building 2013 Housing Units 900 TBD TBD d 2014 co es MULTI-YE AR GOAL 8,000 2,181 27.3% Avail abili /Accessibilit of Suitable Living Env ironment (SL-I) SL SUPPORTIVE SERVICES: 2010 Individuals 1,345/336 1,471/491 109.4%/146.1% 1.1 Support service agencies 2011 Individuals 608/376 855/456 140.6%/121.3% that provide supportive 2012 Individuals 988/369 TBD TBD services for homeless ESG/ 2013 Individuals 950/1 TBD TBD individuals that HOPWA 2014 address specific needs or helps achieve self- MULTI-YEAR GOAL 1,000 ESG 2,326 232.6% sufficiency 3,000 HOPWA 947 31.6% EXHIBIT 2 66 DRAFT 04/22/2013 29A-71 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN 2013/14 I ACTION PLAN Specific Objective Source of Year Performance Expected Actual Percent Funds Indicators Number Number Completed SL SERVICES FOR 2010 Individuals 885 1,360 153.8% 1.2 ELDERLY/FRAIL ELDERLY: 2011 Individuals 1,300 1,196 92.0% Support public & non- 2012 Individuals 1,300 TBD TBD profit organizations that 2013 Individuals 1,585 TED TBD provide services to 2014 seniors & frail elderly to will help seniors & frail CDBG elderly maintain independent living situation or ensure they are provided service that improves quality of life MULTI-YE AR GOAL 3,750 2,556 68.2% SL SERVICES FOR DISABLED: 2010 Individuals 0 0 NA 1.3 Support public & non- 2011 Individuals 0 0 NA profit agencies that 2012 Individuals 0 TED TBD provide services to 2013 Individuals 0 TBD TBD disabled & develop- 2014 mentally disabled to CDBG maintain independent living or ensure they are provided service that improves quality of life MULTI-YE AR GOAL 100 0 0% SL YOUTH PUBLIC SERVICES: 2010 Individuals 2,900 4,955, 170.9% 1.4 Support public & non- 2011 Individuals 4,250 4,819 113.4% profit agencies that assist 2012 Individuals 3,750 TED TBD lower income families CDBG 2013 Individuals 6,500 TBD TBD with children 2014 MULTI-YEAR GOAL 10,000 9,774 97.7% SL ANTI-CRIME PUBLIC 2010 Individuals 275,476 275,476 100% 1.5 SERVICES: Crime 2011 Individuals 275,476 275,476 100% reduction activities 2012 Individuals 18,715 TED TBD including the City's 2013 Individuals 18,715 TED TED helicopter program; CDBG 2014 program will help make the City's lower income area safer by reducing police response MULTI-YE AR GOAL 275,476 275,476 100% SL LOW & MODERATE- 2010 Individuals 0 0 NA 1.6 INCOME PUBLIC 2011 Individuals 0 0 NA SERVICES: Facilitate 2012 Individuals 974 a TBD TBD access to a variety of 2013 Individuals 1,100 b TBD TBD social services for Low- 2014 and Moderate-Income CDBG individuals that helps improve quality of life. MULTI-YEAR GOAL 10,000 0 0% Goals include homeless outreach & assessment. DRAFT 04/22/2013 67 EXHIBIT 2 29A-72 2013/14 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN Specific Objective Source of Year L Performance I Expected Actual Percent Funds Indicators Number Number Completed Affordabili of Suitable Living Environment SL-2 SL 2010 2.1 2011 NA NA 2012 NA NA NA NA 2013 2014 MULTI-YE AR GOAL NA NA NA Sustainability of Suitable Living Environment (SL-3) SL PUBLIC INFRASTRUCTURE 2010 Projects 1 1 100.0% 3.1 IMPROVEMENTS: 2011 Projects 2 6 300.0% Financial assistance for 2012 Projects 3 TBD TBD CDBG-eligible projects 2013 Projects 1 TBD TBD that improve or upgrade 2014 the City's infrastructure & CDBG address a priority need (repair/replace residential street, side-walks, ADA compliance & related improvements MULTI-YE AR GOAL 5 7 140.0% SL PUBLIC FACILITY 2010 Projects 6 3 50% 3.2 IMPROVEMENTS: 2011 Projects 2 6 300% Financial assistance for 2012 Projects S TBD TBD CDBG-eligible projects 2013 Projects 4 TBD TBD that improve/upgrade the 2014 City's public facilities & address priority needs CDBG (repair, replace or upgrade fire equipment, neighborhood parks/ centers, non-historic facilities & ADA compliance MULTI-YE AR GOAL 12 9 75.0% Availabilit /Accessibilit of Economic O ort uni (EO-1) EO 2010 1.1 2011 NA NA 2012 NA NA NA NA 2013 2014 MULTI-YEAR GOAL NA NA NA Affordabi lity of Economic O ortuni EO-2) EO 2010 2.1 2011 NA NA 2012 NA NA NA NA 2013 2014 MULTI-YEAR GOAL NA NA NA EXHIBIT 2 68 DRAFT 04/22/2013 29A-73 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN 2013/14 I ACTION PLAN Specific Objective Source of Year Performance Expected Actual Percent Funds Indicators Number Number Completed Sustainabili of Economic O portuni (EO-3) EO 2010 3.1 2011 2012 NA NA NA NA NA NA 2013 2014 MULTI-YEAR GOAL NA NA NA Nei ghborhood Revitalization NR-1) NR 2010 1.1 2011 NA NA 2012 NA NA NA NA 2013 2014 MULTI-YEAR GOAL NA NA NA Other (O-1) O CDBG PROGRAM 2010 Yrof Admin 1 1 100% 1.1 ADMINISTRATION: 2011 Yr of Admin 1 1 100% Ensure efficient/effective CDBG 2012 Yr of Admin 1 TBD TBD use of HUD grants to 2013 Yr of Admin 1 TBD TBD address Consolidated ESG 2014 Plan priorities, provide oversight & coordination HOME to make certain funds are spent properly & in a HOPWA timely manner MULTI-YE AR GOAL 5 2 40% Other (O-2) O 2010 2.1 2011 NA NA 2012 NA NA NA NA 2013 2014 MULTI-YEAR GOAL NA NA NA Goal excludes the following accomplishments: a. 2012-2013 Homeless outreach and assessment goals (122 of total served with both CDBG & ESG) b. 2013-2014 Homeless outreach and assessment goals (150 of total served with both CDBG & ESG) DRAFT 04/22/2013 69 EXHIBIT 2 29A-74 2013/14 I 2010/11-2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN INTENTIONALLY BLANK EXHIBIT 2 70 DRAFT 04/22/2013 29A-75 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN 2013/14 ACTION PLAN f r L EXHIBIT 3 LISTING OF PROPOSED ACTIVITIES 2013-2014 DRAFT 04/22/2013 71 EXHIBIT 3 29A-76 2013/14 2010 /11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN ACTION PLAN INTENTIONALLY BLANK EXHIBIT 3 72 DRAFT 04/22/2013 29A-77 ccrw Hers on Grantee Name: Santa Ana, CA Project Name: Cit of Santa Ana CDA CDBG Admin - 2013 Description: IRIS Project #: UOG Code: CA63342 SANTA ANA CDBG program oversight and coordination. Includes such tasks as project/subgrantee monitoring, preparation of environmental reviews, regular HUD reports, annual action plan and year-end performance reports. Location: Priority Need Category 20 Civic Center Plaza Santa Ana CA 92701 - --- - - Planning/Administration Select one: _-_-- - Explanation: Expected Completion Date: Activity needed to ensure appropriate oversight and coordination of federal funds 6/30/2014 subject to the Con Plan. objective Category O Decent Housing O Suitable Living Environment O Economic O ortunit pp y S pecific Objectives Outcome Categories Availability/Accessibility ? Affordability 2' --------- - - -- ---- -- ? Sustainability 3 Accompl. Type (A Proposed NA Accompl. Type: W - c Underway Complete H Accompl. Type: Accompl. Type: V V a? a 'o E L CL U Accompl. Type: W Accompl. Type: W Q Proposed Outcome Performance Measure Actual Outcome Maintain prgm admin @ a level to Review HUD monitoring reports. ensure no HUD findings j 21A General Program Administration 570.206 . Matrix Codes Matrix Codes . Matrix Codes Matrix Codes . Matrix Codes 4/22/13 73 Exhibit 3 29A-78 CFMF Version 2.0 Grantee Name: Santa Ana, CA Project Name: Clt of Santa Ana CDA CDBG Plannin - 2013 Description: IDIS Project #: UOG Code: CA63342 SANTA ANA CDBG program planning efforts which consist of all costs of data gathering, studies, analysis and preparation of plans and the identification of actions that will implement such plans. Location: Priority Need Category 20 Civic Center Plaza Santa Ana CA 92701 Pfanrnng/Admirnstration ? Select One : --- -- - - ___- - Explanation: Expected Completion Date: Funding to assist in the preparation of plans such as economic development strategic 6/30/2014 plan, mousing Element plan, etc... ve egory O Decent Housing O Suitable Living Environment O Economic O ortunit pp y S pecific Objectives Outcome Categories . ty Affordability El 2 - ---- - ? Sustainability I 31 Accompl. Type: Proposed Accompl. Type: 1W Underway O E mplete Accompl. Type: Accompl. Type: v An a? a 'o E J 11[ Lu 0, Accompl. Type: Accompl. Type: Q Pro posed Outcome Performance Measure Actual Outcome Maintain prgm admin @ a level to Review HUD monitoring reports. ensure no HUD findings 1 20 Planning 570.205 . Matrix Codes Matrix Codes Matrix Codes Matrix Codes . Matrix Codes It CDBG Proposed Amt. $ 100,000 -- Fund Source: s. Actual Amount M 0 Fund Source: r Fund Source: ` Accompl. Type: ? Accompl. Type: v O a Accompl. Type: w Accompl. Type: V 04/22/13 74 Exhibit 3 29A-79 CGh*P Version 2.C Grantee Name: Santa Ana, CA Project Name: Fair Housin g Services Description: IRIS Project #: UOG Code: CA63342 SANTA ANA CDBG funds to support fair housing outreach, education and enforcement. Services will also help the City address impediments to fair housing. Location: Priority Need Category Citywide Planning/Administration V 111 Select one: J - --- - - Explanation: Expected Completion Date: Provide quality program administration services. 6/30/2014 Ie ve egory O Decent Housing O Suitable Living Environment O E i O t i conom c ppor un ty S ifi O e i pec c bj ct ves Outcome Categories i Improve the services for low/mod income persons ? Availability/Accessibilit y ? Affordability 2 - - - Sustainability 04 Households to - -171 Proposed 850 Accompl. Type: - C Underway Complete Accompl. Type: Accompl. Type: 1 LZUE Accompl. Type: Accompl. Type: Proposed Outcome Performance Measure Actual Outcome Provide quality program services Reduce fair housing complaints 21D Fair Housing Activities (subject to 20% Admin cap) 570.20(v] Matrix Codes Matrix Codes . Matrix Codes Matrix Codes Matrix Codes roposed Amt. $ 69,300 CDBG _ , [A Fund Source: i. ctual Amount M v Fund Source: v Fund Source: w m Accompl. Type: w Accompl. Type: 01 O IL Accompl. Type: Accompl. Type: 04/22/13 75 Exhibit 3 29A-80 CPMP Version 2.0 Grantee Name: Santa Ana, CA Project Name.::: Cit of Santa Ana PBA - Code Enforcement Description: IDIS Project #: UOG Code: CA63342 SANTA ANA CDBG funds to provide professional inspections to ensure compliance with the Municipal Code in order to maintain safety standards in target areas of the city, and to provide the necessary link to the City's multi-family rehabilitation program. Program qualifies as for Low/Moderate-Area Benefit per 24 CFR 570.208 (a) (1). Location: Priority Need Category Low/Mod Areas: County: 06059: - --i CT:099249 BG:1,2 / CT:099248 BG:1,2 / Other q Cr: 099247 BG:1,2 / Cr:099202 BG:2,3 / Select one: - _? CT:089105 BG:1,2,3 / CT:089104 BG:1,3 / CT:089004 / BG:1,2,3 / CT:089001 BG:2,3,4 / CT:089104 BG:3 / CT:OB8903 BG:3 / Explanation: CT:076000 BG:2 / CT:075701 BG:2,3 CT:075504 BG:1 / CT:075404 BG:1,3 / Cr:075403 BG:2,3 / CT:075302 BG:1,2,3 / Cr:075301 BG:1,4 / CT:075202 BG:1,2 / CT:075201 BG:1,2 / CT:075100 BG:1,2,4 / CT:074004 BG:1,2 / CT:075003 BG:1,2,3 / Cr:075002 BG:1 2 3 Expected Completion Date: , , / CT:074902 BG:1,2,3 / CT:074806 BG:1,2 / Cr:074805 BG:1,2 / CT:074803 BG:1,2,3 / CT:074802 8G:1,2,3 / CT:074801 BG:1,2,3 / CT:074702 BG:1,2 / CT:074701 BG:1,2,3 / CT:074502 BG:1,2 / CT:074501 BG:1,2,3,4 / 6/30/2014 CT:074407 BG:1 / CT:074406 BG:1,2,3 / CT:074405 BG:1,2,3,4 / CT:074403 BG:1,2 / CT:074300 BG:1,2 / Objective Category CT:074200 BG:1,2,3,4 / CT:074111 BG:3 / CT:074109 BG:1,2 / CT:074108 BG:1,2 / CT:074106 BG:1,3 / CT:074103 O Decent Housing BG:2,3 / CT:074102 BG:1,2,3 / CT:074006 BG:1,2,3 / Cr:074005 BG:1,2,3 / CT:74004: BG:1,2 / CT:074003 BG:i / CT:074003 BG:1 / Cr:074901 BG:1,2,3,4,5 / CT:074602 BG:1,2,3,4,5 / CT:074601 BG:1,2,3,4,5 / CT:089102 BG:2 OO Suitable Living Environment CT:075405 BG:1 / CT:075301 BG:3 O Economic Opportunity Specific Objectives Outcome Categories Improve the quality of affordable rental housing .J _ ? Availability/Accessibilit 1 F y Improve the quality of owner housing ?Affordability 2 ---- - ? Sustainability 10 Housing Units Proposed 3090 AccomPI. Type: A -- . C Underway O Complete L Accompl. Type: 1W Accompl. Type: H U 0) a 'o E L a U Accompl. Type: Accompl. Type: W a Proposed Outcome Performance Measure Actual Outcome Reduce the number of Respond to all reports related to 73 substandard housing units in the housing health and safety City by 20% 15 Code Enforcement 570.202(c) Matrix Codes Matrix Codes ! Matrix Codes Matrix Codes Matrix Codes CDBG _ Proposed Amt. $ 920,000 Fund Source: W i. Actual Amount M w Fund Source: 1W Fund Source: 1W E M Accompl. Type: Accompl. Type: w pl O d Accompl. Type: Accompl. Type: 04/22/13 76 Exhibit3 29A-81 Grantee "rh1P ??Iers!cn 2A Name: Santa Ana, CA Project Name-E: of Santa Ana CDA - Economic Develo ment Description: IDIS Project #: UOG Code: CA63342 SANTA ANA CDBG funds will be used to provide small grants to start-up business to facilitate economic development. Program qualifies as an activity benefiting low- and moderat-income persons with job creation per 24 CFR 570.208 (a)(4). Location: Priority Need Category Citywide -- - - --- Economic Development Select one: - _ -J Explanation: Expected Completion Date• Provide small grants, technical assistance, advice and business support for the 6/30/2014 establishment of microenterprises I ve egory O Decent Housing O Suitable Living Environment O Economic O ortunit pp y dt•; S pe c Objectives Outcome Categories Improve economic opportunities for low-income persons Availability/Accessibility 1 ? Affordability 2 ?Sustainability 3 13 Jobs - -- Proposed 100 Accompl. Type: V C Underway Complete C Accompl. Type: V Accompl. Type: v= ? a 'o E L O Accom I• TYPe d ? P : V Accompl. Type: ? Q Pro osed Outcome Performance Measure Actual Outcome Program will enhance economic Creation of jobs development in the City 18C Micro Enterprise Assistance Matrix Codes Matrix Codes Matrix Codes Matrix Codes Matrix Codes CDBG V Proposed Amt. $ 400,000 Fund Source: Actual Amount M W Fund Source: V Fund Source: Accompl. Type: ! V Accompl. Type: • CM d Accompl. Type: Accompl, Type: I V 04/22/13 77 Exhibit3 29A-82 Grantee Name: Santa Ana, CA ?PhIP b'ersion 2.0 Project Name: Cit of Santa Ana PD - HEART Program Description: IDIS Project #: UOG Code: CA63342 SANTA ANA CDBG funds will be used to support chronic homeless outreach and assessment services by the SA Police Department. National Objective: Low-/Moderate-Income Benefit - Direct Benefit 570.208 (a) (2).. Location: Priority Need Category Citywide Public Services Select one: - - Explanation: Activity will assist homeless persons obtain appropriate housing and services Expected Completion Date: 6/30/2014 Objective Category O Decent Housing O Suitable living Environment O Economic Opportunity Spedfic Objectives Outcome Categories End chronic homelessness Availability/Accessibilit y ? Affordability . 2 ? Sustainability 3 01 People V Proposed 150 Accompl. Type: 1W C Underway O Complete t Accompl. Type: Accompl. Type: H U . N 11 'o E L O a u AccompI• Type: Accompl. Type: U a Proposed Outcome Performance Measure Actual Outcome 50% of individuals seeking On-site monitoring & measure goal services will be linked to desired accomplishment services 05 Public Services (General) 570.201(e) i . Matrix Codes Matrix Codes . I Matrix Codes Matrix Codes .', Matrix Codes T CDBG ? Proposed Amt. $ 35,000 Fund Source: i- M Actual Amount Fund Source: Fund Source: w Accompl. Type: 1W Accompl. Type: w O1 O a Accompl. Type: Accompl. Type: 4/22/13 78 Exhibit 3 29A-83 "PMP Version ?.C Grantee Name: Santa Ana, CA Project Name: Cit of Santa Ana PD -GRIP Program Description: IRIS Project #: UOG Code: CA63342 SANTA ANA CDBG funds will be used to support gang intervention and enforcement program. Activity will be based in Low/Moderate income areas. Program qualifies as for Low/Moderate-Area Benefit per 24 CFR 570.208 (a) (1). National Objective: Low-/Moderate-Income Benefit - Areawide Benefit 570.208 (a) (1). Location: Priority Need Category Low/Mod Area - -- Public Services Select one: -- - --- -- - Explanation: Expected Completion Date: Low/Mod Areas: County: 06059 6/30/2014 * Kennedy Elementary CT: 746.02 BG:1,2,3,4,5; CT: 745.01 BG1,2,3,4; CT: 745.02 Objective Category BG:1; CT:744.03 BG1.2 O Decent Housing * Diamond Elementary CT: 747.01 BG:1,2,3 OO Suitable Living Environment O Economi O t it c ppor un y S i Ob pecif c jectives Outcome Categories Improve the services for low/mod income persons ? Availability/Accessibilit y C Affordabili 2 (] Sustainability ' 3 to 01 People L Proposed 36,377 Accompl. Type: ++ C Underway O Complete E 4 Accompl. Type: Accompl. Type: 2 U . ? a o E L. C. Accom 1 T Type: P • yp Accompl. Type: Q Proposed Outcome Performance Measure Actual Outcome Eliminate 1 condition that Ensure improvements are constructed contributes to neighborhood blight to an adequate standard to eliminate blighting condition for at least 10 years 05 Public Services (General) 570.201(e) . Matrix Codes Matrix Codes . Matrix Codes Matrix Codes . Matrix Codes d CDBG 1W Proposed Amt. $ 160,000 Fund Source: L Actual Amount m w Fund Source: w Fund Source: E A Accompl. Type: Accompl. Type: O) O a Accompl. Type: Accompl. Type: ' W 4/22/13 79 Exhibit 3 29A-84 PMP Version 2,0 Grantee Name: Santa Ana, CA Project Name: Cit of Santa Ana PD - Police Athletic and Activities Lea tae PAAL Description: IDIS Project #: UOG Code: CA63342 SANTA ANA SAPAAL is a crime prevention program that employs educational, athletic, and recreational activities to create trust and understanding between youths and law enforcement. Program qualifies as a public service for Low/Moderate- Income Clientele per 24 CFR 570.208 (a) (2). Location: Priority Need Category Citywide - Public Services Select one: Explanation: Expected Completion Date: Activity will provide quality social services for youth and children. 6/3/2014 I ve egory O Decent Housing OO Suitable Living Environment O Economic O ortunit pp y S pecific Objectives Outcome Categories 1 Improve the services for low/mod income persons .J E Availability/Accessibilit y ? Affordability 2 - - - - - -_. _ -- ? Sustainability 3 ----- (A 01 People Proposed 2,500 Accompl. Type: V a+ C Underway O Complete C Accompl. Type: I Accompl. Type: - Q jig o C a v Accompl. Type: IV Accompl. Type: V a Proposed Outcome Performance Measure Actual Outcome Link youth to services sought On-site monitoring & measure goal accomplishment 05D Youth Services 570.201(e) Matrix Codes Matrix Codes _ .J Matrix Codes ?J E-_ F Matrix Codes . Matrix Codes CDBG Proposed Amt. $ 124,500 Fund Source V s. Actual Amount R } Find Source: Fund Source: e E i Accompl. Type: Accompl. Type: CA O d Accompl. Type: Accompl. Type: 04/22/13 80 Exhibit 3 29A-85 CPMV Version 2.C Grantee Name: Santa Ana, CA Project Name: Cit of Santa Ana PR&CS - Libra Tutors Description: IRIS Project #: UOG Code: CA63342 SANTA ANA CDBG funds will be used to off-set cost to provide after school tutors for elementary and high school age youth. Program qualifies as for Low/Moderate-Area Limited Clientele Benefit per 24 CFR 570.208 (a)(2). Location: Priority Teed Category Citywide -- - - Public Services Select one: - - - -- Explanation: Expected Completion Date: Provide quality social services for youth and children. 6/30/2014 Objective Category O Decent Housing O Suitable Living Environment O Econ i O t it om c ppor un y S cifi Ob c pe jectives Outcome Categories 1 Improve the services for low/mod income persons j . (] Availability/Accessibilit y ? Affordability 2 - -- - -- - ? Sustainability -- 7 3 - ----- ---- - -- --- - - -- ----- 01 People W Proposed 3,700 Accompl. Type: of - - C Underway v E Complete Accompl. Type: 1W Accompl. Type: 1W u - aa a 'o E " iL V Acco Type: Accompl. Type: Q Proposed Outcome Performance Measure Actual Outcome Services will enhance household 75% of program participants will be welfare linked to additional supportive services 05D Youth Services 570.201(e) Matrix Codes Matrix Codes . Matrix Codes Matrix Codes Matrix Codes 1W d CDBG _-_ Proposed Amt. $ 223,000 Fund Source: 1W i. Actual Amount } Fund Source: Fund Source: Accompl. Type: 'WW Accompl. Type: CI O L. Accompl. Type: Accompl. Type: 4/22/13 81 Exhibit 3 29A-86 CPhiP V?r Grantee Name: Santa Ana, CA -ian 2.C Project Name: Cit of Santa Ana PR&CS - Project Pride Description: IDIS Project #: UOG Code: CA63342 SANTA ANA CDBG funds to support youth recreation program. National Objective: Low-/Moderate-Income Benefit - Direct Benefit 570.208 (a) (2). Location: Priority Need Category Citywide - Public Services Select one: --- Explanation: Expected Completion Date: Activity will provide quality social services to Low/Mod residents 6/30/2014 ve egory O Decent Housing OO Suitable Living Environment O Econ mi O t it o c ppor un y if S s t pec ic Objec ive Outcome Categories Improve the services for low/mod persons income ? Availability/Accessibilit - - 1 y ? Affordability -- - --- 2 ? Sustainability 3 01 People i' Proposed 950 Accompl. Type: C Underway V O E Complete Accompl. Type: 1W Accompl. Type: V ++ v1 U ai CL 'o E L Accompl, Type: IL Accompl. Type: V U Q Proposed Outcome Performance Measure Actual Outcome Services will enhance household 75% of program participants will be welfare linked to additional supportive services 05D Youth Services 570.201(e) Matrix Codes Matrix Codes . Matrix Codes Matrix Codes . Matrix Codes CDBG ? Proposed Amt. $ 129,500 Fund Source: s. Actual Amount r0 } Fund Source: Fund Source: M Accompl. Type: Accompl. Type: 01 O L. Accompl. Type: Accompl. Type: 04/22/13 82 Exhibit 3 29A-87 CPMP Version 2.0 Grantee Name: Santa Ana, CA Project Name: Clt of Santa Ana PR&CS - Senior Meals Programs Description: IRIS Project #: UOG Code: CA63342 SANTA ANA CDBG funds to support senior congregate meal and home delivery meal programs. National Objective: Low- /Moderate-income Benefit - Direct Benefit 570.208 (a) (2). Location: Priority Need Category Citywide - - -- - 1 Priority Need Category Select one: Explanation: Expected Completion Date: Activity will provide quality social services to Low/Mod residents 6/30/2014 ve egory O Decent Housing O Suitable Living Environment O E i O conom c pportunity S ific Ob ti s pec ve jec Outcome Categories 1 Improve the services for low/mod income persons O Availabilit /Accessibilit y y ? Affordability 2 - - ? Sustainability 3 -- --- -- ---- __ 01 People Proposed 1,585 Accompl. Type: W H +r C Underway Complete t Accompl. Type: 'W Accompl. Type: a + ul U - a? a 'o E L IL Accompl. Type: Accompl. Type: Q Proposed Outcome Performance Measure Actual Outcome Assisted seniors will retain 100% of assisted seniors will be linked independent living situation to one or more appropriate services 05A Senior Services 570.201(e) I Matrix Codes Matrix Codes . Matrix Codes Matrix Codes . Matrix Codes a CDBG V Proposed Amt. $ 80,000 Fund Source: V L Actual Amount Fund Source: qW Fund Source: qW E L Accompl. Type: ! W Accompl. Type: j qW O1 O CL Accompl. Type: • Accompl. Type: 04/22/13 83 Exhibit 3 29A-88 CPSP Ver,;cn 2.0 Grantee Name: Jurisdiction i Project Name: ICU of Santa Ana CDA - Youth Training Description: IRIS Project #: UOG Code: CA63342 SANTA ANA CDBG funds will be used to provide a Customer Service Training Program by providing employability skills, resume workshops, customer service workshops and referrals to training and education programs, job search assistance and youth job fair. Program qualifies as for Low/Moderate-Area Limited Clientele Benefit per 24 CFR 570.208 (a)(2). Location: Priority Need Category ^ Citywide --- - --- - - - --- - - ---- Public Services Select one. -- - Explanation: Expected Completion Date: Provide quality social services for youth and children. 6/30/2014 ve Category O Decent Housing O Suitable Living Environment O Econ mi O it t o c ppor un y S ifi Ob pec c jectives Outcome Categories Improve the services for low/mod income persons 21 Availabilit /Accessibilit y y ? Affordability 2 ? Sustainatali ty ? 3 -- -- -.- - -- ----- -- 01 People w Proposed 225 Accompl. Type: C Underway O Complete 4) 1 'W Accompl. Type: Accompl. Type: IV v - a, a o E L p, u Accompl. Type: V Accompl. Type: V U Q Proposed Outcome Performance Measure Actual Outcome Services will improve 75% of program participants will be employability linked to additional services 05D Youth Services 570.201(e) .I Matrix Codes Matrix Codes . Matrix Codes Matrix Codes !