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FULL PACKET_2014-06-03
MINUTES OF THE REGULAR MEETING OF THE CITY COUNCIL OF THE CITY OF SANTA ANA, CALIFORNIA MAY 20, 2014 CLOSED SESSION MEETING CALLED TO ORDER COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 5:10 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor SAL TINAJERO, Mayor Pro Tern (5:54 p.m.) P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA VINCENT F. SARMIENTO COUNCILMEMBERS Absent: ANGELICA AMEZCUA STAFF Present: DAVID CAVAZOS, City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council PUBLIC COMMENTS – None COUNCIL RECESSED to Room 147 for Closed Session discussion at 5:10 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: CONFERENCE WITH LEGAL COUNSEL—Government Claims Act pursuant to Paragraph (3) of subdivision (e) of Section 54956.9 of the Government Code: Claim No. 2014 -056, Ruiz, Augustine and Arzola, Raymundo CITY COUNCIL MINUTES 1 0A -1 MAY 20, 2014 2. CONFERENCE WITH LEGAL COUNSEL -- EXISTING LITIGATION pursuant to Paragraph (1) of subdivision (d) of Section 54956.9 of the Government Code: 1. Frank Lindsay v. City of Santa Ana et al., Case No. 08:14 -CV -00710 2. People /City v. Mark Burcaw, et al., 651 E. Edinger Ave.; Case No. 30 -2012- 00567205 3. The Old Orchard Conservancy v. City of Santa Ana; Case No. 30 -2014- 00714225 4. People /City v. Burcaw Family Trust, 1638 E. 17th St.; Case No. 30 -2013- 00668708 5. People /City v. Donald Hansen, et al., 3619 W. Pendleton, Unit A; Case No. 30- 2013 - 00690606 6. People /City v. Hillview Building, LLC, 1823 E. 17th St.; Case No. 30 -2014- 00705937 7. People /City v. Pacific Point, 1820 E. Gary #130; Case No. 30 -2013- 00694308 8. People /City v. Roma Bridge, 1601 W. 1st "A'; Case No. 30- 2013- 00690600 9. People /City v. Tam Nguyen, 1820 E. Gary, #204; Case No. 30 -2013- 0069433 10. People /City v. Roma Bridge, et al., 1605 W. First Street Units B &C; Case No. 30- 2013 - 00690596 11. People /City v. Lawrence O'Boyle, et al., 1423 N. Main Street; Case No. 30- 2013- 00694286 12. People /City v. Michael A. Ditch, 1815 So. Main Street; Case No. 30 -2013- 00694143 13. People /740 Broadway PV LLC, 1820 Garry Unit 221; Case No. 30 -2014- 00709107 14. People /City v. Mamo Real Estate, Inc., et al., 1139 W. 17th Street; Case No. 30 -2014- 00704524 15. People /City v. Harvey Kagasoff, et al. , 3701 W. 1 st Street; Case No. 30 -2014- 00709107 CITY COUNCIL MINUTES 2 MAY 20, 2014 1 0A -2 3. C! 16. People /City v. Ziegler Properties, 980 N. Harbor Blvd., #101; Case No. 30- 2014- 00709091 17. People /City v. John Robert Warren, et al., 1615 N. French #101; Case No. 30- 2014 - 00711565 CONFERENCE WITH REAL PROPERTY NEGOTIATOR pursuant to Government Code Section 54956.8. Address of Property: Centennial Education Center 2900 W. Edinger Avenue Santa Ana, CA 92704 Negotiators: City Manager David Cavazos, Parks, Recreation & Community Services Agency Director Gerado Mouet and Chancellor of the Rancho Santiago Community College District (RSCCD) Raul Rodriguez Terms: Price and Terms of Lease CONFERENCE WITH LABOR NEGOTIATOR pursuant to Government Code Section 54957.6(a): Agency Negotiators: Personnel Services Executive Director, Ed Raya Employee Organizations: Santa Ana Police Management Association (PMA) Service Employees' International Union (SEIU) Part-time Civil Service Employees CLOSED SESSION REPORT — See Item 19A. for any reportable actions. ADJOURNED THE CLOSED SESSION MEETING AT 6:20 P.M. AND CONVENED TO THE REGULAR OPEN MEETING CITY COUNCIL MINUTES 3 MAY 20, 2014 1 0A -3 CALLED TO ORDER REGULAR OPEN SESSION COUNCIL CHAMBER 22 CIVIC CENTER PLAZA SANTA ANA, CA 6:22 P.M. ATTENDANCE COUNCILMEMBERS Present: MIGUEL A. PULIDO, Mayor SAL TINAJERO, Mayor Pro Tern ANGELICA AMEZCUA (6:37 p.m.) P. DAVID BENAVIDES MICHELE MARTINEZ ROMAN A. REYNA VINCENT F. SARMIENTO PLEDGE OF ALLEGIANCE INVOCATION PRESENTATIONS COUNCILMEMBERS Absent: None STAFF Present: DAVID CAVAZOS, City Manager SONIA R. CARVALHO, City Attorney MARIA D. HUIZAR, Clerk of the Council TERESA HERRERA, TAFT ELEMENTARY SCHOOL ROGER ARAGON, POLICE CHAPLAIN PROCLAMATION presented by MAYOR PULIDO to Dr. America Bracho for her exemplary citizen participation and services to the Santa Ana community. CERTIFICATE OF RECOGNITION presented by MAYOR PULIDO to Karla Nava for being selected as a 2014 Disneyland Resort Scholarship program recipient. CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER MARTINEZ to the Santa Ana Valley High School Chef team for their recent win in the Cooking Up Change competition hosted by Kid Healthy and Northgate Gonzalez Markets. CITY COUNCIL MINUTES 4 MAY 20, 2014 1 0A -4 PROCLAMATION presented by COUNCILMEMBER REYNA recognizing the Orange County Fire Authority for declaring Memorial Day through Labor Day as "Drowning Prevention Awareness' months in Santa Ana. CERTIFICATE OF RECOGNITION presented by COUNCILMEMBER SARMIENTO to the Santa Ana College Circle K Club for their completion of the wrought iron fence at the Kiwanis Barrier Free Park. PROCLAMATION presented by MAYOR PRO TEM TINAJERO recognizing the Santa Ana Public Works department for proclaiming the week of Sunday, May 18 — Saturday, May 24, 2014 as `Public Works Week' in Santa Ana. PROCLAMATION presented by MAYOR PRO TEM TINAJERO and COUNCILMEMBER SARMIENTO recognizing May 22nd as Harvey Milk Day. CLOSED SESSION REPORT — No reportable actions. PUBLIC COMMENT • Clark Casler, member of SACReD, pleased with 5 -year Strategic Plan and additional funding that benefit residents such as code enforcement, public viewing portals, health and wellness programs, and arts and culture receiving new funding, and internship programs; however, concerned with City's contract with Immigration and Customs Enforcement (ICE). • Joshua Wayne Moore, encourage job creation, education and social program for artist in the community; request full funding for arts and culture commission to further improve the community. • Manuela Lopez, expressed gratitude for approving 5 -year Strategic Plan and funding of many of the programs such as Garfield Community Center and expansion of the E- Library. • Irma Jauregui, thanked all for including community in funding priorities of the 5 -year Strategic Plan. • Jose Rea, echoed comments by Irma Jauregui and funding for the Pacific Electric Park and community garden at Madison; concerned with recent pedestrian fatality on May 5th; urged all to make safety a top priority as included in the Strategic Plan. • Ginelle Hardy, supports continued improvements at the South Main Street corridor. • Victor Payan, request full funding for arts programs; support at the State level important to enhance code enforcement. • Sandra Pocha Pena, spoke in support of Agenda Item 65A and full funding for arts program and Arts and Culture commission. • Sharon Barlow, President of the South Main Street Merchants Association, thanked the City Manager for support of South Main Street area; urged full funding to make SOMOS program successful. CITY COUNCIL MINUTES 5 MAY 20, 2014 1 0A -5 • George Estrada, spoke on Agenda Item 65B, concerned with proposal to increase council compensation and eliminate $1,000 restriction on campaign contributions. • Skeith Devine, does not support any budget cuts as it related to art programs; propose affordable housing for the artist. • Dylan Thomson, spoke on behalf of the OC May Day Coalition, thanked Councilmember Martinez and City Manager for meeting with Coalition; request profitability report on the jail and supports cancellation of contract with ICE; supports increased compensation for City Council members. • Claudia Ramirez, representative of OC May Day Coalition, concerned with City's contract with ICE and request accurate information as it related to the contract. • Scott Sink, request Jail profitability report and meeting with City Manager to discuss jail options. • Octavio Pina, Vice President of the South Main Street Merchants Association, thanked the City Council for including funding in 5 -year Strategic Plan and request support for sustainable projects. • Thomas Gordon, spoke in opposition to proposed City Council compensation increase. CONSENT CALENDAR ITEMS MOTION: Approve Consent Calendar Items 10A through 31A as recommended by staff with the following modifications: • Councilmember Martinez pulled Agenda Items 20A and 25G for separate discussion. MOTION: Tinajero VOTE: AYES: NOES: ABSTAIN ABSENT: Items removed for s show the actual vot motion. MINUTES CITY COUNCIL MINUTES SECOND: Amezcua Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) None (0) None (0) None (0) on or modified are highlighted. Se ADMINISTRATIVE MATTERS 6 1 0A -6 MAY 20, 2014 10A. MINUTES FROM THE REGULAR MEETING OF MAY 6, 2014 - Clerk of the Council Office MOTION: Approve Minutes. BOARDS / COMMISSIONS / COMMITTEES 13A. APPOINT TISH (GUADALUPE) LETICIA LEON TO THE COMMUNITY REDEVELOPMENT AND HOUSING COMMISSION, RECOMMENDED BY COUNCILMEMBER REYNA AS THE WARD 5 REPRESENTATIVE FOR A TERM EXPIRING DECEMBER 13, 2016 — Clerk of the Council Office MOTION: Appoint Tish (Guadalupe) Leticia Leon to the Community Redevelopment and Housing Commission (Ward 2 Resident, Replaces L. Bist). FINAL TRACT MAP NOTIFICATIONS - Pursuant to Section 34 -183 of the Santa Ana Municipal Code, the City Engineer has received this Final Map and is in the process of reviewing the map for final approval. The City Engineer shall approve or disapprove this map within 10 days of the City Council Meeting. 17A. CERTIFICATION AND APPROVAL BY CITY ENGINEER — FINAL PARCEL MAP NO. 2006 -197 (626 SOUTH NEWHOPE STREET) - Public Works Agency MOTION: Receive and file. MISCELLANEOUS ADMINISTRATION 19A. CONFIRMATION OF CLOSED SESSION ACTION(S) — None 19B. EXCUSED ABSENCES — None 19C. DESTRUCTION OF OBSOLETE CITY RECORDS - Police Department MOTION: Approve the requests for the destruction of obsolete records from various City departments in accordance with the retention schedule outlined in City Council Resolution 2013 -014. The Citywide Records Retention Schedule has specific retention periods for many City documents. The Schedule is modeled after the California Secretary of State's sample for local government and incorporates other statutory periods applicable to Santa Ana. These are minimum retention periods. Each department makes discretionary decisions on whether to retain records past the minimum requirements. CITY COUNCIL MINUTES 7 MAY 20, 2014 1 0A -7 BUDGETARY MATTERS APPROPRIATION ADJUSTMENTS Councilmember Martinez requested clarification on request for additional funding. Interim Executive Director of Public Works, William Galvez detailed the history and street priority. Councilmember Sarmiento noted that over 300 miles of street recently renovated; some streets in need for repair. MOTION: 1. Approve a contract change order to add local street improvements to the construction contract with All American Asphalt in the amount of $1,000,000, which increases the total estimated contract to $7,786,182. 2. Authorize the City Manager to execute said change order in an amount not to exceed $1,000,000 for construction of local streets. 3. Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2014 -095 - Recognizing $176,271 in unrecognized interest earnings on Gas Tax revenue bond proceeds, transferring the funds to the Gas Tax Residential Street Improvement revenue account, and appropriating the same into the Gas Tax Residential Street Improvement expenditure account, which totals $1,000,000 when added to the undesignated bond proceeds of $823,729. MOTION: Martinez VOTE: AYES: NOES: ABSTAIN ABSENT: SECOND: Sarmiento Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) None (0) None (0) None (0) CITY COUNCIL MINUTES 8 MAY 20, 2014 1 0A -8 SPECIFICATIONS — PURCHASE OF EQUIPMENT AND SERVICES 22A. SPEC. NO. 14 -029 - PURCHASE OF COMPUTERS - Finance & Management Services Agency, Parks, Recreation and Community Services Agency, and Public Works Agency MOTION: Award a contract to Dell Computer Corporation for the purchase of computers for the, in an amount not to exceed $134,300, subject to non- substantive changes approved by the City Manager and City Attorney. AGREEMENTS 25A. AGMT NO. 2014 -113 - HELICOPTER SERVICES - Police Department MOTION: Direct the City Attorney to prepare and authorize the City Manager and Clerk of the Council to execute a one -year agreement with two one -year renewal options, with the Orange County Sheriff's Department, in an amount not to exceed $1,227,627 over a three -year period, subject to non - substantive changes approved by the City Manager and City Attorney. 25B. AGMT NO. 2014 -114 - HOUSING FOR FEDERAL INMATES - Police Department First increase in eight years and represents a 28% increase in the per diem. MOTION: Authorize the City Manager and the Clerk of the Council to execute a new housing agreement (No. 12 -94 -0006) with the United States Marshals Service the per diem rate of $105 per inmate, subject to non - substantive changes approved by the City Manager and City Attorney. 25C. AGMT NO. 2014 -115 - SETTLEMENT AGREEMENT WITH THE SMOG PLACE FOR THE GRAND AVENUE IMPROVEMENTS AND WIDENING PROJECT (PROJECT NO. 081732 NONGENERAL FUND) - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute a Loss of Business Goodwill Agreement with Antonio Rios dba The Smog Place, the tenant of the property located at 1222 East Fourth Street, Unit B (APN 398 - 385 -03), in the amount of $30,000, for the loss of CITY COUNCIL MINUTES 9 MAY 20, 2014 1 0A -9 business goodwill, subject to non - substantive changes approved by the City Manager and City Attorney. 25D. AGMT NO. 2014 -116 - SECURITY GUARD SERVICES AT VARIOUS CITY FACILITIES - Public Works Agency MOTION: Authorize the City Manager and Clerk of the Council to execute a second amendment with G4S Secure Solutions (USA) Inc., subject to non - substantive changes approved by the City Manager and City Attorney, increasing compensation by $62,978.28, for a total amount not to exceed $567,243 per year, for the period of one year, commencing June 1, 2014, with the option to extend the term for up to two additional one -year terms. 25E. PROVIDE ADVANCED ENERGY - EFFICIENT TECHNOLOGY IN CITY HALL AND ROSS ANNEX - Finance & Management Services and Public Works Agency MOTION: 1. AGMT NO. 2014 -117 - Authorize the City Manager and Clerk of the Council to execute an agreement with Siemens Industry, Inc., to implement an Energy Management System and provide advanced energy- efficient lighting technology in City Hall and the Ross Annex in an amount not to exceed $620,000, for a 13 -month term expiring on June 30, 2015 subject to non - substantive changes approved by the City Manager and City Attorney, 2. AGMT NO. 2014 -118 - Authorize the City Manager and Clerk of the Council to execute an agreement with Southern California Edison, to provide no -cost funding through On -Bill Financing to implement advanced energy efficiency technology in City Hall and the Ross Annex, subject to non - substantive changes approved by the City Manager and City Attorney, 25F. FINANCIAL SYSTEM SOFTWARE LICENSES - Finance & Management Services MOTION: Authorize an order form with Infor (US) Inc., formerly Lawson Software Americas, Inc., against Agreement No. A- 2008 -037 for Lawson financial system software licenses in an amount not to exceed $159,610 and maintenance not to exceed $31,922, with two one year maintenance renewals in accordance with the terms of the order form, subject to non - substantive changes approved by the City Manager and City Attorney. CITY COUNCIL MINUTES 10 MAY 20, 2014 1 0A -10 25G. Councilmember Martinez request presentation by City Manager on smart meters. City Manager Cavazos noted that meters will also make City staff more efficient and increase revenue. MOTION: Authorize the City Manager and the Clerk of the Council to execute an agreement with IPS Group, Inc. for the purchase of smart parking meters, parking sensors, and data management to replace regular on- street meters in Downtown Santa Ana, in an amount not to exceed $500,000, subject to non - substantive changes approved by the City Manager and City Attorney. MOTION: Martinez SECOND: Sarmiento VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) LAND USE MATTERS CONDITIONAL USE PERM ITIVARIANCES 31 A. CONDITIONAL USE PERMIT NO. 2014 -07 TO ALLOW A 58 -FOOT HIGH WIRELESS FACILITY FOR VERIZON AT 711 SOUTH GRAND AVENUE — CORE DEVELOPMENT SERVICES, APPLICANT- Planning and Building Agency Planning Commission approved recommended action on April 28, 2014, by a vote of 7 -0. MOTION: Receive and file the staff report approving Conditional Use Permit No. 2014 -07 as conditioned. * *END OF CONSENT CALENDAR** CITY COUNCIL MINUTES 11 MAY 20, 2014 1 0A -11 BUSINESS CALENDAR ITEMS RESOLUTIONS 55A. PROPOSED AMENDMENT TO CLASSIFICATION AND COMPENSATION PLAN TO ADD ONE FULL -TIME JOB TITLE, ACTIVE TRANSPORTATION COORDINATOR - Personnel Services Agency Continued from the May 6, 2014 City Council meeting by a vote of 7 -0. MOTION: Adopt a resolution. RESOLUTION NO. 2014 -023 - A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA TO AMEND RESOLUTION NO. 82 -110 TO AMEND THE CITY'S BASIC CLASSIFICATION AND COMPENSATION PLAN TO CREATE THE FULL TIME CLASSIFICATION TITLE OF ACTIVE TRANSPORTATION COORDINATOR MOTION: Martinez SECOND: Tinajero VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) REPORTS 65A. APPROVAL OF FUNDS FOR THE FIVE -YEAR STRATEGIC PLAN - Finance & Management Services Continued from the April 15, 2014 and May 6, 2014 City Council meetings by a vote of 7 -0, respectively. Councilmember Sarmiento commented on need to have clear process and response to community's priorities; presumed that City Council would have discretion on how to allocate funds, thanked the City Manager for recommendations. CITY COUNCIL MINUTES 12 MAY 20, 2014 1 0A -12 Councilmember Amezcua questioned impact to budget if recommendation approved. City Manager Cavazos noted that additional funds have been identified and do not negatively impact general budget. Councilmember Reyna noted historical significance of item; supports recommendation as proposed. Councilmember Benavides pleased with community participation and City's first attempt to approve a Strategic Plan. Mayor Pro Tern Tinajero reflected on community outreach, participation and priorities of community; process improvement for coming years. Councilmember Martinez indicated that some items have asterisks to denote on -going programs; funding should be equitable, sustainable and have a balanced approach to promote all goals; request guidelines on funding future programs. Mayor Pulido cautioned that funding may not be sustainable for next 5- years; request input in process such as going back to Council Committees. Councilmember Sarmiento disagree with plan that funds a plan; prefer tangible programs and services such as e- library and after school programs; need for infrastructure improvements. Councilmember Amezcua proposed amendment to allocate additional funds for academic programs; seconded by Councilmember Sarmiento. Discussion ensued. Motion withdrawn by maker of the Amendment. Councilmember Martinez remarked that 19 programs have re- occurring costs and 5 programs are one -time costs. MOTION: Approve an appropriation adjustment. (Requires five affirmative votes) APPROPRIATION ADJUSTMENT NO. 2015 -001 - Recognizing revenue for the fiscal year 2014 -15 budget in the amount of $2,280,000 unchanged from the original staff recommendation and an additional $734,500 in new Santa Ana Jail revenue for a total of $3,014,500 in various General Fund revenue accounts and appropriate funds to various departmental expenditure accounts for the implementation of the five -year Strategic Plan. MOTION: Reyna SECOND: Benavides VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) NOES: None (0) CITY COUNCIL MINUTES 13 MAY 20, 2014 1 0A -13 ABSTAIN: None (0) ABSENT: None (0) 656. AD HOC COUNCIL COMMITTEE REPORT - PROPOSED CHARTER AMENDMENTS ON CIVIL SERVICE APPLICATION TO DEPARTMENT HEADS, COMPENSATION OF COUNCIL AND CAMPAIGN REFORM — City Attorney's Office Councilmember Benavides reflected on 2007 Charter Review Committee's recommendation that included some of the proposed amendments to the City Charter. MOTION: 1. Receive and file report from the Ad Hoc Committee. 2. Direct City Attorney and Clerk of the Council to prepare necessary documents to place proposed Charter amendments on the ballot for November 2014 election. MOTION: Benavides SECOND: Reyna VOTE: AYES: Amezcua, Benavides, Martinez, Pulido, Reyna, Sarmiento, Tinajero (7) NOES: None (0) ABSTAIN: None (0) ABSENT: None (0) COMMENTS 90A. CITY MANAGER'S COMMENTS City Manager Cavazos thanked Assistant Finance Director, Robert Cortez and staff for work on the Strategic Plan and noted that Streetcar Project well underway. 906. CITY COUNCILMEMBER COMMENTS CITY COUNCIL MINUTES 14 MAY 20, 2014 1 OA -14 Councilmember Amezcua: • Thanked all for efforts to bring forth the 5 -year Strategic Plan; and • Supports Arts & Culture Commission. Councilmember Reyna: • Congratulated all graduates and wished them best of luck; • Participated in the Higher Education Center at Santa Ana Library, in attendance was Congresswoman Loretta Sanchez and members of the Rancho Santiago Community College District; • Encouraged all to shop in Santa Ana; and • Announced that eSports Arena having grand opening in Downtown Santa Ana. Councilmember Benavides: • Historic event in approving Strategic Plan and funding; • Attended ribbon cutting for Garfield Fitness Center; Promises Made, Promises Kept; • Commented on recent incidents over the weekend that challenge the community; need creative solutions; and • Attending model program in Compton to integrate faith community. Councilmember Martinez: • Thanked and congratulated Interim Public Works Director, William Galvez and staff during Public Works Week; approved new position for Active Transportation Coordinator that will be key; • Recognized staff for actively applying for grants and receiving competitive funds; • Noted that City has high pedestrian fatality rates; • Commented on grand opening of Garfield Fitness Center and appreciate Parks, Recreation and Community Services Director and staff for efforts; • Consider efforts by City Council that benefit the community Councilmember Sarmiento: • Echoed comments by Councilmember Martinez; testament that staff respected and decorum maintained; • Commented on importance of Strategic Plan and process employed; value judgments need to be incorporated in future allocations; thanked community for participation; and • Thanked for adjourning meeting in memory of LAPD Officer Roberto Sanchez. Mayor Pro Tern Tinajero: • Commented on Agenda Item 65B, noted that in 1952 the salary for City Councilmembers set and has not been amended since; proposal is fair CITY COUNCIL MINUTES 15 MAY 20, 2014 1 0A -15 and consistent with State levels; also regulations on campaign contributions confusing; and • Congratulated Sierra Preparatory Academy for winning first Speech Tournament; • City of Santa Ana has award winning water and asked all to fill it from the tap; and • Little League and Pony League competitions underway; • Congratulated Santa Ana Braves for winning first tournament; and • Mexican Delegation and Canadian Delegation coming to Santa Ana. Mayor Pulido: • Congratulated staff and consultants for submitting document to the Federal Government to start process on Streetcar Project; • City enjoying better economy and efficiency measures; • Reminded all of blessings and adjourned meeting in Memory of LAPD Officer Roberto Sanchez. Adjourn in Memory of City of Los Angeles Police Officer and Santa Ana Resident Roberto Sanchez ADJOURNED- 9:22 p.m. The next meeting of the City Council is scheduled for Tuesday, June 3, 2014 at 5:00 p.m. for the Closed Session Meeting immediately followed by the Regular Open Business Meeting at 5:45 p.m. in the Council Chamber, 22 Civic Center Plaza, Santa Ana, California. Maria D. Huizar, Clerk of the Council FUTURE AGENDA ITEMS • Street Car Project Locally Preferred Alignment • Harbor Blvd. Mixed -Use Plan • Solar Permit Fee Waiver • Dangerous and Abandoned Buildings • Proactive Rental Enforcement Program Renewal CITY COUNCIL MINUTES 16 MAY 20, 2014 1 0A -16 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 3, 2014 TITLE: QUARTERLY REPORT FOR HOUSING DIVISION PROJECTS AND ACTIVITIES JANUARY 2014 — MARCH 2014 CITY MAN R RECOMMENDED ACTION Receive and file. DISCUSSION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on t' Reading ❑ Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER This status report for the quarter ending on March 31, 2014 provides statistics for the day -to -day affordable housing activities. The report is divided into three sections: Loan Activity, Loan Portfolio Management and Monitoring, and Development Projects. Loan Activity Applications The Housing Division offers several different programs including homebuyer down payment assistance and rehabilitation loans for historic single - family, single - family and mobile homes. Inquiries are received from the public and applications are mailed out and received for these programs on a continuing basis. Table 1 shows the number of inquiries, applications sent out, received and approved by type for the quarter and the fiscal year to date. Table 1: Applications Sent Out, Received & Approved Program Inquiries Applications Sent Out Applications Received Applications Approved Q3 FYTD Q3 FYTD Q3 FYTD Q3 FYTD Single-Family Rehabilitation 40 156 38 130 2 9 1 5 Mobile Home Rehabilitation 9 33 7 25 1 4 1 1 Homeownership 381 411 309 333 4 4 1 1 19C -1 Quarterly Report Housing Division Projects and Activities (Jan — Mar 2014) June 3, 2014 Page 2 Rehabilitation Loan Underwritinq and ADDroval Process Staff reviews applicant eligibility, verifies income and assets, and oversees underwriting to ensure compliance with program guidelines and requirements established by the funding source. In addition, staff conducts an inspection of the property, prepares a work write up to determine rehabilitation work to be performed, and develops a budget for the work. Due to the complex funding requirements, applicants may be in underwriting several months. The length of time in underwriting is largely determined by the applicant's timely submittal of the necessary paperwork. Once approved, staff prepares all necessary loan documents, makes arrangements for execution, and reserves the required loan funds. Construction Process During this phase, homeowners receiving rehabilitation loans are guided through an open selection of contractors to complete the work on their homes. Each homeowner is given a list of contractors that have been screened by staff for license and insurance requirements. However, homeowners are allowed to select any contractor that meets these same requirements. Staff assists the homeowners in selection of a contractor, monitors the construction work, approves payments to contractors, and tracks expenditures to ensure they do not exceed available funds. At the end of this quarter, there were three homeowner rehab projects out to bid and five under construction. Homeownership Marketing and Approval Process In January, the City began marketing a new down - payment assistance program. Outreach included: Councilmember Sarmiento's newsletter, water bill insert, Nixie press release, Miniondas newspaper article, interview with Orange County Register, contact with community partners and Homebuyer Counseling Centers. Staff presented six workshops which were attended by 147 individuals, the majority being Santa Ana residents. The first workshop was covered by Telemundo and NBC news broadcasts. Staff evaluates applicant eligibility and oversees underwriting to ensure compliance with program guidelines and requirements established by HUD. Applicants must meet established income requirements, complete an eight -hour pre - purchase counseling program from a HUD - approved agency, be pre - qualified for a first mortgage and have a minimum of three percent of the purchase price from their own savings. Other HUD requirements apply, including a current maximum sales price of $390,000 for a single family home or condo or $443,000 for a newly constructed condo or home. Additionally, the property needs to be in good condition and pass an inspection by staff. Staff received a significant interest in the program and is anticipating an increase in the number of applications received and approved over the next few months. 19C -2 Quarterly Report Housing Division Projects and Activities (Jan — Mar 2014) June 3, 2014 Page 3 Loan Portfolio Management & Monitoring The Housing Division is responsible for ensuring the integrity of the residential loan portfolio. As of the end of this quarter, the principal balance was $109,316,176. This is comprised of 466 loans of which 432 are deferred or residual receipt payment loans. As shown in Table 2, the loan portfolio generated $113,311 in payments of principal and interest during the quarter: Table 2: Portfolio Revenue Monitoring As part of the requirements for these funds, staff must monitor the owner - occupancy for single family homes that have received loans, and the code compliance of units in rental projects with long -term affordability covenants. During this quarter, 71 owner occupancy recertification letters were mailed; 65 were returned and processed. Staff also audited files for 30 units in one project, and conducted code compliance inspections for 111 units in eight projects. Regulations require that only a sample be selected for inspection. Staff also inspects the grounds and common areas such as laundry rooms to ensure they also meet municipal code requirements. The majority of the inspected units as well as the grounds and common areas were found to be in compliance at the time of initial inspection. Some of the units had minor deficiencies including loose toilets, inoperative burners, faulty GFCI outlets, inoperative smoke alarms, and carbon monoxide detectors. All of the deficiencies were repaired and the units were found to be in compliance at the time of the subsequent re- inspection. Subordinations Staff received and evaluated three requests for subordination. Two were approved and one was denied because the applicant did not qualify. Subordination requests are reviewed for conformance with city policy and granted to homeowners that were refinancing their existing first mortgage to a more favorable interest rate. Per the subordination policy, no cash is allowed to be taken. 19C -3 Third Quarter FYTD Loan Payoffs $50,532 $457,792 Residual Receipts Payments $13,350 $129,533 Amortized Loan Payments $49,429 $147,513 Total $113,311 $734,838 Monitoring As part of the requirements for these funds, staff must monitor the owner - occupancy for single family homes that have received loans, and the code compliance of units in rental projects with long -term affordability covenants. During this quarter, 71 owner occupancy recertification letters were mailed; 65 were returned and processed. Staff also audited files for 30 units in one project, and conducted code compliance inspections for 111 units in eight projects. Regulations require that only a sample be selected for inspection. Staff also inspects the grounds and common areas such as laundry rooms to ensure they also meet municipal code requirements. The majority of the inspected units as well as the grounds and common areas were found to be in compliance at the time of initial inspection. Some of the units had minor deficiencies including loose toilets, inoperative burners, faulty GFCI outlets, inoperative smoke alarms, and carbon monoxide detectors. All of the deficiencies were repaired and the units were found to be in compliance at the time of the subsequent re- inspection. Subordinations Staff received and evaluated three requests for subordination. Two were approved and one was denied because the applicant did not qualify. Subordination requests are reviewed for conformance with city policy and granted to homeowners that were refinancing their existing first mortgage to a more favorable interest rate. Per the subordination policy, no cash is allowed to be taken. 19C -3 Quarterly Report Housing Division Projects and Activities (Jan — Mar 2014) June 3, 2014 Page 4 Development Projects NSP 1.2 and 3 Programs The City's intermediaries, ANR Industries, Orange Housing Development Corporation, and C &C Development, continue to look for eligible properties. Multi - Family Acquisition / Rehabilitation Projects City Council approved a loan agreement with 940 Minnie, LP for the acquisition and rehabilitation of a ten -unit apartment building located at 940 S. Minnie Street. Escrow is expected to close next quarter. In -Fill Development Proiects Habitat for Humanity of Orange County has four single - family dwellings currently under construction. The dwellings located at 1314 N. Eastwood, 793, 797 and 812 Concord are expected to be completed in July 2014. 1121 S. Cypress was purchased by a qualified family and closed escrow during this quarter. The Depot at Santiago, LP is working through planning entitlements for the development of a 70- unit affordable housing project at the northeast comer of Santa Ana Blvd. and Santiago Street. City Council approved a loan agreement with 815 N. Harbor, LP for the development of a 70 -unit affordable housing project located at the southeast corner of Harbor Blvd. and Hazard Avenue. FISCAL IMPACT There is no fiscal impact associated with this action. Shelly La ry-Bayle Housing Manager Community Development Agency SLB /kg 19C -4 CONTINUED TO FILE NUMBER CITY MANAGER RECOMMENDED ACTION Approve and authorize the City Manager and Clerk of the Council to execute agreements for Workforce Investment Act Formula Youth funds with the following youth program operators for Program Year 2014 -2015, for a total amount of $819,200 for the period of July 1, 2014 through June 30, 2015: YOUTH PROGRAM OPERATOR AMOUNT REQUEST FOR COUNCIL ACTION'' 111P 1� A. CITY COUNCIL MEETING DATE: $136,400 CLERK OF COUNCIL USE ONLY: JUNE 31 2014 To provide training leading to customer service certification, job TITLE: APPROVED ❑ As Recommended DISTRIBUTION OF WORKFORCE ❑ As Amended INVESTMENT ACT FORMULA YOUTH Orange County Children's Therapeutic Arts Center [I [I on 1" Reading ❑ Ordinance on 2n0 Reading FUNDS FOR PROGRAM YEAR 2014 -2015 ❑ Implementing Resolution To provide occupational skills in office administration, mental health ❑ Set Public Hearing For CONTINUED TO FILE NUMBER CITY MANAGER RECOMMENDED ACTION Approve and authorize the City Manager and Clerk of the Council to execute agreements for Workforce Investment Act Formula Youth funds with the following youth program operators for Program Year 2014 -2015, for a total amount of $819,200 for the period of July 1, 2014 through June 30, 2015: 25A -1 YOUTH PROGRAM OPERATOR AMOUNT YOUTH SERVED A. Orange County Asian and Pacific Islander Community Alliance $136,400 25 To provide training leading to customer service certification, job preparation, paid work experience, and post- secondary education services B. Orange County Children's Therapeutic Arts Center $212,800 27 To provide occupational skills in office administration, mental health paraprofessional, and childcare worker certification, job preparation skills, paid work experience, tutoring, mentoring, counseling, and food bank support C. Orange County Conservation Corps $200,000 25 To provide alternative secondary education and resources leading to a high school diploma, credentialed training in forklift operation, safe food handling, customer service, computer software, job preparation, and paid work experience D. Santa Ana Public Library $190,000 30 To provide post - secondary occupational skills training in digital technology, computer maintenance, and clerical customer service; paid work experience, and leadership development 25A -1 Distribution of WIA Youth Funds PY 2014 -2015 June 3, 2014 Page 2 E. Taller San Jose $80,000 10 To provide occupational skills training in the healthcare, professional business services or construction fields, internship opportunities, counseling, job preparation, and placement WORKFORCE INVESTMENT BOARD RECOMMENDATION At its regular meeting of May 15, 2014, by a vote of 18:0 (Elliott, Fischer, Gonzalez, Jimenez - Hami, Knitter, Korthuis, Maldonado, Nishimoto, Ruiz, Su absent; Didion abstained), the Workforce Investment Board recommended the action stated above. FINANCE. ECONOMIC DEVELOPMENT AND TECHNOLOGY COMMITTEE REVIEW The Finance, Economic Development and Technology Council Committee reviewed the Youth Programs Request for Proposal process at its meetings on October 14, 2013 and January 13, 2014. Under the Workforce Investment Act (WIA), the Santa Ana Workforce Investment Board (WIB) and its Youth Council are required to procure and make funding recommendations in order to provide WIA services to local qualified at -risk youth. On January 23, 2014, the Santa Ana WIB authorized the Youth Council to release a Request for Proposal (RFP) seeking providers of youth services for the period of July 1, 2014 through June 30, 2015. On March 19, 2014, six agencies submitted proposals requesting more than $1.4 million in funds. On April 1 -2, 2014, the RFP Review Committee, comprised of three Youth Council members, reviewed the proposals and finalized recommendations to fund five of the six youth service providers, who will serve 117 participants, of which 35 will be in- school and 82 will be out -of- school youth (Exhibit 1). The total allocation amount available this program year is $819,200, which is 17 percent less than the prior year; staff recommendations will result, however, in youth enrollment only decreasing by eight percent, equivalent to 10 youth. These funding recommendations account for the WIA requirement to ensure at least thirty percent of the youth funds are spent on Out -of- School Youth and the Youth Council's commitment to serve the neediest youth as outlined by the Department of Labor's "New Services under the Workforce Investment Act." This funding recommendation will ensure that the mandated 10 WIA Elements are met, the state - imposed performance measures are achieved, and that at least eighty percent of the WIA youth funds are obligated, as required by the WIA. 25A -2 Distribution of WIA Youth Funds PY 2014 -2015 June 3, 2014 Page 3 FISCAL IMPACT Funds are available in the Workforce Investment Act Youth accounts (account no. 12318750- 69135). Economic Development Spec?aRst III Community Development Agency DS /kg Exhibit: 1. Youth Funding Recommendations 2. Agreements APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 25A -3 25A -4 Youth WIA Funding Recommendations Program Year 2014 -2015 EXHIBIT 1 25A -5 Youth Cost In Out -of- Agency Name Enrollment Per School School Budget OC Asian & Pacific Islander 25 $5,456 15 10 $136,400 Community Alliance OC Children's Therapeutic 27 $7,881 5 22 $212,800 Arts Center OC Conservation 25 $8,000 0 25 $200,000 Corps Santa Ana 30 $6,333 15 15 $190,000 Public Library Taller San Jose 10 $8,000 0 10 $80,000 TOTAL 117 $A ,001 35 82 $819,200 EXHIBIT 1 25A -5 25A -6 *:/ :11.1 h WA AGREEMENT UNDER THE WORKFORCE INVESTMENT ACT THIS AGREEMENT, made and entered into this 1" day of July, 2014, by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California ( "CITY ") and Orange County Asian and Pacific Islander Community Alliance, Inc. a non- profit corporation ( "CONTRACTOR "). RECITALS: A. CITY has been designated a Local Workforce Investment Area (LWIA) under the Workforce Investment Act of 1998, Public Law 105 -220 ( "the Act "). B. The State of California has created the LWIA to administer the Act programs operated by the State of California pursuant to the Act. C. As a LWIA, CITY is entitled to receive federal funds to establish programs to prepare economically disadvantaged youths for entry into the labor market and to provide basic skills development to those individuals who are economically disadvantaged or otherwise face serious barriers to succeeding in life. One goal of California's Workforce Investment System is to provide youth with the opportunities to achieve career goals that will allow them to successfully compete in the labor market and prepare them for higher education. D. CONTRACTOR is experienced in operating education, occupational development and employment programs for economically disadvantaged youth for entry into the labor market ( "said program "). E. CONTRACTOR is willing to operate said program pursuant to the Act and California law. WHEREFORE, for and in consideration of the respective and mutual covenants and promises hereinafter contained and made, and subject to all the terms and conditions hereof, the parties hereto do hereby agree as follows: 1. CONTRACTOR'S OBLIGATIONS A. CONTRACTOR agrees to provide the following services pursuant to said program, as more specifically set forth in CONTRACTOR'S Program Narrative contained in "Exhibit A" and in the Performance Standards "Exhibit B ", attached hereto and by this reference incorporated herein. CONTRACTOR'S failure to provide said services may be grounds for CITY to readjust the level of payment to CONTRACTOR otherwise provided for hereinafter. B. CONTRACTOR agrees to provide benefits to individuals who participate in the activities and services funded by this Agreement ( "participants ") in accordance with the standards and requirements set forth in Workforce Investment Act of 1998, Public Law 105 -220. 