-I Matrix Codes a CDBG ' Proposed Amt. $100,000 Fund Source L. Actual Amount Fund Source: V Fund Source: j E ` Accompl. Type: Accompl. Type: W CA O L. Accompl. Type: Accompl. Type. 4/22/13 84 Exhibit 3 29A-89 _,?,P, n 4.0 Grantee Name: Santa Ana; CA Project Name: Cit of Santa Ana - Public Facility and Improvement 2013 Parks Description: IDIS Project #: UOG Code: CA63342 SANTA ANA CDBG funds will be used to undertake public facility improvements that include improvements to 4 neighborhood parks. Program qualifies as for Low/Moderate-Area Benefit per 24 CFR 570.208 (a) (1). Location: Priorlty,Need Category Various Low/Moderate-Income - _ - Public Facilities areas. Select one: Explanation: Park Locations Expected Completion Date: Pacific Electric-CT-745,02 BG 1, / CT-746.01 BG 1,3,5 / CT-746.02 BG 3,4,5 Santa Anita-CT-890.04 BG 3 / CT-891.05 BG 2 / CT-992.48 BG 2 / CT-992.49 BG 1 6/30/2014 Memorial-CT-740.05 BG 1 2 / CT-741 03 BG 1 2 3 / CT 742 00 BG 3 4 Objective Category O Decent Housing , . , , . , Delhi-CT-742.00 BG 2 / CT-743.00 BG 1,2 / CT 744.03 BG 1 *Suitable Living Environment O E i O i conom c pportun ty S ifi Ob ti pec c jec ves Outcome Categories Improve quality / increase quantity of neighborhood facilities for low-income persons ? Availabilit /Accessibilit 1 y y ? Affordability 2 21 Sustainability 3 (A 11 Public Facilities WJ Proposed 4 Accompl. Type: i W 1 C _ Underway E Complete H Accompl. Type: Accompl. Type: 1W v - d a 'o E L O a a Accompl. Type: Accompl. Type: Pro posed Outcome Performance Measure Actual Outcome Provide and maintain first-rate Improve the viability of Low- and infrastructure and community Moderate-Income neighborhoods by facilities eliminating one or more substandard or deteriorated public facility 03F Parks, Recreational Facilities 570.201(c) W Matrix Codes Matrix Codes I F__ ' Matrix Codes Matrix Codes Matrix Codes qt CDBG w I Proposed Amt. $ 788,692 L Actual Amount O Fund Source: w Proposed Amt. $ 300,000 E Actual Amount Prior Yr Funds i Accompl. Type: r O1 O d Accompl. Type: 04/2 2/13 85 Exhibit 3 29A-90 wPMP Version 2.0 Grantee Name: Santa Ana, CA Project Name: Cit of Santa Ana - Public Facility and Improvement 2013 Streets Description: IDIS Project #: UOG Code: CA63342 SANTA ANA CDBG funds will be used to unde rtake public facility improvements that include improvements to 1 residential neighborhood. Program qualifies as for Low/Moderate-Area Benefit per 24 CFR 570.208 (a) (1). Location: Priority Need Category' Various Low/Moderate-Income -- areas. Select one: Public Facilities j ? Explanation: Street Locatons: Expected Completion Date: Pico Lowell Neighborhood - CT-749.01 BG 2,3,4 / CT-749.02 BG 1,3 6/30/2014 ve a egory O Decent Housing O Suitable Living Environment O E i O t it conom c ppor un y S Ob ifi i pec c ject ves Outcome Categories Improve quality / increase quantity of neighborhood facilities for low-income persons . ? Availability/Accessibilit 1 ---- ------ -- y ? Affordability 2 ? Sustainability 3 11 Public Facilities r Proposed 10,733 Accompl. Type: Underway E Complete y Accompl. Type: 1W - Accompl. Type: u a? a 'o E L C ccompl. Type: it Q Accompl. Type: ?A Proposed Outcome Performance Measure Actual Outcome Provide and maintain first-rate Improve the viability of Low- and infrastructure and community Moderate-Income neighborhoods by facilities eliminating one or more substandard or deteriorated public facility 03K Street Improvements 570.201(c) l w Matrix Codes Matrix Codes . I Matrix Codes 1"IdIrIX t- e5 L M E M L o+ O L a 04/22/13 w! Matrix Cnriac 86 Exhibit 3 29A-91 CPMP version ..p Grantee Name: Santa Ana, CA Project Name: Cit of Santa Ana CDA - Single Family Housing Rehab Description: IDIS Project #: UOG Code: CA63342 SANTA ANA CDBG funds for rehabilitation of housing occupied and owned by lower income households. Funds will be used to correct code deficiencies and deferred maintenance. Program qualifies as for Low/Moderate-Area Housing per 24 CFR 570.202 (a)(1). Location: Priority Need Category Citywide -- -- - - --- Select one: Owner Occupied Housing --- - J - Explanation: Expected Completion Date: Activity will help revitalize deteriorated or deteriorating neighborhoods. 6/30/2014 - objective Category OO Decent Housing O Suitable Living Environment O Economic O t it ppor un y S ifi Objec i pec c t ves Outcome Categories I Improve the quality of owner housing ? Availability/Accessibilit 1 y ? Affordability 2' - - - - --___ __ ---__ _ El Sustainability 3 10 Housing Units v -_ - --- Proposed Accompl. Type: - C Underway O Complete H Accompl. Type: ! ? Accompl. Type: U as a W E L L fL Accompl. Type: ? Accompl. Type: a Pro posed Outcome Performance Measure Actual Outcome At least 40% of rehab loan to be Review work write-up and calculate expended on code related items amount for code work 14A Rehab; Single-Unit Residential 570.202 Matrix Codes Matrix Codes ! ? Matrix Codes Matrix Codes . Matrix Codes CDBG ? Proposed Amt. $ 445,000 Fund Source: ? L Actual Amount M Fund Source: ? Fund Source: M Accompl. Type: ? Accompl. Type: ? d1 O CL Accompl. Type: ? Accompl. Type: 04/22/13 87 Exhibit3 29A-92 Grantee Name: Santa Ana, CA Project Name: City of Santa Ana CDA - Multi-Famil Housing Rehab Description: IDIS Project #: UOG Code: CA63342 SANTA ANA CDBG funding to assist property owners in rehabilitating their rental property. The purpose of the program is to stabilize and improve multi-family rental housing stock in the city. One area of criteria for eligibility is that property owners must agree affordability. Program qualifies as for Low/Moderate-Housing per 24 CFR 570.208 (a) (3). Location: Priority Deed Category Citywide Select one: Rental Housing 'W Explanation: Expected Completion Date: Activity will help preserve the existing supply of rental housing. 6/30/2014 - Objective Category O Decent Housing OO Suitable Living Environment O Economic O o t it pp un r y S ifi O ' pec c bjectives Outcome Categories 1 Improve access to affordable rental housing ? Availability/Accessibilit y (] Affordability i 2 ? Sustainability 3 10 Housing Units ? Proposed 1 Accompl. Type: V C Underway d E Complete Accompl. Type: Accompl. Type: - E L6oF 0 Accompl. Type: 1W Accompl. Type: a Proposed Outcome Performance Measure Actual Outcome At least 40% of rehab loan to be Review work write-up and calculate expended on code related items amount for code work 14B Rehab; Multi-Unit Residential 570.202 . Matrix Codes Matrix Codes I v? Matrix Codes T Matrix Codes . Matrix Codes CDBG Proposed Amt. $ 350,000 Fund Source: s. Actual Amount M } Fund Source: ? Fund Source: ? 1W E L Accompl. Type: w Accompl. Type: tM O a Accompl. Type: Accompl. Type: 1W 04/22/13 gg Exhibit 3 29A-93 CPMP Version 2.0 Grantee Name: Santa Ana, CA Project Name: ESG13 - ESG Admin Description: IDIS Project #: UOG Code: CA63342 SANTA ANA ESG program oversight and coordination. Activities include reviewing quarterly reports, processing payment requests, on site monitoring and other direct program oversight costs. Location: Priority Need Category Citywide - - --- - - ----------- Planning/Administration Select one: Explanation: Expected Completion Date: Activity needed to ensure appropriate oversight and coordination of federal funds 6/30/2014 subject to the Con Plan. Objective Category O Decent Housing O Suitable Living Environment O Econ i O t it om c ppor un y S ific Objecti es pec v Outcome Categories ? Availabilit /Accessibilit y y I ? 1 El Affordability 2 -- ------- ? Sustainability I . 3 -- - Accompl. Type: Proposed NA Accompl. Type: W . C Underway Complete Accompl. Type: Accompl. Type: L IFE Accompl. Type: W V Accompl. Type: V Proposed Outcome Performance Measure Actual Outcome Maintain prgm admin @ a level to Review HUD monitoring reports. ensure no HUD findings 21A General Program Administration 570.206 . Matrix Codes Matrix Codes . Matrix Codes Matrix Codes Matrix Codes a i ? ESG Proposed Amt. $ 40,350 Fund Source: j w Actual Amount 0) Fund Source: w Fund Source: Iv g tLO Accompl. Type: Accompl. Type: W a+ O CL Accompl. Type: Accompl. Type: 04/22/13 gg Exhibit 3 29A-94 CPh?P Version Grantee Name: Santa Ana, CA z'.0 Project Name: ESG13 -Outreach Services Description: IDIS Project #: UOG Code: CA63342 SANTA ANA ESG funds to undertake homeless outreach and engagement services including the chronic homeless. Services will be provided by two nonprofit agencies and the SAPD. Location: Priority Need Category Citywide ? Homeless/HIV/AIDS Select one: -- - - -- --- Explanation: Expected Completion Date: Activity will assist homeless persons obtain appropriate housing and services 6/30/2014 ve Category O Decent Housing OO Suitable Living Environment O E conomic Opportunity S cifi Obj e i pe c s ect v Outcome Categories Increase the number of homeless persons moving into permanent housing 121 Availabilit /Accessibilit y y End chronic homelessness ?. ? Affordability 2 ----- -- -- ? Sustainability 3 01 People ? Proposed 793 Accompl. Type: ? C Underway d Complete Accompl. Type: ? Accompl. Type: IV U ? a o E IL u Accompl. Type: ? Accompl. Type: Q Pro posed Outcome Performance Measure Actual Outcome 50% of individuals seeking On-site monitoring & measure goal services will be linked to desired accomplishment services 05 Public Services (General) 570.201(e) . Matrix Codes Matrix Codes . Matrix Codes . Matrix Codes .? Matrix Codes ESG ? Proposed Amt. $ 54,304 Fund Source: ? Actual Amount M 0 Accompl. Type: ? Fund Source: E ' M Accompl. Type: ? Accompl. Type: ? Im O C Accompl. Type: ? Accompl. Type: 04/22/13 90 Exhibit 3 29A-95 cPMP Version 2.0 Grantee Name: Santa Ana, CA Project Name: ESG13 - Shelter Description: IRIS Project #: UOG Code: CA63342 SANTA ANA ESG funds to support emergency shelter for single adults (Mercy House), emergency shelter for victims of domestic violence (Grandma's House, Human Options, Interval House, Laura's House & WTLC), transitional housing (Mercy House, Thomas House, Villa Center, Wise Place) and shelter-based services (Legal Aid). Location: Priority Need Category - Citywide l - --- - -- - Homeless/HIV/AIDS Se ect one: -- --- --- - -- Explanation: Expected Completion Date: Activity will assist homeless persons obtain appropriate housing. 6/30/2014 Objective Category O Decent Housing OO Suitable Living Environment O Economic O ortunit pp y S c pecifi Objectives Outcome Categories Increase the number of homeless persons moving into permanent housing D Availability/Accessibility ? Affordability 2 ? Sustainability 3 ---- - --- - -- -- -- ------- -- 01 People W? Proposed 760 Accompl. Type: W C Underway d E Complete Accompl. Type: Accompl. Type: U d :L O E IL Accompl. Type: Accompl. Type: V Q Proposed Outcome Performance Measure Actual Outcome 50% of individals seeking shelter On-site monitoring & measure goal will be transition to appropriate accomplishment housing 03T Operating Costs of Homeless/AIDS Patients Programs -E-V T Matrix Codes Matrix Codes Matrix Codes Matrix Codes . Matrix Codes ESG Proposed Amt. $ 229,700 Fund Source: :v i. Actual Amount a 4j Fund Source: V Fund Source: V R Accompl. Type: W Accompl. Type: !,w IM O a Accompl. Type: Accompl. Type: 04/22/13 91 Exhibit 3 29A-96 CPMP Version 2.0 Grantee Name: Santa Ana, CA Project Name: ESG13 - Homelessness Prevention Description: IDIS Project #: UOG Code: CA63342 SANTA ANA ESG funds to prevent homelessness. Funds will be used to pay a portion of rent to prevent eviction, or utilities to prevent shut-off. Services will be provided by two nonprofit agencies. Location: Priority Need Category Citywide - Select one: Homeless/HIV/AIDS ? -- - - --- - Explanation: Expected Completion Date: Activity will prevent individuals and families from becoming homeless. 6/30/2014 ve egory O Decent Housing OO Suitable living Environment O Economic O ortunit pp y s Specific Objective Outcome Categories Increase the number of homeless persons moving into permanent housing El Availability/Accessibility 1 ? Affordability 21 ? Sustainability ---- ----------- --- 01 People -- - - Proposed 108 Accompl. Type: C Underway O Complete H Accompl. Type: Accompl. Type: 1W U d Q. O E 0 Accompl. Type: a u Accompl. Type: L j L Q Proposed Outcome Performance Measure Actual Outcome 50% of assisted individual or On-site monitoring & measure goal households will retain their accomplishment housing or utilities for @ least 6 months after assistance is provided 05Q Subsistence Payments 570.204 . Matrix Codes Matrix Codes . j Matrix Codes Matrix Codes ?J Matrix Codes --- IF— ESG 1W Proposed Amt. $ 79,200 Fund Source: ?w L Actual Amount } Fund Source: Fund Source: M Accompl. Type: w Accompl. Type: ! W G1 O a Accompl. Type: I w Accompl. Type: 04/22/13 92 Exhibit 3 29A-97 CPMP Version 2.r; Grantee Name: Santa Ana, CA Project Name: ESG13 - Ra pid Re-Housing Description: IRIS Project #: UOG Code: CA63342 SANTA ANA ESG funds to suppor rapid re-housing services for homeless individuals/households. Services will be provided by five nonprofit agencies: Grandma's House, Illumination Foundation, Interval House, Mercy House and Wise Place. Location: Priori Need Category Citywide - --- - Homeless/HIV/AIDS Select one: - -- - - - - - Explanation: Expected Completion Date: Activity will assist homeless persons obtain appropriate housing. 6/30/2014 Objective Category O Decent Housing O Suitable Living Environment O Economic O ortunit pp y S pedfic Objectives Outcome Categories Increase the number of homeless persons moving into permanent housing Availability/Accessibility 1 ? Affordability 2 ? Sustainability 01 People Proposed 53 Accompl. Type: C Underway Complete H Accompl. Type: I Accompl. Type: v - d fl. o E IL Accompl. Type: Accompl. Type: Q Proposed Outcome Performance Measure Actual Outcome 50% of individals seeking On-site monitoring & measure goal emergency shelter will be accomplishment transition to interim (transitional) housing 05Q Subsistence Payments 570.204 . Matrix Codes Matrix Codes matrix codes Matrix Codes Matrix Codes 04/22/13 93 Exhibit 3 29A-98 ?:arhP yr-si;n 7.0 Grantee Name: Santa Ana, CA Project Name: ESG13 - Homeless Management Information System Description: IDIS Project #: UOG Code: CA63342 SANTA ANA ESG funds to support cost of reporting program activity acco mplishment data in regional Homeless Management Information Systems (HMIS) Location: Priority Need Category Citywide Homeless/HIV/AIDS Select one: - - - --- - Explanation: Expected Completion Date: Activity will assist with re porting of homeless assistance programs 6/30/2014 ve Category ' Decent Housing Suitable Living Environment L (g) E i O t i o conom c ppor un ty S ifi Ob i pec c ject ves Outcome Categories 1 _ - I D Availability/Accessibilit y ?Affordability 2 ? Sustainability 3 Accompl. Type: 1W Proposed NA Accompl. Type: 1W . C Underway 0i Complete Accompl. Type: Accompl. Type: 4, 2A 4, - CL 'o E CL Accompl. Type: Accompl. Type: a Pro posed Outcome Performance Measure Actual Outcome 100% of ESG recipeints will report Percentage of ESG recipients reporting accomplishment data in HMIS quarterly data in CMIS 03T Operating Costs of Homeless/AIDS Patients Programs . Matrix Codes Matrix Codes Matrix Codes Matrix Codes .? Matrix Codes a Fund Source: ? Proposed Amt. $ 10,000 Fund Source: 1W Actual Amount M Fund Source: w Fund Source: 1W E M Accompl. Type: Accompl. Type: w 01 O L. Accompl. Type: 'W Accompl. Type: 1W 04/22/13 94 Exhibit 3 29A-99 Grantee Name: Santa Ana, CA PMP V?rsicn 2.0 Project Name: HOME Admin 2013 Description: IRIS Project #: UOG Code: CA63342 SANTA ANA HOME funds to support program oversight and coordination Location: Priority Need Category Citywide Planning/Administration Select one: Explanation: Expected Completion Date: Activity needed to ensure appropriate oversight and coordination of federal grant 6/30/2014 subject to the Consolidated Plan ve egory O Decent Housing O Suitable Living Environment O Econ mi O t it o c ppor un y S if Ob i ic ves pec ject Outcome Categories 1 ? Availability/Accessibilit y ? Affordability 2 ? Sustainability 3 j . Accompl. Type: I J Proposed NA Accompl. Type: C Underway Complete Accomp l. Type: IV Accompl. Type: L VE U Accompl. Type: IV Accompl. Type: Pro posed Outcome Performance Measure Actual Outcome Maintain program @ a level that Review HUD monitoring reports ensures no HUD findings 21H HOME Admin/Planning Costs of P) (subject to 5% cap Matrix Codes Matrix Codes . Matrix Codes Matrix Codes j . Matrix Codes j d HOME Proposed Amt. $ 122,821 Fund Source: V L Actual Amount } Fund Source: w l Proposed Amt. Fund Source: v Actual Amount i Accompl. Type: Accompl. Type: O L. Accompl. Type: I vw Accompl. Type: 04/22/13 95 Exhibit 3 29A-100 Grantee Name: Jurisdiction CV`4? S'rrcinn Project Name: HOME CHDO - 2013 Description: IRIS Project #: UOG Code: CA63342 SANTA ANA HOME funds to undertake affordable housing opportunities. Project to be determined; however, project partner will be a community housing development coorporation (CHDO). Location: Priority Need Category Project location to be determined - - - Select one: Rental Housing Explanation: Expected Completion Date: Activity will help the City expand the supply of rental housing that is affordable to 6/30/2014 lower income households. ve egory O Decent Housing O Suitable Living Environment O Economic O ort it pp un y S f peci ic Objectives Outcome Categories 1, Increase the supply of affordable rental housing ? Availability/Accessibilit y Improve the quality of affordable rental housing Affordability - . 2 ? Sustainability Improve access to affordable rental housing 3 10 Housing Units qW Proposed 16 Accompl. Type: 1W C Underway ? Complete .C Accompl. Type: 1W 'W Accompl. Type: V ai' a 'o E L p , Accompl. Type: Accompl. Type: V Q Proposed Outcome Performance Measure Actual Outcome 50% of assisted rental units will City's supply of affordable rental remain affordable to households housing will be increased by 4 units at/below 60% of median income for at least 55 years 14G Acquisition - for Rehabilitation 570.202 v! Matrix Codes Matrix Codes _J Matrix Codes Matrix Codes . Matrix Codes 04/22/13 96 Exhibit 3 29A-101 cPMP vpr,,, n) n Grantee Name: Santa Ana, CA Project Name: HOME Multi-Family Acquisition or Rehabilitation Description: IDIs Project#: UOG Code: CA63342 SANTA ANA HOME funds to undertake the acquisition/rehabilitation of rental housing. Project to be determined; however, project partner may be a community housing development coorporation (CHDO). Location: Priority Need Category Location to be determined --- --- --- --- ----- ----7_7 Select one: Rental Housing f -_ - --- -- --- - -- - -------? Explanation: Expected Completion Date: Activity will help the City expand the supply of rental housing that is affordable to 6/30/2014 lower income households. ve Category O Decent Housing O Suitable Living Environment O Economic O ort nit pp u y S ifi ve pec c Objecti s Outcome Categories 1 Increase the supply of affordable rental housing Affordability t 2 j Improve the quality of affordable rental housing ? Sustainability Improve access to affordable rental housing 10 Housing Units Proposed 8 Accompl. Type: C Underway > Complete M E Accompl. Type: Accompl. Type: W U GJ Q. O L p , Accompl. Type: Accompl. Type: V a Pro posed Outcome Performance Measure Actual Outcome At least 40% of rehab loan to be Review work write-up and calculate expended on code related items amount for code work 1413 Rehab; Multi Unit Residential 570.202 . 1 Matrix Codes Matrix Codes . j Matrix Codes Matrix Codes .? Matrix Codes HOME Proposed Amt. i. Actual Amount 4) Fund Source: IW E M Accompl. Type: ! w Of O ILL. Accompl. Type: ' w 455,396 1 Fund Source: Fund Source: Accompl. Type: Accompl. Type: 04/22/13 97 Exhibit 3 29A-102 CP"OP Version LO Grantee Name: Santa Ana, CA Project Name: HOME sin gle Family Housing Rehabilitation Description: IDIS Project #: UOG Code: CA63342 SANTA ANA HOME funds for rehabilitation of housing occupied and owned by lower income households. Funds will be used to correct code deficiencies and deferred maintenance. Location: Priority Need Category Citywide Owner Occupied Housing Select one: Explanation: Expected Completion Date: Activity will help the City maintain the stock of owner-occupied housing that is 6/30/2014 affordable to lower income households. Objective Category O Decent Housing O Suitable Living Environment O Economi O t it ppor c un y S if Ob pec ic jectives Outcome Categories 1 Improve the quality-of owner housing . J ? Availability/Accessibilit y ? Affordability 2 ? Sustainability 3 i . i to ,w I 10 Housing Units Proposed 9 Accompl. Type: C Underway O Complete W C Accompl. Type: V Accompl. Type: a.+ U - W a o E er p. u Accompl. Type: Accompl. Type: Q Pro posed Outcome Performance Measure Actual Outcome At least 40% of rehab loan to be Review work write-up and calculate expended on code related items amount for code work 14A Rehab; Single-Unit Residential 570.202 Matrix Codes Matrix Codes . Matrix Codes Matrix Codes .? Matrix Codes a HOME 1? 7J Proposed Amt. $ 100,000 Fund Source: L Actual Amount M } Fund Source: w Fund Source: V E M Accompl. Type: w Accompl. Type::! W tM O 0. Accompl. Type: Accompl. Type: 11W 04/22/13 98 Exhibit 3 29A-103 CPMP Version G.0 Grantee Name: Jurisdiction Project Name: HOPWA Admin - 2013 Description: IDIS Project #: UOG Code: CA63342 SANTA ANA Federal funds to be used to coordinate and oversee Housing Opportunities for Persons with AIDS funds that are allocated to the City on behalf of the entire County. Location: Priori Need Category Citywide - -- - - - - --- Planning/Administration Select one: - -- - - - -- - Explanation: Expected Completion Date: Activity needed to ensure appropriate oversight and coordination of federal funds 6/30/2014 subject to the Con Plan Objective Category O Decent Housing O Suitable Living Environment O Economi O t it ppor c un y S cti k Ob pec je ves Outcome Categories 1' ? Availability/Accessibilit y ?Affordability 2 - -- ----- ? Sustainability • 3 Accompl_ . Type: V u1 Proposed NA Accompl. Type: C Underway O Complete H Accompl. Type: • Accompl. Type: O EE A o mpl. TYPe: Accompl. Type: Proposed Outcome Performance Measure Actual Outcome Maintain prgm admin @ a level to Review HUD monitoring reports ensure no HUD findings 31B Administration - grantee ! Matrix Codes --- -- - --- - --- ---- -..---_ ----- __ .? Matrix Codes • Matrix Codes Matrix Codes Matrix Codes Fund Source: • Proposed Amt. $ 44,136 Fund Source: Actual Amount } Fund Source: • Fund Source: 111F M Accompl. Type: • Accompl. Type: • Of O d Accompl. Type: • Accompl. Type: w 04/22/13 99 Exhibit3 29A-104 Grantee Name: Jurisdiction 'IPM?' Version ,,C, Project Name: HOPWA Support Services - 2013 Description: IDIS Project #: UOG Code: CA63342 SANTA ANA HOPWA funds to provide a variety of services for individuals with HIV and AIDS on a county-wide basis. Services include emergency housing assistance, transitional housing, detox services, case management and housing placement. Location: Priority Need Category Countywide Pri ority Need Category Select One: Explanation: Expected Completion Date: Activity will help the City provide quality services and housing opportunities for 6/30/2014 individuals with HIV/AIDS throughout Orange County Objective Category O Decent Housing *Suitable Living Environment O E i O t it conom c ppor un y ifi S Ob i c pec c je ves t Outcome Categories Increase range of housing options & related services for persons w/ special needs D Availabilit /Accessibilit y y ? Affordability 21 ? Sustainability I _ 3 Oi People 'Wr I Proposed Accompl. Type: A C Underway E Complete C Accompl. Type: W Accompl. Type: a+ ? V - ? a 'o E CL u Accompl. Type: Accompl. Type: W Q Proposed Outcome Performance Measure Actual Outcome 50% of individuals/families Verify % of individuals/families that are receiving assistance will be linked assisted w/ HOPWA and are referred to to one or more additional support additional services services and/or appropriate housing 31E Supportive service v, Matrix Codes Matrix Codes - ! Wj Matrix Codes Matrix Codes Matrix Codes a ----------------- HOPWA _'W Proposed Amt. $ 827,051 Fund Source: W Actual Amount 4) } Fund Source: -W Proposed Amt. Fund Source.- 1W E Actual Amount M Accompl. Type: w Accompl. Type: 01 O a Accompl. Type: ' Accompl. Type: 04/22/13 100 Exhibit 3 29A-105 CPIIP V,- r,, on 2.0 Grantee Name: Jurisdiction Project Name: HOPWA Tenant-Based Rental Assistance - 2013 Description: IDIS Project #: UOG Code: CA63342 SANTA ANA HOPWA funds to support tenant-based rental assisatnce (TBRA) for individuals/families with HIV/AIDS. Location: Priority Need Category Countywide - - --- Select one: Homeless/HIV/AIDS Explanation: Expected Completion Date: Activity will help the City provide quality services and housing opportunities for 6/30/2014 individuals with HIV/AIDS Objective Category O Decent Housing O Suitable Living Environment O E i O i conom c pportun ty S cifi Ob ti pe c jec ves Outcome Categories Increase range of housing options & related services for persons w/ special needs ? Availabilit /Accessibilit 1 y y ? Affordability 2I ? Sustainability 3 10 Housing Units Proposed 50 Accompl. Type: N C Underway O E Complete Accompl. Type: IV Accompl. Type: V ? a o C L a :Accompl. ? Accompl. Type: u Q Proposed Outcome Performance Measure Actual Outcome 50% of individuals/families Verify % of individuals/families that are receiving assistance will be linked assisted w/ HOPWA and are referred to to one or more additional support additional services services and maintain housing 31F Tenant based rental assistance I • Matrix Codes Matrix Codes . Matrix Codes Matrix Codes . ! Matrix Codes HOPWA Proposed Amt. $ 600,000 Fund Source: L Actual Amount 4) Fund Source: W Fund Source: M Accompl. Type: ' Accompl. Type: 0• O a Accompl. Type: I 1 Accompl. Type: 04/22/13 101 Exhibit 3 29A-106 010/1 1-24EXHIBIT 2 CITY OF SAN 2010/11-24 EXHIBIT ANTIAL AMENDMENT 29A-107 29A-108 2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN I SUBSTANTIAL AMENDMENT \ vn TABLE OF CONTEN Introduction ........................................ Amendments ....................................... Citizen Participation ............................ Exhibits Exhibit 1-Public Hearing N ur of CdWents and Responses. 03/14/2013 1 29A-109 PAGE 2 3 4 ................5 SUBSTANTIAL AMENDMENT SUBSTANTIAL AMENDMENT 1 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN SUBSTANTIAL AMENDMENT TO THE FISCAL YEAR 2010/2011-2014/2015 CONSOLIDATED PLAN INTRODUCTION This document is a Substantial Amendment to the City of Santa 2014/2015 Consolidated Plan. Title 24 Section 91.505 of the Code of Federal Regulati jurisdictions shall amend their approved plans whe14 decisions: To make a change in its allocation p funds; To carry out an activity, using fund (including program income) not pre, To change the purpose,_,%=e, locat The Regulation further criteria they will use fg Consistent with these reel Ana as a comjlgNffiWL its criteria thiiiff TMMIL 1: 2. 3 r 2010/2011- ulates that participi mai&ne of the foil ng the method of distribution of J'Vd by the Consolidated Plan Pe action plan; or of an activity. entify in their citizen participation plans the ks a substantial amendment. Is, the CitizZTFParticipatio n Plan adopted by the City of Santa 1- 2014/15 Consolidated Five Year Plan identifies three kkl amendment: DBG funds from one eligible activity to another; n that was not previously included in the Consolidated Plan or 1P ns. nt of the most recent annual federal grant allocation is reallocated gram activities within the fiscal year. The proposed changes all meet one of these three criteria, and so requires a substantial amendment. SUBSTANTIAL AMENDMENT 2 03/14/2013 29A-110 2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN SUBSTANTIAL AMENDMENT AMENDMENTS The City is proposing to amend the consolidated plan to allow for the following strategies under the Strategic Plan component: Housing Priority Needs Strategies CONSOLIDATED PLAN GOAL # H10 - ACQUISITION AND DISPOSITION Priority Need Rating - High City Goal - Sustain Affordable Housing Implementation Strategy - Acquire property for development of housiniff HUD Objective - Decent Housing HUD Outcome - A ability Inputs - Federal - CDBG and HOME AMW 5 Year Output 5 Year Ou e Projects 1 'A 1. In a the City's supply o able rental h g ir 1%60r Economic Development Priority Needs Strategies CONSOLIDATED PLAN GOAL # E1- ECONO C DEVELOPME Priority Need Rating -High City Goal omic Development Implementation Strategy-Assist business o p crea HUD Objective - Create Economic Opportu s e -Availability/Accessibility Inputs - Federal - CDBG 5 Year Output 5 Year Outcome Jobs Extremely Low (0%-30%) 1. Create 50 jobs. Very Low (31%-50%) Low (51%-80%) Moderate (80%-120% Above Mode _ Total so CONSOL D PLAN GOA D3 - PLANNING Priority Ne ting - Hi City Goal - Develop strategies to promote community development. 0 Implementation - Funding will for planning activities which consist of all costs of data gathering, studies, a alysis and preparation of plans and the identification of actions that will implement such plans. HUD Objective - Suitable Living Environment HUD Outcome - Sustainability Inputs - Federal - CDBG 5 Year Output 5 Year Outcome Proiects 1 1. Development of a strategic plan. 03/14/2013 SUBSTANTIAL AMENDMENT 29A-111 SUBSTANTIAL AMENDMENT 12010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN CITIZEN PARTICIPATION In accordance with 24 CFR 91.105(c)(3) for local governments, the substantial amendment Public Notice for the use of ESG funds was released for citizen review and comments on March 16, 2013. During the 30-day public comment period from March 16, 2012 through April 15, 2013 the Public Notice for the Draft Substantial Amendment was made available during regular business hours between 8:00 a.m. and 5:00 p.m., Monday through Thursda in the offices of the Housing Department, 20 Civic Center Plaza, 3rd Floor, Community D pment Agency, 20 Civic Center Plaza, 6th Floor, Office of the Clerk of the Council, 20 Civi ter Plaza, Room 809, between the hours 10:00 a.m. and 9:00 p.m., Monday through Th 0:00 a.m. and 6:00 p.m., Friday at the Main Public Library, 26 Civic Center Plaza, Sa na, rnia and on the city's website. The Community Redevelopment and Housin mission o City of Santa Ana held a public hearing on April 16, 2013, at 6:00 p.m., e City Council C rs, 22 Civic Center Plaza, Santa Ana, California 92701. Following t -day public comment d and public hearing, the City Council of Santa Ana will he d vote o Substantial Amendment to the 2012-13 Action Plan on May 6, 2013. A copy o u aring notice is presented in Exhibit 1. A summary of citizen comments received at th hearing and responses to these citize SUBSTANTIAL AMENDMENT 03/14/2013 29A-112 2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN SUBSTANTIAL AMENDMENT 03/14/2013 SUBSTANTIAL AMENDMENT 29A-113 SUBSTANTIAL AMENDMENT 2010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN SUMMARY OF PUBLIC COMMENTS SUMMARY OF PUBLIC COMMENTS RECEIVED DURING 30-DAY COMMENT PERIOD AND STAFF RESPONSE No Comments 4/16, No G SUBSTANTIAL AMENDMENT 03/14/2013 29A-114 29A-115 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY 20 CIVIC CENTER PLAZA, M-25 SANTA ANA, CA 92701 29A-116 @3Y 4i "11,- CITY OF SANTA ANA EXHIBIT 3 JULY 1, 2012 -JUNE 30, 2013 Consolidated Plan ANN UAL U PDATE SUBSTANTIAL AMENDMENT 29A-117 29A-118 2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN I SUBSTANTIAL AMENDMENT TO THE 2012/13 ACTION PLAN A-j k -, ,fx TABLE OF CONTENTS PAGE Introduction ...............................................................................................................................2 Amendments ..............................................................................................................................3 Citizen Participation ...................................................................................................................3 Exhibits Exhibit 1-Public Hearing Notice/Summary of Comments and Responses .................................4 Exhibit 2-Proposed Activities .....................................................................................................7 03/14/2013 1 SUBSTANTIAL AMENDMENT TO THE 2012-2013 ANNUAL ACTION PLAN 29A-119 SUBSTANTIAL AMENDMENT TO THE 12010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN 2012/13 ACTION PLAN SUBSTANTIAL AMENDMENT TO THE FISCAL YEAR 2012-2013 ACTION PLAN INTRODUCTION This document is a Substantial Amendment to the City of Santa Ana's Fiscal Year 2012-13 Annual Action Plan, which was submitted to the U.S. Department of Housing and Urban Development (HUD) on May 15, 2012. Title 24 Section 91.505 of the Code of Federal Regulations stipulates that participating jurisdictions shall amend their approved plans whenever they make one of the following decisions: 1. To make a change in its allocation priorities or a change in the method of distribution of funds; 2. To carry out an activity, using funds from any program covered by the Consolidated Plan (including program income) not previously described in the action plan; or 3. To change the purpose, scope, location, or beneficiaries of an activity. The Regulation further requires that jurisdictions identify in their citizen participation plans the criteria they will use for determining what constitutes a substantial amendment. Consistent with these requirements, the Citizen Participation Plan adopted by the City of Santa Ana as a component of its 2010/11- 2014/15 Consolidated Five Year Plan identifies three criteria that will require a substantial amendment: 1. Changes in the use of CDBG funds from one eligible activity to another; 2. An activity is undertaken that was not previously included in the Consolidated Plan or subsequent action plans. 3. More than 30 percent of the most recent annual federal grant allocation is reallocated to other eligible program activities within the fiscal year. The proposed changes all meet one of these three criteria, and so require a substantial amendment. SUBSTANTIAL AMENDMENT TO THE 2012-2013 ANNUAL ACTION PLAN 03/14/2013 29A-120 2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN I SUBSTANTIAL AMENDMENT TO THE 2012/13 ACTION PLAN AMENDMENTS The City is adding the following projects to the 2012-2013 Action Plan: Acquisition and Disposition-Funding may provide for the following: a) Acquisition in whole or in part by the recipient, or other public or private nonprofit entity, by purchase, long-term lease, donation, or otherwise, of real property (including air rights, water rights, rights-of-way, easements, and other interests therein) for any public purpose, subject to the limitations of § 570.207. b) Disposition, through sale, lease, donation, or otherwise, of any real property acquired with CDBG funds or its retention for public purposes, including reasonable costs of temporarily managing such property or property acquired under urban renewal, provided that the proceeds from any such disposition shall be program income subject to the requirements set forth in § 570.504. Public Facility and Improvements-Funding will provide for the design phase of future projects. Planning-Funding will for planning activities which consist of all costs of data gathering, studies, analysis and preparation of plans and the identification of actions that will implement such plans. CITIZEN PARTICIPATION In accordance with 24 CFR 91.105(c)(3) for local governments, the substantial amendment Public Notice for the use of ESG funds was released for citizen review and comments on March 16, 2013. During the 30-day public comment period from March 16, 2012 through April 15, 2013 the Public Notice for the Draft Substantial Amendment was made available during regular business hours between 8:00 a.m. and 5:00 p.m., Monday through Thursday in the offices of the Housing Department, 20 Civic Center Plaza, 3rd Floor, Community Development Agency, 20 Civic Center Plaza, 6th Floor, Office of the Clerk of the Council, 20 Civic Center Plaza, Room 809, between the hours 10:00 a.m. and 9:00 p.m., Monday through Thursday, 10:00 a.m. and 6:00 p.m., Friday at the Main Public Library, 26 Civic Center Plaza, Santa Ana, California and on the city's website. The Community Redevelopment and Housing Commission of the City of Santa Ana held a public hearing on April 16, 2013, at 6:00 p.m., at the City Council Chambers, 22 Civic Center Plaza, Santa Ana, California 92701. Following the 30-day public comment period and public hearing, the City Council of Santa Ana will hear and vote on the Substantial Amendment to the 2012-13 Action Plan on May 6, 2013. A copy of the public hearing notice is presented in Exhibit 1. A summary of citizen comments received at the public hearing and responses to these citizen comments are presented in Exhibit 1. 03/14/2013 SUBSTANTIAL AMENDMENT TO THE 2012-2013 ANNUAL ACTION PLAN 29A-121 SUBSTANTIAL AMENDMENT TO THE 12010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN 2012/13 ACTION PLAN EXHIBIT 1 SUMMARY OF PUBLIC COMMENTS 8c PROOF OF PUBLICATION 30-DAY COMMENT PERIOD AND PUBLIC HEARING SUBSTANTIAL AMENDMENT TO THE 2012-2013 ANNUAL ACTION PLAN 03/14/2013 29A-122 2010/11-2014-15 CITY OF SANTA ANA CONSOLIDATED PLAN I SUBSTANTIAL AMENDMENT TO THE 2012/13 ACTION PLAN SUMMARY OF PUBLIC COMMENTS SUMMARY OF PUBLIC COMMENTS RECEIVED DURING 30-DAY COMMENT PERIOD AND STAFF RESPONSE No Comments 4/16/2012 REDEVELOPMENT & HOUSING COMMISSION PUBLIC HEARING' No Comments 03/14/2013 SUBSTANTIAL AMENDMENT TO THE 2012-2013 ANNUAL ACTION PLAN 29A-123 SUBSTANTIAL AMENDMENT TO THE 12010/11- 2014/15 CITY OF SANTA ANA CONSOLIDATED PLAN 2012/13 ACTION PLAN EXHIBIT 3 PROPOSED ACTIVITIES SUBSTANTIAL AMENDMENT TO THE 2012-2013 ANNUAL AcTION PLAN 03/14/2013 29A-124 CPh1P Version 2.0 Grantee Name: Santa Ana, CA Project Name: ICU of Santa Ana - Acquisition - 2013 Description: IRIS Project #: uOG Code: CA63342 SANTA ANA CDBG funds will be used to acquire real property for development. Program qualifies as for Low/Moderate-Area Benefit per 24 CFR 570.205 (a) (1). Location: Priori Need Category Various Low/Moderate-Income -- - -- -- ---- -- areas. Select one: Ct Explanation: Location will serve low-/moderate-income hous Sp ocation has not been Expected Completion Date: identified yet. 6/30/2014 Objective Category O Decent Housing Q Suitable Living Environment O E conomic Opportunity dives Outcome Categories LTpm?eQ4Winaumqatity fadlities f(rlo?v-ir?MrL.pasar, ? ? A il bili _ va a ty/Accessibility ? Affordability 2 - - -- ?_? Sustainability U) Cff Er W - - -- -- - Proposed 2 ype: N U i = plete ? ? Paaoi?. Type: Pamrnl. Type: ? O a L 0 Aaoorrid. T Pro o utcome P ance Measure Actual Outcome Provide de ent of real rove t iability of Low- and property erate-Income neighborhoods 01 PogLisibcn of Rml RMkjr a) V NWx Codes Nwx Codes V Nix Codes VWx Codes Matrix Codes 'T CCM Proposed Amt. $ 200,000.00 R fYj 9xn:e: Actual Amount Rrd Slim: Find cxrm: E CM krrpl. Type: ,omprpl. Type: 0 L. a Aaolrpl. Type: P=V. Type: 01/31/13 79 Exhibit 3 29A-125 CPMP Version 2.0 Grantee Name: Santa Ana, CA Project Name: Cit of Santa Ana - Disposition - 2013 Description: IDIS Project #: UOG Code: CA63342 SANTA ANA CDBG funds will be used for the disposition of real property acquired with CDBG for development. Program qualifies as for Low/Moderate-Area Benefit per 24 CFR 570.208 (a) (1). Location: Priori Need Category Various Low/Moderate-Income - - - - areas. Select one: other Explanation: Location will serve low-/moderate-income housy . Sp ocation has not been Expected Completion Date: identified yet. e 6/30/2014 Objective Category 0 Decent Housing * Suitable Living Environment 0 E i o conom c pportunity dives Outcome Categories 1 Irrpvequality/inoea9equm*ty facilities forJaMoprepersons ? ? A il bilit A b l - - - - - ' va a y/ ccessi i ity ? Affordability 2 - Sustainability Momm? 3 - tA Other -- -- Proposed 2 Type 4J d U E plete „ w Acoonpl. Type - Aooorrpl. Type v d a 'o E i O d U Acoorrpl. T Acaonpl. Type Pro o utcome P ance Measure Actual Outcome Provide d ent of real rove t iability of Low- and property erate-Income neighborhoods 02 Dispostron 57a2M(b W Matrbc Codes Matrbc Codes M btK Codes - - --- - - - Matrbc Codes j Mabuc Code, - CDBG V Proposed Amt. $ 200,000.00 Fund Souce Actual Amount 5. Fund Source: 'IF Fund Source E L Acaorripl. Type W Acconpl. Type O L Q. AooonV Type . Aooompil. Type 01/31/13 79 Exhibit 3 29A-126 CPMP Version 2.0 Grantee Name: Santa Ana, CA Project Name: Clt of Santa Ana - Public Facilities Improvement - Design 2013 Description: IDIS Project #: UOG Code: CA63342 SANTA ANA CDBG funds will be used to undertake the design phase of future CDBG public facility improvements. Program qualifies as for Low/Moderate-Area Benefit per 24 CFR 570.208 (a) (1). Location: Priority Need Category Various Low/Moderate-Income areas it - -- ?Irc aar t . Select one: P F r ?es Explanation: Projects will be identified in future action plans active allow the City to begin Expected Completion Date the capital improvement process sooner by f n the desig on and possibly some 6/30/2014 initial construction costs of a project in th od between ado the action plan by City Council and the beginnin of the n Objective Category g gram year. O Decent Housing * Suitable Living Environment O Economic Opportunity Ives Outcome Categories 1 Inp+ovequality /inaMequanlity facilffi sforkrnrinoomepersons ? A il bil - - - - -- va a ity/Accessibility ? Affordability 2' - Q Sustainability U) 11 Public Facildies W Proposed 2 AcoorqWType: N E plete a Aaoorro. Type: - Accorro. Type: U d a 'o ? L O CL Q Aooorrpl. T Aoonnpl. Type: Pro o utcome P ance Measure Actual Outcome Provide a ntain first-rate rove t iability of Low- and infra struct community erate-Income neighborhoods by facilities inating one or more substandard or riorated public facility 03F Pang Reareadonal (c) "IF Matruc Codes 03K Street 1ipmmv eats 570.(c) V MWaix codes 1W Matto( Codes Matrix oodles et CDBG v Proposed Amt. $ 200,000.00 FL?rdSouroe: W O Actual Amount } Fund Source: 'W Fund Souse: W E I- Aoaortpl. Type: IIF G1 Aooorr?71. Type: O L d Acaon??l. Type Accorro. Type: 01/31/13 79 Exhibit3 29A-127 CPMP Version 2.0 Grantee Name: Santa Ana, CA Project Name: I CU of Santa Ana - Planning - 2013 Description: IDIS Project #: UOG Code: CA63342 SANTA ANA CDBG funding will for planning activities which consist of all costs of data gathering, studies, analysis and preparation of plans and the identification of actions that will implement such plans. Location: Priori Need Category 20 Civic Center Plaza Santa Ana CA 92701 PllannkVffidn?n Select one: Explanation: Expected Completion Date: Funding to assist in the preparation of plans su mic development strategic 6/30/2014 plan, Housing Element plan, etc... Objective Category O Decent Housing O Suitable Living Environment O Economic Opportunity cific Ob' s Outcome Categories W Availability/Accessibility ? Affordability 2 - - - ---- -- ? Sustainability ' 3 - H Acoonpl. Type: w Proposed NA . T Underway > 47 Com E d Aooonp6 Type IF Aaoontpl. Type A v d a 'o E d v AaaarpL Type: Amorro. Type 1w a Pro ose ormance Measure Actual Outcome Maintain prg in @ a leve eview onitoring reports. ensure no ndings 20 P WT*ig qw Matrix Codes Matrix Codes -- _-_ -- Mb( Codes Matribx Codes V ' Matruc Codes - CDBG -w Proposed Amt. $ 100,000.00 Fund L Actual Amount 0 Find Source: 1w Fund Soum E M Aooort??l. Type Acoonpl. Type G1 O L. Aaaornpl. Type Aaaxatpl. Type Airvw?J T.?. ? T'• . YY A==". Type 01/31/13 71 Exhibit 3 29A-128 29A-129 CITY OF SANTA ANA COMMUNITY DEVELOPMENT AGENCY 20 CIVIC CENTER PLAZA, M-25 SANTA ANA, CA 92 701 29A-130 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 6, 2013 TITLE: EXTENSION OF CONDITIONAL USE PERMIT NO. 2010-15 TO ALLOW A CARE HOME FOR THE ELDERLY AT 1600 EAST FIRST STREET - FARAMARZI FAM Y ST, APPLICANT TY ?IANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1s1 Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER Adopt a resolution approving the extension of Conditional Use Permit No. 2010-15. DISCUSSION In March 2011, the City Council approved Conditional Use Permit No. 2010-15 to allow a care home at 1600 East First Street. The conditional use permit allowed the conversion of an existing hotel and restaurant into a licensed residential care facility for the elderly (RCFE). Due to a weak economy over the past few years, the Faramarzi Family Trust had been unable to secure the funds necessary to begin the project. As a result, the entitlements for the site are ready to expire. Pursuant to Section 41-647 of the Santa Ana Municipal Code (SAMC), conditional use permits (CUP) automatically become void should the property owner fail to institute an action to comply with the provisions of the CUP within two years of its approval. This section of the code also allows the property owner to request an extension of the entitlement up to a period of three years from the date of expiration. Since construction has yet to begin, the applicant would like to maintain the entitlements for the conditional use permit and is requesting a one-year extension of the entitlements. The applicant is in the process of vacating the building and has been working with a new architect to prepare construction plans for submittal into Building plan check. Further, the applicant is working to bring in foreign investors as well as local financial institutions to provide funding for the project. Since the applicants are hopeful that they can move forward later this year, the Planning Division recommends that the entitlements for the licensed residential care facility for the elderly (RCFE) be extended by a period of one year from the date of approval to March 7, 2014. 55A-1 Extension of CUP No. 2010-15 May 6, 2013 Page 2 Environmental Impact In accordance with the California Environmental Quality Act, this project is exempt from CEQA per Section 15061 (b)(3). This determination has been made as it has been determined that the proposed action will not cause a significant effect on the environment. FISCAL IMPACT There is no fiscal impact associated with this action. Jay Trevino Exebutive Director Planning and Building Agency AN:rb AN \CC\C U P 10-15Extension. cc 55A-2 ROH - 05/06/13 RESOLUTION NO. 2013- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA FOR THE EXTENSION OF CONDITIONAL USE PERMIT NO. 2010-15 FOR ONE YEAR FOR THE PROPERTY LOCATED AT 1600 EAST FIRST STREET BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. In March of 2011, the City Council approved Conditional Use Permit No. 2010-15 to allow the conversion of an existing hotel and restaurant into a licensed residential care facility for the elderly (RCFE) at 1600 East First Street. B. The applicant has requested a one year extension for Conditional Use Permit No. 2010-15. It is the Planning Division's policy to recommend no more than one year extensions, mainly in an effort to encourage the construction of previously approved projects. C. The extension request came before the City Council on May 6, 2013. D. Due to a weak economy over the past few years, the applicant had been unable to secure the funds necessary to begin the project. However, the applicant is in the process of vacating the building and has been working with a new architect to prepare construction plans for submittal into Building plan check. Further, the applicant is working to bring in foreign investors as well as local financial institutions to provide funding for the project. E. Pursuant to City of Santa Ana Municipal Code section 41-647, where construction does not commence, these types of entitlements expire after two years unless the applicant applies for, and the City Council approves, an extension. F. In accordance with the California Environmental Quality Act, this project is exempt from CEQA per Section 15061(b)(3). This determination has been made as it has been determined that the proposed action will not cause a significant effect on the environment. Section 2. Conditional Use Permit No. 2010-15 is hereby extended for a period of one (1) year from the date of approval to March 7, 2014. This decision is Resolution No. 2013-XXX 55A-3 Page 1 of 3 based upon the evidence submitted, which includes, but is not limited to, the Request for Council Action dated May 6, 2013, and exhibits attached thereto, and any public testimony, all of which are incorporated herein by this reference. 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 May, 2013. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: Ryan O. Hodge Assistant City Attorney AYES: NOES: ABSTAIN: NOT PRESENT: Councilmembers Councilmembers Councilmembers Councilmembers Resolution No. 2013-XXX Page 2 of 3 55A-4 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 Resolution No. 2013-XXX 55A-5 Page 3 of 3 55A-6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 6, 2013 TITLE: RESOLUTION--AUTHORIZING GRANT APPLICATIONS FOR MEASURE M2 ENVIRONMENTAL CLEAN„VP PROGRAM (TIER 1, C?44 3) CITY O AGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on I" Reading ? Ordinance on 2"d 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 Measure M2 Environmental Cleanup Program through the Orange County Transportation Authority. DISCUSSION The Orange County Transportation Authority (OCTA) has issued a call for projects under the Measure M2 Environmental Cleanup Program (ECP). The ECP grants are for Fiscal Year 13/14 for the Tier 1 Grant Program. The Tier 1 Grant Program provides $200,000 per project up to a maximum of $500,000 per funding cycle. The total amount of Measure M2 ECP funding is $19.5 million, which is being made available over multiple years to help protect Orange County beaches and waterways from transportation- generated pollution (urban runoff), and improve overall water quality. The City will submit three grant applications under this resolution totaling grant request of $500,000. The City will utilize existing Federal Clean Water Protection Enterprise funds to provide the required minimum local match of 25 percent. Including the City's match requirement, the total funding package is $625,000, to cover design, construction, and maintenance. Staff is requesting authorization to submit applications for three ECP projects which are listed in Table 1. The ECP projects are not capital improvement projects; rather, they are programs such as developing and implementing Best Management Practices for pollution control. These programs provide no improvement to infrastructure. Given the importance of protecting our waterways from transportation-generated pollution, staff recommends that the City Council adopt the resolution authorizing submittal of these project applications for funding consideration. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. 55B-1 Measure M2 Environmental Cleanup Program - OCTA Grant Applications May 6, 2013 Page 2 FISCAL IMPACT The required matching funds for these projects will be budgeted in the year of expenditure. r- _ r Raul Godinez II Executive Director Public Works Agency RG/JG Exhibits: 1. Table 1 2. Resolution 55B-2 Table 1 ENVIRONMENTAL CLEAN-UP GRANT APPLICATIONS Recommended Projects Phase Grant Amount FY Arterial Catch Basin Connector Pipe j Design/Construction/Maintenance $200,000 13/14 Screen Installation Pro ect Centennial Park and Heritage Park Continuous Deflective Separation Unit Design/Construction/Maintenance $200,000 13/14 Installation Project High Density Catch Basin Connector Design/Construction/Maintenance $100,000 13/14 Pipe Screen Installation Pro ect Exhibit 1 55B-3 55B-4 Exhibit 2 RESOLUTION NO. 2013- Lss4/16/13 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING THE SUBMITTAL OF PROJECTS TO ORANGE COUNTY TRANSPORTATION AUTHORITY FOR FUNDING UNDER THE MEASURE M2 ENVIRONMENTAL CLEANUP PROGRAM 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 Orange County Transportation Authority (OCTA) has authorized Measure M2 Environmental Cleanup Program (ECP) funding, for projects which help to protect Orange County beaches and waterways from transportation-generated pollution (urban runoff) and improve overall water quality; and B. The OCTA Tier 1 Grant Program provides funds for the purchase and installation of catch basin screens, filters, inserts and "street- scale" low flow diversion projects, consistent with Best Management Practices; and C. The City of Santa Ana has the authority to nominate water quality improvement projects which have a transportation pollution nexus, for ECP funding; and D. The projects nominated by Santa Ana are eligible projects for Measure M2 Environmental Cleanup Program, Tier 1 funding; and E. The City will provide matching funds for each project as required by the Comprehensive Transportation Funding Programs Procedures Manual. Section 2: The City Council of the City of Santa Ana nominates, in the listed priority, the following projects for Measure M2 Environmental Cleanup Funding: 1 st Priority - Arterial Catch Basin Connector Pipe Screen Installation 55B-5 2nd Priority- Centennial Park and Heritage Park Continuous Deflective Separation Unit Installation Project 3rd Priority - High Density Catch Basin Connector Pipe Screen Installation Project Section 3: The City Council authorizes the Executive Director of the Public Works Agency to submit applications to the OCTA for Measure M2 Environmental Cleanup Program funding in the amount of Two Hundred Fifty Thousand Dollars ($250,000), for the priority 1 and 2 projects, and an application for ECP funding in the amount of One Hundred Thousand Dollars ($100,000), for the 3?d priority project, to reduce/remove trash from urban runoff. 