25A -7 Page 1 or 15 C. CONTRACTOR agrees to perform the services set forth herein in a professional, timely and diligent manner. D. CONTRACTOR shall provide wages and benefits to individuals who participate in the activities and services funded by this Agreement in accordance with the standards and requirements of the Act, including Section 181 of the Act. E. CONTRACTOR shall adhere to the Labor Standards described in the Act including Section 181 of the Act. F. CONTRACTOR agrees to comply with the "Complaint Handling Procedures Under the WIA ", attached hereto as "Exhibit C" and incorporated herein as though fully set forth in 20 CFR §667.200, Subpart F. CONTRACTOR shall advise participants of their rights to file complaints under the Act and the procedures for resolution of any complaints. CITY's procedures for handling complaints alleging a violation of the Act, regulations, grants, or other agreements under the Act shall be followed and any decision of CITY, the State or the federal government relating to the complaint shall be binding and followed by CONTRACTOR. CONTRACTORS who are employers shall operate a grievance system that incorporates CITY's procedtres for resolution of complaints relating to the terms and conditions of employment; these procedures shall be approved in writing by CITY. O. As a condition of this award of financial assistance under the Act to CONTRACTOR from CITY, CONTRACTOR assures, with respect to operation of all programs or activities funded with funds provided pursuant to the Act, and all agreements or arrangements to carry out such programs or activities, that it will comply fully with the nondiscrimination and equal opportunity provisions of the Act (Section 188) and compliance with Equal Employment Opportunity provisions in Executive Order (E.O.) 11246, as amended by E.O. 11375 and supplemented by the requirements of 41 CFR Part 60; the Nontraditional Employment for Women Act of 1991; Title VI of the Civil Rights Act of 1964, as amended; section 504 of the Rehabilitation Act of 1973, as amended; the Age Discrimination Act of 1975, as amended; the Americans with Disabilities Act of 1990; and with all applicable requirements imposed by or pursuant to regulations implementing those laws, including, but not limited to, 29 CFR Part 33 and 37. The United States, the State of California and CITY have the right to seek judicial enforcement of this assurance. H. CONTRACTOR agrees that no participant(s) shall commence training prior to the approval of funding pursuant to Section 123 of the Act. 1. CONTRACTOR agrees to maintain such records and submit such reports, data and information, on the form and containing such information, at such times as CITY may request or require regarding the performance of CONTRACTOR'S services or activities, costs or other data, including but not limited to, participants' attendance, payroll records and job duty statements. CONTRACTOR agrees to forward to the Santa Ana Work Center Administrative Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California 92701 completed Workforce Investment Act Application form and supporting documents; a complete Workforce Investment Act Enrollment; any subsequent updates to; Workforce Investment Act Youth Test Scores form; Workforce Investment Act Exit form upon completion/termination of active enrollment of participant; and the Workforce Investment Act Follow -Up form within 20 days following 30, 60, 90,180, 270, and 360 days of exit. Contractor agrees to enter information on the State of California's CalJobs database 25A -8 Page 2 of 15 system as instructed and requested by the Santa Ana Work Center Administration. CITY, the State of California and the United States government and/or their representatives shall have access for purposes of monitoring, auditing and examining of CONTRACTOR'S activities, performance, books, documents, papers, and records of CONTRACTOR subcontractors, bookkeepers and accountants, and employees and participants related to this Agreement. Such agencies or representatives shall also schedule on -site monitoring in their discretion. Monitoring activities may also include, but are not limited to, questioning employees and participants and entering any premises or onto any site in which any of the services or activities funded hereunder are conducted or in which any of the records of CONTRACTOR are kept. Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law, In the event CONTRACTOR does not make the above - referenced documents available within the City of Santa Ana, California, CONTRACTOR agrees to pay all necessary and reasonable expenses incurred by CITY in conducting any audit at the location where said records and books of account are maintained. All accounting records and evidence pertaining to all costs of CONTRACTOR and all docurents related to this Agreement shall be kept available at the location where CONTRACTOR conducted the program, as well as in the County of Orange, for the duration of this Agreement and thereafter for three (3) years after completion of an audit. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY, the State of California or the United States Government take exception, shall be retained beyond the three (3) years until resolution of disposition of such appeals, litigation, claims, or exceptions. J. Without prejudice to any other section of this Agreement, CONTRACTOR shall, where applicable, maintain the confidential nature of information provided to it concerning participants in accordance with the requirements of federal and state law. Notwithstanding the foregoing, CONTRACTOR agrees to submit to CITY, the State of California and /or the United States Government or their representatives, all records requested for administrative purposes, including audits, examinations, monitoring and verification of records submitted by CONTRACTOR, costs incurred and services rendered hereunder. K. CONTRACTOR agrees to complete in triplicate, a monthly Invoice/Voucher on CITY's Invoice /Voucher form, showing in detail the amount of money already expended by CONTRACTOR hereunder, as this is a cash reimbursement contract. Accounting records must be supported by such source documentation such as cancelled checks, paid bills, payrolls, time and attendance records, contract and subgrant award documents [29 CFR— Subpart C, Section 97.20 (b)(6)]. CONTRACTOR agrees to submit the above - stated documents to the WIB Administrative Office, 1000 Fast Santa Ana Blvd., Suite 200, Santa Ana, California, 92701, by the tenth (10th) day of the month following the month in which CONTRACTOR'S services are performed. Should CONTRACTOR fail to deliver said documents to CITY, CITY shall have the option to cancel this Agreement by giving CONTRACTOR ten (10) days written notice thereof. CONTRACTOR shall either return to the CITY excess revenues over costs or use such excess revenues as program income by utilizing such program income for additional training activities authorized under the Act. L. CONTRACTOR agrees to expend all funds in accordance with all applicable 25A -9 Page 3 of 15 federal, state and local laws and regulations. CONTRACTOR also agrees to provide at CONTRACTOR'S own expense supplies and other costs of said PROGRAM. M. CONTRACTOR shall arrange independently for an audit that includes WIA funds received from CITY, in accordance with the Act, 20 CFR Section 667.200 and OMB Circular A- 133, CONTRACTOR shall submit one original of each required audit report to CITY within (30) days after the date received by CONTRACTOR. Should CONTRACTOR fail to comply with these requirements, CITY may at its option withhold payment of funds, or disallow funds or suspend additional grant funds. N. CONTRACTOR shall not expend funds pursuant to this Agreement to provide services to any participant where costs of training are paid for by any other person or entity. O. CONTRACTOR shall comply with the provisions of Circular A -102 of the U.S. Office of Management and Budget (OMB) and the related "Common Rule" entitled "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Government ", Subpart C, paragraphs 37 and 42, Circular A -128, and all other applicable federal statutes and executive orders and their implementing regulations, including regulations at 29 CFR Part 97. P. CONTRACTOR shall comply with the requirements of federal regulations found at 29 CFR 93 which provide that no appropriated funds may be expended by the recipient of a federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, member of Congress or an officer or employee of a member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. CONTRACTOR shall sign a Certification Regarding Lobbying to that effect in a form as set forth in "Exhibit D," attached hereto and by this reference incorporated herein. CONTRACTOR shall submit said signed Certification to CITY prior to performing any of its obligations under this Agreement and prior to any obligation arising on the part of CITY to pay any sums to CONTRACTOR under the terms and conditions of this Agreement. Q. CONTRACTOR agrees to provide a drug -free work place and to execute a Drug Free Workplace Certification as set forth in "Exhibit E" attached hereto and incorporated herein by this reference. R. CONTRACTOR, in accordance with the Child Support Compliance Act, recognizes and acknowledges the importance of child and family support obligations and shall fully comply with all state and federal laws relating to child and family support enforcement, including, but not limited to: disclosure of information and compliance with earnings assigmment orders, as provided in Chapter 8 (commencing with Section 5200) of Part 5 of Division 9 of the state Family Code; and, to the best of its knowledge is fully complying with the earnings assignment orders of all employees and is providing the names of all new employees to the New Employee Registry maintained by the California Employment Development Department (EDD). S. CONTRACTOR agrees to comply with all applicable provisions of the ACT and the federal regulations, including but not limited to the regulations found at 20 CFR part 629. 25A -10 Page 4 of 15 T. CONTRACTOR agrees to that it is in compliance with the Certification Regarding Debarment ( "Exhibit F ") as required by the regulations implementing Executive Order 12549, Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participants' Responsibilities. The regulations were published as Part VII of the May 16, 1988, Federal Register (Pages 19160- 19211). U. CONTRACTOR agrees to provide priority of services for veterans and eligible spouses pursuant to 20 CFR part 1010 and the regulations implementing priority of service for veterans and eligible spouses in Department of Labor job training programs under the Jobs for Veterans Act published at 73 Fed.Reg. 78132 on December 19, 2008. V. CONTRACTOR acknowledges that the official name for the statewide system of providing employment and training through the WIA partnerships and various other local programs is "America's Job Center ". To achieve the goals of this grant, it is important that the public has a quick and easy method to identify that the projects or programs they are taking part in are part of the "America's Job Center ". CONTRACTOR agrees to place the America's Job Center logo, in accordance with the State of California guidelines for such use, on all public materials such as statements, press releases, brochures, advertisements, reports and other documents describing projects or programs funded in whole or in part with WIA funds. When the America's Job Center logo is used, CONTRACTOR may accompany it with the following statement, "The (Program Name) is a proud partner of the America's Job Center network ". CONTRACTOR shall not use the America's Job Center logo in any manner that would imply that the State of California endorses a commercial product, service or activity. II. CITY'S OBLIGATIONS A. CITY agrees to pay to CONTRACTOR when, if and to the extent federal funds are received under the provisions of the Act a sum not to exceed $136,400 for CONTRACTOR'S performance in accordance with the Budget attached hereto as "Exhibit G" during the period of this Agreement. Said sum shall be paid after CITY receives invoices submitted by CONTRACTOR as provided hereinabove. B. CONTRACTOR has the ability to adjust line item amounts in the budget with the approval of the Executive Director, so long as the total Budget amount does not increase. C. CITY agrees to provide for on -site monitoring reviews of said program operation at least annually. In addition, monthly desk -top reviews of pertinent information will be conducted. D. CITY has the right to de- obligate the funds hereunder and take such funding back from CONTRACTOR due to any of the following reasons: (a) lack of performance by CONTRACTOR; (b) lack of fiscal accountability of CONTRACTOR; or (c) decrease in available funding. III. TERM OF AGREEMENT This Agreement shall commence on July 1, 2014 and all duties arising under this Agreement shall have been performed by June 3Q,;01 he term of this Agreement may be extended 11 0 Page 5 of 15 by a writing executed by the City Manager and the City Attorney. IV. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer - employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. V. WORKER'S COMPENSATION AND EMPLOYER'S RIGHTS A. CONTRACTOR shall use appropriate funds received from CITY to provide workers' compensation to all those hired by CONTRACTOR under this Agreement. B. CONTRACTOR shall have the right to hire, dismiss, or promote its employees or contract personnel hired under this Agreement so long as its hiring or dismissal policy or standard does not violate Title VII of the Civil Rights Act of 1964, Fair Labor Standards Act of 1938, or any other applicable law, and CONTRACTOR maintains itself as an Equal Opportunity employer. VI. APPLICABLE GUIDELINES A. The parties hereto agree that CONTRACTOR shall comply with all applicable federal and state laws and regulations, including, but not limited to the Performance Standards (Exhibit B) and general program requirements described in Sections 106 and 141 of the Act (29 USC Sections 1516 and 1551) and applicable regulations, and the U.S. Department of Labor guidelines and regulations, including amendments or revisions made during the terms of this Agreement. Said applicable laws are hereby incorporated by reference and made as part of this Agreement as though fully set forth herein. B. CONTRACTOR also assures and certifies that: 1. CONTRACTOR acknowledges and confirms that the U.S. Department of Labor has established three (3) common measures for youth: (a) Placement in employment or education; (b) Attainment of degree or certificate; and, (c) Literacy or numeracy gains. Pending WIA reauthorization and or U.S. Department of Labor and EDD updates, Contractor agree to implement and shall meet any additional performance measures that may be subsequently required by the Workforce Investment Act or by any other Federal, State, and local law. 2. CONTRACTOR shall comply with Title VII of the Civil Rights Act of 1964 (P.L. 83 -354) and in accordance with Title VII of the Act, no person shall, on the grounds of race, 25A -12 Page 6 of 15 color, religion, sex, age, handicap or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under this Agreement. 3. CONTRACTOR shall comply with any and all federal laws limiting the political activity of employees hired under this Agreement. 4. CONTRACTOR shall comply with the requirements that no program under the Act shall involve political activities. 5. RECORD INSPECTION. CONTRACTOR shall provide the U.S. Department of Labor and the Controller General, by and through any authorized representative, as well as the WIB Administrative Office, access to and the right to examine all records, books, papers or documents relating to the accounting and use of funds under this Agreement for a three -year period from and after the effective date of this Agreement. 6. No person with responsibilities in the operation of any program under the Act shall discriminate with respect to any program participant or any application for participation in such program because of race, creed, color, national origin, sex, political affiliation or beliefs. 7. CONTRACTOR shall maintain appropriate standards for health and safety in work and training situations. 8. CONTRACTOR shall comply with general provisions, assurances, and execute the Assurances and Certifications attached hereto as "Exhibit H" and incorporated herein. 9. EQUAL OPPORTUNITY. Any literature distributed by CONTRACTOR for the purpose of apprising businesses, participants, or the general public of its programs under this Agreement shall state that its programs are supported by the City of Santa Ana and the Santa Ana Workforce Investment Board, and shall state that the program is an "equal opportunity employer /program" and that "auxiliary aids and services are available upon request to individuals with disabilities." 10. Based on the population eligible to be served, or likely to be directly affected by the WIA program or activity, the services or information may need to be provided in a language other than English in order to allow such population to be effectively informed about or able to participate in the program or activity. Pursuant to 29 CFR 37.35, CONTRACTOR must take reasonable steps to provide services and information in appropriate languages after considering the scope of the program or activity, and the size and concentration of the population that needs services or information in a language other than English. 11. CONTRACTOR certifies that all property, finished or unfinished documents, data, studies and reports prepared or purchased under this Agreement, will be disposed of in accordance with the direction of the CITY. In addition, any tools and /or equipment furnished to the CONTRACTOR by the CITY and/or purchased by the CONTRACTOR with funds pursuant to this Agreement, will be limited to use within the activities outlined in this agreement and will remain the property of the United States Government and/or CITY. Upon termination of this Agreement, CONTRACTOR will immediately return such tools and /or equipment to the CITY or dispose of them in accordance with the direction of the CITY. 25A -13 Page 7 of 15 12. CONTRACTOR certifies that this Agreement does not provide for the advancement or aid to any religious sect, church or creed, or sectarian purpose nor does it help to support or sustain any school, college, university, hospital or other institution controlled by any religious creed, church, or sectarian denomination, as specified by Article XVI, Section 5, of the Constitution of the State of California, regarding separation of church and state. 13. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The CONTRACTOR will disclose to the CITY any invention, written product, computer program developed or data assembled as a result of performance of work under this Agreement within seventy four (74) days of invention, development or assembly. The CITY, State of California, and U.S. Department of Labor will have the right to patent any invention and copyright any written product or computer program or data generated by CONTRACTOR. Upon written request, CONTRACTOR will transfer all pertinent information, specifications and right, title and interest to the designated agency. 14. INVENTIONS, PATENTS AND COPYRIGHTS. A. Reporting Procedure. If any project produces patentable items, patent rights, processes, or inventions in the course of work under a U.S. Department of Labor (DOL) grant or agreement, the CONTRACTOR shall report the fact promptly and fully to the CITY. The CITY shall report the fact to the Grant Officer, at the DOL. Unless there is a prior agreement between the CITY and the DOL and its representative on these matters, the DOL shall determine whether to seek protection on the invention or discovery. The DOL and its representative shall determine how the rightsin the invention or discovery, including rights under any patent issued thereon, will be allocated and administered in order to protect the public interest consistent with the "Governmental Patent Policy" (President's Memorandum for Heads of Executive Departments and Agencies, August 23, 1971, and Statement of Government Patent Policy as printed in 36 FR 16889). B. Copyright Policy. 1. Unless otherwise provided in the terms of the grant or agreement, when copyright - able material is developed in the course of or under a DOL Grant or agreement, the author and the CITY which developed the work is free to copyright material or to permit others to do so. The CONTRACTOR and the Workforce Investment Board (WIB) shall have a royalty -free, nonexclusive and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted material. 2. The DOL reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The copyright in any work developed under any grant, sub-grant, or contract under a grant or subgrant; (b) Any right of copyright to which a grantee, subgrantee or a CONTRACTOR purchases ownership with grant support; and (c) CONTRACTOR shall comply with the requirements of 29 CFR Part 97.34. C. Rights to Data. The DOL and the CITY shall have unlimited rights to any data first procured or delivered under this Agreement. 15. CLEAN AIR / CLEAN WATER ACT. If the grant hereunder exceeds $100,000, CONTRACTOR must comply with Section 306 of the Clean Air Act [(42 USC 1875(h)]; Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and Environmental 25A -14 Page 8 of 15 Protection Agency ( "EPA ") regulations (40 CFR Part 15) as any may now exist or be hereafter amended. Under these laws and regulations, the CONTRACTOR assures that: (a) No facility to be utilized in the performance of the proposed grant has been listed on the EPA List of Violating Facilities; (b) It will notify CITY prior to award of the receipt of any communication from the Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be utilized for the grant is under consideration to be listed on the EPA List of Violating Facilities; (c) It will notify the CITY and the EPA about any known violation of the above laws and regulations. 16. CONTRACTOR agrees to adhere to the following STANDARDS OF CONDUCT: a. General Assurance. Every reasonable course of action will be taken by CONTRACTOR in order to maintain the integrity of this expenditure of public funds and to avoid favoritism. This Agreement will be administered in an impartial manner, free from errors to gain personal, financial, political gain. CONTRACTOR, its officers and employees, in administering this Agreement, will avoid situations which give rise to a suggestion that any decision was influenced by prejudice, bias, special interest or desire for personal gain. b. Employment of Former State or CITY Employ. CONTRACTOR will ensure that any of its employees who were formerly employed by the State of California or CITY, in position that could have enabled such individuals to impact policy regarding or implementation of programs covered by this Agreement, will not be assigned to any part or phase of the activities conducted pursuant to this Agreement for a period of not less than two (2) years following the termination of such employment. c. Conducting Business Involving Relatives. No relative by blood, adoption or marriage of any executive or employee of CONTRACTOR will receive favorable treatment when considered for enrollment in programs provided by, or employment with, CONTRACTOR. d. Conducting Business Involving Close personal Friends and Associates. Executives and employees of CONTRACTOR will be particularly aware of the varying degrees of influence that can be exerted by personal friends and associates and, in administering this Agreement, will exercise due diligence to avoid situations which give rise to an assertion that favorable treatment is being granted to friends and associates. When it is in the public interest for CONTRACTOR to conduct business with a friend or associate of an executive or employee of CONTRACTOR, an elected official in the area or a voting or non - voting member of the Workforce Investment Board (WIB), a permanent record of the transaction will be retained. e. Avoidance of Conflict of Economic Interest. No executive or employee of CONTRACTOR elected official in the area, or voting or non - voting member of a WIB, will solicit or accept money or any other consideration from a third person, for the performance of an act reimbursed in whole or part by CONTRACTOR or CITY. Supplies, materials, equipment or services purchased with Agreement funds will be used solely for purposes asserted or allowed wider this Agreement. No voting member of the WIB will cast a vote on the provision of services or vote on any matter which 25A -15 Page 9 of 15 would provide direct financial benefit to that member or any business or organization which the member directly represents. f Salary and Bonus Limitations. All Subrecipients of WIA program funds are required to comply with federal requirements regarding the limitations on salary and bonus payments in accordance with Public Law 109 -149, Section 7013, VII. HOLD HARMLESS A. CONTRACTOR shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers' compensation claims, resulting from or arising out of the negligent acts, errors or omission of CONTRACTOR, its employees or subcontractors. B. CONTRACTOR shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from and against any and all claims, demands, suits, actions or proceedings therefore, resulting from or arising out of the intentional or malicious acts of CONTRACTOR, its employees or subcontractors. VIII. INSURANCE 1. Commercial General Liability. CONTRACTOR agrees to obtain and keep in force during the term of this Agreement a policy of comprehensive commercial general liability insurance insuring the State of California, CITY, and CONTRACTOR against any liability for accident, injury or death arising out of or in consequence of this Agreement. Such insurance shall be in an amount not less than One Million Dollars ($1,000,000.00) for any injury to or death of any person or persons in any single accident or occurrence. Said policy of comprehensive general liability insurance shall be endorsed to provide to CITY and to the State of California, Employment Development Department, at least thirty (30) days written notice prior to cancellation; name CITY, its officers, agents, employees, and volunteers, and the State of California, its officers, employees, and volunteers as Additional Insured; and state that such coverage is primary to any other coverage or self - insurance of the State of California and CITY (in substantially the form as Exhibit I , Additional Insured Endorsement, attached hereto). Governmental entities may substitute a certificate of self - insurance. 2. Automobile Liability Coverage. CONTRACTOR shall also obtain and maintain, during the effective period of this Agreement, broad form automobile liability coverage with at least $1,000,000 limit unless reduced by CITY, which applies to both owned /leased and non -owned automobiles used by CONTRACTOR employees or participants in performance of this Agreement, or, in the event that CITY will not utilize such owned /leased automobiles but intends to require employees, participants or other agents to utilize their own automobiles in the performance of this Agreement, CONTRACTOR shall secure and maintain on file from all such employees, participants, or 25A -16 Page 10 of 15 agents as self - certification of automobile insurance coverage. Governmental entities may substitute a certificate of self - insurance. 3. Workers' Compensation. If CONTRACTOR is an "employer ", as set forth in California Labor Code Section 3300 et seq., or utilizes participants as "employees," as set forth in California Labor Code Section 3350 et seq., CONTRACTOR shall obtain and keep in force during the term of this Agreement full Workers' Compensation insurance coverage for injuries suffered by participants. Said insurance policy shall guarantee CITY at least thirty (30) days written notice of cancellation or modification. CONTRACTOR shall carry medical and accident insurance for those participants not qualifying as "employees" for Worker's Compensation Coverage, pursuant to California Labor Code Section 3350, et seq. 4. Equipment Coverage. CONTRACTOR shall purchase a policy or policies of insurance covering loss or damage to any and all Equipment provided to or purchased by CONTRACTOR in accordance with this Agreement. Said insurance shall be in the amount of the full replacement value thereof, providing protection against the classification of fire, extended coverage, vandalism, malicious mischief, theft, and special extended perils. Governmental entities may substitute a certificate of self - insurance. 5. Youth Protection. To maintain a safe environment, funded youth providers that serve youth under the age of 18 will need to provide a Youth Protection Policy and proof of Sexual Abuse & Molestation insurance coverage of at least $2,000,000. Youth providers will be held responsible for conducting a background clearance (live -scan) for staff that have direct interaction with youth participants that are under the age of 18. 6. Proof of Insurance. Certificates and endorsements must be submitted and approved by CITY prior to any work under this Agreement. CONTRACTOR understands that CITY will make no payments under this Agreement until the required certificates and endorsements have been approved by CITY. IX. CORPORATE STATUS All corporate contractors shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board and Internal Revenue Service. Any change in corporate status or suspension shall be reported immediately to CITY. X. ASSIGNABILITY None of the duties of, or work to be performed by, CONTRACTOR under this Agreement shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of CITY. CONTRACTOR must submit all subcontracts and other agreements that relate to this Agreement to CITY. No subcontract or assignment shall terminate or alter the legal obligations of CONTRACTOR pursuant to this Agreement. 25A -17 Page 11 of 15 XI. LAWS GOVERNING THIS AGREEMENT In its performance under this Agreement, CONTRACTOR shall fully comply with the requirements of the following, whether or not otherwise referred to in this Agreement: 1. The Act and all applicable federal statutes, regulations, policies, procedures and directives, including but not limited to, 20 C.F.R. Parts 652 and 660 through 671. 2. All applicable State statutes, regulations, policies, procedures and directives; 3. All applicable CITY policies, procedures and directives; 4. All applicable local ordinances and requirements, including use permits and licensing; 5. Court orders applicable to its operation; and, 6. The terms and conditions of this Agreement. If any of the foregoing is enacted, amended, or revised, CONTRACTOR will comply with such or will notify CITY after enactment or modification that it cannot so comply. CITY may thereupon terminate this Agreement, if necessary. XII. EXCLUSIVITY AND AMENDMENT OF AGREEMENT This Agreement supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the employment of CONTRACTOR by CITY, and contains all the covenants and agreements between the parties with respect to such employment. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any parry, or anyone acting on behalf of any party, which are not embodied herein, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both CITY and CONTRACTOR. XIII. FRAUD CONTRACTOR shall immediately report to CITY all instances and facts concerning possible fraud, abuse or criminal activity relating to expenditure or receipt of funds under this Agreement. XIV. CONTINGENCY OF FUNDS CONTRACTOR acknowledges that approval of and funding for this Agreement is contingent upon State approval, and funds received or obligated from the State of California to CITY. If such approval of funds is not forthcoming, or is otherwise limited, CITY shall immediately notify CONTRACTOR. Within twenty (20) days of receipt of such notice, CONTRACTOR shall modify or cease operations as directed by CITY and negotiate necessary modification to this Agreement and /or reimbursement of costs incurred hereunder. 