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 , 2013. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Laura Sheedy Assistant City Attorney 55B-6 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 55B-7 55B-8 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY6,2013 TITLE: ACTION ITEMS FROM CITY COUNCIL STUDY SESSION ON COUNCIL PRACTICES, POLICIES D PROTOCOLS CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1"Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER CITY MANAGER RECOMMENDED ACTION 1. Determine the effective date of the change of Council Meetings from the first and third Mondays of the month to the first and third Tuesdays of the month. 2. Adopt a Resolution amending the City Council rules and procedures to change the Council Meeting dates, establish procedures for calling special meetings and adding sections of the Council agendas. 3. Adopt a Resolution to establish the Legislative Council Committee. 4. Receive and file the City Council Recognition Policy. DISCUSSION On April 8, 2013, the City Council held a work study session to review and discuss the practices, policies and protocols of the City. The long term goal of this effort is to develop and approve City Council norms and operating guidelines. The objectives of the work study sessions were threefold: To review and discuss the current practices, policies and protocols; To strengthen City Council and staff communications and identify expectations; and To develop issue bin items for later discussion or action. Due to the breadth of the topic and the depth of the dialogue, a portion of the presentation was not covered and a second study session on this subject will be held on May 7, 2013. However, there was consensus on changes to a number of items which are summarized in Exhibit A. The recommended actions are presented as the mechanisms for implementing those changes. These actions include two Resolutions to memorialize and establish changes in the operations impacting Council meetings and Council Committees. Additionally, the changes in the policy for Council recognitions are provided in the attached revised City Council Recognition Policy (Exhibit B). The exhibit is provided in a redlined format which highlights the changes to the 2010 version of the policy. 65A-1 Action Items from City Council Study Session On Council Practices, Policies and Protocols May 6, 2013 Page 2 City Council Meeting Changes: As a part of the discussion, the Council suggested changing the day of the regular Council meetings from the first and third Mondays to the first and third Tuesdays of the month. At the study session, the Council did not discuss the implementation date for this change. In order to provide sufficient time to inform the public and make the adjustment to the schedule of the commission that is impacted, staff recommends January 2014 as the effective date. After the Council makes that determination, the date will be incorporated into Section 2a of the proposed Resolution. Additionally, Section 2c of the proposed Resolution details the process for calling a special meeting of the City Council. Also, Section 3 specifies that new sections will be established in the City Council meeting agendas for oral reports by Councilmembers on the substance of the Council Committees or regional board meetings. Council Committees: Legislative Committee During the discussion of intergovernmental relations, members of the Council expressed concern about being informed of legislative actions at the State and Federal level that may affect the City. To elevate this issue, the establishment of a Council Legislative Committee was proposed. The second Resolution amends the current number of Council Committees by adding a new one for this purpose. In discussing the development of a City Council approved legislative program, the consensus was that this program needs to be connected to and in alignment with the City's strategic plan. The City Manager's Office will work with the consultant to ensure that this topic is incorporated into the discussion and implementation actions of the strategic plan. Another component of the discussion on intergovernmental relations was a request to have the City's lobbyists routinely present complete and in-depth analyses and reports on legislation that may impact Santa Ana. The City Manager's Office personnel responsible for monitoring and coordinating the legislative efforts will be assigned those duties. Additionally, the Council discussed the cost of the membership for the City to belong to the League of California Cities. It was determined that an analysis of the value to the Council and staff of the materials, information, training and other efforts of the League will require additional discussion. It is recommended that this topic be reviewed by the new Legislative Committee. Code of Ethics Committee During the discussion, the Council requested that staff identify the best practices for enforcement options for violations of the Council Code of Ethics. These alternatives are to be reviewed by the Council Ethics Committee for recommendations to be considered by the full Council. The City Attorney's Office is in the process of preparing these options and will schedule a committee meeting this summer. 65A-2 Action Items from City Council Study Session On Council Practices, Policies and Protocols May 6, 2013 Page 3 Council Meetings - Recognitions and Presentations: At the study session, there was consensus on a number of changes to the process including scheduling and structure of City Council recognition and special presentations during the Council meetings. Specifically, recognitions will be limited to one per Councilmember per meeting and five minutes per recognition. This guideline was made with the understanding that there may be exemptions occasionally due to time sensitive events or issues. Further, a Councilmember may ask someone from the community to join in making the presentation at the podium. Additionally, the design of the proclamations and certificates will change to reflect the names of all of the Councilmembers. To accommodate this change in scheduling Council recognitions, special presentations by outside agencies will be agendized only on the second meeting of the month. These changes are incorporated in a revision to the City Council Recognition Policy and will become effective July 1, 2013. (Exhibit B) Council/Manager Coordination: To enhance coordination and improve communication regarding agenda items, the Council consensus was to have the City Manager schedule a review of the upcoming meeting agendas with the Mayor and Mayor Pro Tern during the week of the prior meeting. This process will be implemented with the next Council meeting. Additionally, to further improve coordination between Councilmembers, a mechanism to share calendars was requested. The City Manager's Office staff is contacting other agencies to explore the options and best practices to generate the shared calendars. It is anticipated that the mechanism for providing this information will be shared with the Council in June. Completed Items: During or subsequent to the April 8th workshop, three of the items on the issue bin were finalized. In accordance with the Council direction, the Entertainment Ordinance was added to the list of items to be discussed at a future study session. Also, it was requested that the City Manager's Office ensure that information on filming in Santa Ana be shared with the Council. The Weekly Citywide Events Calendar (Exhibit C) identifies all filming events approved for the week and will be provided to the Councilmembers. Finally, after a lengthy discussion on the placement of items under Section 85 of the agenda, the Council determined that the current process of contacting the City Clerk was appropriate and, therefore, does not need to change. Items for Future Discussion: There were two categories of items for discussion at a future meeting: City-wide strategic plan and City Council/Manager communications. The details of these items are identified in Exhibit D. These items, together with the portion of the presentation that was continued, will all be included on the agenda for the work study session on May 7, 2013. 65A-3 Action Items from City Council Study Session On Council Practices, Policies and Protocols May 6, 2013 Page 4 FISCAL IMPACT There is no fiscal impact associated with this item. Exhibit A - April 8, 2013 Work Study Session Issue Bin Exhibit B - City Council Recognition Policy (Redline Version) Exhibit C - Weekly Citywide Events Exhibit D - Issue Bin Items for Discussion at May 7, 2013 Meeting Exhibit E - Resolution amending City Council Rules and procedures Exhibit F - Resolution establishing Legislative Council Committees 65A-4 APRIL 8, 2013 WORK STUDY SESSION ISSUE BIN ACTION ITEMS NEXT STEPS City Council Meeting Changes: These items are all incorporated in the • Provide mechanism to change Council Meeting first proposed resolution days to the first and third Tuesdays of the month • Provide information on how to call a special meeting of the Council • Put a placeholder on the agenda for oral reports on council committees and regional board meetings Council Committees: • Create a Legislative Council Committee This item is incorporated in the second proposed resolution • Legislative program needs to tie to strategic plan. City Manager will work with consultants • Request reports from lobbyist regarding impact on and the Council Committee on these City, State and Federal. items • Review the value of League of California Cities membership • Prepare language of best practices for enforcement City Attorney and City Clerk will schedule options for code of ethics for review by Ethics meeting with Ethics Committee and Committee present options Council Meetings - Recognitions & Presentations: • Structure and agendize recognitions with the These items are all included in revised following parameters: City Council Recognition Policy for implementation beginning July 1, 2013 o Number -1 per meeting per Councilmember o Timing - 5 minutes. Try to group large recognitions. For example, give to coach. o Exceptions only if time sensitive o Allow community members to help facilitate presentation • Reprint proclamations and certificates to include the names of all Councilmembers • Schedule presentations from outside groups on the 2"d meeting of month Council/Mana_ger Coordination: • City Manager reviews with Mayor/Mayor Pro Tern Will be implemented in May agenda Wednesday or Thursday prior to Council Meeting week • Institute mechanism to share council calendars - Options currently being explored helps with special events attendance Com pleted Items: • Include Entertainment Ordinance on list of study All of these items have been completed session potential items • Ensure information on filming in town shared with City Council • Affirmed maintaining current process for placing 85A items on agenda EXHIBIT A 65A-5 65A-6 REDLINE VERSION 'F City of Santa Ana . Administrative City Manager's Authorization Policies and Procedures Section City Council Recognition Policy Date Revised: Number 2013 XXX PURPOSE: Establish-Update guidelines for recognition of individuals, groups, and events by issuance of proclamations and certificates of recognition. PROPOSAL: Imple-me t-a-Revise the City Council Recognition Policy nrOGess that -AO to allow the Gity Council to be consistent in determining the appropriate number of presentations at each City Council meeting, and the level and category of each presentation award. This process will not only ensure consistency among each presentation but will also decrease the costs of providing recognition. PROCEDURES: It shall be the policy of the City Manager's Office that in evaluating a Council requests for recognition, staff will use the guidelines of this policy as a basis for deciding appropriate recognition. Based upon these guidelines, G4 Councilmembers may ire award recognition as is appropriate to the type of request. This item The recognition reques may then be considered for placement on the agenda for presentation at a City Council meeting, be or presented at an outside meeting or event, or be mailed to the recipient. Further, it is the policy of the City Council that the City Manager's Office will process all requests for recognition that meet this policy as a matter of routine. The City Manager may, at any time, add to, delete, or modify any section or portion of a section of this policy. BACKGROUND: In 2010, a formal City Council Recognition Policy T",e r-oTty ef-Santa t d,e-cfare-d--a--ferrnal -" -' rnncicten4 was established_- p,O?? d,aro-t",a? set to set gguidelines to regarding t recognition that may be Exhibit B 65A-7 presented by gCouncil-members. CurreRy Prior to the establishment of this policy, Councilmembers are_ were permitted to recognize any individual, group, or official on behalf of the Mayor and the entire City Council without a limit. To better serve the City Council, staff recommendsed establishing the following policy: POLICY This revised policy is intended to establish enhanced guidelines for the issuance of formal recognition in support of a particular event, program or cause, group, or recognition of a particular individual. It is the policy of the City of Santa Ana to proclaim certain periods of time and recognize individuals and/or organizations for their outstanding performance in accordance with the requirements as set forth below under General Criteria. -CAA-C94RGi -meet iig preSentatiens-will be held at the first CO RGil ME!etina 2__Eact:)- E UFI iIG_mem?h per City Geunt-,_0 me-eli4g- --Each Councilmember may request a maximum of one presentation per Qit?_ Council _meeting. Please note that Councilmebers may invite other Councilmembers to loin them in their presentation, however, Councilmembers may not exceed the one presentation limit. 3. _Qi _ Council recognition should be kept undernot exceed five minutes per ar?_sentation. 4. Councilmembers who recognize groups of ten or more should designate one representative to speak on behalf of the entire group. 5. CoUnCilmembers who recognize groups of ten or more should present all certificates of recognition to one representative in the group who will distribute the certificates individually after the presentation. 6. Special Presentations i.e.. OCWD OCTA, etc. will be scheduled on the second Counicl meeting of the month. 7. Councilmembers may invite community members to participate in presenting recoc?tion. 3;& /V proclamations and certificates of recognition shall include the names of the Mayor and City Councilmembers. 49.____ To ensure recognition requests are received and processed by the City Manager's Office on a timely basis, Councilmembers should submit a recognition request to the City Manager's Office at least seven days in advance of the City Page 2 65A-8 Council meeting/recognition event. Advance notice is necessary to ensure that requests are processed accurately and to allow staff adequate time to prepare speaking points, and to confirm that recipients are able to attend the City Council meeting or event. Email requests should include the following information: Name of Recipient(s) Contact Information Date of Presentation (City Council meeting or event) Type of Award (proclamation/certificate of recognition) Brief Background Information (recipient/event) 10. Councilmember requests for recognition at a City Council meeting or recognition event will be forwarded to all Councilmembers for their review. A Majority of the City Council must consent to the request before it can be approved. Page 3 65A-9 DEFINITION AND POLICY FOR USE: GENERAL CRITERIA Candidates for recognition must meet the following minimum requirements: 1. Candidates must have made contributions or obtained achievements that are beneficial to the Santa Ana community, however, candidates need not be residents of the City and organizations are not required to be located in the City. 2. Service recognized should benefit the community and will be of an outstanding nature. 3. Service should be non-compensable and will show dedication to the City of Santa Ana. 4. Generally, City employees are not eligible for recognition except where their service or achievement/contribution is deemed above and beyond the scope of their normal duties and is considered outstanding in nature. 5. City employees who have obtained 20 years or more of service are eligible for recognition. 6. Any individual/organization found to be discriminatory towards any race, color, religion, gender, national origin, disability, or age will not be eligible for recognition. AREAS OF RECOGNITION. Recognition may be for, but will not be limited to, service in one or more of the following areas: 1. Business - contribution toward the improvement of the industrial/business community in such a way as to benefit the City (e.g., through Rotary, Chamber of Commerce, Grand Opening, etc.) 2. Community - contribution to the positive growth, progress, improved image and/or economic improvement of the City. 3. Education - contribution to the students of Santa Ana or to the educational system, which will directly or indirectly influence the educational awareness and achievement of students. 4. Non-Profit - recognition of the significant achievement or contribution of a non-profit organization to the City of Santa Ana. Page 4 65A-10 5. Academic- recognition may be given to individuals for exemplary academic achievements. 6. Athletic- recognition may be given to an individual, or sports team for exceptional performance. 7. Anniversary - A certificate or proclamation of anniversary shall be prepared to commemorate an anniversary for a community service organization located in the city, a company doing business within the City or another public agency. The organization being honored shall be invited to send a representative to a City Council meeting to receive the award. Limitation of recognition requests include: a) A proclamation request will be honored only for major anniversaries (e.g., 25tH 50th, 100th, etc.) b) For all other anniversaries a certificate of recognition will be provided. 8. Acts of Heroism - A certificate may be issued to an individual who performs heroic acts within the city or representing the city (e.g., military, saving a life, etc.). 9. Retirement - A certificate or proclamation may be issued for the retirement of an influential individual within the City. 44Jhe Mayor, at his or her discretion, may present an award to an individual or group in addition to the items noted above. 10. RECOGNITION TYPES Acknowledgments are issued based on the following general guidelines: Certificates of Recognition - A certificate of recognition is prepared in response to the type of recognition requested. Types of certificates issued include certificates of commendation, recognition, appreciation, or accomplishment. Certificates are prepared by the City Manager's Office and signed by the Mayor. Certificates may be presented at a City Council meeting or at an event, or they may be mailed to the recipient. a) Certificates of recognition at City Council Meetings will be placed in blue padded folders with the City Seal. Certificates of recognition (more than 10 persons) will be placed in blue paper folders. b) Certificates requested for other meetings/events will be placed in blue padded folders with the City Seal. Certificates of recognition (more than 10 persons) will be placed in blue paper folders. Page 5 65A-11 Proclamation - Proclamations are issued to designate a day, week, month, or year during/on which an event, individual, organizational or cause shall be recognized or observed; and shall have relevance to the Santa Ana community and/or local government entity. Proclamations may also be issued to individuals or organizations in recognition of efforts, actions or accomplishments of an individual or group when those efforts, actions or accomplishments have had a positive effect on this community or relationship to this community. Proclamations are prepared by the City Manager's Office and signed by the Mayor. They may be presented at a City Council meeting or at an outside meeting or event. They are placed in the padded folders with the City Seal on the cover. In some cases a glass frame may be requested for special recognition. Page 6 65A-12 WEEKLY CITYWIDE EVENTS April 25 - May 1, 2013 ***METER EXEMPTION*** Date/Time: Thursday, April 25, 2013 4:30 pm to 9 pm Location: Old Orange County Courthouse Event: Victim's Rights March & Rally Date/Time: Friday, April 26, 2013 9:30 to 12 pm Location: OC District Attorney's Office, 401 W. Civic Center Dr. to Old Orange County Courthouse, rally at Courthouse Event: Children's Book Day Event Date/Time: Saturday, April 27, 2013 10:30 am to 5 pm Location: Plaza of the Sun and 500 W. Civic Center Dr. Event: Romo Enterprises Promotion Event Date/Time: Saturday, April 27, 2013 2 pm to 7 pm Location: Plaza Santa Ana, 400 N. French Event: Summer Youth Job Fair 2013 Date/Time: Saturday, April 27, 2013 9 am to 1 pm Location: SA Train Depot, 1000 E. Santa Ana Blvd. Event: "Lovesau" Fashion Show Date/Time: Saturday, April 27, 2013 7 pm to 10 pm Location: 3000 W. Edinger Ave. Event: Floral Park Home & Garden Tour Date/Time: Saturday and Sunday, April 27 & 28, 2013 10 am to 4:30 pm Location: 2200 Victoria Drive, street closure authorized between 19th St. and Santa Ana Clara Ave. Event: Dia de los Nino's/Day of the Children Date/Time: Sunday, April 28, 2013 11 am to 4 pm Location: Birch Park and Senior Center Event: St. Anne's Neochatechumenal Way Walk and Prayer Rally - 3 separate walks and rally's Date/Time: Sunday, April 28, 2013 3 pm to 5 pm Location: Rally 1: The walk will depart from St. Anne's Parish located at 1344 S. Main and will proceed north on Sycamore to east bound Russell, north on Main Street, east on Cubbon, north on Cypress, east on Fourth Street and will end at the East End Promenade. EXHIBIT C 65A-13 w WEEKLY CITYWIDE EVENTS April 25 - May 1, 2013 Rally 2: The walk will depart from St. Anne's Parish located at 1344 S. Main and will proceed south on Sycamore to east bound Borchard, north on Main Street, east on Hobart, south on Standard to end at Madison Park. Rally 3: The walk will depart from St. Anne's Parish located at 1344 S. Main and will proceed south on Sycamore to west bound Borchard, south on Broadway, west on Edinger Ave, south on Van Ness, west on St Gertrude, end at Memorial Park. Event: St. Barbara's Religious Procession Date/Time: Sunday, April 28, 2013 2 pm to 3:30 pm Location: Start at St. Barbara's Church, 730 S. Euclid, proceed east on McFadden Ave. to conclude at Northgate Market, 777 S. Harbor Blvd. Event: Commercial Film Permit - "Owner's Manual" Date/Time: Tuesday, April 30, 2013 7 am to 7 pm Location: Jerome Park, 726 S. Center St. Event: Commercial Film Permit - "Justice for Vets" Date/Time: Tuesday and Wednesday, April 30 and May 1, 2013 7 am to 7 pm Location: Sycamore & 2"d Street EXHIBIT C 65A-14 APRIL 8, 2013 WORK STUDY SESSION ISSUE BIN • Strategic Plan o Timeline for development and approval of strategic plan o Once developed have the RFCAs note how the action requested meets one of the goals • Discuss in City Manager's role in Presentation o What is process for Departments to provide information to City Manager and then to City Council? o When businesses are interested in coming to City, how is it shared with City Council? o Ensure that City Council is being informed on continuous basis of progress on goals and large policy items o Identify process for ensuring input by City Council into budget o Reinforce to staff that all councilmembers receive same information o Provide options on how to manage Council requests that involve extraordinary staff time EXHIBIT D 65A-15 65A-16 RESOLUTION NO. 2013-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AMENDING THE CITY COUNCIL RULES AND PROCEDURES TO ESTABLISH PROCEDURES FOR CALLING SPECIAL MEETINGS, ALTERING THE AGENDA FORMAT TO PROVIDE FOR COUNCIL REPORTS, CHANGING THE DAY OF REGULAR COUNCIL MEETINGS, AND REPEALING RESOLUTION NO. 2012- 025. SRC 04/22/2013 BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. Section 409 of the City Charter and Sections 2-100 et seq. of Santa Ana Municipal Code call for the city council to adopt rules and procedures for the scheduling and conducting of meetings of the city council. B. The Ralph M. Brown Act found at Chapter 9, Part 1 of Division 2 of Title 5 of the California Government Code beginning with Section 54950 (the "Brown Act") sets forth statewide standards for meetings of local agencies including the Santa Ana City Council. C. The city council desires to change the day of regular city council meetings in conformance with the Brown Act and in furtherance of the need for well- managed, efficient and accessible meetings; to establish procedures for calling special meetings and to alter the agenda format. Section 2. Council meetings, time and place. (a) Regular meetings of the city council shall be on the first and third Tuesdays of each month beginning on . The meeting shall begin no sooner than the hour of 5:00 p.m. for Closed Session followed by the Regular Open Meeting at 5:30 p.m. The city council shall publicly convene the meeting and then recess to conduct closed or executive sessions. (b) Regular meetings of the city council shall be convened in the Council Chamber or