25A -18 Page 12 of 15 XV. TERMINATION A. This Agreement may be terminated by either party at its sole discretion, upon thirty (30) days written notice to the other party. Notice shall be deemed served on the date of mailing. However, CONTRACTOR may not terminate this Agreement if undue hardship will result to any participant. B. In the event CONTRACTOR defaults by failing to fulfill all or any of its obligations hereunder, CITY may declare a default and termination of this Agreement by written notice to CONTRACTOR, which default and termination shall be effective on a date stated in the notice which is to be not less than ten (10) days after certified mailing or personal service of such notice, unless such default is cured before the effective date of termination stated in such notice. If terminated for cause, CITY shall be relieved of further liability or responsibility under this Agreement, or as a result of the termination thereof, including the payment of money, except for payment for approved expenses incurred for services satisfactorily and timely performed prior to the mailing or service of the notice of termination, and except for reimbursement of (1) any payments made for services not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by CITY in obtaining substitute performance. XVI. DISPUTES Except as otherwise provided in this Agreement, any dispute concerning any question arising under this Agreement shall be decided by CITY. In such a case CITY shall reduce its decision to writing and mail or otherwise furnish a copy thereof to CONTRACTOR. The decision of the City shall be final and conclusive unless within thirty (30) calendar days from the mailing or delivery of such copy, CITY receives from CONTRACTOR written request to appeal said decision. Procedures governing the appeal shall be prescribed by CITY and /or the State of California in accordance with the Act and all corresponding regulations and OMB circulars. Pending final disposition of the appeal, CONTRACTOR shall act in accordance with CITY's decision unless the dispute involves a change order. XVII. BREACH - SANCTIONS If, through any cause, CONTRACTOR violates any of the terms and conditions of this Agreement, and /or prior agreements whereby grant funds were received by CONTRACTOR pursuant to this Agreement, or if CONTRACTOR reports inaccurately or if any Audit Report makes disallowances, CONTRACTOR shall promptly remedy its acts or omissions and /or repay CITY all amounts due CITY as a result of CONTRACTOR's violation. For any such failures or violations, CITY shall also have the right at its sole discretion to either: (1) discontinue program support until such time as CONTRACTOR fulfills its obligations or remedies all violations of this Agreement or prior agreements; and /or (2) collect outstanding amounts as determined by CITY due CITY by offsetting or debiting from current claims or invoices, if after thirty (30) days' written notice CONTRACTOR has failed to repay same or a repayment schedule has not been made; and /or (3) terminate this Agreement by giving written notice to CONTRACTOR of such termination in accordance the notice provision in Paragraph XVIII herein below. 25A -19 Page 13 of 15 XVIII. NOTICES All notices, reports and correspondence between the parties hereto respecting this Agreement shall be in writing and deposited in the United States Mail, postage prepaid, addressed as follows: CITY: City of Santa Ana Manager, WIB Administrative Office P.O. Box 1988 (M -73) Santa Ana, CA 92702 CLERIC: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Telefacsimile (714) 647 -6956 CONTRACTOR: Orange County Asian and Pacific Islander Community Alliance, Inc. 12900 Garden Grove Blvd., Suite 214A, Garden Grove, CA 92843 Phone: (714) 636 -9095 Fax: (714) 636 -8828 XIX. MERGER `this Agreement, together with the attachments hereto, expresses the total understanding of the parties. There are no oral understandings of the parties or terms and conditions other than as stated herein. XX. VALIDITY The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement. XXI. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify CITY fully, including reasonable costs and attorney's fees, for any injuries or damages to CITY in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 25A -20 Page 14 of 15 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above - written. ATTEST: "CITY" Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: Sonia R. Carvalho City Attorney Lisa Storck Assistant City Attorney By: David Cavazos City Manager "CONTRACTOR" BY: Name: Mary Anne Foo Title: Executive Director Tax ID #: 91- 2047245 25A -21 Page 15 of 15 PROPOSER APPLICATION Agency Legal Name Orange County Asian and Pacific Islander Community Alliance, Inc. Agency DBA OC Workforce Program Name Youth Employment Program Agency Address 12900 Garden Grove Blvd., Suite 214A Contact Person & Title Mary Anne Foo, Executive Director Email mafoo @ocapica.org Telephone # 714- 636 -9095 Fax # 714- 636 -8828 Federal ID Number 91- 2047245 AGENCYSTATUS Public Non -Profit OC Health Care Cor oration OC Workforce Private Non -Profit x Years in Operation? 17 Private for Profit Investment Government Foundation of Other FSP PRIMARY FUNDING SOURCES Funding Source OC Health Care US DHHS OC Workforce OC Health Care College Access Saturday Agency MHSA Office of Investment Agency PEI Foundation of 9AM -6PM FSP Minority Board California Health Amount $1,000,000 $191,000 $877,500 $426,208 $180,000 HOURS OF OPERATION AND DAYS Days Monday Tuesday Wednesday Thursday Friday Saturday Sunday Hours 9AM -6PM 9AM -6PM 9AM -6PM 9AM -6PM 9AM -6PM TARGET POPULATION Older Youth 10 Younger Youth 1 15 Out -of- School 10 In- School 15 # of Youth to be Served in 2013/2014 125 1 Total WIA Funds Requested 1 $136,400 In compliance with the RFP noted above, and subject to the conditions thereof, the undersigned offers to furnish the services stipulated and certifies he has read, understands, and agrees to all terms, conditions, and requirements of this RFP and is authorized to contract on behalf of the agency named above. Signature Title Executive Director Date EXHIBIT A 25A -22 OCAPICA - YSPN FY 2014 -15 1. EXPERIENCE AND QUALIFICATIONS A. The Orange County Asian and Pacific Islander Community Alliance, Inc. ( OCAPICA) was established in 1997 with the mission to build a healthier and stronger community by enhancing the well -being of underserved families through inclusive partnerships. OCAPICA operates 19 different culturally competent programs in the areas of health, mental health, youth development and leadership, community and economic development, education, and policy serving mainly very low- income individuals throughout Southern California. OCAPICA has 16 years of administering education and training programs and six years of experience in case management programs for underserved youth and young adults of all ethnic backgrounds, including those of African American, Asian American, Caucasian, Latino, and Pacific Islander heritage. B. OCAPICA is located on: 12900 Garden Grove Blvd, Suite 214A Garden Grove, CA 92843. Our major cross streets are Garden Grove Blvd. and Haster Street. C. HOURS OF OPERATION AND DAYS Days Monday Tuesday Wednesday Thursday Friday Hours 9AM -6PM 9AM -6PM 9AM -6PM 9AM -6PM 9AM -6PM D. OCAPICA's youth facility is already setup to be youth friendly. Currently, there are 14 computers that are accessible to youth at any time during OCAPICA's operating hours. OCAPICA is a drop -in facility, meaning that youth may come in to request assistance from staff at any time, with or without an appointment. OCAPICA's youth facility is located on a major street near two busy intersections, making it easily accessible from all major OCTA bus routes. OCAPICA is also located next to the 22 freeway, making it easily accessible from all nearby cities. Staff are youth - friendly, nonjudgmental, bilingual and from the communities they serve. A majority of our staff speaks Spanish or Vietnamese as well as we have a total of 16 languages available for services. We also have bilingual Parent Partners who provide services and support to the parents and caregivers in the family. Our case managers are very youth friendly, young people who live and work in the communities we serve, are truly competent in youth culture, but also receive more than 500 hours of training in serving and supporting youth. OCAPICA follows a very inclusive model, always involving the community and youth in all aspects of our programs' development, implementation, and evaluation. We utilize leadership development, mentoring, resiliency model, 40 Developmental Assets, mentoring, the Social Ecological Model, and the Empowerment Model, and patient and community navigation in all of our program work. OCAPICA also partners with 40 different agencies in providing services to the community and ensures self efficacy and capacity building is developed for all individuals and families. E. 1. OCAPICA has an annual operating budget of $3.2 million from diverse funding services, including government (Orange County Workforce Investment Board, County of Orange EXHIBIT A 25A -23 OCAPICA - YSPN FY 2014 -15 Health Care Agency /Mental Health Services Act, Office of Minority Health /US Department of Health and Human Services, Centers for Disease Control), private foundations (College Access Foundation of California, McKay Foundation, Tides Foundation, St. Joseph Health System Foundation, Susan G. Komen for the Cure), corporate giving (Southern California Edison, Wells Fargo, Kaiser Permanente, East West Bank), and individual donors. 2. OCAPICA has more than 50 staff members that speak 16 languages. OCAPICA staff is extremely diverse and comprised of many different educational backgrounds. Languages spoken by staff include English, Spanish, Cambodian, Hmong, Thai, Vietnamese, Samoan, Korean, Mandarin, Cantonese, Japanese, Tagalog, and Chamorro. OCAPICA's fiscal staff includes Director of Finance and Administration who has 25 years of experience in non - profit financial management, an Accountant who has 15 years of experience in accounting, and two part time Bookkeepers both with more than 5 years of experience. OCAPICA's leadership team include the Executive Director who has 25 years of experience in nonprofit management, Director of Finance and Administration, Director of Strategic Partnerships, Director of Health Programs, Program Director of Mental Health, Program Director of Prevention and Early Intervention, Program Director of Workforce Development, Youth Programs Director and Program Manager of Health. All have more than 10 years of experience in program and fiscal management. 3. Since 2010, OCAPICA has operated a Workforce Investment Act - funded Youth Employment Program administered by the Orange County Workforce Investment Board (OCWIB) for the West region of the County. In addition, OCAPICA has served Santa Ana transitional age youth ages 16 -24 through the OCWIB's CaIGRIP program. Several youth are at risk for dropping out of school, basic skills deficient, foster youth, emancipated, pregnant/ parenting, and /or have a disability. About 60% have housing insecurity issues; 30% have severe mental health needs; and about 20% are ex -gang members, formerly incarcerated, or are on probation. OCAPICA currently implements many youth programs and services. OCAPICA is at two high schools implementing afterschool mentoring, tutoring, and leadership development programs with very low income youth at risk for dropping out of school. 100% of the youth in our afterschool programs have successfully graduated from high school and 85% go onto college. OCAPICA also provides scholarships for college for low income youth; in 2012 we provided $70,000 in scholarship support. OCAPICA also runs the county's Full Service Partnership /Wraparound mental health program for severely emotionally disturbed or mentally ill youth. We work with 60 youth in providing comprehensive mental health services including, case management, clinical, counseling, and anything else the youth and their families need. OCAPICA also runs the youth Workforce Investment Act program in the Western region of the county serving more than 200 youth and providing support for jobs, career development, and completion of school, supportive services, and case management. 4. Our youth programs impact approximately 4,000 youth in Orange County annually with education, mentoring, tutoring, college preparation, mental health, health care, gang and violence prevention, job and career exploration, and leadership development. Through our programs we have found 85% go onto college, 90% are not re- incarcerated, 90% do not violate probation, 80% obtain stable housing, 80% obtain a permanent job, and 100% receive needed health and mental health services. EXHIBIT A 25A -24 OCAPICA - YSPN FY 2014 -15 II. PROPOSED PROGRAM A. The goal of this program is to create services and implement systems- change strategies that provide very low- income youth with skills and leadership to access living wage jobs and careers, complete high school, reduce delinquency, and improve opportunities out of poverty. This will be accomplished by providing long -term comprehensive support and training, which includes: (1) intensive case management; (2) academic skills building, tutoring, and college preparation; (3) job training, work placement, and career exploration; (4) leadership skills development via internships and community service; (5) social /peer support and mentoring for youth and their families; and (6) mental health and /or addiction counseling. Our goal will be to reduce barriers to employment and higher wage careers for the target populations. Planned outcomes will be tracked according to the Common Measures: (1) Placement in Employment or Education; (2) Attainment of a Degree of Certificate; and (3) Literacy /Numeracy Gains. OCAPICA youth service model takes a comprehensive approach, which overlaps with several WIA Program Elements, specifically: Tutoring, study skills, and dropout prevention strategies; Leadership Development; Alternative secondary school offerings (through referrals); Supportive services; Summer employment opportunities; Comprehensive Guidance and counseling; Paid and unpaid work experience; 12 -month follow -up activities; and Occupational skill training through referrals B. See sections III- XVIII. III. POPULATION A. OCAPICA is requesting $204,600 to serve 30 Youth aged 16 to 21 (12 In- School Youth and 18 Out -of- School Youth). B. At least 10% of youth enrolled will be foster /emancipated youth, youth on probation, youth that have dropped out of high school and youth with disabilities. C. Foster and /or Emancipated Youth: OCAPICA currently works with Rising Tide from the Orangewood Children's Foundation to provide a coordinated service approach. OCAPICA staff maintain regular communication with Rising Tide staff to ensure that services and activities from each agency complement each other. In addition, OCAPICA participates on the Department of Social Services ERDD (Eliminating Racial Disparities and Disproportion ality) Advisory Group to address the issue of minority children in the Social Service system and networks with these partners to receive additional referrals. OCAPICA also works with the Social Services Agency Transitional Planning Services Program to receive referrals. Youth with Disabilities: OCAPICA receives referrals from and works with the workability programs at various schools and colleges, and partners with the Department of Rehabilitation to serve this population. OCAPICA staff coordinates with school and Rehab staff to ensure that the participants are receiving coordinated and complementary services from each agency. EXHIBIT A 25A -25 OCAPICA - YSPN FY 2014 -15 Youth on Probation: In the past two years of the Youth Employment Program, OCAPICA has worked very closely with the Orange County Probation Department. In particular, OCAPICA staff members serve on the Department's Juvenile Detention Alternatives Initiative (JDAI), a proven method of assigning the least restrictive community -based rehabilitative alternatives for low -risk offenders who do not pose a risk to public safety. OCAPICA receives referrals directly from Probation Department programs such as the Center for Opportunity, ReEntry, and Education (CORE) and the Health Care Agency's Youth Offender Wraparound (YOW). Individual Service Plans are developed in coordination with the participant's probation officer and /or partner agency case manager. Communication with these partners is maintained throughout the program year to provide youth with as many opportunities as possible for positive outcomes. Youth that have dropped out of high school; OCAPICA's outreach and recruitment plan entails working with mental health programs such as OCAPICA's Well(ness)essity and Project FOCUS programs; the Truancy Reduction Center; homeless programs such as Build Futures; dropout prevention programs; continuation schools such as Marie L. Hare High School and Community Day school; Alternative, Community, and Correctional Schools and Services (ACCESS) sites like Century Day and Harbor Learning Center; and adult education sites such as Lincoln Education Center, Centennial Education Center and others. D. OCAPICA will ensure that 100% of youth will be enrolled by December 31, 2013. This will be met as a result of working with community partners (such as the Probation Department, OCDE Alternative Schools, Transitional Support Programs, the Kinship Center of Santa Ana, Santa Ana Unified School District, Santa Ana High School, Social Services Agency, the Social Security Agency of Orange County, The Wooden Floor and is currently working with Vital Link for Career Exploration opportunities) to identify participants for referral. In addition, staff are actively outreaching at community events and youth gathering placements to promote the Youth Employment Program. E. From our lessons learned and experience in our youth development program, many youth in our community face numerous barriers including homelessness /housing insecurity, food insecurity, pregnant or parenting, emancipation from the foster care system, history in the juvenile justice system, physical or developmental disability, mental health needs, lower education attainment (high school dropouts), prior gang involvement, basic skills deficiency, and language barriers. F. OCAPICA's Youth Employment Program is able to leverage counseling services by referring participants to such programs as OCAPICA's Well(ness)essity program. Participants will receive intensive case management, resource linkage and referral, and supportive services that the Youth Employment Program may be unable to provide. Schools and education sites, such as Santa Ana High School, Marie L. Hare High School or ACCESS sites, often assist youth in gathering documents for applications, as well as being able to provide mentorship and referrals and resource linkage for participants who need other services aside from youth employment. OCAPICA provides access to the 10 required elements. Summer employment opportunities are offered during the year -round program through paid and un -paid work experience and EXHIBIT A 25A -26 OCAPICA - YSPN FY 2014 -15 internships. Supportive services, adult mentoring, and follow -up services_are provided by OCAPICA's WIA Case Managers. As an organization, OCAPICA is able to link participants to resources such as tutoring through its own HAPIYEP program, which is also able to connect participants to school opportunities. OCAPICA can refer participants to occupational skill training through ITA, leadership development activities through OCAPICA's Project FOCUS program, and comprehensive guidance and counseling from OCAPICA's Well(ness)essity program For High School dropouts, it was found by the Orange County Health Care Agency that the 9- 12th grade cohort dropout rate for years 2011 -2012 was at 9.1 %, totaling 3,911 individuals. Of those, the highest populations to drop out were Black /African- American participants and Hispanic /Latino participants, with rates of 13.5% and 14.1 %, respectively (OCHCA 2012). OCAPICA's experience working with participants who are high school dropouts has provided valuable insight as to their needs, which often fall into a recognizable pattern including a need for financial stability, hard and soft skills development, mentorship and guidance counseling, educational resource linkage, career exploration, and high school completion programs, Participants who are high school dropouts usually require supportive services to buy work - appropriate clothing, and sometimes aid with buying food and other basic necessities. For Youth Offenders, it was found that in Orange County, for every 1000 youth, 16.2 were arrested for felonies in 2010. Over a 10 -year period (from 1999 - 2009), Orange County was found to have the highest increase in juvenile felony arrests at 18% (KidsData.org), The bulk of this spike happened from 2009 -2010, when the county was under the highest economic distress (CEDS 2013). While this trend is beginning to fall very gradually, it still leaves a large number of youth offenders that require direct services for stabilization. OCAPICA's experience working with youth offenders has provided valuable insight as to their needs, which often fall into a recognizable pattern, including a need for financial stability (to pay back restitution fees among basic necessities), hard and soft skills development, mentorship and guidance counseling, and resource linkage. Youth offenders usually require supportive services to buy work - appropriate clothing, and sometimes aid with buying food and other basic necessities. For Youth with Disabilities, it was found that, according to the 2010 US Census, there were 16,887 youth (persons aged <18 years) with a disability, either mental or physical. This number, given the current trend of population growth in Orange County (CEDS Report 2013), has likely grown. OCAPICA's experience working with participants with disabilities has provided valuable insight as to their needs, which often fall into a recognizable pattern. Participants with learning /mental disabilities generally require insurance navigation, intensive case management, mentorship and guidance, counseling and mental health and wellness services, and community involvement. Participant with physical disabilities most often require transportation and access aid, mentorship and guidance, and referrals to services such as Dayle McIntosh, the Braille Institute, and the Department of Rehabilitation, depending on the participant's barrier. For foster youth, it was estimated that there were 2,859 youth in foster care in Orange County, according to the SSA's Children's services division. Of that number, 41.1% were placed in foster care due to general neglect, and 46.24% were placed in care due to physical, sexual, emotional, EXHIBIT A 25A -27 OCAPICA - YSPN FY 2014 -15 or sibling - perpetrated abuse. As said on I(idsData.org, many youth in foster care do not have adequate support to find either a stable home, or the proper resources so as to find employment and successfully continue their education, often with some connection to the trauma experienced prior and during entry into the foster care system. OCAPICA's experience working with participants in foster care has provided valuable insight as to their needs, which often fall into a recognizable pattern including a need for financial stability, hard and soft skills development, mentorship and guidance counseling, and resource linkage, along with education on benefits and housing that they may be eligible for being a part of the Foster Care system. IV. EMPLOYMENT A. Program Staff will assist participants in attaining employment through a variety of means. Participants will receive support and assistance for searching, applying, and retaining employment; this may include one -on -one appointments, workshops, job fairs, training, etc. Participants may also be able to take part in Work Experience, where they will be placed at work sites that the program has established with community organizations and businesses. Through this Work Experience component, participants will be able to explore the specific position and industry along with putting their foot in the door to show the employer if they are a good match for the work site. If work site staff see fit, they may offer the participants unsubsidized employment. B. OCAPICA will provide career exploration, training, and work experience opportunities in high demand industries, including Health Care, Green Technologies, and STEAM (Science, Technology, Engineering, Arts and Mathematics) Careers. For Health Care, OCAPICA has developed a Health Careers Pipeline Program (funded by The California Endowment) to increase the number of allied health and social work professions (such as home health aides, medical assistants, licensed vocational nurses, therapists, and others) from underrepresented communities. For Green Technologies and STEAM Careers, OCAPICA has been funded by Southern California Edison to create a Pipeline program for career exploration and internship /job placement. OCAPICA will partner with Vital Link of Orange County to provide hands -on exposure and career exploration, as well as Community Action Partnership (CAPOC) for potential placements in their weatherization program. In addition, OCAPICA continues to work with groups like The Energy Coalition and The Gas Company to strategize for additional career training and placement opportunities. Job Placements and Career Explorations will expose youth to different, emergent career fields and the work environments /team environments that are commonly found in such fields. Youth, through this exposure, will grow to learn what skills, abilities, and character attributes that are necessary for success, and will know what kind of candidate these job fields look for. Through Job Placement and Career Exploration, youth will also be able to grow their personal networks and find out about opportunities such as internships, temporary positions, certification programs, and regular employment, where available. C. OCAPICA currently works with the following employers to place youth in WEX positions and permanent employment: Asian American Senior Citizens Service Center, Bassani Manufacturing, Boys and Girls Clubs of Stanton, Garden Grove, Cypress and Westminster, City EXHIBIT A 25A -28 OCAPICA - YSPN FY 2014 -15 of Stanton Parks and Recreation, Claires, Community Action Partnership of Orange County, Dolce Vita Skin and Body, Garden Grove Unified School District, Goodwill of Orange County, Habitat for Humanity, Haskett Library, Irvine Ranch Outdoor Education Center, Mikasa Fine Linens, Muzeo, OCAPICA, Orange County Fine Arts, OC Public Libraries of Garden Grove and Westminster, Party City, REI, Rumorz Kutz, UFC Gym, and Walgreens. D. See Attachment D E. During the 12 month follow -up after exit, services are intermittent and on a quarterly basis. The Case Manager will contact the client to ensure that educational and career goals are being met. Supportive services may be offered and will be based on the financial needs of the client. In addition, the Job Developer will continue to send engage in job retention strategies and additional life skills building workshops. Participants will attain performance measures during follow -up with the support of their Case Manager and Job Developer. V. WORK BASED LEARNING A. All youth enrolled in the program will be offered the chance to participate in WEX (Work Experience). Youth will be placed at worksites for up to 450 hours of paid work experience. Work experience places may be in the private, for profit sector, non - profit sector or the public sector and are designed to enable youth to gain exposure to the working world and its requirements. Participants will also be offered the opportunity to "shadow" a professional who is in a career field of their interest. This opportunity is optional, and not required. Participants will with discuss with their case manager what career fields or occupations interest them at their time of intake. This information will be kept on file. After participants complete their job - readiness workshops they will meet with their case managers again to review their career interests. OCAPICA has immediate access for job shadowing careers in the fields of mental health, education, health, and community organizing. If participants are interested in one of these fields the case manager will coordinate with appropriate OCAPICA staff to take the participant on for one full business day. If participants are interested in other fields, they will work with the case manager and job developer placement specialist to contact OCAPICA's partners or other available community resources to successfully identify and coordinate a job shadowing opportunity for the youth. B. OCAPICA currently works with the following employers to place youth in WEX positions and permanent employment: Asian American Senior Citizens Service Center, Bassani Manufacturing, Boys and Girls Clubs of Stanton, Garden Grove, Cypress and Westminster, City of Stanton Parks and Recreation, Claires, Community Action Partnership of Orange County, Dolce Vita Skin and Body, Garden Grove Unified School District, Goodwill of Orange County, Habitat for Humanity, Haskett Library, Irvine Ranch Outdoor Education Center, Mikasa Fine Linens, Muzeo, OCAPICA, Orange County Fine Arts, OC Public Libraries of Garden Grove and Westminster, Party City, REI, Rumorz Kutz, UFC Gym, and Walgreens. C. See Attachment E. EXHIBIT A 25A -29 OCAPICA - YSPN FY 2014 -15 D. OCAPICA staff schedules monthly career exploration events. Youth are taken to visit companies and organizations in order to learn about various careers and industries. Youth are given the opportunity to request future career exploration trips in order to encourage further exploration. E. In addition to meeting with employers during career exploration events, OCAPICA schedules on site events featuring employers and attends local job fairs. Staff accompanies youth offsite and encourage youth to network with potential employers. VI. Certificates /Diplomas /Credentials Note: WIA only accepts certificates that are accredited by a State recognized educational entity or are recognized by employers. A. Over the past three years, OCAPICA has worked to incorporate strategies and recommended activities of the Orange County Comprehensive Economic Development Strategy (CEDS) Committee. With the CEDS in mind, OCAPICA focuses on college preparation, career and technical education, industry cluster education, and training plans. In addition, OCAPICA offers, through the National Retail Federation (NRF), a National Professional Certificate in Customer Service — an industry recognized certificate that extends beyond the retail sector to demonstrate an understanding of professional behavior and effective communication. In addition, eligible participants who are interested in industry- specific certificate programs offered at Santa Ana College are encouraged to enroll. B. All participants are required to attend the Customer Service Certificate training workshop. The workshop demonstrates the basics of customer service skills derived from NRF reading material. Participants also undergo role - playing and spoken exercises in order to further test their knowledge of the material. At the closing of the workshop, participants take a practice test provided by the NRF and review the correct answers with the workshop facilitator, and all materials are given to the participants to take home and review. After participants complete the workshop, they are encouraged to take the Customer Service Assessment, though it is not required. Upon passing the exam, participants receive an incentive to recognize their achievement. If a participant does not pass, they may work with WIA staff to improve understanding of the workshop material and retake the exam. Participants may retake the exam as many times as desired, as long as the value of the vouchers purchased do not exceed the individual participant's available supportive service funding. Eligible participants interested in obtaining industry recognized certificates offered at Santa Ana College (SAC) will work with their case manager in order to research the programs and determine whether they are the best fit for the participant. Case Manager and SAC admission staff will assist youth in enrolling into the certificate program of interest. Case manager will encourage youth to pursue a certificate program that will lead to an occupation in demand. These occupations will derive from industries including science, technology, engineering, arts and math (STEAM) and hotel /tourism. Participants will have worked closely with case managers at intake /enrollment. C. See Attachment F. EXHIBIT A 25A -30 OCAPICA - YSPN FY 2014 -15 D. The NRF Customer Service Certificate will assist youth in obtaining employment in hospitality /tourism industry which is projected to grow by as much as 15% by 2018, and 26% by 2020. "Strong anticipated growth leaders include service, product sales, and hospitality industries structured to cater to Orange County residents" (CEDS Report 2013). This industry grew by 11% from January 2010 to November 2012. In addition this certificate may also assist participants to obtain an occupation in the Information Technology Industry, which is also projected to continue its growth in the years to come. Participants who obtain a healthcare certificate program with SAC will get assistance with obtaining a healthcare occupation. The health industry is projected to double by 2020, "...percentage changes show an undeniable concentration in medical technology — 50 percent of the occupations are related to the high - tech medical industry cluster, with biomedical engineering workers projected to nearly double by 2020" (CEDS Report 2013). Participants who obtain a Food Handler's certification while enrolled in OCAPICA will be better equipped to attain regular employment in Orange County's burgeoning food and drink sector, which is expected to grow by at least 11% by 2018 (CEDS Report 2013). E. OCAPICA's Job Development staff has worked on cultivating Work Experience (WEX) relationships with many business partners in the area that fall in line with the career fields of Health, Hospitality, and STEAM (Science, Technology, Engineering, Art, and Mathematics). OCAPICA currently partners with UFC Gym— Cypress, Walgreens of Orange County, Goodwill of Orange County, various Party City locations, and others, but is currently developing partnerships with hotels near the Anaheim Convention Center /Disneyland area with the aim of placing youth at these sites to gain valuable experience in the Hospitality industry. OCAPICA currently maintains a relationship with AltaMed, and is hoping to expand the same into a placement partnership. OCAPICA currently holds a partnership with the Orange County Fine Arts association, connecting youth to opportunities in the arts near the South Coast area, and has just opened a partnership with Muzeo in Anaheim, giving youth more opportunities to explore employment options in the arts. - O C W / 8 . o r g. "Community Economic Development Strategy 2013." Web. Retrieved February 18, 2014. VII. WORKSHOPS A. OCAPICA is prepared to offer a series of workshops intended to foster Job Readiness and professionalism in preparation for youth entering the workforce. In addition, OCAPICA is able to offer a series of Leadership Workshops, in which youth participants are exposed to concepts such as Self- Efficacy, Positive Relationships, and other "soft" skills to help participants build the communication skills necessary for job retention. Job Readiness workshops offered and their intentions are as follows: a. Resume Building— Participants learn about skills and volunteer /jobs that can be included on resumes. Participants are given resources to help improve writing skills so that they can improve their resumes once they leave the program. Resumes created during this workshop are submitted to the participant's case manager for final review. EXHIBIT A 25A -31 OCAPICA - YSPN FY 2014 -15 b. Interview Skills— Participants learn about the different kinds of interviews they may take part in, such as group interviews, one - one -one interviews, and trial work days. Participants learn about appropriate forms of dress for interviews, proper greetings for interviewers, common questions asked, and strategies for stress management during interviews. Participants are also advised to research the positions for which they apply, and are also told how to properly manage time in the event that they may run late for an interview. c. Financial Literacy— Participants are asked a series of questions about common financial concepts, such as checks, debit cards and credit cards, loans, interest, etc. Participants are given worksheets to help them create monthly budgets, and receive instruction on checking credit scores and the benefits of maintaining good credit. Participants are also taught how to fill out a check. d. Time Management — Participants are tasked with breaking up their current schedules into a visual format so that they can see with more clarity where their time goes. Participants who have large blocks of unoccupied time are asked as to what they normally do during those blocks, and are challenged to use it for bettering their education /employment skills. Participants are also taught punctuality and how to call in sick or call for personal issues that may affect their work. e. Conflict Management— Participants are taught about four major communication styles (Aggressive, Passive, Passive - Aggressive, and Assertive) and are given several scenarios in which they are to identify these different styles. Participants learn to recognize patterns in communication and are instructed to consider how they interact with challenges, and to reflect on how that may or may not influence job retention. f. Customer Service— Participants attend a Customer Service workshop in order to study for the NRF customer service exam. Participants work through a large number of scenarios and learn about open -ended questions, proper salesmanship, and follow- through. g. Mock Interview — Participants sit with one WIA staff member and participate in a mock interview. Participants are told a job that they are "interviewing' for, and facilitators give participants feedback on their performance. Case Managers provide participants with tips on how to overcome interview challenges based on individual participant performance. h. WEX Workshop— Participants are taught about worker's rights as they pertain to employment with OCAPICA, such as confidentiality, HIPAA, dismissal acknowledgements, etc. Participants are also