as noted on the Agenda and time as specified on the agenda. After being convened, all meetings may be adjourned to such other place or places as the city council may order. Exhibit E Resolution No. 2013-XXX 65A-1 7 Page 1 of 4 (c) Special meetings of the city council- may be held at such locations as stated in the action calling such meetings and otherwise in conformance with the Brown Act. A special meeting may be called by the Mayor or the Mayor ProTem by either of them contacting the City Clerk and requesting orally or in writing the call of a special meeting. A majority of the members of the Council can also call a special meeting by delivering a written notice to the City Clerk of a request for a special meeting. Upon receiving a request from the Mayor, MayorPro Tern or a majority of the Council the City Clerk shall notice the special meeting. Section 3. Agenda. The clerk of the council shall prepare an agenda for each regular and special meeting of the city council containing all items known by such officer to be considered. The order of placing items on the agenda shall be approved from time to time by the city council. The agenda shall contain such information as required by the Brown Act. In addition, the agenda shall contain the following sections to provide for reporting by the City Council: AB1234 reports, Council Committee reports, and Regional Agency reports. Section 4. Rules of Procedure. Procedures before the city council shall be governed by the most current edition of Robert's Rules of Order, Newly Revised. Application of such procedures shall be vested in the sound discretion of the presiding officer. Section 5. Decorum; Time limits and other regulations for speaking. (a) The city council shall preserve decorum and an orderly procedure during debate. Councilmembers desiring to speak shall seek recognition from the presiding officer. Upon being recognized, a councilmember shall confine his or her comments to the questions under debate. A councilmember, once recognized, should not be interrupted unless a point of order is raised by another member. The presiding officer should not recognize a councilmember to speak who has already spoken on a matter under debate until all other councilmembers who wish to be heard have spoken. A councilmember should limit himself or herself to three (3) minutes at any one time without permission of the presiding officer. At the end of each meeting, the presiding officer shall recognize each councilmember who may speak up to three (3) minutes on matters of public or community interest. (b) The agenda for all regular meetings of the city council shall provide members of the public the opportunity to address the city council on agendized matters and non-agendized matters as required by the Brown Act. All requests to speak shall be submitted in writing and submitted to the clerk of the council. No such requests shall be accepted after the public comment session begins without permission of the presiding officer. The agendas for adjourned, special and emergency meetings of the city council shall provide for public comment as provided in the Brown Act. Resolution No. 2013-XXX Page 2 of 5 65A-18 (c) Subject to (d) below, members of the public shall be given a total of three (3) minutes to: (i) address the city council on any and all matters contained on the city council agenda as well as the agendas of any of the City's related entities, such as the community redevelopment agency or the housing authority, if those entities have meetings scheduled at the same time, and/or (ii) address any matters of public interest provided that they are within the jurisdiction or official business of the City of Santa Ana. (d) For public hearings, members of the public shall be given three (3) minutes to address the city council for each duly noticed hearing, unless continued prior to taking testimony. This time limitation shall not apply to the applicant/appellant and/or their representative(s) whose matter is the subject of the public hearing. Applicants shall limit their presentations to a reasonable period of time, subject to the discretion of the presiding officer. (e) Upon being recognized by the presiding officer, a speaker should step to the designated speaker location, state name and address for the record, and identify the matter by agenda designation (if applicable), and direct remarks to the city council as a body and not to any individual member thereof. A speaker shall not be denied an opportunity to speak if they do not wish to state their name and address for the record. No person other than members of the council and the person having the floor may be permitted to enter into the discussion without permission of the presiding officer. (f) It shall be within the sound discretion of the presiding officer to set a maximum time for public comment. In setting any limit, the presiding officer shall take into consideration the level of public interest in the matters in question, the length of the meeting and the need to provide for an orderly and effective meeting. As a means of limiting time while maximizing the public's opportunity to address the city council, if a group of people seeks to address the Council on the same matter or topic, the presiding officer may direct the group to designate a spokesperson or limited number of speakers to address the city council. (g) The following rules shall apply to all persons addressing the city council. All speakers are requested to: -direct all testimony to the city council or the presiding officer and not individual council members, -when speaking on agenda matters, limit comments to the agenda item(s), -when speaking on non-agenda matters, limit comments to matters within the jurisdiction or official business of the City of Santa Ana, and -refrain from profane language, racial epitaphs, libelous or slanderous statements that disturb the decorum of the meeting. (h) The presiding officer shall have the power and responsibility to enforce decorum and order of the meeting as set forth in Section 2-104(c). Among the other means of enforcement, the presiding officer may order the podium microphone turned off and/or video broadcast interrupted when the presiding officer has determined that an Resolution No. 2013-XXX 65A-1 9 Page 3 of 4 individual or group has disrupted the meeting, or the individual or group has exceeded their allotted time to speak without permission of the presiding officer. (i) All cell phones, pagers, or electronic devices belonging to the public, press, or personnel that may be disruptive must be placed on vibrate mode/quiet or be turned off while a meeting is in session. Section 6. The provisions of Section 4 and Section 5 of this resolution shall apply to meetings of committees of the city council, as may be modified from time to time by such committees. Section 7. This Resolution shall supersede Resolution No. 2012-025 and shall take effect immediately upon its adoption by the city council. 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 By: SONIA R. CARVALHO, City Attorney AYES: Councilmembers: NOES: Councilmembers ABSTAIN: Councilmembers: NOT PRESENT: Councilmembers: Resolution No. 2013-XXX Page 4 of 5 65A-20 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: Maria D. Huizar, Clerk of the Council Resolution No. 2013-XXX Page 5 of 4 65A-21 65A-22 SRC 04/22/2013 RESOLUTION NO. 2013-XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA ESTABLISHING CERTAIN COMMITTEES OF THE CITY COUNCIL AND REPEALING RESOLUTION NO. 2013-002 REGARDING COMMITTEES OF THE CITY COUNCIL BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: SECTION 1. The City Council hereby finds, determines and declares as follows: A. By resolutions approved in the past, the City Council had created as many as eight (8) Council Committees for the purpose of focusing greater Council attention on key priorities coming before the Council in the future. B. The City Council now seeks to reorganize the Council Committees by replacing the previous eight (8) with six (6) Committees of the City Council, in order to improve efficiency and productivity of the committee process. SECTION 2. From and after the date hereof, there shall be the following Committees of the City Council: 1. Development and Transportation Committee 2. Public Safety and Neighborhood Improvement Committee 3. Parks, Recreation, Education & Youth (PREY) Committee; and Joint Santa Ana Unified School District and City Council Committee 4. Code of Ethics 5. Finance, Economic Development and Technology Committee 6. Legislative Committee Each committee shall consist of two (2) or three (3) councilmembers. The members of the committees shall be appointed by a majority of the entire Council at a public meeting. Committee members do not receive additional stipends or compensation for serving of these committees. Each committee member shall serve on the committee for a two year term commencing with the first meeting of each new city council following a general election, but each councilmember shall continue to serve on his or her committee until replaced. SECTION 3. This Resolution repeals and replaces all previous resolutions in their entirety relating to this subject matter. Exhibit F Resolution No. 2013-XXX Page 1 of 2 65A-23 ADOPTED this day of , 2013. Miguel A. Pulido Mayor APPROVED AS TO FORM: By: Sonia R. Carvalho City Attorney AYES: Councilmembers: NOES: Councilmembers: ABSTAIN: Councilmembers: NOT PRESENT: Councilmembers: CERTIFICATION OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of 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 Council City of Santa Ana Resolution No. 2013-XXX Page 2 of 2 65A-24 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 6, 2013 TITLE: PUBLIC HEARING - RESOLUTION AUTHORIZING CONDEMNATION OF A PORTION OF REAL PROPERTY AT 2909 S. BRISTOL (PROJECT NO. 063510 NON-GENE L FUND) CITY A AGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 151 Reading ? Ordinance on 2"a Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution authorizing the condemnation of a portion of the real property located at 2909 South Bristol Street (APN 410-411-19) and declaring the public necessity and interest therefore. DISCUSSION The City is proposing to construct a new sewer lift station at the end of San Lorenzo Avenue, just east of Bristol Street, as shown in Exhibit 1. To accommodate the construction of the lift station, acquisition of 292 square feet of property located at 2909 South Bristol is required. The public interest and necessity requires the proposed acquisition. A good faith offer was made to the property owner on February 5, 2013, in an amount of $16,100 for the purchase of the property. Negotiations continue with the property owner; however, in order to meet the project schedule, it is necessary to commence eminent domain proceedings. Staff is requesting adoption of this Resolution of Necessity and initiation of condemnation proceedings. The sewer lift station will replace an existing lift station located beneath Bristol Street approximately 700 feet to the west of the proposed lift station. The new lift station will include updated equipment and additional pumps to reduce the chance of sewer spills. In its April 1, 2013 correspondence, the property ownership reiterates its objections to the adoption of the Resolution of Necessity. The objections are premised on a variety of arguments that were made to, and rejected by, the trial court during the CEQA litigation. Some of the claims raised by the property owner are that the project poses significant environmental impacts, that the City failed to review a reasonable range of alternatives to the project, that the technology chosen by the City should be different, and that the cost of the proposed sewer lift station could be reduced if the City instead opts for the installation of a submersible pump station. These claims have been addressed by the City in its environmental review documents which were approved by the City Council on February 21, 2012. Finally, the issues raised by the Lodge property ownership have been fully litigated in the City's favor. 75A-1 Resolution Authorizing Condemnation of a Portion of Real Property for San Lorenzo Sewer Lift Station May 6, 2013 Page 2 ENVIRONMENTAL IMPACT In accordance with the California Environmental Quality Act, the proposed project has been determined to be adequately evaluated in previously prepared Environmental Impact Report No. 2011-04. FISCAL IMPACT Funds are appropriated in the Sewer Connection Fund (Accounting Unit 05517660-66220, project 063510). APPROVED AS TO FUNDS AND ACCOUNTS: r- Raul Godinez II Executive Director Public Works Agency Francisco Gutierrez Executive Director Finance & Mgmt. Services Agency?j/ RG/JG Exhibits: 1. Location Map 2. Resolution of Necessity 75A-2 M 0 E??7 2910 'OM AV 3000 2911 2929 3001 CONDEMNATION AREA PROPOSED LIFT STATiONN 2730 1 27i 2808 28t ? Zg?O i 001 .1?- , G 4 2906 ?s 2910 2914 '- N ??.. I 3002 WW 3006 v 3010 75A-4 Exhibit 2 RESOLUTION NO. 2013- 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 A PORTION OF CERTAIN REAL PROPERTY LOCATED WITHIN THE CITY OF SANTA ANA LOCATED AT 2909 S. BRISTOL STREET (APN 410-411-19) 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 on May 6, 2013, after written notice duly provided to all those claiming ownership, including the owners of the property described hereafter, as they appeared on the last equalized County assessment roll, held a hearing pursuant to Code of Civil Procedure section 1245.235 for the purpose of allowing the owners thereof a reasonable opportunity to be heard on the following matters: A. Whether the public interest or necessity requires the project; B. Whether the project is planned or located in a manner which is most compatible with the greatest public good and the least private injury; C. Whether the property proposed to be acquired is necessary for the project; D. Whether the offer required by Government Code section 7267.2(a), together with the accompanying statement and summary of the basis for the amount established as just compensation, was actually made and whether said offer and statement/summary contained all of the factual information required by Government Code section 7267.2(a); E. Whether the City has complied with all conditions and statutory requirements necessary to exercise the power of eminent domain to acquire the property described herein, as well as any other matter regarding the right to take said property by eminent domain; and Resolution No. 2013- Page 1 of 9 75A-5 F. Whether the City has statutory authority to acquire the property by eminent domain. Section 2. The City Council has, as a result of its consideration and the evidence presented at the hearings on this matter, and in accordance with the California Environmental Quality Act ("CEQA") and the State CEQA Guidelines, determined that the proposed project has been adequately evaluated in the previously prepared Environmental Impact Report/Environmental Impact Statement EIR No. 2011-04 and all subsequent addenda. To the extent that the 1047 square feet temporary construction easement described in Exhibit B differs from the 900 square feet temporary construction easement identified in the final environmental impact report, the City Council finds in light of the whole record that such difference does not rise to the level of a substantial change. California Public Resources Code § 21166; 14 CCR 15162. Moreover, there are no environmental impacts associated with the temporary construction easement and the temporary construction easement has no effect on the conclusion of the FEIR. The legal description and map used in Exhibit B are substantially similar to what is in the FEIR. In accordance with National Environmental Policy Act, an Environmental Assessment document with a Finding of No Significant Impact was prepared for the proposed project and approved by the California Department of Transportation and Federal Highway Administration in 2011. On the basis of this review, the City Council finds that there is no evidence from which it can be fairly argued that the Project will have a significant adverse effect on the environment. Section 3. Pursuant to Title XIV, California Code of Regulations ("CCR") § 753.5(c)(1), the City Council has determined that, after considering the record as a whole, there is no evidence that the proposed project will have the potential for any adverse effect on wildlife resources or the ecological habitat upon which wildlife resources depend. The proposed project exists in an urban environment characterized by paved concrete, roadways, surrounding buildings and human activity. Therefore, pursuant to Fish and Game Code § 711.4 (c)(2)(A) and Title XIV, CCR § 753.5(a)(3), the payment of Fish and Game Department filing fees is not required in conjunction with this project. Section 4. The City of Santa Ana ("the City"), as a result of said hearing, has determined that the public interest, necessity, health, safety and welfare require the acquisition by the City of Santa Ana of the specified interests in a portion of that certain real property located at 2909 S. BRISTOL STREET (APN 410-411-19) in the City of Santa Ana, California consisting of approximately 292 square foot of property to be acquired in fee title (for right of way purposes), together with approximately 1047 square feet of property for a six (6) month Resolution No. 2013- Page 2 of 9 75A-6 temporary construction easement (collectively referred to as "the "Property"). The Property is situated in the City of Santa Ana, County of Orange, State of California, and more particularly described in Exhibit "A" and temporary construction easement described in Exhibit "B" which are attached hereto and incorporated herein by reference and made a part hereof as though fully set forth herein, for the public purposes hereafter set forth. Section 5. The City hereby finds, determines and declares that the public interest, convenience and necessity require the acquisition by said City of the Property described in Section 4 above, including any and all leaseholds and related improvements for the purposes of the San Lorenzo Lift Station Project ("The Project"). The location of the Project is between Bristol Street and Segerstorm. Included in the project will be a newly constructed lift station that will be housed within an approximately 8 foot by 30 foot block structure, measuring approximately 17 feet in height. The project will also include street pave-out, and the installation of concrete curbs, gutters, and sidewalks in a manner which will be most compatible to the greatest public good and the least private injury. Section 6. The taking of the interest in said Property as described in Section 4 above is necessary for the project and the public right of way and is authorized by Section 19 of Article I of the California Constitution, Section 200 of the Santa Ana Charter, Santa Ana Municipal Code § 41-781; California Code of Civil Procedure section 1240.010, 1240.110; California Government Code sections 37350.5 and 40404; California Streets and Highways Code sections 5101, 5101.5, 5102, and other applicable law. Section 7. The offer required by Government Code section 7267.2 was made to the appropriate party with respect to the Real Property on February 13, 2013. Section 8. The City hereby declares that it is the intention of the City of Santa Ana to acquire in its name, in accordance with the provisions of the laws of the State of California with reference to condemnation procedures, all interests in and to said Property described in Section 4 above. Section 9. That if any of the Property described in Section 4 above has been appropriated for some public use, the public use to which it is to be applied and taken under this proceeding is a more necessary and paramount public use. Section 10. Said Property described in Section 4 above are located within the City of Santa Ana, County of Orange, State of California, and is more particularly described in Section 4 hereof. Section 11. The City of Santa Ana is authorized to acquire by eminent domain as provided in the California Code of Civil Procedure. Resolution No. 2013- Page 3 of 9 75A-7 Section 12. The City Attorney is hereby authorized and directed to prepare, institute and prosecute in the name of the City such proceedings, in the proper court having jurisdiction thereof, as may be necessary for the acquisition of the interests in said Property described in Section 4 above. The City Attorney is also authorized and directed to obtain a necessary order of immediate possession and occupancy of said Property, at the discretion of the City Attorney. Section 13. 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 A. Carvalho, City Attorney By: Jose Sandoval Chief Assistant City Attorney AYES: Councilmembers: NOES: Councilmembers: ABSTAIN NOT PRESENT Councilmembers: Councilmembers: CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2013- to be the original resolution adopted by the City Council of the City of Santa Ana on Resolution No. 2013- Page 4 of 9 75A-8 Date: Clerk of the Council City of Santa Ana Resolution No. 2013- Page 5 of 9 75A-9 LEGAL DESCRIPTION EXHIBIT "A" PARCEL A That portion of Parcel 3, of Parcel Map in the City of Santa Ana, County of Orange, State of California, filed in Book 52, Page 49 of Parcel Maps in the office of the County Recorder of said Orange County, described as follows: Commencing at the Point of intersection of the semi-tangent lines for the centerline curve of Segerstrom Avenue, as shown on said Parcel Map; thence, northeasterly along said semi-tangent line, into the semi-tangent Iute for the next curve northeasterly in said centerline of Segerstrom Avenue, to the intersection of last said semi-tangent line with the southerly prolongation of the centerline of the Alley easterly of Bristol Street, as said Alley is shown on said Parcel Map, North 57039'43" East, 307.04 feet; thence, northerly along said southerly prolongation and Alley centerline, North 01 °43'58" East, 92.32 feet; thence, perpendicular to last said centerline, North 88016'02" West, 10.00 feet to an angle point in the easterly line of said Parcel 3, said angle point being at the northerly terminus of the line shown as N.33°5524"E. 39.82' on said Parcel Map; thence, southwesterly along said easterly line, South 34°45'49" West, 7.85 feet to the True Point of Beginning; thence, continuing southwesterly along the easterly lines of said Parcel 3, South 3414549" West, 32,06 feet and South 09057123" West, 12.17 feet; thence, leaving said easterly line, parallel with said Alley centerline, North 01 °43'58" East, 38.92 feet; thence, perpendicular to last said centerline South 88°16'02"East, 19.21 feet to the True Point of Beginning. Containing 292 square feet, more or less. All as shown on exhibit "B", attached hereto and by this reference made a part hereof. Subject to all Covenants, Rights, Rights-of-Way and Easements of record, if any. Prepared by me, or under my direction on AI?? ' yJ 'fa .00 Raymond J. Rivera, PLS 8324 Expires 12/31/09 Resolution No. 2013- Page 6 of 9 75A-10 ----- -- -- ------ HEMLOCK WAY 1 , 210' , j? 1 ;j }1 ty { rr Q) T Dj r r Q f N. T. S.> N j O 10' -- f' QP m g r , r e PA P.O.B. R Q ' CEL f "A. ! ,.r-' PEE ?j- ,1 O ? GF-ftSTROM P. 0. B. - - -f--- D TAI NTS L7 _ t2 i P.O.C. LINE TABLE LINE BEARING L1 01'43' 8"E 92.32 L2 N8 '16'02" L3 S34'45'49"W 7.85 L4 S34'45'49"W L5 S09'57' 3"W L6 01'43'58"G L7 S8$'16'02"E SANTA ANA Pt?.V ?? , PARCEL w "r ,. A" LENGTH 3 .? 10.00 , 32.06 PARCEL "A" sa;? 292 SQ FT 19.21 ?y-I' 01 O 3 n ?' ` P.O.C. w EXHIBIT B A.P. NO. 410-411-19 Resolution No. 2013- Page 7 of 9 75A-11 EXHIBIT "B" PARCEL B That portion of Parcel 3, of a Parcel Map in the City of Santa Ana, County of Orange, State of California, filed in Book 52, Page 49 of Parcel Maps in the office of the County Recorder of said Orange County; a temporary construction easement lying southerly and easterly of the following described line: Commencing at the Point of Intersection of the semi-tangent lines for the centerline curve of Segerstrom Avenue, as shown on said Parcel Map; thence, northeasterly along said semi-tangent line, into the semi-tangent line for the next curve northeasterly in said centerline of Segerstrom Avenue, to its intersection with the southerly prolongation of the centerline of the Alley easterly of Bristol Street, as said Alley is shown on said Parcel Map, North 57°39'43" East, 307.04 feet; thence, northerly along said southerly prolongation and Alley centerline, North 01 043158" East, 92.32 feet; thence, perpendicular to last said centerline, North 88°1602" West, 10.00 feet to an angle point in the easterly line of said Parcel 3, said angle point being at the northerly terminus of the line shown as N.33°55'24"E. 39.82' on said Parcel Map; thence, southwesterly along said easterly line, South 34045'49" West, 1.89 feet to the True Point of Beginning; thence, perpendicular to said Alley centerline, North 88°16'02" West, 27.47 feet; thence, parallel with last said centerline, South 01'43'58" West, 43.58 feet; thence, South 09°57'23" West, 13.38 feet; thence, perpendicular to said Alley centerline, North 88016'02" West, 19.36 feet; thence, parallel with last said centerline, South 01°43'58" West, 23.05 feet to the southerly curve of said Parcel 3 and the end of this description. Containing 1,047 square feet, more or less. All as shown on exhibit "B", attached hereto and by this reference made a part hereof. Subject to all Covenants, Rights, Rights-of-Way and Easements of record, if any. Prepared by me, or under my direction on G?*^ /wr (I I Raymond J. ivera, PLS 8324 Expires 12/31/09 Resolution No. 2013- Page 8 of 9 75A-12 HEMLOCK i WAY r 210' r (N T.S.) P.O.B. PARCEL "Boo j ?. 13 r f'? 3< r GERSTR ---'" .- ?•-?? °` P.O.B. f "-' DETAIL L2 P.O.C. NTS L4 `? LINE TABLE LINE BEARING LENGTH L1 N01'43'58"E 92.32 L2 88'16'02"W 10.00 L3 S34'45'49W 1.89 L4 N 8'16'02"W 27.47 L5 S01 *43'58"W 43.58 L6 09'57'2 "W 13.38 L7 N '16'0 "W 19.36 L8 S01'43' 8"W 23.05 PARCEL PARCEL "B" 1,047 SQ FT L7 EXHIBIT B .? P.O.C. SANTA AMA A.P. NO. 410-411-19 P` TEMPORARY CONSTRUCTION rrs1m EASEMENT t r Resolution No. 2013- Page 9 of 9 75A-13 THE SILVERSTEIN LAW FIRM A Professional Corporation March 19, 2013 VIA FACSIMILE (714) 647-6956 AND U.S. Mail Maria D. Huizar, Clerk of the Council City of Santa Ana 20 Civic Center Plaza, M-30 Santa Ana, CA 92701 Re: Request to Appear at Hearing re Resolution of Necessity To Acquire A Portion of Real Property by Eminent Domain at 2909 S. Bristol Street, APN 410-411-19 Dear Ms. Huizar: We write this letter on behalf of our client, Santa Ana California Lodge, LLC ("Lodge"), in connection with the above-entitled matter and specifically, in connection with a notice of Resolution of Necessity hearing set for April 1, 2013. Please be notified that the Lodge objects to the proposed adoption of the Resolution of Necessity, and hereby requests an opportunity to appear before the Santa Ana City Council and to be heard on the matter. e truly yo 'E'?S OBERT S LVV E I N FOR THE SILVERSTEIN LAW FIRM RPS Jmr 215 NORTH MARENGO AVENUE, 3RD FLOOR PASADENA, CALIFORNIA 91101.1504 PHONE: (626) 4494200 FAx: (626) 4494205 ROBERT@ROBERTSILVERSTEiNLAw.com www.RoBERTSILVERSTEiNLAw.com 75A-14 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: MAY 6, 2013 TITLE: COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM FY 2013-2014 CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1" Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For_ CONTINUED TO FILE NUMBER 1. Approve the proposed Fiscal Year 2013-2014 Community Development Block Grant Program. 2. Direct the City Attorney to prepare and authorize the City Manager and the Clerk of the Council to execute memorandums of understanding with city departments and agreements with nonprofit agencies awarded funds as part of the approved program. DISCUSSION Since Fiscal Year 1974-1975, Santa Ana has received Community Development Block Grant (CDBG) funds to improve low- and moderate-income neighborhoods, eliminate blight and create a more stable economic base. These funds have been used for a diverse range of programs including housing, street improvements, parks and public facilities improvements, social services, historic preservation and community services. In past years, the City has used an application process to make public service funds available to nonprofit organizations that meet one of the priorities identified in the City's Consolidated Plan (the City's five-year strategic plan that identifies housing and community needs that are required by the U. S. Department of Housing and Urban Development [HUD]). Like communities throughout the nation, the current economic climate continues to present serious budget challenges to Santa Ana. These challenges include an increased demand for a variety of municipal services, the elimination of redevelopment tax increment, the redirection of local revenues to the state, and an overall decline in various tax revenues. To address these challenges, the City continues to make the difficult decision to limit the amount of CDBG funds available for nonprofits for the 2013-2014 Fiscal Year to City-managed programs. Therefore, public service proposals were not requested from the non-profit community. 75B-1 CDBG Program FY 2013-2014 May 6, 2013 Page 2 Each year, HUD notifies the City regarding the amount of Community Development Block Grant (CDBG) funds to be allocated for the upcoming year. Unfortunately, due to the federal government's current budgetary issues, HUD has not been able to provide the City with a final allocation for the upcoming fiscal year. Therefore at this time, staff has compiled a CDBG funding plan based on the amount allocated for FY 2012-2013. Should the City receive more or less, the actual allocation amounts would be increased or decreased proportionately to the actual amount of CDBG funds awarded from HUD. There are three exceptions to this contingency plan. The programs being proposed for Fair Housing Counseling and Senior Meals will be provided by outside agencies, and the funding costs indicated are needed to maintain a constant service level. Additionally, the HEART program is being recommended for Emergency Solutions Grant funding and the CDBG funds are needed to meet the match requirement. The proposed Fiscal Year 2013-2014 CDBG program and budget (Exhibit 1) consists of the staffs funding recommendations for the program. The City Council public hearing provides an opportunity for public input and the completion of the process necessary to submit our locally approved program to HUD. It will also ensure the timely completion and submission of the Annual Consolidated Plan. This action is approving funding allocations as recommended. It is important to note, however, in the case of the new Economic Development microenterprise business start-up grant program, the adoption of the program and implementation parameters will be brought back for City Council approval. FISCAL IMPACT Approval of the recommended action will authorize the City Manager to submit the approved program to HUD and to execute a grant agreement, which will result in the City's CDBG letter of credit being augmented by an estimated $5,680,480. APPROVED AS TO FUNDS AND ACCOUNTS: Ra, & - Sandi Gottlieb Acting Executive Director Community Development Agency A K?? Yz,? A-1 ?,\- $ Francisco Gutierrez Executive Director Finance & Management Services Agency SGHFH/kg Exhibit: 1: Program Recommendations 75B-2 4/11/20131:34 PM Community Development Agency CDBG FUNDING PLAN CURRENT YEAR FUNDING ORIGINAL PROPOSAL RECOMMENDATION PROGRAM FY 12-13 FY 13-14 FY 13-14 ADMINISTRATION & PLANNING 1 Administration and Planning $ 1,064,576 $ 1,066,796 $ 1,066,796 2 Fair Housing Council of Orange County $ 71,520 $ 69,300 $ 69,300 CODE ENFORCEMENT 3 Code Enforcement $ 1,250,000 $ 870,000 $ 870,000 4 Legal Services $ 50,000 $ 50,000 $ 50,000 Economic Development 5 New Business Start Start-Up (Pilot) $ - $ 600,000 $ 400,000 SOCIAL SERVICES 6 PD-HEART Program $ 35,000 $ 35,000 $ 35,000 7 PD-GRIP Program $ 185,000 $ 185,000 $ 160,000 8 PD-PAAL Program $ 144,000 $ 144,000 $ 124,500 9 PRCSA-Library Tutors $ 258,072 $ 258,063 $ 223,000 10 PRCSA-Project Pride $ 150,000 $ 150,000 $ 129,500 11 PRCSA-Senior Meals $ 80,000 $ 80,000 $ 80,000 12 CDA-Youth Training $ - $ 249,062 $ 100,000 CITY CAPITAL IMPROVEMENTS 13 Public Facilities-Park Improvements $ 1,228,680 $ 2,889,300 $ 788,692 -Pacific Electric Park-Design -Santa Anita Park PatibRenovation -Memorial Park Security Lighting 14 Public Facilities-Residential Streets $ 748,632 $ 1,500,198 $ 788,692 HOUSING REHABILITATION 15 Single Family Rehab-Non Profit $ 90,000 $ 95,000 $ 95,000 16 Single Family Rehab-City $ 200,000 $ 350,000 $ 350,000 17 Multi Family Rehab $ 125,000 $ 350,000 $ 350,000 TOTAL $ 5,680,480 $ 8,941,719 $ 5,680,480 CDBG ALLOCATION $ 5,680,480 $ 5,680,480 $ 5,680,480 CDBG RE-ALLOCATION-AVAILABLE SURPLUS/(DEFICIT) $ - $ (3,261,239) $ - ADMINISTRATION CAP 20% OF ALLOCATION $ 1,136,096 $ 1,136,096 $ 1,136,096 ADMINISTRATION PROPOSED $ 1,136,096 $ 1,136,096 $ 1,136,096 SURPLUS/(DEFICIT) $ - $ - $ - PUBLIC SERVICE CAP 15% OF ALLOCATION $ 852,072 $ 852,072 $ 852,072 PUBLIC SERVICE PROPOSED $ 852,072 $ 1,101,125 $ 852,000 SURPLUS/(DEFICIT) $ - $ (249,053) $ 72 7 Qb-, k? 75B-4 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: CLERK OF COUNCIL USE ONLY: MAY 6, 2013 TITLE: PUBLIC HEARING ON ISSUANCE OF TAX EXEMPT BONDS FOR TOWN AND COUNTRY MANOR APPROVED ? As Recommended ? As Amended ? Ordinance on 1st Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For_ f-.. CITY MANA ER RECOMMENDED ACTION CONTINUED TO FILE NUMBER Conduct a Tax Equity and Financial Responsibility Act hearing in consideration of the issuance of tax exempt bond financing by the California Municipal Finance Authority on behalf of Town and Country Manor. 2. Adopt a resolution approving the issuance of revenue bonds by the California Municipal Finance Authority in an amount not to exceed $8,700,000 for the purpose of making a loan to Town and Country Manor to enable repayment in full and retire the Outstanding Bonds. DISCUSSION Town and Country Manor of the Christian and Missionary Alliance, located at 555 East Memory Lane, has requested the assistance of the California Municipal Finance Authority (CMFA). CMFA, which was established in 2004, was formed to assist local governments and non-profit organizations and businesses with the issuance of taxable and tax exempt bonds with the goal to promote economic, cultural, and community development. The City is a member of the CMFA. In October 1990, the City issued Multi-Modal Interchangeable Rate Health Facility Revenue Bonds (Town and Country Manor Project) Series 1990, to finance the construction of a new wing to house additional residential care apartment units, the construction of a new building to house additional skilled nursing facilities, the relocation of existing intermediate care units and creation of assisted living units in the Town and Country Manor's then existing facility, and the refinancing of outstanding indebtedness incurred in connection with its existing project. At this time, the letter of credit is expiring and Town and Country wants to refinance the existing debt to a lower interest rate. However, in order for all or a portion of the Bonds to qualify as tax-exempt bonds, the City of Santa Ana must conduct a Tax Equity and Financial Responsibility Act (TEFRA) hearing which 75C-1 PH TEFRA - Town & Country May 6, 2013 Page 2 provides for the members of the community an opportunity to comment on the use of tax-exempt bonds for the refinancing of the project and adopt a resolution approving the issuance of bonds. The bonds to be issued by the CMFA are the sole responsibility of the Town and Country Manor. The City has no financial or legal liability for the project or repayment of the bonds and does not constitute any type of indebtedness for the City. In addition, Town and Country currently is in site plan review for an expansion of their project. The developer anticipates that the project will start construction in 18-24 months. The expansion of the project will come before the Planning Commission and City Council for approval within the next 12-18 months. FISCAL IMPACT There are no fiscal or economic liabilities or obligations assumed or imposed upon the City of Santa Ana as a result of the public hearing or the adoption of the resolution. it' L-C Sandi Gottlieb Acting Executive Director Community Development Agency SG/SLB/kg Exhibit: 1. Resolution 75C-2 EXHIBIT 1 RESOLUTION NO. 2013- 4.22.13 LES A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE ISSUANCE OF REVENUE BONDS BY THE CALIFORNIA MUNICIPAL FINANCE AUTHORITY FOR THE PURPOSE OF REFINANCING THE ACQUISITION, CONSTRUCTION AND IMPROVEMENT OF CERTAIN RETIREMENT, NURSING AND ASSISTED LIVING FACILITIES AT TOWN AND COUNTRY MANOR AND CERTAIN OTHER MATTERS PERTAINING THERETO 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. Pursuant to Chapter 5 of Division 7 of Title 1 of the Government Code of the State of California (the "Act"), certain public agencies (the "Members") have entered into a Joint Exercise of Powers Agreement Relating to the California Municipal Finance Authority dated as of January 1, 2004 (the "Agreement") in order to form the California Municipal Finance Authority (the "CMFA"), for the purpose of promoting economic, cultural and community development, and in order to exercise any powers common to the Members, including the issuance of bonds, notes or other evidences of indebtedness. B. The City of Santa Ana, California (the "City"), is a Member of the CMFA. C. The CMFA is authorized to issue and sell revenue bonds for the purpose of refinancing existing debt. D. Town and Country Manor of The Christian and Missionary Alliance, a nonprofit public benefit corporation organized and existing under the laws of the State of California and an organization described in Section 501(c)(3) of the Internal Revenue Code of 1986 (the "Borrower"), has requested that the CMFA issue and sell revenue bonds in the maximum principal amount of $8,700,000 (the "Bonds") for the purpose of making a loan to the Borrower to enable the Borrower to refinance the outstanding principal amount of the Multi-Modal Interchangeable Rate Health Facility Revenue Bonds ("Town and Country Manor Project") Series 1990, issued by the City for the purpose of making a loan to the Borrower in order to finance the construction of a new wing to house additional residential care apartment units, the construction of a new building to house additional skilled nursing facilities, the relocation of existing intermediate care units and creation of assisted living units in the Borrower's then existing facility, and the refinancing of the Borrower's outstanding indebtedness incurred in connection with its existing facility, all of which facilities are located at 555 East Memory Lane, Santa Ana, California 92706 (the "Project"), including the cost of issuing the Bonds. 75C-3 4.22.13 LES E. The Borrower has requested the issuance of the Bonds in order to effect savings in interest rate and/or issuance costs to effect significant public benefits pursuant to the Act. F. In order for the interest on the Bonds to be tax-exempt, Section 147(f) of the Internal Revenue Code of 1986, as amended (the "Code"), requires that an "applicable elected representative" of the governmental unit, the geographic jurisdiction of which contains the site of facilities to be financed with the proceeds of the Bonds, hold a public hearing on the issuance of the Bonds and approve the issuance of the Bonds following such hearing. G. The CMFA has determined that the City Council is the "applicable elected representatives" for purposes of holding such public hearing. H. The CMFA has requested that the City Council approve the issuance of the Bonds by the CMFA in order to satisfy the public approval requirement of Section 147(f) of the Code, the requirements of Section 6586.5 of the Act, and the requirements of Section 4 of the Agreement. 1. Notice of such public hearing has been duly given as required by the Code, and this City Council has heretofore held such public hearing at which all interested persons were given an opportunity to be heard on all matters relative to the financing or refinancing of the Project and the CMFA's issuance of the Bonds therefor. J. It is in the public interest and there are significant public benefits from the issuance of the Bonds for the financing of the Project, including demonstrable savings in effective interest rate costs. NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL, AS FOLLOWS: Section 2. The City Council hereby approves the issuance of the Bonds by the CMFA and finds the Project will create the significant public benefits set forth in foregoing recitals. It is the purpose and intent of the City Council that this resolution constitute approval of the issuance of the Bonds (a) by the "applicable elected representative" of the governmental unit having jurisdiction over the area in which the Project is located in accordance with Section 147(f) of the Code; (b) by the City Council in accordance with Section 6586.5 of the Act; and (c) by the City Council in accordance with Section 4 of the Agreement. Section 3. The issuance of the Bonds shall be subject to approval by the CMFA of all financing documents relating thereto to which the CMFA is a party. The City shall have no responsibility or liability whatsoever with respect to the Bonds. Section 4. The adoption of this Resolution shall not obligate the City or any department thereof to (i) provide any financing to acquire or construct the Project or any refinancing of the Project; (ii) approve any application or request for or take any other action in connection with any planning approval, permit or other action necessary for the 2 75C-4 4.22.13 LES acquisition, rehabilitation or operation of the Project; (iii) make any contribution or advance any funds whatsoever to the CMFA; or (iv) take any further action with respect to the CMFA or its membership therein. Section 5. The executing officer(s), the Clerk of the Council and all other proper officers and officials of the City are hereby authorized and directed to execute such other agreements, documents and certificates, and to perform such other acts and deeds, as may be necessary to effect the purposes of this Resolution and the transactions herein authorized. Section 6. The Clerk shall forward a certified copy of this Resolution to the CMFA in care of its counsel: Ronald E. Lee, Esq. Jones Hall, a Professional Law Corporation 650 California St., 18th Floor San Francisco, CA 94108 Section 7. This resolution shall take effect immediately upon its passage. 3 75C-5 4.22.13LES ADOPTED this day of May, 2013. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho City Attorney By: Lisa E. Storck Assistant City Attorney AYES: Councilmembers: NOES: Councilmembers: ABSTAIN: Councilmembers: NOT PRESENT: Councilmembers: CERTIFICATION OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of 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 May _, 2013. Date: Clerk of Council City of Santa Ana 4 75C-6 REQUEST FOR COUNCIL/ HOUSING AUTHORITY ACTION MEETING DATE: MAY 6, 2013 TITLE: FUNDING ALLOCATIONS FOR THE HOUSING OPPORTUNITIES FOR PERSONS WITH AIDS PROGRAM FISCAL YEAR 2013 - 2014 CITY MA AGER EXECUTIVE DIRECTOR RECOMMENDED ACTION CITY COUNCIL ACTION CLERK OF COUNCIL USE ONLY: APPROVED ? As Recommended ? As Amended ? Ordinance on 1st Reading ? Ordinance on 2nd Reading ? Implementing Resolution ? Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and the Clerk of the Council to execute a cooperative agreement with the County of Orange Health Care Agency in an amount of $ 827,051 for a one-year term to provide supportive housing services to HIV/AIDS-affected individuals in the County of Orange, subject to non-substantive changes approved by the City Manager and City Attorney. HOUSING AUTHORITY ACTION 1. Authorize the Executive Director of the Housing Authority to execute a cooperative agreement between the City of Santa Ana and the Housing Authority of the City of Santa Ana in the amount of $600,000 for a one-year term for the implementation of the Housing Opportunities for Persons with AIDS Tenant-Based Rental Assistance Program, subject to non-substantive changes approved by the Executive Director and Authority General Counsel. 2. Authorize the Executive Director of the Housing Authority to execute a cooperative agreement with AIDS Services Foundation Orange County in an amount not to exceed $12,000 for a one-year term to administer the wait list for the Tenant-Based Rental Assistance Program, subject to non-substantive changes approved by the Executive Director and Authority General Counsel. 8OA-1 HOPWA May 6, 2013 Page 2 COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION RECOMMENDATION At its regular meeting on April 16, 2013, by a vote of 7:0 the Community Redevelopment and Housing Commission approved the recommended actions. DISCUSSION Since 1993, the City of Santa Ana has received federal funds through the U. S. Department of Housing and Urban Development (HUD) for the Housing Opportunities for Persons with AIDS (HOPWA) Program to be used countywide. The HOPWA Program is designed to provide resources and incentives for long-term comprehensive strategies to meet the housing needs of persons with Acquired Immune Deficiency Syndrome (AIDS). The allocation to the City of Santa Ana for fiscal year 2013-2014 will be approximately $1,471,187. Eligible activities for the HOPWA Program includes: 1) new construction, acquisition and rehabilitation of affordable housing; 2) provision of tenant-based rental assistance; 3) short-term rental and mortgage payment assistance to prevent homelessness; 4) supportive social services and housing information services; 5) technical assistance; and 6) administrative expenses incurred by jurisdictions coordinating local programs. In allocating grant funds for eligible activities, the City of Santa Ana is required to consider the service needs of eligible persons who reside throughout Orange County and approve funding for projects which may be located anywhere within the County. In order to ensure that the limited funds are prioritized, City staff has worked closely with the Housing Committee of the Orange County HIV Planning Council, the HIV Planning Council, and agencies throughout the County of Orange providing services to the HIV/AIDS community. On February 4, 2013, a strategic planning meeting was held to determine priorities for the fiscal year 2013-2014 funds. Representatives from the Orange County Health Care Agency, service providers from throughout the county, HIV/AIDS infected and affected individuals and City staff participated in the meeting. Based on the strategic planning meeting, the 2013-2014 fiscal year funding recommendations were established. The recommended funding levels are: 1) $600,000 to continue the Tenant- Based Rental Assistance Program with the Housing Authority of the City of Santa who will subcontract with AIDS Services Foundation Orange County to administer the wait list; 2) $827,051 to the Orange County Health Care Agency for supportive housing services to individuals throughout Orange County; 3) $44,136 for administrative costs. FISCAL IMPACT Funds will be available in the HOPWA Program account (nos. 40518760-69158, 40518761-69135, 40518761-various and 40518760-69136). 8OA-2 HOPWA May 6, 2013 Page 3 APPROVED AS TO FUNDS AND ACCOUNTS: (7/1, L ?14 Sandi Gottlieb Acting Executive Director Community Development Agency SG/SLB/kg Francisco Gutierrez CIq Executive Director Finance and Management Services Agency Exhibit: 1. Cooperative Agreement (City/County) 2. Cooperative Agreement (City/HA) 3. Cooperative Agreement (HAWDS Services Foundation) 8OA-3 8OA-4 EXHIBIT 1 COOPERATIVE AGREEMENT BETWEEN COUNTY OF ORANGE AND CITY OF SANTA ANA This Cooperative Agreement ("Agreement") is hereby entered into for the term of July 1, 2013 through June 30, 2014, by and between the City of Santa Ana, a charter city and municipal corporation organized under the Constitution and laws of the State of California ("City") and the County of Orange ("County"). Recitals: A. City, on behalf of all jurisdictions in Orange County, has been designated to receive grant funding provided by the U.S. Department of Housing and Urban Development (HUD) pursuant to the Housing Opportunities for Persons with AIDS (HOPWA) program. B. City has entered into a HOPWA grant agreement with HUD. C. County has provided leadership and is responsible for planning, providing and contracting for comprehensive HIV services and has prepared, in conjunction with the HIV Planning Council, Orange County's HIV Plan for providing such services. D. City wishes to contract with County in order that County may obtain supportive housing services by contract for persons with HIV disease, which services shall be administered and monitored by County. E. County is agreeable to rendering such services on the terms and conditions hereinafter set forth; NOW, THEREFORE, THE PARTIES MUTUALLY AGREE AS FOLLOWS: 1. COUNTY SERVICES A. County shall serve as "HOPWA Project Sponsor" for the purpose of contracting with organizations to provide supportive housing services, to persons with HIV/AIDS residing in Orange County. B. Nothing in this Agreement shall prevent City from entering into one or more agreements with other political subdivisions within the County, if deemed necessary and advisable to do so by City; provided however, the obligations and rights covered by this Agreement shall not be altered or reduced, except as mutually agreed to in writing by City and County. C. County shall utilize competitive bidding and contracting procedures for supportive housing services as required in HOPWA program regulations. As HOPWA 8OA-5 Project Sponsor, County's responsibilities and payments cover appropriate monitoring and administration of contracts resulting from competitive bid. D. County shall ensure that each agency subcontractor receiving funds through this Agreement operates in accordance with the requirements of the applicable HUD regulations for the HOPWA Program and other federal, state and local regulations as appropriate. E. County shall conduct an ongoing assessment of the supportive housing services required by the participants in the program. F. County shall assure the adequate provision of supportive services to the participants in the program. G. County shall comply with such other terms and conditions, including record keeping and reports for program monitoring and evaluation purposes, as HUD may establish for purposes of carrying out the program in an effective and efficient manner. Quarterly and Annual progress reports will be submitted by County within forty-five (45) days after the quarter/year ends in a form consistent with HUD publication HUD-401 10-D or any other form that HUD may require. [See Exhibit A (Annual Report) attached hereto and incorporated herein by reference]. The report shall include copies of all Requests For Proposals (RFPs) released by County pursuant to this Agreement, copies of contracts between County and service providers, as well as a summary of program budgets and financial disbursements made under the terms of this Agreement. H. "Contract Officers" means the County's Health Care Agency Contract Development and Management Manager or designee and the City's Housing and Neighborhood Development Manager. 