given information on Worker's Compensation and what is covered while they are working. Participants are instructed to on how to properly fill out OCAPICA timesheets, the payroll policies EXHIBIT A 25A -32 OCAPICA - YSPN FY 2014 -15 and how those policies affect them, and are scheduled for WEX Placement meetings with Job Development and Placement Specialist staff. B. OCAPICA is able to teach a variety of skill sets that will help youth succeed in the workforce and stay up -to -date in such a constantly changing environment. a. Financial Literacy /Budget Management – Facilitators utilize online assessments and interactive activities to test the financial knowledge the youth possess. The youth are given free resources that assist them with opening an account or checking their credit score. After the workshop is complete youth meet with their case manager to create a monthly budget. The budget is kept in participants' file and will be referred to when youth request supportive services. Once youth start to receive their WEX paychecks these budgets b. Family Planning – Participants will be referred to OCAPICA's Well(ness)essity program for resources and access to family planning education. c. Worker's Rights /Labor Laws – Prior to beginning their WEX hours, participants are required to attend the "WFX workshop." In this workshop participants learn how to fill out a time sheet, how to read the payroll calendar, how to track their hours, the order of who to contact in case of an emergency, as well as other important house cleaning items. In addition participants are given an OCAPICA personnel packet. This packet contains legal documents pertaining to their rights as employees that are explained by the facilitator. The facilitator carefully explains each form to the participants and answers any questions the participants may have. Participants are made to understand that this workshop is very different from the other job - readiness workshops and that the information from this workshop is vital to their success. Current labor laws are posted in English and Spanish in OCAPICA lobby and youth friendly handouts are made available for the participants to take for their records. d. Analytical Skills at the Workplace— Participants are expected to use critical thinking skills while attending OCAPICA Job Readiness Workshop series, and different workshops challenge participants in different ways. However, OCAPICA does not facilitate a workshop dedicated to analytical skills in the workplace at the present time. e. Health Resources — OCAPICA participants have many needs, and few require the same assistance. However, by referring WIA participants to OCAPICA's own Prevention /Early Intervention program, participants are can be linked to health resources all over Orange County. C. OCAPICA is able to teach communication skills with the "Conflict Management in the Workplace," "Interview Skills," and "Mock Interview" Job Readiness workshops, facilitated EXHIBIT A 25A -33 OCAPICA - YSPN FY 2014 -15 by OCAPICA Case Management staff, and during which participants learn different styles of communication, both verbal and non - verbal. Participants are also given the opportunity to attend Leadership Workshops, wherein participants learn about skills and habits such as self- efficacy, assertive communication, positive relationships, and conflict resolution. Through these workshops, participants are able to amass the skills necessary to present themselves well to employers and peers, learning better speaking skills through practice and counseling from OCAPICA Staff, D. OCAPICA participants go through a series of Job Readiness workshops, one of which is a Customer Service workshop to help participants prepare to take the NRF exam. Participants learn different strategies to provide superior customer service such as lead -in questions, proper greetings, and dealing with difficult customers. VIII. POST - SECONDARY EDUCATION A. Program Staff will assist participants in entering post- secondary education by having participants explore, identify, and develop post- secondary goals with the Case Manager through the "My Action Plan" document. The Case Manager will assist participants with any questions, issues, and concerns as they pertain to the participant's plan, such as assistance with applying for Federal Financial Aid or information on the types of post- secondary education. Participants will also be informed of workshops, conferences, and other events that are related to post- secondary education to further assist their exploration and successful entrance into post- secondary education. B. Participants will have the opportunity to participate in field trips, student panels, and other education /training exploration activities. Program Staff will help connect participants to resources that will assist in the attainment of accredited credentials, certificates, and /or diplomas. With the Case Manager, participants will identify and develop a plan to assist with the attainment of certification through the "My Action Plan" document. Once a plan has been established, the Case Manager will refer participants to the appropriate avenues and support the participant. For example, if a participant comes in as a high school dropout, the Case Manager will assist him /her in identifying if a GED or high school diploma is the best option for him /her and then support the participant in finding a program or school in which to enroll. IX. TUTORING A. In addition to staff, OCAPICA recruits college -level tutors from CSUF and other area colleges to provide one -on -one and small group assistance to program participants to aid in both their classes and to build their literacy /numeracy skills. Should a participant need additional EXHIBIT A 25A -34 OCAPICA - YSPN FY 2014 -15 assistance, participants will be referred to free tutoring services and if necessary are available through Supportive Services. X. MENTORING /SUPPORT A. Mentors support participants in the academic realm and beyond, helping them balance their workload, manage stress, and also provide moral support to the students. They also aid participants in creating a plan of action for the semester and /or their future and meet with them to make sure they are on track to reach their goals. Mentors provide personal insight into the educational experience and are more likely to help facilitate workshops. In addition to the general support provided by the program, students are also given individual attention though periodic one -on -one meetings with the program staff and /or volunteer mentors. Meetings are strategically scheduled throughout the year to monitor and problem solve with the participant as an aid to help her /him reach their academic, health, and personal goal(s). Mentors are recruited from CSUF's Asian American 230 Service Learning Class, college student organizations, CSUF Asian American Studies Department, CSUF Department of Public Health, local Chamber of Commerce, and from the community at large. B. Mental health services became crucial for many youth, especially those who were homeless or living in unsafe, unstable situations. In coordination with OCAPICA's mental health unit, WIA program staff provides additional support through mental health case management, individual therapy, support groups, wellness workshops, pregnant and parenting support, and access to supportive services. OCAPICA utilized a coordinated approach in which all youth and their families are screened and assessed at the point of entry. This allows individuals to participate in and receive services from all available programs at OCAPICA. Regular communication is maintained between WIA program staff and OCAPICA's mental health clinicians for consultation and program design. Staff members from the different programs have integrated team meetings to discuss program design /delivery and jointly develop service plans for co- enrolled participants. Staff, resources, and curriculum complement each specific program, and resources are shared where appropriate. Through this arrangement, more than 60% of OCAPICA's WIA youth participants have successfully participated in this focus of mental health and wellness. C. For youth who require mental health services, OCAPICA is able to refer youth to in -house clinicians in OCAPICA's own Prevention /Early Intervention (PEI) program, Well(ness)essity, and an in -house Full- Service Partnership /Wraparound (FSP /W), Project FOCUS. With these resources at our disposal, OCAPICA is able to provide more coverage for youth facing unsafe /unstable situations, challenging personal issues, and other hindrances that keep them from achieving their goals in OCAPICA's WIA Program. EXHIBIT A 25A -35 OCAPICA - YSPN FY 2014 -15 D. Supportive Services: The case manager and job developer will work closely with the participant to assess their needs. Based on the staff's assessment, the participant may access supportive services from the time of their first meeting with OCAPICA staff and throughout the program until they reach their maximum per capita limit, or until the participant feels they no longer have need of supportive service. See Attachment G for Policy and Procedures for Supportive Services. E. Incentives: Participants are eligible to receive incentives based on reaching certain goals within the program. With proper documentation, participants may receive these incentives as recognition and reward for attaining goals such as employment, a degree or qualification, improving literacy /numeracy, and others. See Attachment H for Policy and Procedures for Incentives. XI. LEVERAGE FUNDS A. OCAPICA is currently funded by The California Endowment, McKay Foundation, and Irvine Foundation to support Civic Engagement programming and to build the leadership capacity of community members. We are able to leverage these funds to complement our activities in Santa Ana, including the integration of Civic Engagement and Leadership Skills workshops into our youth workforce curriculum. In addition, youth participants and their families are eligible to participate in any of these non -Santa Ana WIB programs. OCAPICA also works in collaboration with community stakeholders and policymakers in the region to disseminate best practices and policies that serve and engage high needs youth. B. Participants will learn about topics such as voting, legislation and how it works, and opportunities for service in the community, which include volunteering in community organizations, serving on youth boards and commissions, and nurturing dreams of running for public office. Through these efforts, participants will gain experience and knowledge to take leadership roles and hopefully enter decision - making positions in their community. All activities are non - partisan in nature. C. All youth (at least 30) participants will be encouraged to participate. D. Program staff are available to facilitate workshops at local after - school programs. A good majority of the workshops will include workshops that we currently facilitate in our job - readiness series. These workshops include, but are not limited to, resume building, interview skills, financial literacy, conflict management, time management, customer service and mock interview. If workshops are requested that are not included in the job - readiness series program staff will coordinate with other OCAPICA programs and EXHIBIT A 25A -36 OCAPICA - YSPN FY 2014 -15 community resources to obtain appropriate workshop content and interactive activities. These workshops outside of the job- readiness series must requested with a month's notice in order to maximize quality of workshop materials and overall youth experience. EXHIBIT A 25A -37 XII. COMMON MEASURES 0 W tQ x p� + G -A + OR{ ..il OCAPICA - YSPN FY 2014 -15 EXHIBIT A 25A -38 �x eo �s �s 2 e R ' Sr � �n 4 3 £ tti `a 5� OCAPICA - YSPN FY 2014 -15 XIII. PRIOR OUTCOMES COMMON MEASURES (projected) 2013 Increased Literacy /Numeracy Skills 8 _ 8 = 100% Entered Employment or Post Secondary 11 :13 = 84.6% Attained Credential /Diploma /Certificate 6 =8 = 75% OCAPICA is in its first year operating a Santa Ana WIA contract. The above numbers are a projection of this program year's (2013 -2014) outcomes. XIV. FISCAL COMPETENCY A. OCAPICA's fiscal department has excellent experience in capturing and reporting fiscal data. OCAPICA utilizes Sage MIP Fund Accounting as its accounting software and provides weekly and monthly reports to the Executive Director, Program Directors, Board of Directors, and the Finance and Audit Committees of the Board. Monthly reports regarding payroll, A /R, and A /P, bank reconciliation, review of cost allocation plans, are conducted. B. See Attachment I - copy of the organization's procurement policies and procedures C. OCAPICA allocates costs to grants, and contracts on the basis of use or benefit they derive from the expenditures and established cost centers to track cost incurred. The agency complies with all GAAP and cost principles of OMB Circulars A -110 and A -122 as well as has an annual A -133 Single Audit conducted by an outside auditor. OCAPICA's annual audit is disseminated to board members, funders, and posted on GuideStar for general public viewing. Monthly reviews of budget and allowable costs are conducted. The Board's Finance Committee meets monthly to review all budget, expense, revenue, cash management, reconciliation, and other reports. All financial reports are provided to the entire Board of Directors for review. OCAPICA also ensure separation of duties in relation to fiscal accountability and oversight. OCAPICA communicates regularly with all funders, providing all policies and procedures, all financial back -up, providing our annual audit, and going through annual audits from the County. OCAPICA has had no findings in our audits. D. OCAPICA prepares invoicing in a manner and format consistent with the funding source requirements on a monthly basis. If the funding source does not have specific invoicing requirements, a billing is prepared that indicates the services and the period during which services were provided, the unit cost of the service if applicable, and the total amount being billed. If the funding agreement is a cost reimbursement, the billing indicates the expenses EXHIBIT A 25A -39 OCAPICA - YSPN FY 2014 -15 incurred and the period for which it was incurred. For internal accounting controls, verification of all services provided, reconciliation of services billed, control of billings with use of a General Ledger control account, monitoring of billings and resolution of funding agency noted differences, supporting documentation for all billing are reviewed monthly. All invoices are reconciled with the funds received, and separation of duties between the preparations of the billing and its review and approval are conducted. OCAPICA's A/R Bookkeeper and Accountant with the review of the Director of Finance and Administration conduct the invoicing process. The A/R bookkeeper and the Accountant works with the Program Director to ensure accurate billing is conducted for services and actual expenses are incurred; the A/R Bookkeeper prepares the monthly invoice; the invoice is given to the Director of Finance and Administration and Executive Director for review and approval. E. OCAPICA receives almost $3 million in federal, county, private foundation, corporation, and individual donors. Our agency's financial stability is not dependent on WIA funds. OCAPICA receives a WIA grant from the County of Orange for approximately $877,500. OCAPICA also obtains approximately $150,000 in unrestricted funding from donors to help match any of our funding sources. F. See Attachment Q, Attachment T and Attachment U XV. SUBCONTRACTING N/A - OCAPICA does not plan to subcontract any non - client services. XVI. Budget Narrative — Attachment A XVII. Budget— Attachment B EXHIBIT A 25A -40 r� ra xx E Subject: Work Experience (Work Based Learning) Policy and Procedures Purpose: To establish the policy and procedures of Work Experience for WIA Participants. As defined by the Workforce Investment Act, Work Experience (WEX) is a planned, structured learning experience that takes place in a workplace for a limited time period. Work Experiences may be paid or unpaid. Work experience places may be in the private, for profit sector, non - profit sector or the public sector and are designed to enable youth to gain exposure to the working world and its requirements. Work Experience Policy and Procedure: 1. The purpose of WEX is to provide the youth participant with opportunities for career exploration and skill development. 2. A youth participant may participate in WEX once the participant has completed the Job Readiness workshop series. 3. The participant will work closely with the Job Developer /Placement Specialist to discuss worksite placement for WEX. 4. WEX may not take place during the follow -up phase of the program. 5. The duration of the Work Experience may not exceed 450 hours. 6. The wage shall not exceed the California minimum wage. 7. In school youth may only work a maximum of 20 hours per week while Out of School youth shall not exceed 30 hours per week. 8. As an employer, OCAPICA shall maintain payroll records and time sheets for each participant. Records and time sheets will be maintained in each participant's case file. Work experience sites, The Community /Business Partner shall also maintain records of participants' hours. 9. OCAPICA shall be responsible for ensuring payment to the participant. The participant will submit a time sheet with hours verified by the Community /Business Partner to OCAPICA on the 15th and last day of each month. 10. OCAPICA shall obtain and maintain workers' compensation insurance required by law for participants who are placed at each Community /Business Partner site for the Internships and Work Experience (WEX). EXHMIT A 1290C garden grove blvd, suite 214a 1 garden grove, c� 28 hone: 714.636.9095 I fax: 714.636.8828 1 v vv.ocapico.org orange county asiciFr5AZrc41 lancer community alliance Subject: Supportive Services Policy and Procedures Purpose: To establish the policy and procedures of the distribution of Supportive Services for Participants in accordance with the WIA Supportive Services Policies and Supportive Services Matrix provided by the OCWIB. Supportive Services Policy and Procedure: Supportive services are not entitlements and shall be approved by the Program Director for a given participant on the basis of individual circumstances, the absence of other resources, and funding limitations. WIA Program Staff shall seek services from at least 2 other community resources prior to authorizing supportive services under WIA, as appropriate. Referrals should be made to other agencies or resources for assistance and documented in the participant's file under case notes. 2. Supportive services provided must be reasonable, necessary and allowable based on federal guidelines and based upon need and all other resources have been exhausted. 3. Supportive services must be necessary for a given participant to complete and documented on his /her Individual Service Plan (ISP) and be beyond his /her ability to pay in order for the supportive services to be approved. Program Director needs to review updated ISP and request of services have been documented before approval of supportive services request. 4. For special supportive services deemed as "Other" on the Supportive Services Matrix, WIA Case Manager would need written approval by the Executive Director and a copy of the written approval attached to the request. 5. Program Director may only approve the types of supportive services and the dollar limits as described on the Supportive Services Matrix, 6. Other Special circumstances supportive services may be granted on a case by case basis only if those services would significantly benefit the participant in job retention, wage progression or completion of training in order to achieve employment. Any requests for exception must have written approval by the Executive Director and may not exceed $500. 7. Determination of need must be clearly documented in the case notes and be part of the participant's ISP and must have the Supportive Services Request Form, Invoice, including Application Number of participant , the date supportive services "code 81" was opened and including the justification of the cost. A Supportive Services Request Form must be completed and have an original signature from the WIA Case Manager and the Updated 02.11.14 EXHIBIT A 12900 garden grove blvd, suite 214a 1 garden grovei� 94.21 phone: 714.6369095 I fax: 714.636.8828 1 www.ccap[co.org orange courtly 11 islander community alliance participant prior to submission to the Program Director and the Supportive Service Request Form that indicates the financial details of the request. 8. Case notes must include but not limited to participants individual needs and how these needs relate to the supportive services request. Case notes should include that all alternatives have been exhausted in an effort to obtain these supportive services through other resources. 9. After the approval of the Program Director has been made, the WIA Case Manager will obtain the supportive services lie bus passes) from the Supportive Services Coordinator. The approval and signature of the Finance Director will also be obtained to ensure proper issuance and documentation of the supportive services request. 10. It is the responsibility of the WIA Case Manager to ensure that all supportive services documentation is maintained in the participant's file. This includes: the Supportive Services Voucher Log and Supportive Services Request form with acknowledgement of issuance and Invoice Summary. 11. All supportive services are appropriately coded in the JTA system (activity 81). Actual dates of Supportive Services provision should be reflected in the system. 12. Copies of the actual supportive services (bus passes, gas cards, etc) shall be made on the Voucher Log with the participant's signature upon receipt. Original invoices, statements and receipts necessary to verify that a supportive service has been issued must be returned to WIA Program Staff. 13. The original receipt /invoice must include :name, address, telephone number of the company or services provider; date of services(s); what was purchased or what service was provided; amount of service; and if the service was provided by an individual, with the signature of the provider. 14. If a participant receives a supportive service and fails to return the appropriate documentation /receipts, no additional supportive services will be given to them until such receipts are provided. 15. If a gift card is lost, stolen or destroyed, the Participant must complete an Affidavit of Lost /Stolen /Destroyed Prepaid Value Cards form and also be recorded in the appropriate logs and noted in the Supportive Services Request Form and case notes. 16. Returned receipts must indicate that the gift card was used for its intended purpose stated on the Supportive Services request form. Updated 02.11.14 EXHIBIT A 12900 garden grove blvd, suite 214a 1 garden grove,WAsQI phone: 714.636.9095 1 fax: 714.636.8828 1 www.ccapica.org orange county aslan and pacific Islander community alliance r= 17. Supportive services cannot be provided retroactively and must be pre approved. 18. Motel Cards may be used to cover nightly rates in participating motels throughout Orange County. Issuing WIA Program Staff shall obtain 3 bids /quotes and contact the specific motels to determine applicable rates and taxes. 19. Participants requesting supportive services to purchase books and /or school supplies must provide Case Managers with a list provided by the school (example: syllabus). Case Manager's must also obtain 3 bids /quotes for books and schools supplies. Voucher Logs must also be completed and signed by participants upon receipt of books and /or school supplies. 20. Food Gift Cards may only be used to purchase items discussed with WIA Case Managers at the time of supportive service request. Examples of allowable food items include: • Breads and cereals • Fruits and vegetables • Cheese, milk and other dairy products • Meats, fish, poultry and eggs • Seeds and plants that produce food for your household 21. If a participant receives a supportive service and does not use it for its intended purpose stated on the Supportive Services request form, no additional supportive services will be given. Purchase of alcohol or tobacco is strictly prohibited. 22. The participant must return all gift cards with remaining balances to the WIA Case Manager with the receipt. The WIA Case Manager will return the gift card along with the receipt to the Supportive Services Coordinator to maintain for the respective participant to utilize as needed. If the respective participant completes the program prior to exhausting the gift card, gift cards with balances will be utilized by other participants in the program as needed. 23. Copies of the actual supportive services (bus passes, gas cards, etc) shall be made with the participant's signature and date of receiving. 24. Two copies of all documents will be made for 1) participant's file, and 2) for the Finance Department. 25. All Gift Cards must be tracked in the Preraaid Value Card Master Loa and stored in a location separate from the gift cards. The gift cards shall be issued in sequential order. Updated 02.11.14 EXHIBIT A 12900 garden grove blvd, suite 214a I garden grove, t}i�oij�a 9 "744 islander phone: 714.636.9095 1 fax: 714.636.8828 I www.ccapico.org orange county c{Aedj ici, pa i i islander ccmmunity alliance kFm� } 26. All Gift Cards will be secured in a safe with the Finance Department. 27. An inventory of all Gift Cords will be conducted quarterly or twice a year by the Fnance Department, Updated 02.11.14 EXHIBIT A 12900 garden grove blvd, suite 214a 1 garden grove or 'a 9?,� I phone: 714.636.9095 1 fax: 714.636.8828 1 www.ocopica.org orange county rS islander community alliance k Subject: Policy and Procedure of Incentives Purpose: To establish guidelines of Incentives and its Issuance. Incentives are given as a reward for participants who attain performance outcomes and /or key benchmarks toward those outcomes (including but not limited to attainment of employment skills and goals, mastering competency levels, etc.) Please see attached Chart. Policy and Procedures: 1. Incentives are not entitlements and shall be approved by the Program Director for a given participant on the basis of completion of goals. 2. Incentives are given as a reward for participants who attain performance outcomes and /or key benchmarks toward those outcomes (including but not limited to attainment of employment skills and goals, mastering competency levels, participating in unpaid career exploration activities, completion of series workshops, etc) Please see attached Chart. 3. Encourage youth to enroll and remain in activities throughout program duration, including the 12 -month minimum post -exit follow up phase; and 4. Provide an incentive for youth to take an active role in their community by engaging them in leadership and community services projects, including, but not limited to participation in the Youth Council. Incentives are given to the participant and documented on Incentive Log located in participants file. Program Director must review updated Individual Service Plan (ISP) and the history of previously requested services before approval of new incentive request. 5. All incentive details must be specified in the participant's WIA Incentive Log, including how much was expended, the funding source used and the participant's acknowledgement of receipt. All incentive payments must be relevant to the results of the objective assessment of each participant's ISP. 6. Participant records (ISP /Case Notes /WIA Incentive Loa) and financial records pertaining to incentive payments must be made available by local , state and federal monitors and must meet financial management standards in WIA including enough information to provide a comparison of actual expenditures with the budgeted amounts and support for accounting records to ensure proper charging of costs and cost allocation. EXHIBIT A 12900 garden grove blvd, suite 214a 1 garden grove, calif njn 92843 L ono: 714.636.9095 fax: 714.636.8828 www.acaplca.org orange county asior der community alliance 3 ocapica m 7. Program Director may only approve the types of incentives and the dollar limits as described on the Incentive Matrix. Please see attached Chart. 8. Determination of need must be clearly documented in the case notes and must have the Incentive Request Form, Incentive Log includes Application Number of participant and including the justification of the cost. An Incentive Request Form must be completed and have an original signature from the WIA Case Manager and the participant prior to submission to the Program Director and the I Invoice Summary Form that indicates the financial details of the request. 9. After the approval of Program Director and has been made, the WIA Case Manager would need the approval and signature of the Finance Director. After the Finance Director has approved the Incentive request, WIA Case Manager will obtain the incentive (i.e. Gift Cards) from the Financial Department Staff. Incentives will be disbursed within 24 hours of the request. Incentives not disbursed within the 24 hour time frame must be returned to the Finance Department. 10. It is the responsibility of the WIA Case Manager to ensure that all incentive documentation is maintained in the participant's file and also with the Finance Department. These documents include: Incentives Log, Incentive Request form, Invoice Summary, Incentive Voucher Log and a copy of issuance(e.g. Gift cards) and employment or education verification. 11. Two (2) copies of all documents will be made for 1) participant's file, and 2) for the Finance Department. 12. Incentives cannot be issued to a third party if participant is not available. Only the participant can sign the appropriate forms to acknowledge receipt of the incentives. 13. Incentives shall not exceed $500.00 per participant during the course of the program, including the post exit follow -up phase. EXHIBIT A 12900 garden grove blvd, suite 214a 1 garden grove, california 92843 I phone: 714.636.9095 I fax: 714.636.8828 I www,ocapico.org orange county asian2 ]�1 17der community alliance 0 p c w N I I \ E m Y _ m ° C N u 1 O N O m u « y 09 O v m m u° = Q 0 Z � ° N 0 W ti a L v p p m u 2 U E N 0 o w° 4 N E m v O o O v O N L v m O L' t WU a '^ v to O c v rya v u E° o L ai a w t o u ++ L O VI Y m m Y u>' c 3o- v v•a °J u no GOl >v 'o 0 v 'c o N v°i a> '� u wu -__ °- °u ou E v c v ° y° E u v E v o x ry 3 L ° E N •G Y N N T X O p +m+ _ � U .'�. N +L+ c° v LL O Q °u C m r t E T c ° a a w E v ,n 'O c *' m u m G u m m N O �' 2 >' u C 'O C N u 0 ° v� Y Y C M ±+ C a 'E m O E u 'O u E Y ° o ° `o 0 N r c r'�o N L Q V O vvi a U N iu 0 °° "6 v C O y m L c c ry 3 O u o O E O O W H m u > v Q > `v a 00 LL y O c N > O Om O O E O w= N cNi GJ ui o ui r n w �. — o r in m (g ° 'm O y a m o l7 ` E E u u cu LC m O O m O N N N N =m N ti U =v N m =5A4 G v W m vY L v O E•� v'�^°Y'1E E a -° } Y° a Y �r I T iY-' a 2 c°i x c h i n C. nlpi Subject: Child Protection Policy Introduction The Orange County Asian and Pacific Islander Community Alliance ( OCAPICA) supports the rights of children and is committed to their safety and well - being. OCAPICA's staff members and those working with OCAPICA share a common responsibility and commitment to the awareness, prevention, and reporting of and responding to child abuse in the course of their work. OCAPICA's Child Protection Policy set out common values, principles, and beliefs and describes the steps that will be taken to meet our commitment to protect children. Scope This policy applies to all part -time, full -time, and casual OCAPICA employees, consultants, interns and volunteers (hereinafter: OCAPICA staff or staff) as well as sub - contractors and collaborative partners (hereinafter: partners) working with OCAPICA on the implementation of programs and services. Definitions Child — For the purpose of this policy, the definition of a child is "every human being below the age of 18 years unless under the law applicable to the child, majority is attained earlier." This is in accordance with Article 1 of the United Nations Convention on the Rights of a Child. Child Abuse — We define child abuse as all forms of physical or mental violence, injury or abuse, neglect or negligent treatment, maltreatment or exploitation, including commercial exploitation, secual abuse while in the care of parent(s), legal guardian(s), or any other person who has the care of the child. Principles and values The following principles and values reflect OCAPICA's stand on child protection: Zero tolerance of child abuse: OCAPICA does not tolerate any form of child abuse, nor does it tolerate possession or access to any material that is abusive towards children. Guidance and training on child protection risk management is provided to OCAPICA staff. OCAPICA will not knowingly engage anyone who poses a direct risk to children. Recognition of children's interests: OCAPICA recognizes that some children are at greater risk of abuse. Of particular vulnerability are children with disabilities, children in conflict situations, as well as children in natural or post - natural situations. EXHIBIT A 12900 garden grove blvd, suite 214a I garden grove, caller r a 9 843 1 p tone: 714.636.9095 1 fox: 714.636,8828 1 w .ocopico,org orange county asicanii1g41 §dor comrnurilty alliance � M k Goal - To protect children from all forms of abuse in the course of our work. Purpose —The purpose of this Child Protection Policy is to: - Provide a management strategy to prevent child abuse and protect children in the course of our work; - Protect OCAPICA staff and partners from unfair practices and processes; and - Provide OCAPICA staff and partners with clear guideline on what to do in the case of suspected child abuse. OCAPICA's commitment - OCAPICA's commitment to child protection will be guided by the following: Awareness — we will ensure that all OCAPICA staff and partners, as well as stakeholders involved in projects, are aware of the problem of child abuse and the risks to children. Prevention — we will ensure, through awareness and good practice, that OCAPICA staff and partners minimize the risks to children. Reporting — we will ensure that OCAPICA staff and partners are clear on what steps to take where concerns arise regarding the safety of children. OCAPICA staff members are mandated reporters. Responding — we will ensure that action is taken to support and protect children where concerns of abuse arise. Further to the above, OCAPICA will: - Not permit a person to work with children if it has been identified that they pose an unacceptable risk to children's safety or well- being; - Take all child abuse concerns raised seriously; - Take positive steps to ensure the protection of children who are the subject of any concerns; - Support children, OCAPICA staff, or other adults who raise concerns or who are the subject of concerns; - Act appropriately and effectively in instigating or cooperating with any subsequent process of investigation; - Guide through the child protection process by the principle of "best interests of the child," - Listen to and take seriously the views and wishes of children; and - Work in partnership with parents /caregivers and /or other professionals to ensure the protection of children. EXHIBIT A 12900 garden grove blvd, Suite 214a 1 garden grove, colId I 843taone: 714.636,9095 1 fax: 714.636.8828 1 wwmocap ca.org orange county asia m der community alliance YSPN MEMBER PERFORMANCE PLAN 2014 -2015 WIA YOUTH POPULATION 0_08% 7 % q a : SNi u....... .......- —E �' EEimafd[Expefll'P2g�'.,s,�,'. 16 -21 15 ,:''•'", S '3: $34,100 16 -21 10 $34,100 r -;� ' 25 $34,100 ' ' � Pr e, k4f•Cy �Q ''" '' ` ? N o PROJECTED ENROLLMENTS & EXPENDITURES (NOTE: 100% OF YOUTH MUST BE ENROLLED BY 2N° QUARTER- DECEMBER 31, 2014) 7 % q a : #ofEtiil ns� F r" r! s , r �Qual#et w.--� �`2r'`t �' EEimafd[Expefll'P2g�'.,s,�,'. ;n Peffgriahceiate ; d S '3: $34,100 : °�i�`'ErifRlingntR #g4!lt�d) 15 $34,100 r -;� ' 0 $34,100 ' ' � Pr e, k4f•Cy �Q ''" '' ` ? N o $34,100 4� ;. 25 x 65/ = 16 25 $136,400 i pfoveLlterac Q�t fuieracy ; 25 x 67% = 17 PERFORMANCE GOALS /COMMON MEASURES *DISCLAIMER: OUTCOMES ARE SUBJECT TO INCREASE /DECREASE DEPENDING ON YOUTH POPULATION NO 54y'P2 „ : a eformanc Categor ff Total # afrYout 1 MyfS� lied b/ } _, Mf Imp # s, ° n f :,2 e ;n Peffgriahceiate ; d yoLthtoful5iiperfonmanee; ,} Pfgc�men� �q,�I?lPlay�met>�; 1. Tutoring, study skills training, and instruction, F1acaent iYjr ,P�>"'Sec a`{i�r%,�dLLcatlo�t I 25 x 74% = 19 (A�Y�IO f-F -0-1 CfuRprter F6t(gNLtUp) R M-yR include community service and peer- centered activities ' ' � Pr e, k4f•Cy �Q ''" '' ` ? N o 4� ;. 25 x 65/ = 16 i pfoveLlterac Q�t fuieracy ; 25 x 67% = 17 2. Alternative secondary school services, as X 7. Supportive Services (e.g. tools, books, clothing, etc.); X EXHIBIT B 25A -51 ! l L'! u*'q ��• j: � Y. :. 5 E 3 3,' :,2 ,i i,(,',� I .: 1 W:.: .+ f '� r -°{' aH 4" _pElttod &.drn_W pfuB-eiB) 1. Tutoring, study skills training, and instruction, X 6. Leadership development opportunities which may leading to completion of secondary school, include community service and peer- centered activities including dropout prevention strategies encouraging responsibility and other positive social X behaviors during non - school hours, as appropriate; 2. Alternative secondary school services, as X 7. Supportive Services (e.g. tools, books, clothing, etc.); X appropriate; 3. Summer employment opportunities that are X 8. Adult Mentoring for the period of participation and a X directly linked to academic and occupational subsequent period for a total of not less than 12 learning (this element cannot be offered as a months; stand -alone activity); _ 4. As appropriate, paid and unpaid work X 9. Follow -up services for a minimum of 12 months after X experiences, including internships and job the completion of participation as appropriate; and shadowing; _ S. Occupational skill training, as appropriate; X 10. Comprehensive guidance and counseling which X may include drug and alcohol abuse counseling and referral, as appropriate. EXHIBIT B 25A -51 COMPLAINT HANDLING UNDER THE WORKFORCE INVESTMENT ACT SANTA ANA WIA Santa Ana Local Workforce Investment Area Revised May 7, 2009 EXHIBIT C 25A -52 Table of Contents Information Regarding Compla A. Nondiscrimination and Equal Opportunity Compla 1. Policy Statement 3 2. Civil Rights 4 3. Nondiscrimination laws under 4. How to File Your Complai EI B. Criminal Complaints 6 II. General Procedures for Handling Non - Criminal Violations of the Act 6 III. Procedures for Handling Complaints at the LWIA Level IV. Procedures for Handling Complaints at the State V. Procedures for Handling Discrimination Complaints by Participants 12 15 VI. Procedures for Handling Handicap Complaints by Participants 17 GLOSSARY OF WIA TERMS 20 fflff�� Information Regarding Complaints A. Nondiscrimination and Equal Opportunity Complaints 1. Policy Statement In carrying out the purpose of the Workforce Investment Act (WIA), the City of Santa Ana Local Workforce Investment Area (LWIA) will establish programs to prepare youth and unskilled adults for entry into the labor force and to afford job training to those individuals facing serious barriers to employment. Every effort will be made to provide services necessary for eligible individuals to obtain productive employment. In implementing WIA, all contractors in the Santa Ana LWIA will foster equal opportunity and non - discrimination, as provided in State and Federal equal opportunity and non - discrimination laws including, but not limited to: • Title VI of the Civil Rights Act of 1964 • Title VII of the Civil Rights Act of 1964 • The Age Discrimination Act of 1975, as amended • Section 503 of the Rehabilitation Act of 1973 • Section 504 of the Rehabilitation Act of 1973 • Title IX of the Education Amendments of 1972 • Section 188 of the Workforce Investment Act of 1998 In keeping with our commitment, no individual shall be excluded from participation in, denied benefits of, subjected to discrimination under, or denied employment, in the administration or of in connection with any WIA funded program because of race, color, religion, sex, national origin, age, handicap, or political affiliation or belief. Participation in programs and activities financially assisted in whole or in part under WIA shall be open to citizens and nationals of the United States, lawfully admitted permanent resident aliens, lawfully admitted refugee, parolees, and other individuals authorized by the Attorney General to work in the United States. No individual will be intimidated, threatened, coerced, or discriminated against because of filing a complaint, furnishing information, or assisting or participating in any manner in an investigation, compliance review, hearing or any other activity related to the administration of WIA. pk�- LA PT.A I Administration responsibility for this Equal Opportunity /Affirmative Action (EO /AA) Program is delegated to the Equal Employment Opportunity (EEO) Officer for the Santa Ana local Workforce Investment Area. Equal opportunity and non- discrimination, however, will only be achieved through leadership and implementation of a viable Affirmative Action Equal opportunity Program. 2. Civil Rights No one applying for or enrolled in the Workforce Investment Act (WIA) programs may be discriminated against because of race, color, creed, handicap, national origin, sex, age, political affiliation, or beliefs. This means that — for any of the characteristics listed above: • You may not be denied the opportunity to enroll in WIA. • No benefits or services may be denied you for discriminatory reasons. • You may not be segregated or treated any differently from other applicants or participants, while you are being registered, interviewed, counseled or tested; or while you are working or attending classes as part of the program. • You must be provided an equal chance to use all facilities available in the program. • Fair employment practices must be provided to all staff with regard to recruiting, hiring, transferring, promotions, training, compensation, benefits, layoff, and termination. You have the right to make a complaint if you feel you have been denied any of the above opportunities. You cannot in any way be penalized for filing a complaint. Your WIA sponsor has established a mechanism for handling complaints and grievances. Your complaint must be filed within 180 days. All complaints will be handled confidentially. 3. Nondiscrimination Laws under WIA Title VI of the Civil Rights Act of 1964 Prohibits discrimination on the basis of race, color, national origin, or religion. The Age Discrimination Act of 1975 Prohibits arbitrary discrimination against persons age 40 -70. The Rehabilitation Act of 1973 4 Prohibits discrimination based on handicap. Title IX of the Education Amendments of 1972 Prohibits discrimination in any education or training program or activity receiving federal financial assistance. OTHER CIVIL RIGHTS LAWS: Title VI I of the Civil Rights Acts of 1964 Prohibits discrimination in employment based on race, color, religion, sex, or national origin in all terms and conditions of employment and establishes the Equal Employment Opportunity Commission as the administrative agency. White House Executive Order no. 11246 as Amended by Executive Order No. 11375 Creates the office of Federal Contract Compliance and prohibits discrimination based on race, color, sex, religion, or national origin. Department of Labor Secretary's Order no. 4 -73 Prohibits discrimination based on sex. Equal Pay Act of 1963 Prohibits pay differential solely because of sex. Emergency Employment Act of 1971 Prohibits discrimination based on race, creed, national origin, political affiliation, or beliefs. 4. How to File Your Complaint a. Put your complaint in writing. b. Have it sworn to before a notary public, if possible. c. Provides details that tell what happened, where it happened and when it happened. d. Give the name and addresses of all persons who were present or who had anything to do with the matter. ...Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation and citizenship, must be filed within 180 days of the alleged occurrence directly with: s W'5% Director Civil Rights Center U.S. Department of Labor, Room N -4123 200 Constitution Ave., NW Washington, D.C. 20210 Complaints on the basis of handicap must be filed within 180 days of the alleged occurrence. These complaints must be filed directly with the WIA administrative entity. The WIA administrative entity shall issue a written decision within 30 days of the filing of the complaint. If the complaint is still unresolved, an appeal may be made to the Chief of State Workforce Investment Division Office. The Department of Labor, the Civil Service Commission, the Equal Employment opportunity Commission, and many other offices and agencies are committed to assuring equal employment opportunities for all persons. They will protect you. A case may be taken to court if the other processes do not yield satisfactory results. You may hire your own lawyer, or if you cannot afford one, the court may appoint one for you. It is unlawful for an employer, union, or employment agency to punish you or any witness for attempting to present the facts in a case. YOUR CIVIL RIGHTS UNDER THE WORKFORCE INVESTMENT ACT Santa Ana Local Workforce Investment Area 1000 E. Santa Ana Blvd., Ste 200 Santa Ana, CA 92701 (714)565 -2600 B. Criminal Complaints In accordance with the WIA (P.L. 105 -200) and the implementing code of Federal section 667.600.... Federal handling of criminal complaints and report fraud, abuse and other criminal activity. "All information and complaints involving fraud, abuse or other criminal activity shall be reported directly and immediately to the City of Santa Ana and the Secretary of Labor." I I. General Procedures for Handling Non - Criminal Violations of the Act The following procedure is promulgated to meet the requirements of Title 20, of the Code of Federal Regulations, Section 667.600 through 667.640 of the WIA regulations, and Section 181(c) of the Act (Public Law 105.200: 29 U.S. Code Sec. 2931 et seq.) at the State and LWIA level for the receipt, investigation, hearing, and resolution of complaints by WIA participants, sub recipients, applicants for participation, or financial assistance, labor unions, community based organizations, or any other persons. These procedures provide for resolution of non - criminal complaints arising from the operation of the Santa Ana LWIA. A complaint is defined here as a written expression by a party alleging a violation of the Act, regulations promulgated under the Act, recipient grants, sub agreements, or other specific agreements under the Act, including terms and conditions of employment of such participants in employment training programs. All complaints, amendments and withdrawals shall be in writing. These procedures are intended to resolve matters which concern policies, procedures or action(s) arising in connection with WIA programs operated by each LWIA grant recipient and sub recipient under the Act. These procedures shall not be construed as affecting any other available legal remedy outside of the WIA complaint process (i.e., disputes regarding terms and conditions of employment of any employee who is not a participant), either separately or simultaneously, that a person may wish to pursue in the resolution of a non -WIA complaint. Also, these procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion Procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion and resolution of any problems outside of and without resort to the formal complaint procedure. A. The following principles and rules apply to all complaints at all steps of the complaint procedures: All complaints must be made in writing within 180 days of the alleged occurrence, except complaints alleging fraud or criminal activity. 2. All persons filing a complaint shall be free from restraint, coercion, reprisal, or discrimination. Good faith efforts shall be made to informally resolve the complaint prior to the scheduled hearing. Complainants have the right to withdraw their complaints (in writing) at any time prior to the hearing. A complainant may amend his /her complaint to correct technical deficiencies but not to add issues. 3. Complainants shall have the right to be represented at their own expense by person(s) of their choosing at all levels of the complaint process. 4. Upon enrollment into employment or training, participants shall be provided with a written description of these procedures, including notification of their right to file complaints and instructions for filing. An employer of participants, including private- for - profit employers of participants, may use this or other complaint resolution procedures so long as the participant is informed of the complaint resolution procedure they are to follow and the time frames governing review of complaints are met. V °' 170 A "participant ", within the meaning of these procedures, is an individual who receives employment- training services under a program funded by Santa Ana LWIA. The Complaint Resolution Procedures contained herein (or the alternative procedures which an employer may use) shall be available to participants to resolve disputes regarding items and conditions of employment of such participants in employment training programs. However, such procedures shall not be used to resolve disputes regarding terms and conditions of employment of any employee who is not a participant, as defined herein. 5. If a complaint does not receive a decision at the LWIA grant recipient level within 60 days of filing the complaint or receives an unsatisfactory decision, the complainant then has a right to request a review of the complaint by the Governor. 6. Complainants must initially file and exhaust LWIA grant recipient /hearing procedures prior to appealing to the State except where the State determines that the LWIA grant recipient's procedures are not in compliance with the State's procedures. III. Procedures for Handling Complaints at the LWIA Level A. Receipt Complaints Pursuant to the WIA regulations found at 20 CFR, Section 667.600, the LWIA administrative entities have the responsibility to conduct hearings and resolve complaints made by individuals about the administration of programs in the LWIA. "LWIA level" encompasses LWIA administrative entity and employers to which the administrative entity has delegated the complaint resolution process. The following comprise the guidelines for resolving issues arising in connection with WIA programs operated by the Santa Ana LWIA including resolutions of complaints arising from actions, such as audit disallowances or the imposition of sanctions taken by the Governor with respect to audit findings, investigations or monitoring reports. 1. Form and Filing of Compliant Official filing date of the compliant is the date the written complaint is received. The filing of the complaint with the Santa Ana LWIA Equal Employment Opportunity Officer shall be considered as a request for hearing and a decision must be issued within 60 days. The complaint must be in writing and must be signed and dated. The complaint should also contain the following information: a. Full name, telephone number, if any, and mailing address of the complainant; b. Full name, telephone number, and mailing address of the agency involved (respondent); c. Clear and concise statement of facts including dates constituting alleged violation; r-. v What provisions under the Act, regulations, grant or other agreements under the Act, are believed to have been violated; e. Remedy sought by the complainant; and If the complainant is a private or public entity or corporation, and not a natural person, the filing of the complaint must be duly authorized by the governing body of such entity or corporation. The absence of any of the requested information shall not be a basis for dismissing the complaint. A copy of the complaint must be sent to the respondent and both parties notified of the opportunity for an informal resolution. At each step of the complaint process, the complainant must be notified in writing of the next procedural step. 2. Informal Conference Informal conferences will be utilized by the Santa Ana LWIA to resolve complaints; however, such informal conferences shall not extend the time within which a decision must be issued after receipt of a complaint. Attempts at informal resolution will commence with two (2) weeks of the date of filing of the complaint. The EEO Officer will review the case and ascertain facts prior to the conference so that appropriate resolution can take place at the time of this meeting whenever possible. Although the complainant should be encouraged to attend this conference, his /her failure to do so should not preclude his /her right to request a hearing on the matter. c. If mutually satisfactory resolution results and the Santa Ana LWIA concurs, the EEO Officer will write a brief report for the file stating the issues and resolution. The matter shall then be considered closed. d. If resolution does not result, the complainant shall be provided the necessary information and assistance to request a hearing if he /she so desires. 3. Request for Hearing a. As in the case of the complaint, the request for a hearing should be put in writing and be filed in person or by mail. A governing board resolution of authorization to appeal should also be submitted when appropriate. The request should be filled with: Anita Queen Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive, M -24 Santa Ana, CA 92701 (714) 647 -5157 A hearing will be scheduled by the EEO Officer within thirty (30) days of the date of filing of the complaint. 4. Notice of Hearing Upon receipt of the request for hearing, the complainant and the respondent will be notified in writing of the hearing ten (10) calendar days prior to the date of the hearing. The ten -day notice may be shortened with the written consent of the parties. A decision will be issued by the Santa Ana LWIA within sixty (60) days of the date of filing of the complaint. The hearing notice shall be in writing and contain the following information: a. The date of notice, name of the complainant, and the name of the party against whom the complaint is filed. b. The date, time and place of hearing before an impartial hearing officer. c. A statement(s) of the alleged violation(s) Advise as to where information or assistance may be obtained, and the name, address, and telephone number of the Santa Ana LWIA Equal Employment Opportunities (EEO) Officer who can answer inquiries. B. Conduct of Hearing The hearing shall be conducted in an informal manner with strict rules of evidence not applicable. Unnecessary technicalities should be avoided. It should provide the flexibility to enable adjustment to the circumstances presented. 1. The hearing officer shall have complete independence to obtain facts and make decisions. The hearing officer shall be in a position to render impartial decisions and thus should not be subordinate to the Santa Ana LWIA or its sub recipients. The hearing officer will be selected from a list of names on file with the EEO Officer. 2. Full regard must be given to the requirements of due process to insure a fair and impartial hearing. 3. The hearing office designated by the EEO Officer to function in a quasi - judicial capacity should begin the hearing by summarizing the record and the issue and should explain the manner in which the hearing will be conducted, making sure that everyone involved understands the proceedings. Such explanations should be adapted to the needs of the specific situation. The hearing officer might take testimony under oath or affirmation to give some assurance of veracity to the hearing. I �. • 4. The burden of proof should be reasonable and flexible, dependent upon the circumstances of the case involved. The hearing officer determines the order of proof. Generally, the party making the complaint has the obligation of establishing his or her case and should be examined first. 5. The party involved should have the right to be represented (at their own expense) he /she so desires. Other he /she is limited to his /her own abilities and those to the hearing officer in obtaining testimony in the case. It is important that the hearing officer obtain the fullest information for the record. If the parties involved, or their representatives, do not know how to ask the right or pertinent questions in pursuing their right to due process, it shall be necessary for the hearing officer to step in to have all the materials and relevant facts elicited. 7. The practice in informal hearings is generally not to apply strict rules of evidence in obtaining facts. However, the quantity of evidence required to support a decision on an issue should be sufficiently credible that the state (or other appropriate agency), upon reviewing the decision, would conclude that the decision is supported by substantial evidence. 8. The hearing officer should attempt to negotiate a resolution of the issue at any time prior to the conclusion of the hearing. Within ten (10) days of the conclusion of the hearing, the hearing officer will issue a recommended decision to the LWIA for final determination. The recommended decision shall be in writing and may be accepted, rejected or modified by the Santa Ana Workforce Investment Board. C. Issuance of Decision Within sixty (60) calendar days of filing of the complaint, the Santa Ana LWIA shall issue a written decision to all parties by first class mail. The final decision shall contain the following information: 1. The name of the parties involved. 2. A statement of the alleged violation and issues related to the alleged violation. 3. A statement of the facts. 4. The decision and the reasons for the decision. 5. A statement of corrective action, if any, to be taken. 6. Notice of the right to request, within ten (10) calendar days of receipt of the decision, a review of the decision by the State Review Panel. D. Record of Hearing 11 nXT6G2 An administrative file containing support documents on the complaint resolution process hearing conducted will be retained by the Santa Ana LWIA. The purpose of a record is to serve as substantiation of the process followed by the Santa Ana LWIA on the resolution of the issues and the results. This information would then be available for subsequent review in the event the matter is raised with the State. Such records must be retained for a three- year period after the grant has been officially closed out. The Santa Ana LWIA's written decision will be included in the record. Evidence received at the hearing, notes by the hearing officer, stenographer's notes and tape recordings may also be used. E. Establishment of Complaint Procedures In accordance with Section 667.600, each employing agency including private- for - profit employers of participants under the Act is required to establish a complaint procedure for resolving matters relating to the terms and conditions of employment. Employers may operate their own grievance system or may utilize the Santa Ana LWIA's established procedures under Section 667.600. At a minimum these procedures must include: Written notice, upon enrollment into employment training services, of the scope and availability of such procedures. Employer's grievance procedures shall be set forth in a written document and must meet the regulation mandate that a complaint will be resolved with sixty (60) days from the date the complaint was filed. A copy of employer's grievance procedure shall be provided to each participant upon enrollment in employment training. 2. Written notice, at the time the grievance is filed, of the procedures under which the grievance will be processed. Written notification of the disposition of the grievance and a written decision shall be issued within thirty (30) days of the filing of the grievance unless a present and long established grievance specifically provides other limits; and 4. Written notification of the participant's right to request a review of the employer's decision by the Santa Ana LWIA and the State Review Panel in accordance with Section 667.600. IV. Procedures for Handling Complaints at the State Level Section 181 (c) of the Act and the WIA regulations at 20 CFR, Section 667.600 (d) requires the Governor to establish a State Review process of complaints filed at the LWIA grant recipient level and of complaints initially filed at the State level. Appeals of decisions issued at the LWIA level including audit disallowances and sanctions shall be reviewed by the State Review Panel. The State Review Panel shall review the record established at the LWIA level and shall issue a decision based on the information contained therein. 12 i �. - :. ;� Complaints which may be initially filed at the State level will be heard by an independent hearing officer designated by the State Workforce Investment Division (WID). The hearing officer shall conduct a hearing and issue a recommended decision to the State Panel. The recommended decision shall be in writing and may be accepted, rejected or modified by the State Review Panel. A. Form and Filing of Complaint. 1. Request for State Review of LWIA Level Decisions On receipt of a complainant's request for review because of an unsatisfactory decision, the State shall provide for an independent state review. 2. Filing of Requests for State Review The State Review Panel shall review all LWIA level decisions when a request for review is filed within 10 days of receipt of the adverse decision. Such requests must be filed in writing with the Chief of the WID Office. The request for review should contain the following information: a. Full name, address, and telephone number of the party requesting the review b. Full name, address, and telephone number of the other party c. A copy of the decision d. Brief statement of reasons for review or the section of the LWIA decision to be reviewed including regulatory and statutory citations e. A statement of the relief sought. 3. Complainant Responsibility It is the responsibility of the complainant to include in the request for review a written statement setting forth the facts presented at the LWIA hearing which support the requested relief. The Chief, WID, shall mail a copy of the request for review to the other party and to the LWIA. It shall be the responsibility of the LWIA to submit the complete record including a typed record of the hearing to the Chief, WID, within ten (10) days. B. Conduct of Hearings. 1. Request for Hearing at the State Level If no decision has been issued at the LWIA level or the State has determined an audit disallowance or imposed sanctions, the complainant may request a hearing. The 13 i�' i hearing officer will then issue a recommended decision to the State's Review Panel for final determination. 2. Filing for Request for Review The request for a State hearing shall be filed within ten (10) days after LWIA should have issued a decision or ten (10) days after the issuance of the audit disallowance or sanction. The request shall be filed directly with the Chief of the WID in writing and should include the following: a. Full name, address, and telephone number of the LWIA b. Name, address, and telephone number of the LWIA C. Copies of complaints made at LWIA level from which no decisions were issued or sanctions and imposed. d. A statement of basis for the request for hearing. 3. Evidentiary Hearing Upon receipt of the request for a State level hearing, a hearing before a designated hearing officer will be scheduled. The hearing will be recorded mechanically or by court reporter. Both parties concerned will have the opportunity to present oral and written testimony under oath, to call and question witnesses in support of his /her position, to present oral and /or written arguments, to examine records and documents relevant to the issue(s), and to be represented. The hearing officer shall issue a written decision, which shall be forwarded to the State Review Panel for final determination. The State Review Panel may accept, reject or modify this recommendation. The decision of the State Review Panel is final except for audit disallowances, which must be approved by the Secretary of Labor C. State Review Panel The State Review Panel will consist of a panel of three representatives from the Employment Development Department: one from the Legal Offices, one from the WID, and one from the Director's office. The panel will issue a written decision, which will be sent to the appropriate parties within thirty (30) days of receipt of the request for State review. Decisions issued by this panel, under the authority of the Governor, are final. "111!. D. Issuance of State Review Decision, The State review will be limited to violations of the WIA, implementing WIA regulations or the grant agreement. This review shall be limited to the record established at the LWIA hearing. V. Procedures for Handling Discrimination Complaints by Participants. A. Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation, and citizenship, where appropriate, must be filed within 180 days of the alleged occurrence. 1. It is the responsibility of the Santa Ana LWIA's Equal Employment Opportunity (EEO) Officer to determine jurisdiction and to make the complainant aware of and provide assistance in filing a complaint in accordance with the Santa Ana LWIA's procedure under Section II (A). PROCEDURES FOR HANDLING NON - CRIMINAL COMPLAINTS No later than 180 days of alleged discrimination Within 10 days of receipt of unsatisfactory decision or 10 days from date LWIA decision should have been issued. Handling of complaints filed at LWIA level arising in connection with WIA programs operated by LW/As Informal Resolution Process o Unsatisfactory Decision or LWIA Decision not issued within 60 days w 0 p O t N Request for State Review w Governor's Decision issued by State Review Panel If no decision issued by State Review Panel Appeal to DOL 16 ZWO LIT6 0 0 C C C c t V 2. In cases where areas of authority overlap, it is the responsibility of the EEO Officer to advise the complainant of the existence of State, Federal and other proper action agencies, which may also have a bearing. 3. Complainants alleging discrimination under this part will be made aware of their right to file directly with the Office of Civil Rights (OCR), U.S. Department of Labor and applicable procedures. 4. Complainants must file their complaint directly with: Anita Queen Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive, M -24 Santa Ana, CA 92701 (714) 647 -5157 VI. Procedures for Handling Handicap Complaints by Participants Complaints alleging discrimination on the basis of handicap will be filed and processed under the Department of Labor regulations implementing Section 504 of the Rehabilitation Act of 1973 at 29 Code of Federal Regulations Section 32. 1. Complaints must exhaust the Santa Ana LWIA's informal resolution procedures before filing their complaint with OCR. 2. Complainants will be made aware of the 180 days requirement in which to file his /her complaint. A. Procedures at the LWIA Level The complainant shall file his /her complaint directly with the Santa Ana LWIA. Upon receipt of the complaint, the EEO Officer shall investigate and gather information concerning the complaint. 2. An informal conference will be held with the parties concerned in an effort to resolve the issue(s). The complainant has the right to be present and may be represented during the conference. 3. The Santa Ana LWIA shall issue in writing its decision to the complainant no later than thirty (30) days after the filing of the complaint. B. Procedures at the State Level 1. The complainant may appeal to the State if he /she is not satisfied with the decision of the Santa Ana LWIA. "Ple-6 2. The Complainant must file his /her appeal as a request for review directly with the Chief WID within ten (10) calendar days after the receipt of the Santa Ana LWIA's decision. 3. The Chief -WID, shall issue a decision no later than thirty (30) calendar days after receipt of the request for review. 4. After the complainant has received a decision or no decision has been received from the Director of Employment Development Department (on behalf of the Governor), the complainant has the right to appeal his /her complaint within thirty (30) calendar days to the Office of Civil Rights (OCR) with the Department of Labor. 1s 5A- 69 PROCEDURES FOR HANDLING HANDICAP COMPLAINTS No later than 180 days of alleged discrimination Filed within 30 days of LWIA /State Decision or 90 days from date of initial filing of complaints Filing of complaint on the basis Of Handicap with LWIA Informal Resolution If no resolution reached Request for Hearing Notice of Hearing Hearing Conducted LWIA Decision Unsatisfactory Decision or No Decision State Review Governor's Decision Appeal to Assistant Secretary Department of Labor 19 291ALT7b Day 1 Day 145 Day 60 Days GLOSSARY OF WIA TERM AGE DISCRIMINATION ACT — A law passed by Congress in 1975 which prohibits discrimination on the basis of age by any program or activity receiving Federal Funds. APPLICANT — An individual who applies to a subrecipient or contract for services provided under WIA and who has not yet transitioned to the status of participant. ASSESSMENT — Services designed to determine each participant's employability, aptitudes, abilities and interests and to develop a plan to achieve the participant's employment and related goals; also to identify the available employment and traning activities appropriate for the participant. Testing and counseling may also be used during assessment process. CHARGING PARTY (CP) COMPLAINANT GRIEVANT OR AGGRIEVED PERSON — The person who charges that he /she has been discriminated against under Department of Justice nondiscrimination and civil rights regulations and /or guidelines. DISCRIMINATION — In general, a failure to treat all equally, whether intentional or unintentional; the effect of an action, policy or practice which selects an individual or class of persons to receive unequal treatment. ELIGIBLE NON - CITIZEN — Lawfully admitted permanent resident, aliens, lawfully admitted refugees, and parolees and other individuals authorized by the Attorney General to work in the United States. EMPLOYER — An employer subject to the provisions of the Civil Rights Act of 1964, as amended, including state and local governments and any Federal agency subjects to the provisions of Section 717 of the Civil Rights Act, as amended; and any Federal contractor or subcontractor covered by executive Order 11246, as amended. GRIEVANCE — An allegation that something imposes an illegal obligation or burden or denies some equitable or legal right, or causes injustice . HANDICAPPED INDIVIDUAL — Any individual who has a physical or mental disability that constitutes or results in a substantial handicap to employment. INTAKE — Includes screening to determine eligibility; to select from eligible applicants those individuals who are most in need and can benefit from program services; to complete procedural requirements necessary to enroll an individual into the program and to refer those not enrolled to other programs. JOINT COMPLAINT — A complaint of employment discrimination covered by Title VII or the Equal Pay Act and by Title VI or Title IX. Individual "joint complaints" are normally investigated by EEOC 20 MAIT7i unless OCR has a compelling reason to investigate. "Joint complaints" alleging discrimination in employment and other practices and pattern or practice "joint complaints" are normally investigated by OCR. JURISDICTION — Authority to investigate and resolve complaints against an institution subject to a law or statute which has been assigned to OCR for enforcement, i.e., Title VI, Title IX, etc. PARTICIPANT — Any applicant who has: (1) Been determined eligible for participation upon intake; and (2) Who is receiving subsidized employment, training or services (except post- termination services) funded under the Act, following intake, except for an individual who receives only outreach and /or intake and assessment services. 21 MT7T7 CERTIFICATION REGARDING LOBBYING CERTIFICATION FOR CONTRACTS GRANTS LOANS and COOPERATIVE AGREEMENTS The undersigned certifies, to the best of his or her knowledge and belief, that: 1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. 2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form -LLL, "Disclosure Form to Report Lobbying." in accordance with its instructions. 3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. 1352. 