1. County shall ensure that any County Subgrantee/Subcontractor receiving funds through this Agreement is informed that it must abide by the same terms and conditions and responsibilities as set forth in this Agreement for the County to follow. II. BUDGET A. The following budget is an estimate only, of the costs of providing the services hereunder. This budget may be modified by mutual written agreement of the Contract Officers. The maximum obligation hereunder is $827,051. Supportive Housing Services $782,915 Administration* (see B. below) 44,136 $827,051 B. The Administration costs shall be seven percent (7%) of the actual expended grant funds. 2 8OA-6 C. All services and expenditures will be performed by June 30, 2014 and invoiced by August 15, 2014. Any remaining funds under this Agreement will be de-obligated upon termination of this Agreement. III. PAYMENTS/COST REPORT A. City shall pay County for the actual costs of providing the services hereunder, whether provided directly by County or its subcontractors, provided, however, the total of all payments to County shall not exceed the Maximum Obligation as specified hereinabove. B. County shall invoice City monthly, in arrears, based on the actual cost of providing and contracting for the services hereunder. County shall submit each invoice within forty- five (45) days after the end of each month. City shall pay County no later than thirty (30) days following receipt of such invoice and complete documentation of services performed, cost and number of persons served. Final invoice must be submitted by August 15, 2014. C. All invoices submitted by County shall be accompanied by source documentation including, but not limited to, journals, time sheets, canceled checks, invoices and records of services provided. D. At such times and in such a format as the Contract Officers mutually agree in writing, County shall prepare and submit to City report(s) of administrative costs incurred by County in the performance of this Agreement. E. The Cost Report(s) shall be financial and statistical report(s) submitted by County to City, and shall serve as the basis for Final Settlement of this Agreement. The Cost Report (s) shall detail all costs incurred by County to provide services hereunder. F. Final Settlement shall be based upon the actual costs incurred by County to provide services hereunder. If the Cost Report(s) indicates the total of City's payments to County are less than County's cost to provide the services hereunder, City shall pay County the difference; provided, however, the total payment shall not exceed the Maximum Obligation. Payment due pursuant to the Cost Report(s) shall be made within thirty (30) days of the Final Settlement determination. IV. DISPUTE RESOLUTION A. Either party may give written notice to the other, setting forth in specific terms the existence and nature of any unresolved matter or concern related to the purposes and obligations of this Agreement. Such notice shall be provided by and to the Contract Officers on behalf of the parties. The Officers shall have fifteen (15) working days following such notice to obtain resolution of any issue(s) identified in this manner, provided, however, by mutual consent this period of time may be extended to thirty (30) days. B. If the Officers are unable to obtain resolution of the issue(s), they shall submit a joint written Statement describing the facts of the issue, within thirty (30) days after the written notice described above to the Orange County Health Care Agency (HCA) Director and to the 8OA-7 Executive Director of the Community Development Agency (CDA) or designee for resolution. If the Officers are unable to prepare a joint statement, each shall submit separate statements to the HCA Director and Executive Director of City's Community Development Agency within the thirty (30) day period. Such persons shall meet and make their best effort to resolve the matter within thirty (30) days following submission of the statements. Resolution of the dispute, or lack thereof, by the HCA Director and CDA Director or designee shall be documented in the form of written correspondence exchanged by such persons within ten (10) days following their meeting. V. INDEMNIFICATION Each party agrees to indemnify and hold harmless the other party, its officers, agents, and employees from all liability, claims, losses and demands, including defense costs, whether resulting from court action or otherwise, arising out of the acts or omissions of the indemnifying party, its officers, agents or employees or the condition of property used in the performance of this Agreement. VI. INSPECTIONS AND AUDITS A. Any authorized representative of City, any authorized representative of the State of California, the Secretary of the United States Department of Health and Human Services, the Comptroller General of the United States Department of Housing and Urban Development or any of their authorized representatives, shall have access to County books, documents, and records, which such persons deem pertinent to the Agreement, for the purpose of conducting an audit, evaluation, or examination, or making transcripts during the periods of retention set forth in the Records/Confidentiality paragraph of this Agreement and the premises in which they are provided. B. County shall actively participate and cooperate with any person specified in subparagraph A. above in any evaluation or monitoring of the services provided pursuant to this Agreement, and shall provide the above mentioned persons adequate office space to conduct such evaluation or monitoring. VII. LICENSES AND LAW A. County, its officers, agents, employees, and subcontractors shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, certificates, waivers and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States Department of Health and Human Services, State of California, County and any other applicable governmental agencies. B. County shall comply with all laws, rules or regulations applicable to the services provided hereunder, as any may now exist or be hereafter changed. These laws, rules, and regulations shall include, but not be limited to the following: 1. United States Code (U.S.C.A.), Title 42, Section 12901-12912, AIDS Housing Opportunity Act. 4 8OA-8 2. Code of Federal Regulations (CFR), Title 24, Part 574, Housing Opportunities for Persons with AIDS. 3. CFR Title 24, Part 85, Common Rule to the Community Development Block Grant Entitlement Program. 4. Office of Management and Budget (OMB) Circular No. A-87, Cost Principles for State and Local Governments. OMB Circular No. A-128, Single Audit Act of 1984. VIII. NONDISCRIMINATION A. EMPLOYMENT - County warrants that it has developed and does maintain an Affirmative Action program for employment which includes goals and timetables for employment of women and minorities, which program meets the Affirmative Action Guidelines of the United States Equal Opportunity Commission and all appropriate state and federal laws and regulations. B. SERVICES, BENEFITS, AND FACILITIES - Neither County, nor any of its contractors, shall discriminate in the provision or services, the allocation of benefits, or in the accommodation in facilities on the basis of ethnic group identification, race, religion, ancestry, creed, color, sex, marital status, national origin, age (40 and over), sexual preference, medical condition, or physical or mental handicap in accordance with Title VI of the Civil Rights Act of 1964, 42 U.S.C.A. §2000d and all other pertinent rules and regulations promulgated pursuant thereto, and as otherwise provided by State law and regulations, as all may now exist or be hereafter amended or changed. C. DISABLED INDIVIDUALS - County and its contractors shall agree to comply with the provisions of Section 504 of the Rehabilitation Act of 1973 (29 U.S.C.A 794 et seq., as implemented in 45 CFR 84.1 et seq.), and the Americans with Disabilities Act of 1990 (42 U.S.C.A. 12101 et seq.), pertaining to the prohibition of discrimination against qualified disabled persons in all programs or activities, as they exist now or may be hereafter amended together with succeeding legislation. D. RETALIATION - Neither County, nor its employees, agents, or contractors shall intimidate, coerce or take adverse action against any person for the purpose of interfering with rights secured by Federal or State laws, or because such person has filed a complaint, certified, assisted or otherwise participated in an investigation, proceeding, hearing or any other activity undertaken to enforce rights secured by Federal or State law. IX. NOTICES Any notice, tender, demand, delivery, or other communication pursuant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by telefacsimile or other telegraphic communication in the manner provided in this Section, to the following persons: 8OA-9 To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M-30) P.O. Box 1988 Santa Ana, California 92702-1988 telefacsimile (714) 647-6956 With courtesy copies to: City of Santa Ana HOPWA Coordinator 20 Civic Center Plaza (M-27) Santa Ana, California 92702-1988 To County: County of Orange Health Care Agency Contract Development and Management 405 West 5t' Street, 6`' Floor Santa Ana, CA 92701 A party may change its address by giving notice in writing to the other party. Thereafter, any notice, tender, demand, delivery, or other communication shall be addressed and transmitted to the new address. If sent by mail, any notice, tender, demand, delivery, or other communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by telefacsimile, any notice, tender, demand, delivery, or other communication shall be effective or deemed to have been given twenty- four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. X. RECORDS/CONFIDENTIALITY a. The parties, and any subcontractors, shall prepare and maintain any records required by laws, regulations and procedures applicable to their responsibilities under this Agreement. b. The parties agree to maintain the confidentiality of any records which pertain to this Agreement in accordance with applicable state and federal laws and regulations. Financial records related to this Agreement shall be maintained for two (2) years after termination of this Agreement. c. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, 6 8OA-10 visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and/or agent of the other party is covered by this Agreement. XI. JURISDICTION/VENUE This Agreement and all questions relating to its validity, interpretation, performance, and enforcement shall be governed and construed in accordance with the laws of the State of California. This Agreement has been executed and delivered in the State of California and the validity, interpretation, performance, and enforcement of any of the clauses of this Agreement shall be determined and governed by the laws of the State of California. Both parties further agree that Orange County, California, shall be the venue for any action or proceeding that may be brought or arise out of, in connection with or by reason of this Agreement. XII. SEVERABILITY If a court of competent jurisdiction declares any provision of this Agreement or application thereof to any person or circumstances to be invalid or if any provision of this Agreement contravenes any Federal, State, or County statute, ordinance, or regulation, the remaining provisions of this Agreement or the application thereof shall remain valid, and the remaining provisions of this Agreement shall remain in full force and effect, and to that extent the provisions of this Agreement are severable. XIII. INDEPENDENT CONTRACTOR County is, and shall at all times be deemed to be, an independent contractor and shall be wholly responsible for the manner in which it performs the services required of it by the terms of this Agreement. County is entirely responsible for compensating staff and consultants employed by County. This Agreement shall not be construed as creating the relationship of employer and employee, or principal and agent, between County and City or any of County's employees, agents, or subcontractors, or principal and agent, between County and City or any of County's employees,. County assumes exclusively the responsibility for the acts of its employees, agents or subcontractors as they relate to the services to be provided during the course and scope of their employment. County, its agents, employees, or subcontractors, shall not be entitled to any rights or privileges of City employees and shall not be considered in any manner to be City employees. XIV. TERM The term of this Agreement shall commence and terminate as specified herein, unless otherwise sooner terminated as provided in this Agreement; provided, however, County shall be obligated to perform such duties as would normally extend beyond this term, including but not limited to, obligations with respect to indemnification, audits, reporting and accounting. 7 8OA-11 XV. TERMINATION A. Either party may terminate this Agreement, without cause, upon ninety (90) days written notice given the other party. B. Either party may terminate this Agreement, upon thirty (30) days written notice given the other party for material breach after failure to resolve the breach pursuant to the Dispute Resolution paragraph of this Agreement. C. The rights and remedies of County or City provided in this Termination paragraph shall not be exclusive, and are in addition to any other rights and remedies provided by law or under this Agreement. XVI. THIRD PARTY BENEFICIARY Neither party hereto intends that this Agreement shall create rights hereunder in third parties including but not limited to any subcontractors or any patients provided services hereunder. XVII. WAIVER OF DEFAULT OR BREACH Waiver of any default by County or City shall not be considered a waiver of any subsequent default. Waiver of any breach of County or City of any provision of this Agreement shall not be considered a waiver of any subsequent breach. Waiver of any default or any breach by County or City shall not be considered a modification of the terms of this Agreement. XVIII. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 8OA-12 IN WITNESS WHEREOF, the parties hereto have executed this Agreement in the County of Orange, State of California, on the date and year first above written. ATTEST: Maria D. Huizar Clerk of the Council CITY OF SANTA ANA: Kevin O'Rourke Interim City Manager APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Lisa E. Storck Assistant City Attorney COUNTY OF ORANGE BY: CHAIRMAN OF THE BOARD OF SUPERVISORS SIGNED AND CERTIFIED THAT A COPY OF THIS DOCUMENT HAS BEEN DELIVERED TO THE CHAIRMAN OF THE BOARD. DARLENE J. BLOOM Clerk of the Board of Supervisors of Orange County, California APPROVED AS TO FORM: OFFICE OF THE COUNTY COUNSEL ORANGE COUNTY, CALIFORNIA BY: DEPUTY 9 8OA-13 8OA-14 EXHIBIT 2 COOPERATIVE AGREEMENT BETWEEN THE CITY OF SANTA ANA AND THE SANTA ANA HOUSING AUTHORITY This Cooperative Agreement entered into this 1St day of July, 2013, which date is enumerated for purpose of reference only, is by and between the City of Santa Ana ("City") and the Santa Ana Housing Authority ("Project Sponsor"). This Agreement shall be administered by the City of Santa Ana. RECITALS: A. City on behalf of all jurisdictions in Orange County, has been designated to receive grant funding provided by the U.S. Department of Housing and Urban Development ("HUD") pursuant to the Housing Opportunities for Persons With AIDS ("HOPWA") Program. B. City has entered into a HOPWA grant agreement with HUD. C. Project Sponsor has provided leadership and is responsible for planning and providing comprehensive HIV services for clients throughout Orange County and will maintain the wait list for the program. D. Project Sponsor will provide services to support the Tenant-Based Rental Assistance Program which consists of financial eligibility of tenants, HQS inspections, and financial responsibility for housing assistance payments to landlords. E. The parties have cooperatively written and agree to an Administrative Plan which identifies guidelines for the operation of the HOPWA Tenant-Based Rental Assistance Program. NOW, THEREFORE, the parties mutually agree as follows: ALTERATION OF TERMS A. The parties anticipate that this Agreement may be amended, or followed by additional agreements, to implement additional services and funding of the type covered by this Agreement. B. This Agreement fully expresses all understanding of City and Project Sponsor with respect to the subject matter of this Agreement, and shall constitute the total Agreement between the parties for these purposes. No addition to, or alteration of, the terms of this Agreement, whether written or verbal, shall be valid unless made in writing and formally approved and executed by each party. 8OA-15 II. SERVICES A. City shall serve as "HOPWA Grantee" for the purpose of contracting with organizations to provide Tenant-Based Rental Assistance to persons disabled due to HIV/AIDS residing in Orange County. B. Nothing in this Agreement shall prevent City from entering into one or more agreements with the other agencies or contractors within the County, if deemed necessary and advisable to do so by City; provided however, the obligations and rights covered by this Agreement shall not be altered or reduced, except as mutually agreed to in writing by City and Project Sponsor. C. City shall conduct an ongoing assessment of the Tenant-Based Rental Assistance Program. D. Project Sponsor shall assure the adequate provision of supportive services to applicants/participants to ensure program success. E. Project Sponsor shall comply with such other terms and conditions, including record keeping and reports for program monitoring and evaluation purposes, as HUD may establish for purposes of carrying out the program in an effective and efficient manner. Annual progress reports will be prepared by Project Sponsor in a form consistent with HUD publications HUD-40110-C (8/94). In addition, Project Sponsor shall forward quarterly narrative reports to City identifying accomplishments as HOPWA Project Sponsor for Tenant-Based Rental Assistance for persons with HIV disease. These reports are to be submitted in conjunction with payment/cost reports identified in Section IV of this Agreement along with a summary of program budgets and financial disbursements made under the terms of this Agreement. F. "Contract Officers" means the City's Housing Manager or designee and Project Sponsor's designee. III. BUDGET The following budget is an estimate only of the cost of providing the services hereunder for the term July 1, 2013 through June 30, 2014. This budget may be modified by mutual written agreement of the Contract Officers. Administration $ 42,000.00 Housing Assistance Payments/Program Expense $558,000.00 TOTAL (Maximum Obligation) $600,000.00 2 8OA-16 IV. PAYMENTS/COST REPORT A. 1) City shall pay Project Sponsor for the actual costs of providing the administration of services hereunder, whether provided directly by Project Sponsor, provided, however, the total of all payments to Project Sponsor shall not exceed the Maximum Obligation as specified in Section III of the Agreement. 2) City shall draw down HOPWA funds designated for rental subsidy payments on a monthly basis after receipt of certification of individual of individual tenant subsidy amounts. After final approval by City, funds will be disbursed to landlords. B. Project Sponsor shall invoice City monthly exclusive of rental subsidy payments, in arrears, based on the actual cost of providing and contracting for the services hereunder. City shall pay Project Sponsor no later than thirty (30) days following receipt of such invoice. Monthly payments are interim payments only, and are subject to final settlement and reconciliation to the final Cost Report submitted by Project Sponsor. C. All billings by Project Sponsor shall be accompanied by copies of source documentation including, but not limited to, journals, time sheets, canceled checks, and records of cost incurred by Project Sponsor in the performance of this Agreement. D. At such times and in such a format as the Contract Officers mutually agree in writing, Project Sponsor shall prepare and submit to City reports of cost incurred by Project Sponsor in the performance of this Agreement. E. The Cost Report(s) shall be financial and statistical reports(s) submitted by Project Sponsor to City, and shall serve as the basis for final Settlement of this Agreement. The Cost Reports(s) shall detail all costs incurred by Project Sponsor to provide services hereunder. F. Final Settlement shall be based upon the actual costs incurred by Project Sponsor to provide services hereunder. If the Cost Report(s) indicates the total of City's payments to Project Sponsor are less than Project Sponsor's cost to provide the services hereunder, City shall pay Project Sponsor the difference; provided, however, the total payment shall not exceed the Maximum Obligation. If the Cost Report(s) indicates the total of City's payments to Project Sponsor are higher than Project Sponsor's cost of providing the services hereunder, Project Sponsor shall pay City the difference. Payment due pursuant to the Cost Report(s) shall be made within thirty (30) days of the Final Settlement determination. 3 8OA-17 G. Any funds not expended by fiscal year end, June 30, 2014 shall be returned to City. Said unexpended funds shall be reallocated by City through the HOPWA Program. V. DISPUTE RESOLUTION A. Any party may give written notice to the other setting forth in specific terms the existence and nature of any unresolved matter or concern related to the purposes and obligations of this Agreement. Such notice shall be provided by and to the Contract Officers on behalf of the parties. The Officers shall have fifteen (15) working days following such notice to obtain resolution of any issues(s) identified in this manner; provided, however, by mutual consent this period of time may be extended to thirty (30) days. B. If the Officers are unable to obtain resolution of the issue(s), they shall submit a joint written Statement describing the facts of the issue, within thirty (30) days after the written notice described above to the Executive Director of the Community Development Agency ("Executive Director") and to City's Housing Manager for resolution. If the Officers are unable to prepare a joint statement, each shall submit separate statements to the previously listed within the thirty (30) day period. Such persons shall meet and make their best effort to resolve the matter within thirty (30) days following submission of the statements. Resolution of the dispute, or lack thereof, by the Executive Director and the Santa Ana City Manager shall be documented in the form of written correspondence exchanged by such persons within ten (10) days following their meeting. VI. INDEMNIFICATION Each party agrees to indemnify, defend, and hold harmless the other party, its officers, agents and employees from all liability, claims, losses and demands, including defense costs, whether resulting from court action or otherwise, arising out of the acts or omissions of the indemnifying party, its officers, agents or employees or the condition of property used in the performance of this Agreement. VII. INSURANCE With respect to performance of work under this Agreement, Project Sponsor shall maintain and shall require its subcontractors, if any, to maintain insurance as described below: 1. Worker's compensation insurance within statutory legal limits, and 2. Commercial General Liability insurance with limits of not less than $1,000,000 per accident/incident. Project Sponsor shall: (a) prior to exercising any right under this Agreement, furnish properly executed certificates of insurance and additional insured endorsement to the City 4 8OA-18 which shall clearly evidence all coverages required above; (b) provide that such insurance shall not be materially changed or terminated except on 30 days prior written notice to the City; (c) maintain such insurance for the period covered by this Agreement; and (d) replace such certificates for policies expiring prior to the expiration of this Agreement. VIII. INSPECTIONS AND AUDITS A. Any authorized representative of City, the Comptroller General of the United States, the United States Department of Housing and Urban Development or any of their authorized representatives, shall have access to City books, documents, records, which such persons deem pertinent to this Agreement, for the purpose of conducting an audit, evaluation, or examination, or making transcripts during the periods of retention set forth in the Records/Confidentiality paragraph of this Agreement and the premises in which they are provided. B. City shall actively participate and cooperate with any persons specified in subparagraph A above in any evaluation or monitoring of the services provided pursuant to the Agreement, and shall provide the above mentioned persons adequate office space to conduct such evaluation or monitoring. IX. LICENSES AND LAW A. Project Sponsor, its officers, agents, employees, and subcontractors shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, certificates, waivers and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, State of California, City, and any other applicable governmental agencies. B. Project Sponsor shall comply with all laws, rules, or regulations applicable to the services provided hereunder, as any may now exist or be hereafter changed. These laws, rules, and regulations shall include, but not limited to the following: United States Code (U.S.C.), title 42, Section 12901-12912, AIDS Housing Opportunity Act. Code of Federal Regulations (CFR), Title 24, Part 574, Housing Opportunities for Persons with AIDS. 3. Office of Management and Budget (OMB) Circular No. A-122, Cost Principles for nonprofit organizations. 