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 occurring on or before October 23, 1996, and of not less than $11,000 and not more than $110,000 for each such failure. Orange County Asian and Pacific Islander Community Alliance Inc (OCAPICA) Grantee /Contractor Organization 3/17/14 Signature Date i Mary Anne Foo Name of Certifying Official Signature EXHIBIT E) 25A -73 28 Certification Regarding Drug -Free Workplace Requirements The certification set out below is a material representation upon which reliance is placed by the U.S. Department of Housing and Urban Development in awarding the grant. If it is later determined that the contractor knowingly rendered a false certification, or otherwise violates the requirements of the Drug -Free Workplace Act, the U.S. Department of Housing and Urban Development, in addition to any other remedies available to the Federal Government, may take action authorized under the Drug -Free Workplace Act. CERTIFICATION A. The contractor certifies that it will provide a drug -free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the contractor's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing a drug -free awareness program to inform employees about — (1) The dangers of drug abuse in the workplace; (2) The contractor's policy of maintaining a drug -free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance program; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Making it a requirement that each employee who will be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph -(a) that, as a condition of employment under the contract, the employee will - (1) Abide by the terms of the statement; and (2) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction. (e) Notifying the U.S. Department of Housing and Urban Development within ten days after receiving notice under subparagraph (d)(2) from an EXHIBIT E 25A -74 employee or otherwise receiving actual notice of such conviction; (f) Taking one of the following actions, within 30 days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted - ( 1) Taking appropriate personnel action against such an employee, up to and including termination; or (2) 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; (g) Making a good faith effort to continue to maintain a drug -free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (f). B. The contractor shall insert in the space provided on the attached "Place of Performance" form the site(s) for the performance of work to be carried out with the grant funds (including street address, city, county, state, and zip code) the contractor further certifies that, if it is subsequently determined that additional sites will be used for the performance of work under the contract, it shall notify the U.S. Department of Housing and Urban Development immediately upon the decision to use such additional sites by submitting a revised "Place of Performance" form. Date EXHIBIT E 25A -75 Program Operator Signature Orange County Asian & Pacific Islander Community Alliance DIVISION OF EMPLOYMENT SERVICES PLACE OF PERFORMANCE FOR CERTIFICATION REGARDING DRUG -FREE WORKPLACE REQUIREMENTS Name: Orange County Asian & Pacific Islander Community Alliance Name of Contractor: Orange County Asian & Pacific Islander Community Alliance Contractor Number: Date: The Contractor shall insert in the space provided below the site(s) expected to be used for the performance of work under the contract covered by the certification: Place of Performance (include street address, city, county, state, zip code for each site): 12900 Garden Grove Blvd. Suite 214A, Garden Grove CA 92843 EXHIBIT E 25A -76 Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions This certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participants' Responsibilities. The regulations were published as Part VII of the May 16, 1988, Federal Register (Pages 19160- 19211). (Before completing certification, read instructions which are an integral part of certification) 1. The prospective primary participant, (i.e. grantee) certifies to the best of its knowledge and belief, that it and its principals: a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency; b. Have not within a three -year period preceding this proposal been convicted or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under a public transaction; violation of federal or state antitrust statues or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property. c. Are not presently indicted for or otherwise criminally or civilly charged by a government entity (federal, state or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and d. Have not within a three -year period preceding this application /proposal had one or more public transactions (federal, state or local) terminated for cause or default. 2. Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. _Orange County Asian and Pacific Islander Community Alliance Inc (OCAPICA) Grantee /Contractor Organization Name and Title of Official Authorized to Certify On Behalf of the Grantee 3/17/14 Date EXHIBIT P 25A -77 29K f ] §^ \ \ \ \\ pbuS: /z \.pnoS; \29Di /e ;) „ § °;,l,.r• \, \u2Gl ]) | {!{ ! 29K f ] ORANGE COUNTY ASIAN AND PACIFIC ISLANDER COMMUNITY ALLIANCE, INC. COST ALLOCATION MANUAL YEAR 2014 01/01/2014 r4 ORANGE COUNTY ASIAN AND PACIFIC ISLANDER COMMUNITY ALLIANCE, INC. COST ALLOCATION MANUAL Table of Contents Policy and Procedures ............................... ............................... 1 Cost Allocation Plan 1) Labor -FTE Allocation Plan .................. ............................... 3 2) Space Allocation Plans a) Facility Space Allocation ......... ............................... 5 b) Suite# 214A .......................... ............................... 7 c) Suite #224 .......................... ............................... 8 d) Suite #222 &225 ................... ............................... 9 e) Suite# 220 ............................ ............................... 10 f) Suite# 210.. ........................... ............................... 11 g) Building Measurements........... I ............................. 12 h) Floor Plans ........................... ............................... 14 P "60:0 Policy and Procedures Purpose: The purpose of creating a policy for tracking and assigning cost to programs and administrative services is to provide consistency and compliance with contractual regulations. Policy: Costs should be allocated to grants, contracts, and other cost centers on the basis of use or benefit they derive from the expenditures. Procedures: Class Codes are established to track cost incurred for program operations directly relating to individual grants and contracts and other class codes are established for administrative services. Costs are allocated to the various class codes based on three methods: Space Allocation, Labor Distribution, and Direct Expenses. Allocation plans require the approval of the Executive Director; however, the Director of Finance is responsible for the development and maintenance of the allocation plans. The allocation plans are reviewed on a quarterly basis. The original issue of each plan is filed in the Cost Allocation Manual in the Finance Office. Basis for Allocating Costs 1) Develop "Full Time Equivalent" (FTE) assignments to each class codes by creating Labor Distribution worksheets for each Unit. 2) Develop "Space Usage" floor plans for each suite occupied or used by staff. Allocate space usage to the applicable programs. 3) Determine "Direct Expense" charges for each class code by using the grants and contracts schedule. r: � e Allocation plans should be updated on a quarterly basis for contract additions and terminations and material modifications. The following represents guidelines for determining appropriate basis for allocating shared cost. a. Labor distribution follows the actual amount of time staff spends on grants and contracts. It is also required to have one at each location with two or more staff. b. Space related expenditures should be allocated on the basis of how much space different programs use. However, if one program occupies a particular space but is funded by various funding sources, a second basis must be used to allocate shared expenditures appropriately. "Full Time Equivalent' (FTE) or "Direct Expense" may be used as a basis to space allocation. c. Direct expenditures are allocated on the basis of measuring the actual usage of that cost. The expense is then directly charged to the program. However, if one program uses a particular item but is funded by various funding sources, a second basis must be used to allocate shared expenditures appropriately. "Full Time Equivalent' (FTE) or "Direct Expense" may be used. F- _ : 1 Budget Form OCAPICA 2014 -2015 Admtrative Total Cost (Not to Program Total WIA Cost Match /In Kind Exceed 10 %) Cost Pro 1 Program Director (0.05 FTE) $3,000 $3,000 $57,000 2 Case Manager (0.50 FTE) $18,720 $18,720 3 Job Developer /Placement Specialist (0.50 FTE) $18,720 $18,720 4 Accountant (0.10 FTE) $4,576 $4,576 1 Benefits @ 28% for Program Director (0.05 FTE) $840 $840 $15,390 2 Benefits @ 28% for Case Manager (0.50 FTE) $5,242 $5,242 ene rts 8 0 or o eve I oper scement Specialist (0.50 FTE) $5,242 $5,242 4 Benefits @ 28% forAccountant (0.10 FTE) $1,2811 $1,2811 Total Personnel Salaries & Benefits $5,857 $51,763 $57,620 $72,390 9MOMR W-14, Will Owl ,...:a .. :.. m �.. Rent $2,400 $2,400 Utilities $120 $120 Phones $300 $300 Internet Fees $75 $75 Parking Fees Security Maintenance Insurance Equipment rental fees* $300 $300 Equipment rental fees* Vehicle lease* Office expenses (consumables) $1,134 $1,134 Accounting Services Legal Services Auditing Services $0 Indirect Cost* $3,720 $3,720 Staff Training Staff Conferences $400 $400 Staff Travel /Mileage $800 $800 Participant Wages* $2,822 $56,448 $59,270 Supportive Services* $6,600 $6,600 Participant Incentives* $3,000 $3,000 Youth Conferences $660 $660 Total Operating Expenses $6,543 $72,237 $78,780 $0 GRAN' 'TOT/1L(rersonnel +ope'ra'ting) $12,400 $124.000 $136.400' 572390 Budget Narrative for OCAPICA 1. Of our total budget, 39% will be spent directly on participant wages, supportive services, incentives and youth conferences and 9% administrative costs. 2. Detailed Narrative: Personnel Salaries and Benefits: Staff Salaries Requested Funding Nina Marvulli, Program Director @.05 FTE (.95 FTE In -kind) $3,000 The Program Director will be 1.0 FTE (0.05 from WIA and 0.95 provided by an In -Kind from other OCAPICA Youth Program funding sources). The Program Director will ensure compliance with all requirements and will provide overall supervision to the program. Case Manager @ .50 FTE $18,720 Case Manager will provide support to youth to be able to succeed in the areas of employment and education. The Case Manager will facilitate workshops and will complete all required documentation related to the youths' enrollment and completion of the program. Job Development /Placement Specialist@ .50 FTE $18,720 The Job Development /Placement Specialist will build relationships with community organizations and business in order to place participants into Work Experience (WEX) /On- the -Job Training Sites. Lehang Nguyen, Accountant @.10 FTE $4,576 The Accountant will implement all financial policies and procedures and ensure compliance and monitoring of all participant costs, incentives, supportive services funds, supplies, wages, benefits, and participant training costs. Personnel Benefits are approximately 28% of personnel costs $12,605 The cost of employee benefits is 28% computed based on staff's Full Time /Part Time and length of employment at agency and family coverage. Benefits include retirement at 6.00 %, group medical and dental insurance at 8 %, worker's comp at 3.8 %, FICA at 7.65 %, unemployment at 2.10 %, and long term disability at 0.45 %. Total Personnel Salaries and Benefits $57,620 Operating Expenses Rent $2,400 Rent includes the cost of office space and lease, common area maintenance, and storage rent. Cost is $1.03 per sq ft for a total of 158 square feet for 12 months is approximately $2,000. OCAPICA has signed -up for renewal for 13 -month lease for space needed by the program and due to increased number of youth to serve. Total annual cost of approximately $2,400 to cover the Santa Ana WIA FTE space also includes estimated cost of approximately $400 for the space lease for co- location sites. Total cost for the rent is allocated based on a cost allocation plan measured based on usage of space and staff FTE providing direct services to the program. Utilities $120 Utilities include the monthly cast of the alarm system and other utilities related to the program and program staff. Costs are anticipated to be approximately $10 per month. Total cost for the utilities are allocated based on a cost allocation plan measured based on usage of space and staff FTE providing direct services to the program. EXHIM-84 Phones $300 Telephone includes the monthly telephone charges, phones repair and fax service for staff to perform program, administrative, and other duties to implement program activities and ensure compliance. OCAPICA estimates the annual cost of telephone and fax charges is $300. Total cost for telephone and internet are allocated based on a cost allocation plan measured based on staff FTE providing direct services to the program. Internet Fees $75 Internet fees are the monthly fees related to using the internet for staff onsite at the OCAPICA offices. OCAPICA estimates the annual cost of internet fees is $75. Total cost for internet is allocated based on a cost allocation plan measured based on staff FTE providing direct services to the program. Equipment rental fees $300 This covers the cost of equipment rental and maintenance for copier lease for the program to make copies, print flyers and brochures, and print reports and administrative requirements for the program. OCAPICA's copier lease agreement is ending in 2014 and will signed -up for new lease which is estimated to be $300 on an annual basis. Total cost for equipment lease and maintenance is allocated based on a cost allocation plan measured based on staff FTE providing direct services to the program. Office expenses $1,134 Office expenses include office supplies, postages, program supplies, IT services and other office expenses. Annual costs of supplies like copier paper, pens, and markers are $300, postage costs are $100, and IT consultant service is $300. Program supplies such as flip chart paper, binders, case management folders, markers, and other program supplies is estimated at $434. Total cost for office expense is allocated based on a cost allocation plan measured based on staff FTE providing direct services to the program. Staff Conference $400 Youth employment staff will attend the annual California Workforce Association youth conference. Staff Travel /Mileage Reimbursement $800 OCAPICA follows the federally approved rate of $0.56 /mile for mileage. Mileage includes attending meetings, conducting outreach, recruitment of youth, providing transportation to youth in case of emergency, and meeting with youth. Participant Wages $59,270 Participant wages includes salaries and wages of youth earned through Work Experience (WEX) program. Each participant may be eligible for up to 20 hours of paid work experience and 380 hours of worksite experience placement for a total of approximately 400 hours compensated at $9.00 per hour effective July 2014. In addition, there is administrative cost to process the participants' salaries and benefits are paid to Paychex for payroll processing of WEX participants and handling of payments of payroll taxes estimated at $2,822 Participant Supportive Services $6,600 Participant Supportive Services includes the costs of transportation, child care, housing, clothing, books and school supplies and other identified needs for the participants that support them to participate in job and leadership skills activities. This includes the cost of student supplies for participants to help support them in their completion of certification programs, their GED, and /or secondary and post- secondary educational goals. OCAPICA expects an average of $330 in supportive services per participant. e Participant Incentives $3,000 Incentives will be provided to youth participants for completion of WIA activities. Incentives may be gift cards and job readiness related items such as planner, portfolios and folders. OCAPICA expects an average of $150 in incentives to be distributed per participant. Youth Conferences $660 This will cover the costs for youth to be able to participate in conferences, training programs, and field trips - including covering the registration or tuition fees, career exploration activities and opportunities, certification programs, or other job and career development training programs that are proven to be effective and needed for the youth to obtain a job and further develop their career interests. Indirect Cost $3,720 Indirect includes the cost for payroll and human resource services at 6% of gross payroll from Special Service for Groups for program and administration staff. OCAPICA utilizes Special Service for Groups as its legal employer and they provide payroll services, human resources, and financial services related to employment. Another 5% of WEX participants' salaries and benefits are paid to Paychex for payroll processing and human resources of WEX participants and handling of payments of payroll taxes. OCAPICA has a federally approved indirect rate of 22.30% related to actual indirect costs. Other indirect costs include executive management, general liability insurance, D &O insurance, sexual abuse and molestation insurance, annual Single Audit and any costs over the budget amount are provided to the program as leverages. Subtotal of Operating Expenses $78,780 Total Requested Budget 136 400 3. During WEX, participants will turn in timesheets signed by their site supervisor to the Job Developer on a bi- weekly basis. Participants will also track hours using a WEX log of hours, to be kept in their file. Copies of signed pay -stubs will also be kept in participants' files. Incentives and supportive services will be tracked by a log kept in the participant's file. Requests forms, signed by participants and staff, will also be kept in the participant file and in a separate file in our finance department. Incentive documentation will also be kept in both the participants file and the finance department. (See attachment J for program forms) �. .r Orange County Asian & Pacific Islander Comm, Alliance Effective April 1, 2014 1 • Y • w 4. Program Class FTE % Nail Salon 121 1% WINCART 123 2% WINCART- Admin. Supplement 124 0% FSP Wraparound 141 19% PEI 145 20% KOMEN -LA Patient Navigation 146 0% KOMEN -LA Psychosocial Support 147 0% KOMEN -OC 148 0% Navigating Our Health 153 0% STRIVE 156 0% Covered California 157 2% Affordable Care Act 158 3% College Access 221 2% Scholars 222 1 % FAFSA 223 2% Green Technology 226 0% WIA -ISY 256 9% WIA -OSY 257 13% Santa Ana WIA 265 3% HAPIY 271 6% Vote 316 3% Civic Engagement Capacity Building 317 2% Demographic Profile 319 0% Management 501 9% Fundraising 503 3% Prepared 3/26/14 Page3 100% 100% § \ | � ¥!K!>§ \ } #±!§ {F {( \! >§ !\)*tI§ :rlffl ;! {K{ !!!§ fr {f±E!< {R( !ER§ §E! � Orange County Asian and Pacific Islander Community Alliance Common Cost Allocation Effective April 1, 2014 UGAIJIUA FACILITY SPACE ALLOCATION COST ALLOCATION PLAN PROGRAM CLASS %of Space Nail Salon 121 2% WINCART 123 2% WINCART -Admin Supplement 124 0% FSP 141 .16% PEI 145 18% KOMEN-LA Patient Navigation 146 0% KOMEN -LA Psychosocial Support 147 0% KOMEN -OC 148 0% Navigating Our Health 153 0% STRIVE 156 0% Covered California 157 3% Affordable Care Act Outreach 158 3% College Access 221 2% Scholars 222 1% FAFSA 223 1% Green Technology 226 0% WIA -ISY 256 10% WIA -OSY 257 15% Santa Ana WIA 265 3% HAPIY 271 7% Vote 316 20/. Civic Engagement Capacity Building 317 1% Demographic Profile 319 1% Management 501 10% Fundraising 503 30/1 Total for Facility 100% �} P�a�gge5 257 A 9 100% OCAPiCA FACILITY SPACE ALLOCATION Management Assigned Sq. Ft. 674 5,274 of Total So Ft. 13% Program Class FTE M° of Total %of Space Management Fundraising 50i 503 3.67 1.10 77 °1° 23°l0 10% 3°f° Civic Engagement Capacity Bui 317 4.17 100% 13% Youth 319 0.10 6% 1% Assigned Sq. Fl. 607 1.75 63% 5% % of Total Sq Fl, 12% Program Class FTE %of Total %of Space College Access 221 0.75 19% 2% Scholars 222 0.25 6% 1% FAFSA 223 0.60 1:5% 1% Green Technology 226 0.05 1% 0% HAPIY 271 2.40 59% 7% KOMEN -OC 148 4.05 100% 12% WIA Youth 146 0.00 0% 0% Assigned Sq, Ft. 1,508 0.00 0% 0% % of Total Sq. Ft. 29% 0100 0% 0% 'Program Class FTE %of Total %of Space WIA -ISY 256 3.34 36% 10% WIA -OSY 257 5.01 53% 15% Santa Ana WIA 265 1.05 11% 3% Mental Health 9.40 100% 29 °% Policy 1,760 Assigned Sq. Ft. 238 % of Total So Ft. 5% FTE % of Total % of Space Civic Engagement Capacity Bui 317 0.55 31% 1% Demographic Profi'.a 319 0.10 6% 1% 1.75 63% 5% Health Assigned Sq, Ft. 486 % of Total Sq Ft. 9% Program Class FTE % of Total %of Space Nail Salon 121 0.55 17% 2% WINCART 123 0.75 23% 2% WINCART -Admin Supplement 124 0.00 0% 0% KOMEN -OC 148 0.00 0% 0% KOMEN -LA Patient Navigation 146 0.00 0% 0% IKOMEN-LA Psychosocial 147 0.00 0% 0% Navigating Our Health 153 0100 0% 0% STRIVE 156 0.00 0% 0% Covered California 157 0195 29% 3% '.Affordable Care Act Outreach 158 1.05 32% $% 3.30 100% 9% Mental Health Assigned Sq. Ft, 1,760 % of Total Sq. Ft. 34% Program Class FTE % of Total % of Space FSP 141 7.10 46% 16% PEI 145 7.78 52% 18% Tor r 114 I'll 0 E m O s_ a. 0 O cu U O Q Q1 U (r5 �Q. 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EEE 2 E E E NV- 566d 8U o x11�3 3mzz -2. n� d V O � u N � v N U W � N En w Nw w w ua x ery» N .^BEN ae\i h M .yam: l� itl N m yI� U LQ w m VW] � W ti H N 3 V1 z; u° a 0 o "e3 N o a Va ui N Ww Vi N �F a ^A t9 N C C Oo o �] H 5 u w w N 3 Assurances & Certifications Selected providers will be required to sign and submit "actual" assurances and certificates as required by the City of Santa Ana and the Workforce Investment Board on all contracts. I recognize that I must give assurances for each item below. If I cannot, this proposal will be automatically rejected. Please initial each box. ® I am authorized by my Board of Directors, Trustees, other legally qualified officer, or as the owner of this agency or business to submit this proposal. ® We are not currently on any Federal, State of California, or local Debarment list. ® We will provide records to show that we are fiscally solvent, if needed. ® We have, or will have, all of the fiscal control and accounting procedures needed to ensure that WIA funds will be used as required by law and contract. ® We have additional funding sources and will not be dependent on WIA funds alone. We do or will meet the applicable Federal, State, and local compliance requirements. These include, but are not limited to: ® Records that accurately reflect actual performance. ® Maintain record confidentiality, as required. ® Reporting financial, participant, and performance data, as required. ® Comply with State and Federal fiscal and program activity audits. ® Comply with Federal and State non - discrimination provisions. ® Meet requirements of Section 504 of the Rehabilitation Act of 1973. ® Meet requirements of the American's with Disabilities Act of 1990 ® Meet all applicable labor law, including Child Labor Law standards. ® Agree to provide a drug free workplace. ® Agree to insure the City of Santa Ana through General Liability Insurance and Automobile Liability. Coverage in the amount of $1,000,000.00. ® Agree to provide all participants with Grievance Procedures. ® Agree to insure proposer's employees through Workers Compensation Insurance (including part -time employees) ® Procurement policies and procedures are in place and meet federal guidelines. ® Youth Protection Policy and Sexual Abuse & Molestation insurance of $2,000,000 We will not: ® Place a youth in a position that will displace a current employee. ® Use WIA money to assist, promote, or deter union organizing. ® Use funds to employ or train of persons in sectarian activities. ® Use funds for youth in the construction, operation, or maintenance of any part of a facility to be used for sectarian instruction or religious worship. ® Use WIA funds for activities that would interfere with or replace regular academic requirements for eligible youth who are not dropouts. ® Use WIA funds to carry out programs funded under the School -to -Work Opportunities Act of 1994 unless the program(s) are only for youth eligible to participate under WIA. ® Use WIA money under this contract to purchase any equipment. EXHIBIT H 25 25A -101 SPEGSER -01 MERCHANTAI ,a►►c�o�iz °° CERTIFICATE OF LIABILITY INSURANCE DATE 11 1 /13 /2 01 3 1 /1 312 3 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW, THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER, IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). .PRODUCER CONTACT NAME: Willis Insurance Services of California, Inc. C/O 26 Century 81 Vd. P.O. Box 305191 Nashville, TN 37230 -5191 PHONE 877 945.7378 FAX (688) 467 -2376 AIC IN Ext : ( ) (AID, No E -MAIL ADDRESS: INSURER(S) AFFORDING COVERAGE NAIC# INSURER A: XL Specialty Insurance Company 37885 .INSURER B INSURED INSURER C Special Service for Groups INSURER D 605 W. Olympic Blvd., Suite 600 Los Angeles, CA 90015 INSURERS: INSURER F : COVERAGES CERTIFICATE NUMBER: REVISION NUMBER: THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACTOR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. ILTR TYPE OF INSURANCE ADDLS INSR Me POLICY NUMBER POLICYEFF MMIDDIYYYY POLICY EXP MMIDDIVYYY LIMITS GENERAL LIABILITY EACH OCCURRENCE $ PREMISES Ea occurrence $ COMMERCIAL GENERAL LIABILITY CLAIMS-MADE ❑ OCCUR MED EXP(Any one person) PERSONAL B ADV INJURY _$ $ GENERAL AGGREGATE $ GEN'L AGGREGATE LIMIT APPLIES PER: PRODUCTS - COMP/OP AGO $ $ POLICY JE� LOC__ AUTOMOBILE LIABILITY COMBINED SINGLE LIMIT Ea accitlent �_- BODILY INJURY (Per person) $ ANYAUTO ALL OWNED SCHEDULED AUTOS AUTOS BODILY INJURY (Per accldent) $ NON -OWNED HIRED AUTOS AUTOS _ PROPERTY DAMAGE RACCIDE__ .(PE NT, $ $ UMBRELLA LIAB OCCUR CACI OCCURRCNCC $ AGGREGATE $ EXCESS LIAe CLAIMS -MADE DED I I RETENTION$ $ A WORKERS COMPENSATION ANDEMPLOYERS'LIABILITY ANY PROPRIETOR/PARTNER /EXECUTIVE YIN OFFfCMandatory in ER EXCLUDED? Eeryln BER NIA _ RWD500028502 10/112013 10/1/2014 X WCSTATU- OTH TORY LIMITS ER - EL. EACH ACCIDENT $ 1,000,000 E.L. DISEASE -EA EMPLOYE $ 1,000,000 If yes, tlesAbe under DESCRIPTION OF OPERATIONS below E.L. DISEASE - POLICY LIMIT $ 1,000,000 I DESCRIPTION OF OPERATIONS I LOCATIONS I VEHICLES (Attach ACORD 101, Additional Remarks Schedule, if more space is required) THIS CERTIFICATE VOIDS AND REPLACES PREVIOUSLY ISSUED CERTIFICATE DATED 912712013. D 0�� jk ,P1 1 L I LISA i��FcC'n sistanl CERTIFICATE HOLDER CANCELLATION SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS. City of Santa Ana, its officers, employees, agents, volunteers, AUTHORIZED REPRESENTATIVE and representatives Santa Ana Workforce Investment Board 1000 E. Santa Ana Blvd., Suite 200 0,6 Santa Ana CA 92701 © 1988 -2010 ACORD CORPORATION. All rights reserved. ACORD 25 (2010105) The ACORD names rI 1026d marks of ACORD ORANCNT- 0'1 GVILLACIS �cra n° -- -_- --- CERTIFICATE OF LIABILITY INSURANCE DA11/13/2013 Y) THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER, THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder is an ADDITIONAL IPISURED the Policy(ies) must be endorsed If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). PRODUCER - CONTACT NAME California -PHONE -... ...__ ...... 1C,N FAX PO Box 742886 E-MAIL E40 __ __,.,. I fAlc NO)_,_ Los Angeles, CA 90074.2886 E-MAIL ADDRESS. INSUrED Orange County Asian & Pacific Islander Community Alliance 12900 Garden Grove Blvd #214A Garden Grove, CA 92843 A i Great American DVERAGES CERTIFICATE NUMBER: REVISION NUMBER: THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACTOR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES, LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. q TYPE OFINSURANCE SUER POLICY EFF- POLICY EXP .... .......I ..___- ..._.. INSR I.y9yDl POLICY NUMBER (MMIDDIVYYV) fMMIDDIYYYYf LIMITS GENERAL LIABILITY _._�' -... ..) ...._ —.. .... —I_ _..... ____ A X COMMERCIAL GENERAL LIABILITY 1 X PAC033097801 10/15/2013 10/1512014 DAMAGE I"61TKN- 5'FC1' - ;- r PftEMISESL occurrence) $ CLAIMS MADE IX J OCCUR MED EXP(Any onepe,orm $ X C Prof Liabdlty Inc/ - -- --- ff S- - -- PERSONAL &AT INJURY $ X ex Abuse Included " " - -- - -- - - - - -- - -- -..... GENERAL AGGREGATE $ I_GENLAGGREGATE LIMIT APPLIES PFR' PRODUCTS - COMP /OP AGG $ POLICY_ -- _ ._- JECT_ LOU _- _. -.... ;_._.. _ I' . _ — __ - _......_.__ ..._..- T AUTOMOBILE LIABILITY j GOMBINEp SINGLE LIMIT _a accdent) A _ IANYAUTO __ PAC033097801 10/1512013 10/15!2014 BODILY INJURY (Per person) $ ALL OWNED SCHEDULED ('- AUTOS — (AUTOS �Y wH BODILY INJURY (Per accident) $ X -HIRED AUTOS �X NON-OWNED V $W n1�j .� PROPERTY DAMAGE $ P-1 )WO -_ ylll RRR �•+ jPER ACCIDENTL __I_ UMBRELLA LIAR OCCUR EACH OCCURRENCE $ EXCESS LIAB - _. CLAIMS MAO_E -...- S CORGP` li AGGREGATE _ �$ OED RETENTION$ _ _ '_°° LISA `I AtiOr�teV li WODRKERS COMPENSATION 61StcC �{J $ ;AN EMP LOVERS LIABILITY yIN j A5 n TORY Lhf_ITS OER ANYCER /MEETORIPARTNDED' Ct1TIVE ! ) Iy (MandaWMEn AD)EXCLUDED? t NIA °IL, EL EACH ACCIDENT Ig • ((Mandatory NH) EL DISEASE - EA EMPLOYE $ Dyes deec Ib under ._ DESCRIPTION OF OPERATIONS belo EL DISEASE - POLICY LIMIT,$ f .. Employee Dishonesty ! fPAC033097801 10115(20131( 10115 12014 tDeducCilble: $1,000 • 'Forgery & Alteration jPAC033097801 10(1512013 10115 /2014 jDeductible: $1,000 DESCRIPTION OF OPERATIONS (LOCATIONS (VEHICLES (Attach ACORD 107, Additional Remarks Echetlule If more space Is qulred) OCAPICA 12900 Garden Grove Blvd Suites: 210A, 214A, 220A, 222B, 225B and 224B, Garden Grove, CA 92843 City of Santa Ana, its officers, employees, agents, volunteers, and representatives are named additional insured with respect to the operations of the named insured. Such insurance is Primary and Non - Contributory per endorsement attached CG 20 26 07 04. CERTIFICATE HOLDER City of Santa Ana 1000 E. Santa Ana Blvd. Suite 200 Santa Ana, CA 92701 SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS, AUTHORIZED REPRESENTATIVE J1�? ©1988 -2010 ACORD CORPORATION. All rights reserved. ACORD 25 (2010/05) The ACORD name anM 9 AiP3 marks of ACORD C S1 "'10/17/13 *PACO330978 -01 574353436 *D /B ORIG IMAGE COPY 0694804 GREAT AMERICAN INSURANCE CO 301 F str2bve offices soi e 4th so-eer GREAT On,dnnafi OR 452G2 -4?01 AMF,'RIC.1N 5133695000 ph CG 82 24 INSURANCE GROUP (Ed. 12 01) THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. SOCIAL SERVICE AGENCY GENERAL LIABILITY BROADENING ENDORSEMENT This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART 1. The following provision is added to SECTION II - WHO IS AN INSURED 5. AUTOMATIC ADDITIONAL INSURED(S) a. Additional Insured - Manager or Lessor of Premises (1) This policy is amended to include as an insured any person or or- ganization (hereinafter called Ad- ditional Insured) from whom you lease or rent property and which requires you to add such person or organization as an Additional Insured on this policy under: (a) a written contract; or (b) an oral agreement or con- tract where a Certificate of Insurance showing that per- son or organization as an Additional Insured has been issued, (2) With respect to the insurance af- forded the Additional Insured identified in Paragraph A.(1) of this endorsement, the following additional provisions apply: (a) This insurance applies only to liability arising out of the ownership, maintenance or use of that portion of the premises leased to you (b) The Limits of Insurance ap- plicable to the Additional In- sured are the lesser of those specified in the written con- tract or agreement or in the Declarations for this policy and subject to all the terms, conditions, and exclusions for this policy. The Limits of Insurance applicable to the Additional Insured are inclu- sive of and not in addition to the Limits of Insurance shown in the Declarations. but the written or oral contract or agreement must be an "insured (c) In no event shall the cov- contract," and, erages or Limits of Insurance in this Coverage Form be in- (i) currently in ef-ect or be- creased by such contract. come effective during the term of this policy; and (d) Coverage provided herein is excess over any other valid (ii) executed prior to the "bodily and collectible insurance injury," "property damage," available to the Additional In- "personal and advertising in- sured whether the other in- jury." surance is primary, excess, APPROVED AS TO Fi`)�' LISA E. SIORCK Assistant Citv Atto n v Includes copyrighted material of Insurance Service Office with Its- permissron. �.. Copyright, Insure Vic fice, Inc., 2001 CG 82 24 (Ed. 12101) XS �� o� Wt EXHIBIT I C S1`10/17/13`PACO330978 -01 574353436 "D /B ORIG IMAGE COPY 0694804 GREAT AMERICAN INSURANCE CO contingent or on any other basis unless a written con- tractual arrangement specifi- cally requires this insurance to be primary. (3) This Insurance does not apply to: (a) Any "occurrence" or offense which takes place after you cease to be a tenant in that premises. (b) Structural alterations, new construction or demolition operations performed by or on behalf of the "Additional Insured." b. Additional Insured - Funding Sources (1) This policy is amended to include as an Insured any Funding Source which requires you in a written contract to name the Funding Source (hereinafter called Addi- tional Insured) as an Insured but only with respect to liability aris- ing out of your premises, "your work" for such Additional Insured, or acts or omissions of such Ad- ditional Insured in connection with the general supervision of "your work" and only to the extent set forth as follows: (a) The Limits of Insurance ap- plicable to the Additional In- sured are the lesser of those specified in the written con- tract or agreement or in the Declarations for this policy and subject to all the terms, conditions, and exclusions for this policy. The Limits of Insurance applicable to the Additional Insured are inclu- sive of and not in addition to the Limits of Insurance shown in the Declarations. (b) The coverage provided to the Additional Insured(s) is not greater than that cus- tomarily provided by the policy forms specified in and required by the contract. (c) In no event shall the cov- erages of Limits of Insurance in this Coverage Form be in- creased by such contract. c. Additional Insured - Contractual Obligations (1) This policy is amended to include as an Insured any person or or- ganization (hereinafter called Ad- ditional Insured) that you are re- quired by a written "insured con- tract" to include as an Insured, subject to all of the following provisions: (a) Coverage is limited to liability arising out of: (i) your ongoing oper- ations performed for such Additional Insured; or (ii) that Insured(s financial control of you; or (iii) the maintenance, opera- tion or use by you of equipment leased to you by such Additional Insured: or (iv) a state or political sub- division permit issued to you. (b) Coverage does not apply to any "occurrence" or offense: (i) which took place be- fore the execution of, or subsequent to the completion or expira- tion of, the written "in- sured contract ". or (ii) which takes place after you cease to be a ten- ant in that premises. )xkz '' J Ro Includes copyrighted material of Insurance Service Office with its�pe.rmis'grySA Copyright, Insure prvi Qlfice, Inc., 2001 art Gii1i !°lt CG 82 24 (Ed 12/01) XS �o V 17 X BIT I ., S1 *10/17/13 *PACO330978 -01 574353436 "D /B ORIG IMAGE COPY 0694804 GREAT AMERICAN INSURANCE CO (c) With respect to architects, engineers, or surveyors, coverage does not apply to "Bodily Injury," "Property Damage," "Personal and Ad- vertising Injury" arising out of the rendering or the fail- ure to render any profes- sional services by or for you including: (i) the preparing, approv- ing, or failing to pre- pare or approve maps, drawings, opinions, re- ports, surveys, change orders, designs or specifications; and (ii) supervisory, inspection, or engineering services. If an Additional Insured endorsement is at- tached to this policy and specifically names a person or organization as an Insured, then the coverage in Section It - WHO IS AN INSURED 5. Automatic Additional Insured(s) does not apply to that person or organization. 2. BLANKET WAIVER OF SUBROGATION SECTION IV - COMMERCIAL GENERAL LIABILITY CONDITIONS, Item 8. is replaced with. 8. Transfer of Rights of Recovery Against Others to us and Blanket Waiver of Subrogation a. If an Insured has rights to recover all or part of any payment we have made under this Coverage Part, those rights are transferred to us. The Insured must do nothing after loss to impair them. At our request, the Insured will bring "suit" or transfer those rights to us and help us enforce them. b. If required by a written "insured con- tract", we waive any right of recovery we may have against any person or organization because of payments we make for injury or damage arising out of your ongoing operations or "your work" clone under a contract for that person or organization and included in the "products- completed operations hazard." 3. NON -OWNED OR CHARTERED WATER- CRAFT Section I - Coverages, Coverage A, Item 2.g.(2) is replaced with: (2) A watercraft you do not own that is: (a) less than 51 feet long; and (b) not being used to carry persons or property for a charge. 4. BROADENED PERSONAL AND ADVERTISING INJURY Unless "Personal and Advertising Injury" is ex- cluded from this policy: SECTION V - DEFINITIONS Item 14. is re- placed by: 14. "Persoral and Advertising Injury" means injury, including consequential "bodily in- jury," arising out of one or more of the following offenses: a. false arrest, detention or imprison- ment; b. malicious prosecution, c. the wrongful eviction from, wrongful entry into, or invasion of the right of private occupancy of a room, dwelling or premises that a person occupies by or on behalf of its owner, landlord or lessor, d. oral, written, televised, videotaped, or electronic publication of material, in any manner, that slanders or libels a person or organization or disparages a person's or organization's goods, pro- ducts or services, e. oral, written, televised, videotaped, or electronic publication of material, in any manner, that violates a person's right of privacy; or Includes copyrighted material of Insurance Service Office with its— peFttLg's`fbrr:' 'r tYoYne" Copyright, Insure rvi fice, Inc., 200'1 Cry * / P �sistani CG 82 24 Ed. 12/01 XS o 4 \, E HIBI I " ��� C SI *10/17/13 "PAC0330978 -01 574353436 "D!B ORIG IMAGE COPY 0694804 GREAT AMERICAN INSURANCE CO f. mental injury, mental anguish, hUrr i- ation, or shock, if directly resulting from Items 14.a. through 14.e. g. the use of another's advertising idea in your "advertisement "; or In. infringing upon another's copyright, trade dress or slogan in your "adver- tisement." 5. MENTAL INJURY, MENTAL ANGUISH, HUMILIATION, OR SHOCK INCLUDED IN BODILY INJURY DEFINITION Section V - Definitions, Item 3, is replaced with 3, "Bodily injury" means physical injury, sick- ness, or disease, including death of a per- son. "Bodily injury" also means mental in- jury, mental anguish, humiliation, or shock if directly resulting from physical injury, sickness, or disease to that person. 