4. OMB Circular No. A-133, Audits of Institutions of Higher Education and Other Nonprofit Institutions. 5 8OA-19 IX. NONDISCRIMINATION A. Employment - Project Sponsor warrants that it has developed and does maintain an Affirmative Action program for employment which includes goals and timetables for employment of women and minorities, which program meets the Affirmative Action Guidelines of the Federal Equal Opportunity Commission and all appropriate state laws and regulations. B. Services, Benefits, and Facilities - Project Sponsor and its contractors, shall not discriminate in the provision of services, the allocation of benefits, or in the accommodation in facilities on the basis of ethnic group identification, race, religion, ancestry, creed, color, sex, marital status, national origin, age, sexual preference, medical condition, or physical or mental handicap in accordance with Title VI of the Civil Rights Act of 1964, 42 U.S.C. §2000d and all other pertinent rules and regulations promulgated pursuant thereto, and as otherwise provided by state law and regulations, as all may now exist or be hereafter amended or changed. C. Disabled Individuals - Project Sponsor and its contractors agree to comply with the provisions of Section 504 of the Rehabilitation Act of 1973 (20 U.S.C. 794 et seq., as implemented in 45 CFR 84.1 et seq.), pertaining to the prohibition of discrimination against qualified handicapped persons in all programs or activities, as they exist now or may be hereafter amended together with succeeding legislation. D. Retaliation -Project Sponsor and its employees, agents, or contractors shall not intimidate, coerce or take adverse action against any person for the purpose of interfering with rights secured by federal or state laws, or because such person has filed a complaint, certified, assisted or otherwise participated in an investigation, proceeding, hearing or any other activity undertaken to enforce rights secured by federal or state law. X. NOTICES A. Unless otherwise specified, all notices, claims, correspondence, reports and/or statements authorized or required by this Agreement shall be effective when written and deposited in the United States mail, first class postage prepaid and addressed as specified in this Agreement. B. Termination Notices shall be effective when written and deposited in the United States mail, certified, return receipt requested, and addressed as specified below. C. For purposes of this Agreement, any notice to be provided by City may be given by Contract Officers. Notices to City and Project Sponsor shall, unless otherwise requested in writing, be sent by U.S. Mail, postage prepaid, and addressed as follows: 6 80A-20 Citv City of Santa Ana Attn: Executive Director CDA 20 Civic Center Plaza (M-25) Santa Ana, CA 92701 Project Sponsor: Santa Ana Housing Authority Attn: Housing Manager 20 Civic Center Plaza (M-27) Santa Ana, CA 92701 XI. RECORDS/CONFIDENTIALITY A. The parties, and any subcontractors, shall prepare and maintain any records required by laws, regulations, and procedures applicable to their responsibilities under this Agreement. B. The parties agree to maintain the confidentiality of any records which pertain to this Agreement in accordance with applicable state and federal laws and regulations. Financial records related to this Agreement shall be maintained for two (2) years after termination of this Agreement. XII. SEVERABILITY If a court of competent jurisdiction declares any provision of this Agreement or application thereof to any person or circumstances to be invalid or if any provision of this Agreement contravenes any federal, state or county statute, ordinance, or regulation, the remaining provisions of this Agreement or the application thereof shall remain valid, and the remaining provisions of this Agreement shall remain in full force and effect, and to that extent the provisions of this Agreement are severable. XIII. STATUS OF CONTRACTOR The Housing Authority is, and at all times shall be deemed to be, an independent contractor and shall be wholly responsible for the manner in which they perform the services required by the terms of this Agreement. The Housing Authority is, and at all times shall be deemed to be, entirely responsible for compensating staff and consultants employed by the Housing Authority. This Agreement shall not be construed as creating the relationship of employer and employee, or principal and agent, between City and the Housing Authority employees, agents, or subcontractors. The Housing Authority assumes exclusively the responsibility for the acts of its employees, agents or subcontractors as they relate to the services to be provided during the course and scope of their employment. The Housing Authority, its agents, employees, or subcontractors, shall 8OA-21 not be entitled to any rights or privileges of City employees and shall not be considered in any manner to be City employees. XIV. NON-ASSIGNABILITY AND DELEGATION Project Sponsor shall not assign any rights under this Agreement except upon written authorization from City. XV. TERM The term of this Agreement shall commence July 1, 2013 and terminate June 30, 2014, unless terminated earlier as provided in this Agreement; provided, however, the Santa Ana Housing Authority shall be obligated to perform such duties as would normally extend beyond this term, including but not limited to, obligations with respect to indemnification, audits, reporting and accounting. XVI. TERMINATION A. Any party may terminate this Agreement, without cause, upon ninety (90) days written notice given the other parties. B. Any party may terminate this Agreement, upon thirty (30) days written notice given the other parties for material breach after failure to resolve the breach pursuant to the Dispute Resolution paragraph of this Agreement. C. The rights and remedies of City and the Housing Authority provided in this Termination paragraph shall not be exclusive, and are in addition to any other rights and remedies provided by law or under this Agreement. XVII. THIRD PARTY BENEFICIARY No party hereto intends that this Agreement shall create rights hereunder in third parties including but not limited to any subcontractors or any patients provided services hereunder. XVIII. WAIVER OF DEFAULT OR BREACH Waiver of any default the Housing Authority or City shall not be considered a waiver of any subsequent default. Waiver of any breach by the Housing Authority or City of any provision of this Agreement shall not be considered a waiver of any subsequent breach. Waiver of any default of any breach by the Housing Authority or City shall not be considered a modification of the terms of this Agreement. 8OA-22 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date stated above. ATTEST: APPROVED AS TO CONTENT: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Lisa E. Storck Assistant City Attorney 9 Kevin O'Rourke Interim City Manager HOUSING AUTHORITY Sandi Gottlieb Acting Executive Director 8OA-23 8OA-24 EXHIBIT 3 COOPERATIVE AGREEMENT BETWEEN THE SANTA ANA HOUSING AUTHORITY AND AIDS SERVICES FOUNDATION ORANGE COUNTY This Cooperative Agreement entered into this 1" day of July, 2013, which date is enumerated for purpose of reference only, is by and between the City of Santa Ana Housing Authority ("Housing Authority"), and the Aids Services Foundation Orange County ("Contractor"). This Agreement shall be administered by the Santa Ana Housing Authority. RECITALS: A. The City of Santa Ana ("City") on behalf of all jurisdictions in Orange County, has been designated to receive grant funding provided by the U.S. Department of Housing and Urban Development ("HUD") pursuant to the Housing Opportunities for Persons With AIDS ("HOPWA") Program. B. City has entered into a HOPWA grant agreement with HUD. C. City has entered into an agreement with the Santa Ana Housing Authority ("Project Sponsor"). D. Project Sponsor will provide services to support the Tenant-Based Rental Assistance Program which consists of financial eligibility of tenants, HQS inspections, and financial responsibility for housing assistance payments to landlords. E. Project Sponsor has entered into an agreement with Contractor for Contractor to provide services to support the Tenant Based Rental Assistance Program by maintaining the wait list and confirming disability status as defined in the Administrative Plan. F. The parties have cooperatively written and agree to an Administrative Plan which identifies guidelines for the operation of the HOPWA Tenant-Based Rental Assistance Program. NOW, THEREFORE, the parties mutually agree as follows: I. ALTERATION OF TERMS A. The parties anticipate that this Agreement may be amended, or followed by additional agreements, to implement additional services and funding of the type covered by this Agreement. B. This Agreement fully expresses all understanding of Project Sponsor and Contractor with respect to the subject matter of this Agreement, and shall constitute the total Agreement between the parties for these purposes. No addition to, or 8OA-25 alteration of, the terms of this Agreement, whether written or verbal, shall be valid unless made in writing and formally approved and executed by all parties. II. SERVICES A. Santa Ana Housing Authority shall serve as "HOPWA Project Sponsor" for the purpose of providing Tenant-Based Rental Assistance to persons disabled due to HIV/AIDS residing in Orange County. B. Nothing in this Agreement shall prevent the Project Sponsor from entering into one or more agreements with the other agencies or contractors within the County, if deemed necessary and advisable to do so by the Project Sponsor; provided however, the obligations and rights covered by this Agreement shall not be altered or reduced, except as mutually agreed to in writing by Project Sponsor and Contractor. C. Contractor shall conduct an ongoing assessment of the Tenant Based Rental Assistance Program. D. Contractor shall assure the adequate provision of application intake and maintenance of the Tenant Based Rental Assistance Program wait list. Contractor will also verify disabilities due to HIV status of each applicant. E. Contractor shall comply with such other terms and conditions, including record keeping and reports for program monitoring and evaluation purposes, as HUD may establish for purposes of carrying out the program in an effective and efficient manner. Contractor shall forward quarterly narrative reports to the Project Sponsor identifying accomplishments as HOPWA Contractor for Tenant-Based Rental Assistance for persons with HIV disease. These reports are to be submitted in conjunction with payment/cost reports identified in Section IV of this Agreement along with a summary of program budgets and financial disbursements made under the terms of this Agreement. F. "Contract Officers" means the City's Housing Manager or designee, and Contractor's designee. III. BUDGET The following budget is an estimate only of the cost of providing the services hereunder for the term July 1, 2013 through June 30, 2014. This budget may be modified by mutual written agreement of the Contract Officers. Administration $12,000.00 TOTAL (Maximum Obligation) $12,000.00 2 8OA-26 IV. PAYMENTS/COST REPORT A. Project Sponsor shall pay Contractor for the actual costs of providing the administration of services hereunder, provided, however, the total of all payments to Contractor shall not exceed the Maximum Obligation as specified in Section III of the Agreement. B. Contractor shall invoice Project Sponsor monthly in arrears, based on the actual cost of providing and contracting for the services hereunder. Project Sponsor shall pay Contractor no later than thirty (30) days following receipt of such invoice. Monthly payments are interim payments only, and are subject to final settlement and reconciliation to the final Cost Report submitted by Contractor. C. All billings by Contractor shall be accompanied by copies of source documentation including, but not limited to, journals, time sheets, canceled checks, and records of cost incurred by Contractor in the performance of this Agreement. D. At such times and in such a format as the Contract Officers mutually agree in writing, Contractor shall prepare and submit to Project Sponsor reports of cost incurred by Contractor in the performance of this Agreement. E. The Cost Report(s) shall be financial and statistical reports(s) submitted by Contractor to Project Sponsor, and shall serve as the basis for final Settlement of this Agreement. The Cost Reports(s) shall detail all costs incurred by Contractor to provide services hereunder. F. Final Settlement shall be based upon the actual costs incurred by Contractor to provide services hereunder. If the Cost Report(s) indicates the total of Project Sponsor's payments to Contractor are less than Contractor's cost to provide the services hereunder, Project Sponsor shall pay Contractor the difference; provided, however, the total payment shall not exceed the Maximum Obligation. If the Cost Report(s) indicates the total of Project Sponsor's payments to Contractor are higher than Contractor's cost of providing the services hereunder, Contractor shall pay Project Sponsor the difference. Payment due pursuant to the Cost Report(s) shall be made within thirty (30) days of the Final Settlement determination. G. Any funds not expended by fiscal year end, June 30, 2014 shall be returned to Project Sponsor. Said unexpended funds shall be reallocated by City through the HOPWA Program. V. DISPUTE RESOLUTION A. Any party may give written notice to the other setting forth in specific terms the 8OA-27 existence and nature of any unresolved matter or concern related to the purposes and obligations of this Agreement. Such notice shall be provided by and to the Contract Officers on behalf of the parties. The Officers shall have fifteen (15) working days following such notice to obtain resolution of any issues(s) identified in this manner; provided, however, by mutual consent this period of time may be extended to thirty (30) days. B. If the Officers are unable to obtain resolution of the issue(s), they shall submit a joint written Statement describing the facts of the issue, within thirty (30) days after the written notice described above to the Executive Director A.S. Foundation Orange County and to City's Housing Manager for resolution. If the Officers are unable to prepare a joint statement, each shall submit separate statements to the previously listed within the thirty (30) day period. Such persons shall meet and make their best effort to resolve the matter within thirty (30) days following submission of the statements. Resolution of the dispute, or lack thereof, by the Executive Director A. S. Foundation Orange County and the Santa Ana Housing Manager shall be documented in the form of written correspondence exchanged by such persons within ten (10) days following their meeting. VI. INDEMNIFICATION Each party agrees to indemnify, defend, and hold harmless the other party, its officers, agents and employees from all liability, claims, losses and demands, including defense costs, whether resulting from court action or otherwise, arising out of the acts or omissions of the indemnifying party, its officers, agents or employees or the condition of property used in the performance of this Agreement. VII. INSURANCE With respect to performance of work under this Agreement, Contractor shall maintain and shall require its subcontractors, if any, to maintain insurance as described below: 1. Worker's compensation insurance within statutory legal limits, and 2. Commercial General Liability insurance with limits of not less than $1,000,000 per accident/incident. Contractor shall: (a) prior to exercising any right under this Agreement, furnish properly executed certificates of insurance and additional insured endorsement to the Project Sponsor which shall clearly evidence all coverages required above; (b) provide that such insurance shall not be materially changed or terminated except on 30 days prior written notice to the Project Sponsor; (c) maintain such insurance for the period covered by this Agreement; and (d) replace such certificates for policies expiring prior to the expiration of this Agreement. 4 8OA-28 VIII. INSPECTIONS AND AUDITS A. Any authorized representative of Project Sponsor, the Comptroller General of the United States, the United States Department of Housing and Urban Development or any of their authorized representatives, shall have access to City books, documents, records, which such persons deem pertinent to this Agreement, for the purpose of conducting an audit, evaluation, or examination, or making transcripts during the periods of retention set forth in the Records/Confidentiality paragraph of this Agreement and the premises in which they are provided. B. Project Sponsor shall actively participate and cooperate with any persons specified in subparagraph A above in any evaluation or monitoring of the services provided pursuant to the Agreement, and shall provide the above mentioned persons adequate office space to conduct such evaluation or monitoring. IX. LICENSES AND LAW A. Contractor, its officers, agents, employees, and subcontractors shall, throughout the term of this Agreement, maintain all necessary licenses, permits, approvals, certificates, waivers and exemptions necessary for the provision of the services hereunder and required by the laws and regulations of the United States, State of California, City, and any other applicable governmental agencies. B. Contractor shall comply with all laws, rules, or regulations applicable to the services provided hereunder, as any may now exist or be hereafter changed. These laws, rules, and regulations shall include, but not limited to the following: United States Code (U.S.C.), title 42, Section 12901-12912, AIDS Housing Opportunity Act. 2. Code of Federal Regulations (CFR), Title 24, Part 574, Housing Opportunities for Persons with AIDS. 3. Office of Management and Budget (OMB) Circular No. A-122, Cost Principles for nonprofit organizations. 4. OMB Circular No. A-133, Audits of Institutions of Higher Education and Other Nonprofit Institutions. IX. NONDISCRIMINATION A. Employment -Contractor warrants that it has developed and does maintain an Affirmative Action program for employment which includes goals and timetables for employment of women and minorities, which program meets the Affirmative Action 5 8OA-29 Guidelines of the Federal Equal Opportunity Commission and all appropriate state laws and regulations. B. Services, Benefits, and Facilities -Contractor, nor any of their subcontractors, shall discriminate in the provision of services, the allocation of benefits, or in the accommodation in facilities on the basis of ethnic group identification, race, religion, ancestry, creed, color, sex, marital status, national origin, age, sexual preference, medical condition, or physical or mental handicap in accordance with Title VI of the Civil Rights Act of 1964, 42 U.S.C. §2000d and all other pertinent rules and regulations promulgated pursuant thereto, and as otherwise provided by state law and regulations, as all may now exist or be hereafter amended or changed. C. Disabled Individuals - Project Sponsor and Contractor and their contractors shall agree to comply with the provisions of Section 504 of the Rehabilitation Act of 1973 (20 U.S.C. 794 et seq., as implemented in 45 CFR 84.1 et seq.), pertaining to the prohibition of discrimination against qualified handicapped persons in all programs or activities, as they exist now or may be hereafter amended together with succeeding legislation. D. Retaliation -Contractor, nor its employees, agents, or contractors shall intimidate, coerce or take adverse action against any person for the purpose of interfering with rights secured by federal or state laws, or because such person has filed a complaint, certified, assisted or otherwise participated in an investigation, proceeding, hearing or any other activity undertaken to enforce rights secured by federal or state law. X. NOTICES A. Unless otherwise specified, all notices, claims, correspondence, reports and/or statements authorized or required by this Agreement shall be effective when written and deposited in the United States mail, first class postage prepaid and addressed as specified in this Agreement. B. Termination Notices shall be effective when written and deposited in the United States mail, certified, return receipt requested, and addressed as specified below. C. For purposes of this Agreement, any notice to be provided by Project Sponsor may be given by its Contract Officer. Notices to Project Sponsor and Contractor shall, unless otherwise requested in writing, be sent by U.S. Mail, postage prepaid, and addressed as follows: Contractor: A.S. Foundation Orange County Phil Yaeger 17982 Sky Park Circle, Suite J Irvine, CA 92614 Proiect Sponsor: Santa Ana Housing Authority Attn: Housing Manager 20 Civic Center Plaza (M-27) Santa Ana, CA 92701 6 80A-30 XI. RECORDS/CONFIDENTIALITY A. The parties, and any subcontractors, shall prepare and maintain any records required by laws, regulations, and procedures applicable to their responsibilities under this Agreement. B. The parties agree to maintain the confidentiality of any records which pertain to this Agreement in accordance with applicable state and federal laws and regulations. Financial records related to this Agreement shall be maintained for two (2) years after termination of this Agreement. XII. SEVERABILITY If a court of competent jurisdiction declares any provision of this Agreement or application thereof to any person or circumstances to be invalid or if any provision of this Agreement contravenes any federal, state or county statute, ordinance, or regulation, the remaining provisions of this Agreement or the application thereof shall remain valid, and the remaining provisions of this Agreement shall remain in full force and effect, and to that extent the provisions of this Agreement are severable. XIIL STATUS OF CONTRACTOR Aids Services Foundation Orange County is, and at all times shall be deemed to be, an independent contractor and shall be wholly responsible for the manner in which it performs the services required by the terms of this Agreement. A.S. Foundation Orange County is, and at all times shall be deemed to be, entirely responsible for compensating staff and consultants employed by A.S. Foundation Orange County. This Agreement shall not be construed as creating the relationship of employer and employee, or principal and agent, between A.S. Foundation Orange County and Project Sponsor employees, agents, or subcontractors. A.S. Foundation Orange County assumes exclusively the responsibility for the acts of its employees, agents or subcontractors as they relate to the services to be provided during the course and scope of their employment. A.S. Foundation Orange County, its agents, employees, or subcontractors, shall not be entitled to any rights or privileges of Project Sponsor employees and shall not be considered in any manner to be Project Sponsor employees. XIV. NON-ASSIGNABILITY AND DELEGATION Contractor shall not assign any rights under this Agreement except upon written authorization from Project Sponsor. XV. TERM The term of this Agreement shall commence July 1, 2013 and terminate June 30, 2014, unless terminated earlier as provided in this Agreement; provided, however, A.S. 7 8OA-31 Foundation Orange County shall be obligated to perform such duties as would normally extend beyond this term, including but not limited to, obligations with respect to indemnification, audits, reporting and accounting. XVI. TERMINATION A. Any party may terminate this Agreement, without cause, upon ninety (90) days written notice given the other parties. B. Any party may terminate this Agreement, upon thirty (30) days written notice given the other parties for material breach after failure to resolve the breach pursuant to the Dispute Resolution paragraph of this Agreement. C. The rights and remedies of Contractor, or the Project Sponsor provided in this Termination paragraph shall not be exclusive, and are in addition to any other rights and remedies provided by law or under this Agreement. XVII. THIRD PARTY BENEFICIARY No party hereto intends that this Agreement shall create rights hereunder in third parties including but not limited to any subcontractors or any patients provided services hereunder. XVIIL WAIVER OF DEFAULT OR BREACH Waiver of any default by Contractor or Project Sponsor shall not be considered a waiver of any subsequent default. Waiver of any breach by Contractor or Project Sponsor of any provision of this Agreement shall not be considered a waiver of any subsequent breach. Waiver of any default of any breach by Contractor or Project Sponsor shall not be considered a modification of the terms of this Agreement. 8 8OA-32 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date stated above. ATTEST: APPROVED AS TO CONTENT: Santa Ana Housing Authority "Project Sponsor" Maria D. Huizar Secretary APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Lisa E. Storck Assistant City Attorney 9 Sandi Gottlieb Interim Executive Director A.S. FOUNDATION ORANGE COUNTY - "Contractor" Phil Yaeger A.S. Foundation Orange County 8OA-33 8OA-34