6. MEDICAL PAYMENTS A. The Medical Expense Limit in Paragraph 7. of SECTION III - LIMITS OF INSURANCE is replaced by the following Medical Ex- pense Limit, The Medical Expense Limit provided by this policy shall be the greater of: a. $10,000; or b. The amount shown in the Declarations for Medical Expense Limit, B. This provision 7. is subject to all the terms of SECTION III - LIMITS OF INSURANCE. C. This provision 7. does not apply if COVERAGE C. MEDICAL PAYMENTS is excluded either by the provisions of the Coverage Part or by endorsement. 7. DAMAGE TO PREMISES RENTED TO YOU LIMIT A. SECTION III - LIMITS OF INSURANCE Item 6. is replaced with Subject to 5. above, the Damage to Prem- ises Rented to You Limit is the most we will pay under Coverage A for damages because of "property damage" to your building, or to personal property of others in your care, custody and control while at premises rented to you or temporarily occupied by you with permission of the owner, arising out of any one fire, The Damage to Premises Rented To You Limit is replaced by the following Damage to Premises Rented To You Limit. The Damage to Premises Rented To You Limit is the greater of: (1) $300,000; or (2) the amount shown in the Declarations for Damage to Premises Rented to You Limit, B. This provision is subject to all the terms of SECTION III - LIMITS OF INSURANCE. C. This provision 5. does not apply if Damage to Premises Rent to You Liability of COV- ERAGE A (SECTION 1) is excluded either by the provisions of the Coverage Part or by endorsement. 8. SUPPLEMENTARY PAYMENTS A. In the SUPPLEMENTARY PAYMENTS - COVERAGES A and B provision, Item 1.b., and 1.d are replaced with: 1.b. Up to $500 for cost of bail bonds required because of accidents or traf- fic law violations arising out of the use of any vehicle to which the Bodily In- jury Liability Coverage applies. We do not have to furnish these bonds. 1.d. All reasonable expenses incurred by the Insured at our request to assist us in the investigation or defense of the claim or "suit," including actual loss of earnings up to $500 a day because of time off work. This endorsement does not change any other provision of the policy, �Sfant Q�tV! AtTOf:��r Includes copyrighted material of Insurance Service Office with its pea ssion. CG 82 24 (Ed. 12!01) XS Copyrighl, Insure ry j 7fice, Inc., 2001 y ��� E HIBIT I U b'I -1 ullttI1 -Y AUU3 JUU I25 -U1 b /4Jb343b `Ulb OHIG IMAGE COPY 0694804 GREAT AMERICAN INSURANCE CO �— Admin,stiative 0ffiees CG 20 2 6 E d. 0 4/ 1 3 'sot E4th street ( ) - Oncunti OH 45202-4201 sTY=A79A10JCAA 513309SGGGph: Policy: PAC 033 -09.78 01 INSOANGE GPOUP THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. ADDITIONAL INSURED - DESIGNATED PERSON OR ORGANIZATION This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART chedu I Jame of Additional Insured Person(s) or Organizatlon(s): ;ITY OF SANTA ANA, ITS OFFICERS, EMPLOYEES, AGENTS, VOLUNTEERS, AND REPRESENTATIVES ;ITY OF SANTA ANA 000 E. SANTA ANA BLVD. SUITE 200 SANTA ANA, CA 92701 H INSURANCE IS PRIMARY AND NON- CONTRIBUTORY PER FORM CG20.01. Information required to complete this Schedule, if not shown above, will be shown in the Declarations A. SECTION II - WHO IS AN INSURED is amended to include as an additional insured the person(s) or organization(s) shown in the Schedule, but only with respect to liability for "bodily injury," "property damage" or "personal and advertising Injury" caused, In whole or in part, by your acts or omissions or the acts or omissions of those acting on your behalf: 1. in the performance of your ongoing operations; or 2, in connection with your premises owned by or rented to you. However: 1, the insurance afforded to such additional insured only applies to the extent permitted by law; and 2. if coverage provided to the Additional Insured is required by a contract or agreement, the insurance afforded to such additional insured will not be broader than that which you are required by the contract or agreement to provide for such additional insured. Copyright, ISO Properties, Inc.,. 2012 CG 20 26 04/13 (Page 1 of 2 - t�. 7;S qCV 26AA 08 A'aoYnE'11A 5 l' I U/ 1// 13` FAU03309(8 -01 574353436 `D /B ORIG IMAGE COPY 0694804 GREAT AMERICAN INSURANCE CO Adminis talive Offices CG 2.0 26 E d. 0 4/ 1 3 601 EAth Street I ) Vincinnati 6Ii 45202 -42111 6133095000ph Policy: PAC 033 -09 -78 01 INSDANGE GNOOP THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. ADDITIONAL INSURED - DESIGNATED PERSON OR ORGANIZATION B. With respect to the insurance afforded to these Additional Insureds, the following is added to SECTION III LIMITS OF INSURANCE: If coverage provided to the Additional Insured is required by a contract or agreement, the most we will pay on behalf of the Additional Insured is the amount of insurance: 1. required by the contract or agreement; or 2, available under the applicable Limits of Insurance shown in the Declarations; whichever is less. This endorsement shall not increase the applicable Limits of Insurance shown in the Declarations. Copyright, ISO Properties, Inc., 2012 CG 20 26 04113 (Page 2 of 2) _ -' -PryRV1 — LISA F�c'IORCiti �As,l,ient Gth1 A'ttpl'n �1 09 � AGREEMENT UNDER THE WORKFORCE INVESTMENT ACT THIS AGREEMENT, made and entered into this 1" day of July, 2014, by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California ( "CITY ") and Orange County Children's Therapeutic Arts Center a non- profit corporation ( "CONTRACTOR "). RECITALS: A. CITY has been designated a Local Workforce Investment Area (LWIA) under the Workforce Investment Act of 1998, Public Law 105 -220 ( "the Act "). B. The State of California has created the LWIA to administer the Act programs operated by the State of California pursuant to the Act. C. As a LWIA, CITY is entitled to receive federal funds to establish programs to prepare economically disadvantaged youths for entry into the labor market and to provide basic skills development to those individuals who are economically disadvantaged or otherwise face serious barriers to succeeding in life. One goal of California's Workforce Investment System is to provide youth with the opportunities to achieve career goals that will allow them to successfully compete in the labor market and prepare them for higher education. D. CONTRACTOR is experienced in operating education, occupational development and employment programs for economically disadvantaged youth for entry into the labor market ( "said program"), E. CONTRACTOR is willing to operate said program pursuant to the Act and California law. WHEREFORE, for and in consideration of the respective and mutual covenants and promises hereinafter contained and made, and subject to all the terms and conditions hereof, the parties hereto do hereby agree as follows: I. CONTRACTOR'S OBLIGATIONS A. CONTRACTOR agrees to provide the following services pursuant to said program, as more specifically set forth in CONTRACTOR'S Program Narrative contained in "Exhibit A" and in the Performance Standards "Exhibit B ", attached hereto and by this reference incorporated herein. CONTRACTOR'S failure to provide said services may be grounds for CITY to readjust the level of payment to CONTRACTOR otherwise provided for hereinafter. B. CONTRACTOR agrees to provide benefits to individuals who participate in the activities and services funded by this Agreement ( "participants ") in accordance with the standards and requirements set forth in Workforce Investment Act of 1998, Public Law 105 -220. 25A -110 Page 1 of 15 C. CONTRACTOR agrees to perform the services set forth herein in a professional, timely and diligent manner. D. CONTRACTOR shall provide wages and benefits to individuals who participate in the activities and services funded by this Agreement in accordance with the standards and requirements of the Act, including Section 181 of the Act. E. CONTRACTOR shall adhere to the Labor Standards described in the Act including Section 181 of the Act. F. CONTRACTOR agrees to comply with the "Complaint Handling Procedures Under the WIA ", attached hereto as "Exhibit C" and incorporated herein as though fully set forth in 20 CFR §667.200, Subpart F. CONTRACTOR shall advise participants of their rights to file complaints under the Act and the procedures for resolution of any complaints. CITY's procedures for handling complaints alleging a violation of the Act, regulations, grants, or other agreements under the Act shall be followed and any decision of CITY, the State or the federal government relating to the complaint shall be binding and followed by CONTRACTOR. CONTRACTORS who are employers shall operate a grievance system that incorporates CITY's procedures for resolution of complaints relating to the terms and conditions of employment; these procedures shall be approved in writing by CITY. G. As a condition of this award of financial assistance under the Act to CONTRACTOR from CITY, CONTRACTOR assures, with respect to operation of all programs or activities funded with funds provided pursuant to the Act, and all agreements or arrangements to carry out such programs or activities, that it will comply fully with the nondiscrimination and equal opportunity provisions of the Act (Section 188) and compliance with Equal Employment Opportunity provisions in Executive Order (E.O.) 11246, as amended by E.O. 11375 and supplemented by the requirements of 41 CFR Part 60; the Nontraditional Employment for Women Act of 1991; Title VI of the Civil Rights Act of 1964, as amended; section 504 of the Rehabilitation Act of 1973, as amended; the Age Discrimination Act of 1975, as amended; the Americans with Disabilities Act of 1990; and with all applicable requirements imposed by or pursuant to regulations implementing those laws, including, but not limited to, 29 CFR Part 33 and 37. The United States, the State of California and CITY have the right to seek judicial enforcement of this assurance. H. CONTRACTOR agrees that no participant(s) shall commence training prior to the approval of funding pursuant to Section 123 of the Act. I. CONTRACTOR agrees to maintain such records and submit such reports, data and information, on the form and containing such information, at such times as CITY may request or require regarding the performance of CONTRACTOR'S services or activities, costs or other data, including but not limited to, participants' attendance, payroll records and job duty statements. CONTRACTOR agrees to forward to the Santa Ana Work Center Administrative Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California 92701 completed Workforce Investment Act Application form and supporting documents; a complete Workforce Investment Act Enrollment; any subsequent updates to; Workforce Investment Act Youth Test Scores form; Workforce Investment Act Exit form upon completion/termination of active enrollment of participant; and the Workforce Investment Act Follow -Up form within 20 days following 30, 60, 90,180, 270, and 360 days of exit. Contractor agrees to enter information on the State of California's CalJobs database 25A -111 Page 2 of 15 system as instructed and requested by the Santa Ana Work Center Administration. CITY, the State of California and the United States government and /or their representatives shall have access for purposes of monitoring, auditing and examining of CONTRACTOR'S activities, performance, books, documents, papers, and records of CONTRACTOR subcontractors, bookkeepers and accountants, and employees and participants related to this Agreement. Such agencies or representatives shall also schedule on -site monitoring in their discretion. Monitoring activities may also include, but are not limited to, questioning employees and participants and entering any premises or onto any site in which any of the services or activities funded hereunder are conducted or in which any of the records of CONTRACTOR are kept. Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. In the event CONTRACTOR does not make the above - referenced documents available within the City of Santa Ana, California, CONTRACTOR agrees to pay all necessary and reasonable expenses incurred by CITY in conducting any audit at the location where said records and books of account are maintained. All accounting records and evidence pertaining to all costs of CONTRACTOR and all documents related to this Agreement shall be kept available at the location where CONTRACTOR conducted the program, as well as in the County of Orange, for the duration of this Agreement and thereafter for three (3) years after completion of an audit. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY, the State of California or the United States Government take exception, shall be retained beyond the three (3) years until resolution of disposition of such appeals, litigation, claims, or exceptions. J. Without prejudice to any other section of this Agreement, CONTRACTOR shall, where applicable, maintain the confidential nature of information provided to it concerning participants in accordance with the requirements of federal and state law. Notwithstanding the foregoing, CONTRACTOR agrees to submit to CITY, the State of California and /or the United States Govermment or their representatives, all records requested for administrative purposes, including audits, examinations, monitoring and verification of records submitted by CONTRACTOR, costs incurred and services rendered hereunder. K. CONTRACTOR agrees to complete in triplicate, a monthly Invoice /Voucher on CITY's Invoice /Voucher form, showing in detail the amount of money already expended by CONTRACTOR hereunder, as this is a cash reimbursement contract. Accounting records must be supported by such source documentation such as cancelled checks, paid bills, payrolls, time and attendance records, contract and subgrant award documents [29 CFR —Subpart C, Section 97.20 (b)(6)]. CONTRACTOR agrees to submit the above - stated documents to the WIB Administrative Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California, 92701, by the tenth (10th) day of the month following the month in which CONTRACTOR'S services are performed. Should CONTRACTOR fail to deliver said documents to CITY, CITY shall have the option to cancel this Agreement by giving CONTRACTOR ten (10) days written notice thereof. CONTRACTOR shall either return to the CITY excess revenues over costs or use such excess revenues as program income by utilizing such program income for additional training activities authorized under the Act. L. CONTRACTOR agrees to expend all funds in accordance with all applicable 25A -112 Page 3 of 15 federal, state and local laws and regulations. CONTRACTOR also agrees to provide at CONTRACTOR'S own expense supplies and other costs of said PROGRAM. M. CONTRACTOR shall arrange independently for an audit that includes WIA funds received from CITY, in accordance with the Act, 20 CFR Section 667.200 and OMB Circular A- 133. CONTRACTOR shall submit one original of each required audit report to CITY within (30) days after the date received by CONTRACTOR. Should CONTRACTOR fail to comply with these requirements, CITY may at its option withhold payment of funds, or disallow funds or suspend additional grant funds. N. CONTRACTOR shall not expend funds pursuant to this Agreement to provide services to any participant where costs of training are paid for by any other person or entity. O. CONTRACTOR shall comply with the provisions of Circular A -102 of the U.S. Office of Management and Budget (OMB) and the related "Common Rule" entitled "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Government ", Subpart C, paragraphs 37 and 42, Circular A -128, and all other applicable federal statutes and executive orders and their implementing regulations, including regulations at 29 CFR Part 97. P. CONTRACTOR shall comply with the requirements of federal regulations found at 29 CFR 93 which provide that no appropriated funds may be expended by the recipient of a federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, member of Congress or an officer or employee of a member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. CONTRACTOR shall sign a Certification Regarding Lobbying to that effect in a form as set forth in "Exhibit D," attached hereto and by this reference incorporated herein. CONTRACTOR shall submit said signed Certification to CITY prior to performing any of its obligations under this Agreement and prior to any obligation arising on the part of CITY to pay any sums to CONTRACTOR under the terms and conditions of this Agreement. Q. CONTRACTOR agrees to provide a drug -free work place and to execute a Drug Free Workplace Certification as set forth in "Exhibit E" attached hereto and incorporated herein by this reference. R. CONTRACTOR, in accordance with the Child Support Compliance Act, recognizes and acknowledges the importance of child and family support obligations and shall fully comply with all state and federal laws relating to child and family support enforcement, including, but not limited to: disclosure of information and compliance with earnings assignment orders, as provided in Chapter 8 (commencing with Section 5200) of Part 5 of Division 9 of the state Family Code; and, to the best of its knowledge is fully complying with the earnings assignment orders of all employees and is providing the names of all new employees to the New Employee Registry maintained by the California Employment Development Department (EDD). S. CONTRACTOR agrees to comply with all applicable provisions of the ACT and the federal regulations, including but not limited to the regulations found at 20 CFR part 629. 25A -113 Page 4 of 15 T. CONTRACTOR agrees to that it is in compliance with the Certification Regarding Debarment ( "Exhibit F") as required by the regulations implementing Executive Order 12549, Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participants' Responsibilities. The regulations were published as Part VII of the May 16, 1988, Federal Register (Pages 19160- 19211). U. CONTRACTOR agrees to provide priority of services for veterans and eligible spouses pursuant to 20 CFR part 1010 and the regulations implementing priority of service for veterans and eligible spouses in Department of Labor job training programs under the Jobs for Veterans Act published at 73 Fed.Reg. 78132 on December 19, 2008. V. CONTRACTOR acknowledges that the official name for the statewide system of providing employment and training through the WIA partnerships and various other local programs is "America's Job Center ". To achieve the goals of this grant, it is important that the public has a quick and easy method to identify that the projects or programs they are taking part in are part of the "America's Job Center ". CONTRACTOR agrees to place the America's Job Center logo, in accordance with the State of California guidelines for such use, on all public materials such as statements, press releases, brochures, advertisements, reports and other documents describing projects or programs funded in whole or in part with WIA funds. When the America's Job Center logo is used, CONTRACTOR may accompany it with the following statement, "The (Program Name) is a proud partner of the America's Job Center network ". CONTRACTOR shall not use the America's Job Center logo in any manner that would imply that the State of California endorses a commercial product, service or activity. IL CITY'S OBLIGATIONS A. CITY agrees to pay to CONTRACTOR when, if and to the extent federal funds are received under the provisions of the Act a sum not to exceed $212,800 for CONTRACTOR'S performance in accordance with the Budget attached hereto as "Exhibit G" during the period of this Agreement. Said sum shall be paid after CITY receives invoices submitted by CONTRACTOR as provided hereinabove. B. CONTRACTOR has the ability to adjust line item amounts in the budget with the approval of the Executive Director, so long as the total Budget amount does not increase. C. CITY agrees to provide for on -site monitoring reviews of said program operation at least annually. In addition, monthly desk -top reviews of pertinent information will be conducted. D. CITY has the right to de- obligate the funds hereunder and take such funding back from CONTRACTOR due to any of the following reasons: (a) lack of performance by CONTRACTOR; (b) lack of fiscal accountability of CONTRACTOR; or (c) decrease in available funding. III. TERM OF AGREEMENT This Agreement shall commence on July 1, 2014 and all duties arising under this Agreement shall have been performed by June 30, 2015. The term of this Agreement may be extended 25A -114 Page 5 of 15 by a writing executed by the City Manager and the City Attorney. IV. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer - employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. V. WORKER'S COMPENSATION AND EMPLOYER'S RIGHTS A. CONTRACTOR shall use appropriate funds received from CITY to provide workers' compensation to all those hired by CONTRACTOR under this Agreement. B. CONTRACTOR shall have the right to hire, dismiss, or promote its employees or contract personnel hired under this Agreement so long as its hiring or dismissal policy or standard does not violate Title VII of the Civil Rights Act of 1964, Fair Labor Standards Act of 1938, or any other applicable law, and CONTRACTOR maintains itself as an Equal Opportunity employer. VI. APPLICABLE GUIDELINES A. The parties hereto agree that CONTRACTOR shall comply with all applicable federal and state laws and regulations, including, but not limited to the Performance Standards (Exhibit B) and general program requirements described in Sections 106 and 141 of the Act (29 USC Sections 1516 and 1551) and applicable regulations, and the U.S. Department of Labor guidelines and regulations, including amendments or revisions made during the terms of this Agreement. Said applicable laws are hereby incorporated by reference and made as part of this Agreement as though fully set forth herein. B. CONTRACTOR also assures and certifies that: 1. CONTRACTOR acknowledges and confirms that the U.S. Department of Labor has established three (3) common measures for youth: (a) Placement in employment or education; (b) Attainment of degree or certificate; and, (c) Literacy or numeracy gains. Pending WIA reauthorization and or U.S. Department of Labor and EDD updates, Contractor agree to implement and shall meet any additional performance measures that may be subsequently required by the Workforce Investment Act or by any other Federal, State, and local law. 2. CONTRACTOR shall comply with Title VII of the Civil Rights Act of 1964 (P.L. 83 -354) and in accordance with Title VII of the Act, no person shall, on the grounds of race, 25A -115 Page 6 of 15 color, religion, sex, age, handicap or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under this Agreement. 3. CONTRACTOR shall comply with any and all federal laws limiting the political activity of employees hired under this Agreement. 4. CONTRACTOR shall comply with the requirements that no program under the Act shall involve political activities. 5. RECORD INSPECTION. CONTRACTOR shall provide the U.S. Department of Labor and the Controller General, by and through any authorized representative, as well as the WIB Administrative Office, access to and the right to examine all records, books, papers or documents relating to the accounting and use of funds under this Agreement for a three -year period from and after the effective date of this Agreement. 6. No person with responsibilities in the operation of any program under the Act shall discriminate with respect to any program participant or any application for participation in such program because of race, creed, color, national origin, sex, political affiliation or beliefs. 7. CONTRACTOR shall maintain appropriate standards for health and safety in work and training situations. 8. CONTRACTOR shall comply with general provisions, assurances, and execute the Assurances and Certifications attached hereto as "Exhibit H" and incorporated herein. 9. EQUAL OPPORTUNITY. Any literature distributed by CONTRACTOR for the purpose of apprising businesses, participants, or the general public of its programs under this Agreement shall state that its programs are supported by the City of Santa Ana and the Santa Ana Workforce Investment Board, and shall state that the program is an "equal opportunity employer /program" and that "auxiliary aids and services are available upon request to individuals with disabilities." 10. Based on the population eligible to be served, or likely to be directly affected by the WIA program or activity, the services or information may need to be provided in a language other than English in order to allow such population to be effectively informed about or able to participate in the program or activity. Pursuant to 29 CFR 37.35, CONTRACTOR must take reasonable steps to provide services and information in appropriate languages after considering the scope of the program or activity, and the size and concentration of the population that needs services or information in a language other than English. 11. CONTRACTOR certifies that all property, finished or unfinished documents, data, studies and reports prepared or purchased under this Agreement, will be disposed of in accordance with the direction of the CITY. In addition, any tools and /or equipment furnished to the CONTRACTOR by the CITY and /or purchased by the CONTRACTOR with funds pursuant to this Agreement, will be limited to use within the activities outlined in this agreement and will remain the property of the United States Government and /or CITY. Upon termination of this Agreement, CONTRACTOR will immediately return such tools and /or equipment to the CITY or dispose of them in accordance with the direction of the CITY. 25A -116 Page 7 of 15 12. CONTRACTOR certifies that this Agreement does not provide for the advancement or aid to any religious sect, church or creed, or sectarian purpose nor does it help to support or sustain any school, college, university, hospital or other institution controlled by any religious creed, church, or sectarian denomination, as specified by Article XVI, Section 5, of the Constitution of the State of California, regarding separation of church and state. 13. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The CONTRACTOR will disclose to the CITY any invention, written product, computer program developed or data assembled as a result of performance of work under this Agreement within seventy four (74) days of invention, development or assembly. The CITY, State of California, and U.S. Department of Labor will have the right to patent any invention and copyright any written product or computer program or data generated by CONTRACTOR. Upon written request, CONTRACTOR will transfer all pertinent information, specifications and right, title and interest to the designated agency. 14. INVENTIONS, PATENTS AND COPYRIGHTS. A. Reporting Procedure. If any project produces patentable items, patent rights, processes, or inventions in the course of work under a U.S. Department of Labor (DOL) grant or agreement, the CONTRACTOR shall report the fact promptly and fully to the CITY. The CITY shall report the fact to the Grant Officer, at the DOL. Unless there is a prior agreement between the CITY and the DOL and its representative on these matters, the DOL shall determine whether to seek protection on the invention or discovery. The DOL and its representative shall determine how the rightsin the invention or discovery, including rights under any patent issued thereon, will be allocated and administered in order to protect the public interest consistent with the "Governmental Patent Policy" (President's Memorandum for Heads of Executive Departments and Agencies, August 23, 1971, and Statement of Government Patent Policy as printed in 36 FR 16889). B. Copyright Policy, 1. Unless otherwise provided in the terms of the grant or agreement, when copyright- able material is developed in the course of or under a DOL Grant or agreement, the author and the CITY which developed the work is free to copyright material or to permit others to do so. The CONTRACTOR and the Workforce Investment Board (WIB) shall have a royalty -free, nonexclusive and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted material. 2. The DOL reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The copyright in any work developed under any grant, sub - grant, or contract under a grant or subgrant; (b) Any right of copyright to which a grantee, subgrantee or a CONTRACTOR purchases ownership with grant support; and (c) CONTRACTOR shall comply with the requirements of 29 CFR Part 97.34. C. Rights to Data. The DOL and the CITY shall have unlimited rights to any data first procured or delivered under this Agreement. 15. CLEAN AIR / CLEAN WATER ACT. If the grant hereunder exceeds $100,000, CONTRACTOR must comply with Section 306 of the Clean Air Act [(42 USC 1875(h)]; Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and Environmental 25A -117 Page 8 of 15 Protection Agency ( "EPA ") regulations (40 CFR Part 15) as any may now exist or be hereafter amended. Under these laws and regulations, the CONTRACTOR assures that: (a) No facility to be utilized in the performance of the proposed grant has been listed on the EPA List of Violating Facilities; (b) It will notify CITY prior to award of the receipt of any communication from the Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be utilized for the grant is under consideration to be listed on the EPA List of Violating Facilities; (c) It will notify the CITY and the EPA about any known violation of the above laws and regulations. 16. CONTRACTOR agrees to adhere to the following STANDARDS OF CONDUCT: a. General Assurance. Every reasonable course of action will be taken by CONTRACTOR in order to maintain the integrity of this expenditure of public funds and to avoid favoritism. This Agreement will be administered in an impartial manner, free from errors to gain personal, financial, political gain. CONTRACTOR, its officers and employees, in administering this Agreement, will avoid situations which give rise to a suggestion that any decision was influenced by prejudice, bias, special interest or desire for personal gain. b. Employment of Former State or CITY Employees CONTRACTOR will ensure that any of its employees who were formerly employed by the State of California or CITY, in position that could have enabled such individuals to impact policy regarding or implementation of programs covered by this Agreement, will not be assigned to any part or phase of the activities conducted pursuant to this Agreement for a period of not less than two (2) years following the termination of such employment. c. Conducting Business Involving Relatives. No relative by blood, adoption or marriage of any executive or employee of CONTRACTOR will receive favorable treatment when considered for enrollment in programs provided by, or employment with, CONTRACTOR. d. Conducting Business Involving Close personal Friends and Associates. Executives and employees of CONTRACTOR will be particularly aware of the varying degrees of influence that can be exerted by personal friends and associates and, in administering this Agreement, will exercise due diligence to avoid situations which give rise to an assertion that favorable treatment is being granted to friends and associates. When it is in the public interest for CONTRACTOR to conduct business with a friend or associate of an executive or employee of CONTRACTOR, an elected official in the area or a voting or non- voting member of the Workforce Investment Board (WIB), a permanent record of the transaction will be retained. e. Avoidance of Conflict of Economic Interest. No executive or employee of CONTRACTOR elected official in the area, or voting or non- voting member of a WIB, will solicit or accept money or any other consideration from a third person, for the performance of an act reimbursed in whole or part by CONTRACTOR or CITY. Supplies, materials, equipment or services purchased with Agreement funds will be used solely for purposes asserted or allowed under this Agreement. No voting member of the WIB will cast a vote on the provision of services or vote on any matter which 25A -118 Page 9 of 15 would provide direct financial benefit to that member or any business or organization which the member directly represents. f. Salary and Bonus Limitations. All Subrecipients of WIA program funds are required to comply with federal requirements regarding the limitations on salary and bonus payments in accordance with Public Law 109 -149, Section 7013. VII. HOLD HARMLESS A. CONTRACTOR shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers' compensation claims, resulting from or arising out of the negligent acts, errors or omission of CONTRACTOR, its employees or subcontractors. B. CONTRACTOR shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from and against any and all claims, demands, suits, actions or proceedings therefore, resulting from or arising out of the intentional or malicious acts of CONTRACTOR, its employees or subcontractors. VIII. INSURANCE 1. Commercial General Liabilitv. CONTRACTOR agrees to obtain and keep in force during the term of this Agreement a policy of comprehensive commercial general liability insurance insuring the State of California, CITY, and CONTRACTOR against any liability for accident, injury or death arising out of or in consequence of this Agreement. Such insurance shall be in an amount not less than One Million Dollars ($1,000,000.00) for any injury to or death of any person or persons in any single accident or occurrence. Said policy of comprehensive general liability insurance shall be endorsed to provide to CITY and to the State of California, Employment Development Department, at least thirty (30) days written notice prior to cancellation; name CITY, its officers, agents, employees, and volunteers, and the State of California, its officers, employees, and volunteers as Additional Insured; and state that such coverage is primary to any other coverage or self - insurance of the State of California and CITY (in substantially the form as Exhibit I, Additional Insured Endorsement, attached hereto). Governmental entities may substitute a certificate of self - insurance. 2. Automobile Liability Coverage. CONTRACTOR shall also obtain and maintain, during the effective period of this Agreement, broad form automobile liability coverage with at least $1,000,000 limit unless reduced by CITY, which applies to both owned/leased and non -owned automobiles used by CONTRACTOR employees or participants in performance of this Agreement, or, in the event that CITY will not utilize such owned /leased automobiles but intends to require employees, participants or other agents to utilize their own automobiles in the performance of this Agreement, CONTRACTOR shall secure and maintain on file from all such employees, participants, or 25A -119 Page 10 of 15 agents as self - certification of automobile insurance coverage. Governmental entities may substitute a certificate of self - insurance. 3. Workers' Compensation. If CONTRACTOR is an "employer ", as set forth in California Labor Code Section 3300 et seq., or utilizes participants as "employees," as set forth in California Labor Code Section 3350 et seq., CONTRACTOR shall obtain and keep in force during the term of this Agreement full Workers' Compensation insurance coverage for injuries suffered by participants. Said insurance policy shall guarantee CITY at least thirty (30) days written notice of cancellation or modification. CONTRACTOR shall carry medical and accident insurance for those participants not qualifying as "employees" for Worker's Compensation Coverage, pursuant to California Labor Code Section 3350, et seq. 4. Equipment Coverage. CONTRACTOR shall purchase a policy or policies of insurance covering loss or damage to any and all Equipment provided to or purchased by CONTRACTOR in accordance with this Agreement. Said insurance shall be in the amount of the full replacement value thereof, providing protection against the classification of fire, extended coverage, vandalism, malicious mischief, theft, and special extended perils. Governmental entities may substitute a certificate of self - insurance. 5. Youth Protection. To maintain a safe environment, funded youth providers that serve youth under the age of 18 will need to provide a Youth Protection Policy and proof of Sexual Abuse & Molestation insurance coverage of at least $2,000,000. Youth providers will be held responsible for conducting a background clearance (live -scan) for staff that have direct interaction with youth participants that are under the age of 18. 6. Proof of Insurance. Certificates and endorsements must be submitted and approved by CITY prior to any work under this Agreement. CONTRACTOR understands that CITY will make no payments under this Agreement until the required certificates and endorsements have been approved by CITY. IX. CORPORATESTATUS All corporate contractors shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board and Internal Revenue Service. Any change in corporate status or suspension shall be reported immediately to CITY. X. ASSIGNABILITY None of the duties of, or work to be performed by, CONTRACTOR under this Agreement shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of CITY. CONTRACTOR must submit all subcontracts and other agreements that relate to this Agreement to CITY. No subcontract or assignment shall terminate or alter the legal obligations of CONTRACTOR pursuant to this Agreement. 25A -120 Page 11 of 15 XI. LAWS GOVERNING THIS AGREEMENT In its performance under this Agreement, CONTRACTOR shall fully comply with the requirements of the following, whether or not otherwise referred to in this Agreement: 1. The Act and all applicable federal statutes, regulations, policies, procedures and directives, including but not limited to, 20 C.F.R. Parts 652 and 660 through 671. 2. All applicable State statutes, regulations, policies, procedures and directives; 3. All applicable CITY policies, procedures and directives; 4. All applicable local ordinances and requirements, including use permits and licensing; 5. Court orders applicable to its operation; and, 6. The terms and conditions of this Agreement. If any of the foregoing is enacted, amended, or revised, CONTRACTOR will comply with such or will notify CITY after enactment or modification that it cannot so comply. CITY may thereupon terminate this Agreement, if necessary, XII. EXCLUSIVITY AND AMENDMENT OF AGREEMENT This Agreement supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the employment of CONTRACTOR by CITY, and contains all the covenants and agreements between the parties with respect to such employment. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both CITY and CONTRACTOR. XIII. FRAUD CONTRACTOR shall immediately report to CITY all instances and facts concerning possible fraud, abuse or criminal activity relating to expenditure or receipt of finds under this Agreement. XIV. CONTINGENCY OF FUNDS CONTRACTOR acknowledges that approval of and funding for this Agreement is contingent upon State approval, and funds received or obligated from the State of California to CITY. If such approval of funds is not forthcoming, or is otherwise limited, CITY shall immediately notify CONTRACTOR. Within twenty (20) days of receipt of such notice, CONTRACTOR shall modify or cease operations as directed by CITY and negotiate necessary modification to this Agreement and /or reimbursement of costs incurred hereunder. 25A -121 Page 12 of 15 XV. TERMINATION A. This Agreement may be terminated by either party at its sole discretion, upon thirty (30) days written notice to the other party. Notice shall be deemed served on the date of mailing. However, CONTRACTOR may not terminate this Agreement if undue hardship will result to any participant. B. In the event CONTRACTOR defaults by failing to fulfill all or any of its obligations hereunder, CITY may declare a default and termination of this Agreement by written notice to CONTRACTOR, which default and termination shall be effective on a date stated in the notice which is to be not less than ten (10) days after certified mailing or personal service of such notice, unless such default is cured before the effective date of termination stated in such notice. If terminated for cause, CITY shall be relieved of further liability or responsibility under this Agreement, or as a result of the termination thereof, including the payment of money, except for payment for approved expenses incurred for services satisfactorily and timely performed prior to the mailing or service of the notice of termination, and except for reimbursement of (1) any payments made for services not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by CITY in obtaining substitute performance. XVI. DISPUTES Except as otherwise provided in this Agreement, any dispute concerning any question arising under this Agreement shall be decided by CITY. In such a case CITY shall reduce its decision to writing and mail or otherwise furnish a copy thereof to CONTRACTOR. The decision of the City shall be final and conclusive unless within thirty (30) calendar days from the mailing or delivery of such copy, CITY receives from CONTRACTOR written request to appeal said decision. Procedures governing the appeal shall be prescribed by CITY and /or the State of California in accordance with the Act and all corresponding regulations and OMB circulars. Pending final disposition of the appeal, CONTRACTOR shall act in accordance with CITY's decision unless the dispute involves a change order. XVII. BREACH - SANCTIONS If, through any cause, CONTRACTOR violates any of the terms and conditions of this Agreement, and /or prior agreements whereby grant funds were received by CONTRACTOR pursuant to this Agreement, or if CONTRACTOR reports inaccurately or if any Audit Report makes disallowances, CONTRACTOR shall promptly remedy its acts or omissions and /or repay CITY all amounts due CITY as a result of CONTRACTOR's violation. For any such failures or violations, CITY shall also have the right at its sole discretion to either: (1) discontinue program support until such time as CONTRACTOR fulfills its obligations or remedies all violations of this Agreement or prior agreements; and /or (2) collect outstanding amounts as determined by CITY due CITY by offsetting or debiting from current claims or invoices, if after thirty (30) days' written notice CONTRACTOR has failed to repay same or a repayment schedule has not been made; and /or (3) terminate this Agreement by giving written notice to CONTRACTOR of such termination in accordance the notice provision in Paragraph XVIII herein below. 25A -1 22 Page 13 of 15 XVIII. NOTICES All notices, reports and correspondence between the parties hereto respecting this Agreement shall be in writing and deposited in the United States Mail, postage prepaid, addressed as follows: CITY: City of Santa Ana Manager, WIB Administrative Office P.O. Box 1988 (M -73) Santa Ana, CA 92702 CLERK: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Telefacsimile (714) 647 -6956 CONTRACTOR: Orange County Children's Therapeutic Arts Center 2215 N. Broadway, Santa Ana, CA 92706 Phone: (714) 547 -5468 Fax: (714) 564 -9690 XIX. MERGER This Agreement, together with the attachments hereto, expresses the total understanding of the parties. There are no oral understandings of the parties or terms and conditions other than as stated herein. XX. VALIDITY The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement. XXI. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indenuiify 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. 25A -123 Page 14 of 15 IN WITNESS WHEREOF, the patties hereto have executed this Agreement the date and year first above - written. ATTEST: Maria D. I Iuizar Clerk of the Council APPROVED AS TO FORM: Sonia R. Carvalho City Attorney BY: Lisa Storck Assistant City Attorney "CITY" By: David Cavazos City Manager "CONTRACTOR" BY: Name: Dr. Ana Jimenez -Hami Title: Executive Director Tax ID 9: 33- 0930891 25A -124 Page 15 of 15 2014 -15 Orange County Children's Therapeutic Arts Center Youth Workforce Investment Act Proposal RFP# 14 -007 PROPOSER APPLICATION Agency Legal Name Orange County Children's Therapeutic Arts Center Agency DBA Orange County Children's Therapeutic Arts Center (OCCTAC) Program Name Job Training for Youth with Disabilities, Probation, Foster Youth & HS Dropouts Program Address 2215 North Broadway, Santa Ana, CA 92606 Corporate Office Address 2215 North Broadway, Santa Ana, CA 92606 Contact Person & Title Dr. Ana Jimenez -Hami, Executive Director Email ana @occtac.org Telephone # (714) 547 — 5468 ext. 307 Fax # (714) 564 -9690 Federal ID Number 33- 0930891 AGENCYSTATUS Public Non - Profit X Corporation uition Private Non -Profit Fundraising Years in Operation. 14 Private for Profit 1$130,000 Government 1$50,000 Other 8:30 -8:30 PRIMARY FUNDING SOURCES Funding Source Grants Contracts uition IDonations Fundraising Amount $750,000 1$300,000 J$200,000 1$130,000 J$70,000 1$50,000 HOURS OF OPERATION AND DAYS Days Monday I Tuesday Lwednesday I Thursday Friday Saturday I Sunday Hours 8:30 -8:30 pm 8:30- 8:30pm 8:30 -8:30 pm 8:30 -8:30 pm 8:30 -8:30 8:00- 5:00pm CLOSED TARGET POPULATION Older Youth 17 -21 Younger Youth 16 -21 Out -of- School 27 3 In- School 7 # of YOU to be Served in 2014 -2015 127 1 Total WIA Funds Requested $212,800 In compliance with the RFP noted above, and subject to the conditions thereof, the undersigned offers to furnish the services stipulated and certifies he has read, understands, and agrees to all terms, conditions, and requirements of this RFP and is authorized to contract on behalf of the agency named above. Signature Executive Director 3 -19 -2014 Title Date EXHIBIT A 25A -125 2014 -15 Orange County Children's Therapeutic Arts Center Youth Workforce Investment Act Proposal PROPOSAL CHECKLIST This checklist is provided to assist the proposer in ensuring that a complete proposal is submitted. Failure to include any applicable forms will result in a disqualification of the proposal. The City reserves the right to withdraw consideration of any proposal if evidence of compliance is not provided or if compliance status changes during the RFP process. Check box if documents are attached to Proposal packet in the following order: 1 Original Proposal Packet should include all the following attachments with original signatures. ❑ Proposer Application (Cover Page) ❑ Proposal Checklist ❑ Proposal ❑ A— Budget Narrative ❑ B— Budget Form ❑ C— Letter of Support (partner agency) ❑ D— Letter of Commitment (employers) ❑ E —Work Based Learning Policy ❑ Letter of Intent (training) ❑ Supportive Service Policy ❑ Incentive Policy ❑ I— Procurement Policy & Procedures ❑ J— Program Documents, Logs, Timecards, Records ❑ K —YSPN Member Performance Plan ❑ L— Assurances & Certificates M- ❑ Certificate Regarding Debarment N- ❑ Certificate Regarding Lobbying ❑ O— Americans with Disabilities Act & Equal Opportunity Law ❑ P —Youth Protection Policy (if serving minors) ❑ Q— Audited Financial Statement Form ❑ R —IRS Form 990 ❑ S— Non - Profit Verification Form (if applicable) ❑ T— Audited Financial Statement (most recent) ❑ U— Audited Financial Statement (2 °6 most recent) ❑ V— Agency Experience Verification Form 7 Proposal Packet Copies should include the following attachments. ❑ Proposer Application (Cover Page) ❑ Proposal Checklist ❑ Proposal ❑ A— Budget Narrative ❑ B— Budget Form ❑ C— Letter of Support (partner agency) ❑ D— Letter of Commitment (employers) ❑ E —Work Based Learning Policy F- ❑ F— Letter of Intent (training) G- ❑ G— Supportive Service Policy H- ❑ H— Incentive Policy ❑ K —YSPN Member Performance Plan ❑ P —Youth Protection Policy (if serving minors EXHIBIT A 25A -126 2014 -15 Orange County Children's Therapeutic Arts Center Youth Workforce Investment Act Proposal 2014 -2015 YOUTH WORKFORCE INVESTMENT ACT PROPOSAL I. Experience /Qualifications A. Briefly describe your agency -The Orange County Children's Therapeutic Arts Center ( OCCTAC) is recognized as one of Santa Ana's leading community builders for children, youth and families. We prioritize on serving at -risk youth, foster youth and youth with disabilities, including: learning disabilities, health impairments, developmental disabilities, and others. Our programs integrate youth with and without disabilities in a nurturing, community -based environment that teaches respect, disability awareness, and full inclusion. Most of the youth and families that we serve come from the City of Santa Ana, and have very limited financial and educational resources. OCCTAC offers a wide variety of educational, artistic and therapeutic programs to the community. Please See Table 3 (page 9) and Table 4 (page 10) for more detailed information on OCCTAC programs. B. List the facility address and address of headquarters if different location. Please include major cross streets. OCCTAC's address is 2215 North Broadway in Santa Ana. Most of the services will be provided at our current facility located between Main, Broadway, and Buffalo streets. The exception might be when the program requires interaction and support with partnering agencies and employment related opportunities. If participants have transportation challenges, we will assist them in finding alternate transportation, such as public transportation, and Metrolink. Also, WIA youth with disabilities will be assisted to obtain services through ACCESS, which serves individuals with disabilities. Furthermore, participants will be provided with bus passes by OCCTAC or the SAUSD TPP program staff to alleviate transportation challenges. C. Indicate hours of operation for facility. OCCTAC has long operations hours of operation. Also, we are open in the evenings and in the weekends. See below hours of operation for OCCTAC: I,: a s Monda Tuesda Wednesda Thursda Frida Saturda Sunda Howl 8:30 a.m. - 8:30 p.m. 8:30 a.m. - 8:30 p.m. 8:30 a.m.- 1 8:30 p.m. 8:30 a.m. - 8:30 P.M. 1 8:30 a.m. - 830 P.M. 8:30 a.m. - 5:00 p.m. Closed D. Briefly indicate what makes your facility youth friendly and suitable for the proposed program. OCCTAC has been in operation for 14 years providing many services to the Santa Ana community. Our programs prioritize on youth. Our facility is located strategically close to bus terminals for the convenience of the youth and our families. There are many SAUSD schools in the vicinity, as well as easy access to public transportation. Youth can also take the bus or in some instances walk to the Center. Also, our facility is accessible and compliant with all ADA guidelines and regulations. In summary, our facility, hours of operations, location, and wide variety of programs make our services very accessible, a facility youth friendly and suitable for the proposed WIA program. E. Provide brief information on the following elements: 1. Average annual operating budget and sources of revenue - The average annual operating budget for the OCCTAC is $700,000. OCCTAC's sources of revenue come from a variety of sources, including: contracts, grants, fee for service, private donations, public donations, and fundraising. In addition, OCCTAC is expanding an important contract this year with the County of Orange, Health Care Agency to expand our Family Wellness Program. 2. Brief description of staff - OCCTAC is staffed by highly qualified bilingual staff, including: EXHIBIT A 25A -127 2014 -15 Orange County Children's Therapeutic Arts Center Youth Workforce Investment Act Proposal credentialed teachers /educators, case managers, artists, therapists, and counselors certified to provide services to youth with and without disabilities. There are 5 -Full -time staff and 45- Part -time employees who are employed in various classes and programs at our agency. Currently, our WIA program has 1 full -time case manager, 1 part -time case manager assistant, 1 part -time career and educational counselor, 1 part time literacy tutor, 1 part -time numeracy tutor, 1 part -time graphic arts /technology instructor, and 1 part -time music technology instructor. Furthermore, there are additional OCCTAC staff that support the WIA program and participants but are not paid by WIA funds. 3. Past experience with WIA programs or other youth programs - OCCTAC has been serving Santa Ana youth since the year 2000. For the past 14 years, OCCTAC programs have served primarily at -risk youth, youth with disabilities and foster youth. Our variety of programs integrate youth with and without disabilities in a nurturing, community -based environment that teaches respect, cultural diversity, disability awareness and full inclusion. OCCTAC has had 9 years of experience with the WIA program! Every year our program grows and demonstrates success with our WIA participants! 4. What kind of impact your agency has made on the youth community? - OCCTAC has had a tremendous impact on Santa Ana youth community. It is a catalyst for change and provides youth and their families access to innovative, artistic, educational, therapeutic and job training programs that transform and inspire youth to fulfill their highest potential in life. Through our innovative approach which combines the arts, education, health and technology programs, participants are motivated, engaged and involved in a variety of programs at our agency. Last year, our WIA participants attained employment /entered education at a rate of 95 %, attained certificates/ credentials at a rate of 82 %, and attained Literacy and Numeracy gains a rate of 74 %. These outcomes demonstrate the commitment and dedication of our wonderful WIA program staff. II. Proposed Program A. Provide an overview of the program's main objectives. The WIA program at OCCTAC is an extension of our current educational services provided to older youth (with and without disabilities); it empowers and educates youth, and provides life changing opportunities. OCCTAC has been working with WIA participants since 2005. The WIA program at OCCTAC provides all 10 WIA elements, including educational services, job training, paid work experience, adult mentoring, literacy and math tutoring, certificate programs, career & educational counseling, alternative secondary school services, support services, leadership opportunities, and follow -up services. The basic program takes place primarily at our community -based center in Santa Ana. Participants engage in a variety of educational and job training activities, including classroom and workshop instruction, paid work experience, tutoring, adult mentoring, career and educational counseling, life skills training, and other support services. WIA participants are required to meet individually with key staff, participate in daily and weekly educational trainings, and monthly workshops. Participants are also engaged in weekly "hands -on" work experience and job training opportunities at our agency and other community sites. Please see Tables 1, 2, 3, 4 and 5 for more detailed information. Please see below Table 1 for an overview of the program timeline for the entire year. Table 2 (page 5) describes the frequency of program activities & OCCTAC staff interaction. Tables 3 & 4 (pages 9 & 10) describe the mentoring, job training programs and work experience opportunities at OCCTAC for WIA participants. Table 5 (page 11) describes the state certificate programs offered at OCCTAC in partnership with the Santa Ana College. EXHIBIT A 25A -128 2014 -15 Orange County Children's Therapeutic Arts Center Youth Workforce Investment Act Proposal TABLE 1— Program Timeline from July 2014 —June 30, 2015 In order for WIA participants to get the full benefit of our program and each component offered, participants are required to commit to at least 6 months of training and work experience. It is understood that many WIA participants have demanding circumstances in their lives, which, often dictate their ability to maintain their established training and work schedule. However, the OCCTAC staff is committed in supporting WIA participants' efforts towards achieving their educational and career goals. The frequency of program activities is shown below in Table 2. Please see below the frequency and type of program activities that vary daily, weekly and monthly. TABLE 2: Frequency of Program Activities & OCCTAC/ WIA Staff Interaction fat y� 4t!eelily #cttuttlds_ BJ loath J0, Month 1 • Orientation of program and services with Case Manager Obiectives: Emphasis: Employability /Job 0 Employability /Job Skills assessment with Case manager Program Overview, Attend daily educational /career training • Basic Skills /Academic levels assessment with Literacy and Numeracy tutor Assessments, least twice a month to discuss • Career interest assessment and survey with Career Counselor Participant Goals provided by the counselor and /or when . Determine Employment and Academic goals Month 2 Paraprofessional Worker (Class is taught • Initiate bi- monthly meetings with Case Manager to discuss goals and service Obiectives: needs of participants Educational Guidance, Participate once a month in a social/ • Initiate weekly tutoring of Literacy and /or Numeracy skills Tutoring & Vocational basic skills. • Initiate weekly short -term vocational training courses Training and pursue higher education 0 Initiate social support group with other WIA participants and staff programs or enroll in another • Participants to receive monthly stipend Months 3 -8 • Initiate paid work experience Objectives: • Initiate monthly Job /Life skills training or Leadership Groups Job Training & • Continue bi- monthly meetings with case manager to discuss progress Work Experience • Continue monthly meetings with Career counselor for academic guidance • Continue weekly Literacy and /or Numeracy tutoring • Continue monthly support group with other WIA participants and staff • Invite guest speakers for special workshops (monthly) Month 9 -12 i Continue bi- monthly meetings with case manager to discuss program goals, Obiectives: and for intense employability skills and job search training Employability /Job Skills • Continue tutoring, if necessary & Job Search • Continue monthly life skills training • Continue monthly support group with other WIA participants and staff In order for WIA participants to get the full benefit of our program and each component offered, participants are required to commit to at least 6 months of training and work experience. It is understood that many WIA participants have demanding circumstances in their lives, which, often dictate their ability to maintain their established training and work schedule. However, the OCCTAC staff is committed in supporting WIA participants' efforts towards achieving their educational and career goals. The frequency of program activities is shown below in Table 2. Please see below the frequency and type of program activities that vary daily, weekly and monthly. TABLE 2: Frequency of Program Activities & OCCTAC/ WIA Staff Interaction fat y� 4t!eelily #cttuttlds_ BJ loath J0, a Mon'th.,Y AS tvlt!e .. _ Emphasis: Life Skills, Financial Literacy Emphasis: Career Training Skills, Emphasis: Employability /Job Tutoring & Work Experience Skills & Career Goals and Leadership Training Attend daily educational /career training Meet with Case Manager at Participate at least once a month in life - skills in order to complete state certified least twice a month to discuss skills sessions or leadership training programs: Administrative Assistant goals, progress, performance provided by the counselor and /or when Certificate or Mental Health levels, and learn job skills. necessary referred to a licensed MFT for Paraprofessional Worker (Class is taught services. Monday— Thursday, 2 hrs. each day) Meet with Literacy and Math Coach to Meet with the Educational and Participate once a month in a social/ receive weekly tutoring in academic/ Career Counselor to discuss support group with other participants, basic skills. educational and career goals staff & guest speakers. Participate in weekly educational and and pursue higher education career training skills with OCCTAC staff programs or enroll in another to engage in work experience with WIA certificate program outside of EXHIBIT A 25A -129 2014 -15 Orange County Children's Therapeutic Arts Center Youth Workforce Investment Act Proposal and other non -WIA support staff at the OCCTAC. center. B. Please provide a full description of the program in sections III- XVIII. III. Population A. How many youth will be served? -The WIA program at OCCTAC will serve a total of 30 participants. The program will serve 22 out -of- school youth (ages 17 -21) and 5 in- school youth (ages 16 -21), for a total of 27 youth. We will prioritize on serving youth with disabilities, foster youth and high school drop -out students. B. Will your agency be able to serve a minimum of 10% of youth from each of the following youth populations: youth with disabilities, foster /emancipated youth, youth that have dropped out of high school, and youth on probation? - YES of course! OCCTAC already serves MORE than 10% of youth with disabilities, foster /emancipated youth, and youth that have dropped out of high school. This year we will also make sure to reach out more to youth on probation. OCCTAC served all populations last year (youth with disabilities, foster youth, high school dropouts and probation)! C. Specify how the targeted youth populations (disability, foster /emancipated, probation, dropouts) will be recruited. Include a Letter(s) of Support from organizations that have agreed to refer youth to your program as Attachment C - OCCTAC has excellent community partners that will help us fulfill our enrollment goals through referrals, as well as help us provide an excellent program for youth. Our key community partners include the following: 1) Santa Ana Work Center, 2) Santa Ana College, 3) Santa Ana Unified School District, TPP, 3) County of Orange, Social Services, 4) Orangewood Foundation, 5) Santa Ana Police Department and 6) MECCA. Please see attachments for letters from our community partners. OCCTAC is responsible for providing most of the services. SAUSD TPP has agreed to continue to refer youth with disabilities to our program. The County of Orange, Social Services and Orangewood Foundation have agreed to continue to refer foster youth to our program. This year we have partnered with the Santa Ana Police Department who will refer more youth on probation for our WIA program. Lastly, OCCTAC will continue to conduct community outreach and special community events throughout the year to promote our programs and inform youth in the community about this wonderful WIA program. Some of these community events include the following: Expos, Health Fairs, Summer Family Festivals, etc. These events aid in the promotion of our services and recruitment of youth. These events are staffed by employees and volunteers at OCCTAC, as well as youth! WIA participants are also encouraged to participate in these events as a way to gain leadership skills, work experience, and practice with public speaking. D. Describe your recruitment plan that will fulfill the requirement of enrolling 100% of youth by the 2nd quarter of the program (December 31, 2014). Target group - Youth with Disabilities: OCCTAC has been very successful enrolling youth with disabilities by the 1" quarter of the program every year, thanks to our strong partnership with the Santa Ana Unified School District, Special Education, Transition Partnership Program (TPP). During the past 6 years, we have worked closely with TPP staff to serve youth with disabilities exiting high school from Santa Ana schools. (Please see letter of support). In partnership with the SAUSD TPP program EXHIBIT A 25A -130 2014 -15 Orange County Children's Therapeutic Arts Center Youth Workforce Investment Act Proposal staff, we will ensure that our enrollment goals will be met by the first quarter. The Case manager will work closely with the TPP staff for referrals of youth with disabilities, and to make sure that our participants will be successful in attaining their goals. OCCTAC's strong partnership with the SAUSD Transitional Partnership Program will aid in the proper enrollment of those youth with disabilities, and to make sure that we meet our 75% youth enrollment benchmark by the first quarter. OCCTAC staff will be meeting with all Santa Ana high school TPP classes from May to July to enroll youth with disabilities. Target group — Foster Youth: Last year we started a great partnership with Orangewood and County of Orange, Social Services, Children and Families Services Division to serve more foster youth 1 (Please see letter of support). OCCTAC will continue this partnership to ensure enrollment by the 2nd quarter, and expand work experience placements, vocational training, academic /employment services and mentoring to foster youth in Orange County. Target group— Probation Youth: This year we are starting a new partnership with the Santa Ana Police Department and Commander Ken Gominsky to enhance our numbers of youth on probation. Last year we enrolled 10% and are positive that we will exceed this percentage next year. Please see letter of support. E. What are some of the barriers that the youth populations face? - OCCTAC will serve any youth who is in the need of employment, educational, and life skills assistance but have barriers that make it difficult to attain such goals. These barriers include, but are not limited to: low- income, basic skills deficient, homelessness, school dropout, foster youth, emancipated youth, pregnant and /or parenting youth, learning /physical /mental disability, and poor work history. By serving these individuals, OCCTAC will be able to target any youth who may find it difficult to get services elsewhere. OCCTAC's primary focus will be youth with disabilities, foster youth and high school dropouts students. F. Specify how your agency will address the barriers that youth encounter. Our agency will help WIA participants overcome the barriers they face in a variety of ways. First, all youth will be assigned a case manager whose goal will be to provide mentorship meanwhile aiding with the attainment of employment goals, such as writing a resume and preparing for an interview. In retrospect to the direct services from the case manager, the participants will also be required to attend monthly job skills /life skills workshops focusing anywhere from employment attainment/ retention to how be changing factors within their own lives and community. Some of the life skill workshops youth will be asked to attend include: financial literacy workshops, healthy relationships workshops, and STDs prevention, amongst others. To solve any academic barriers, the youth will be assigned to an Educational counselor who will provide direction and coaching on any academic aspect, such as scholarship writing and enrollment into an institution of interest. This service is crucial for all youth participating in the program because it will allow them to learn about various academic paths —like vocational training, HIS recovery programs and 4 -year institutions —while narrowing down a career of interest and actually committing to a program. It is also an essential feature of the program because it will give those youth with disabilities an opportunity to develop self advocacy tools that will help with accommodation attainment in any secondary /postsecondary setting. EXHIBIT A 25A -131 2014 -15 Orange County Children's Therapeutic Arts Center Youth Workforce Investment Act Proposal In addition, OCCTA's environment is very supportive and provides additional support services to engage youth and maintain a high level of involvement in our programs. WIA youth are supported emotionally throughout the entire year at OCCTAC, and are provided with a positive and welcoming environment that also encourages youth to partake on various leadership roles within the various programs and activities at our agency. These additional activities provide youth with an opportunity to gain self- confidence, self- esteem and leadership skills, and also experience a safe haven at our center. Our goal is to empower youth and provide a life changing opportunity through this WIA program. IV. Employment A. Specify how your agency will help youth attain employment - OCCTAC program services support the High Growth Training Initiative as identified by the United States Department of Labor. Within the 14 -high growth industries identified, our participants will obtain job training related to the Information and Technology, the Health related Industries, and the fields of Education and the Arts. The participants will receive several services /resources to help with the attainment of employment. To begin, all youth will be placed to work at OCCTAC, or one of our partner agencies, and will have the opportunity to engage upon a field of interest (customer service, education, music technology, and the arts). These placements will help youth gain skills crucial to any work environment. To monitor progress, participants will be evaluated monthly by their work experience supervisor and areas of strengths and weaknesses will be addressed. This information will allow the youth and case manager to establish areas that need improvement and therefore guide job skills training sessions. With this said, participants will be meeting with the case manager at least once a month for training and employment guidance. During these one -on -one meetings, the youth will be working on professional resumes, cover letters, job search, and job applications. Moreover, they will have the opportunity to prepare for job interviews and conduct cold calls to employers within the community. By the 3rd QT of the program year, the Case Manager and youth will be meeting more frequently to ensure that job applications are submitted on a regular basis and that youth are following through with scheduled interviews. These meetings will give youth an opportunity to enhance those employment skills they continue to struggle with while allowing the Case Manager to monitor progress of employment goals. B. What types of services /workshops /resources will be provided to help youth attain employment ? — WIA Participants at OCCTAC will be asked to attend job skills series workshops that will cover all necessary basics on employment readiness, such as, as resume writing, cover letters and interviewing skills. Participants will then meet with the case manager for review of finalization of items. Before ending the program, participants will have completed an employment portfolio to present to employers, including all materials created for employment purposes. C. Specify the names of the employers that your agency has partnerships /agreements with who will hire youth. - OCCTAC has partnerships with various businesses in Santa Ana, as well as non - profit organizations that are always looking to hire youth. Another important partnership is MECCA. MECCA (Multi- Ethnic Collaborative of Community Agencies) is a consortium of non - profit social service agencies and health centers. OCCTAC has been part of this new and exciting coalition for the past three years! OCCTAC provides WIA participants internship opportunities with MECCA and this gives WIA youth the opportunity to be hired by MECCA. This coalition has several important County EXHIBIT A 25A -132 2014 -15 Orange County Children's Therapeutic Arts Center Youth Workforce Investment Act Proposal of Orange Health Care Agency contracts to provide health care education, outreach and engagement to the various ethnic communities all over Orange County. OCCTAC is lucky to be part of this coalition and bring work experience and job opportunities to WIA youth. D. Please provide Letters of Commitment from employers willing to hire your youth participants, include as Attachment D. E. What types of employment services will be provided to youth after they exit the program (retention, transportation assistance, resources, etc.). WIA Youth will continue to receive the same services they were getting during the first phase of the program. Ir particular, during the months of July- September, the Case Manager will meet with the youth at least once a month in order to monitor progress with job search, if goal is not attained by exit, as well as job retention. Workshops as well as incentives will be provided to the youth as it is sought fit so they continue to develop skills and be successful with employment attainment /retention. Also, the WIA staff will provide 12 -month follow -up services for "exited" participants. OCCTAC is committed to empowering transitional age youth with and without disabilities to reach their highest potential in life. WIA participants that exit the program will be encouraged to continue to participate in monthly Life Skills Training, monthly Support groups, individual counseling, as well as well as any other support services they may be in need of. OCCTAC staff will be available to support participants, whenever needed. In summary, the case manager and career counselor will communicate monthly with the youth during the follow -up phase of the program. Youth will continue to receive employment assistance (such as resume updating, interviewing skills, etc.), academic support, mentoring, and incentives for goal attainment. Follow -up services will include: a) providing job placement and referrals, b) job retention assistance, c) communicating with employers of WIA graduates to ensure success, and d) work with Santa Ana Work Center and other business to help youth find jobs within the community. V. Work Based Learning (not a required element of the program). A. Describe in detail the work based learning opportunities that will be offered to the youth such as: paid work experience, internships, externships, job shadowing, and work based learning. Participants will engage in weekly "hands -on" work experience and job training opportunities at our agency and other community sites. The following tables (Tables 3 & 4), demonstrate the variety of programs that we offer at OCCTAC and how WIA participants can choose from any of these programs /fields to fulfill their career goals and work experience. Please see below Table 3 for an overview of the various "hands -on" job training programs, mentoring and work experience opportunities at OCCTAC. TABLE 3: Mentoring & Job Training Programs at OCCTAC ejigaof zF Tz�{ f1e'nrl # iii EE t.i H� x n t p t a-Vain n , n't t , h'�i` o C1 FPS errs tee " urp[ ' Health ._. Mental Health OCCTAC, Pacific Clinics, r. SAC Curriculum & case Paraprofessional Worker MECCA and Community Sites *State Certificate Program mana ement Child Care Child Care Worker Early Start Program at SAC Curriculum OCCTAC *State Certificate Program EXHIBIT A 25A -133 2014 -15 Orange County Children's Therapeutic Arts Center Youth Workforce Investment Act Proposal Office /Reception Executive /Administrative OCCTAC office SAC curriculum Computers Assistant & Community sites *State Certificate Program Customer Service at enhancing students' cognitive, language, motor 8:30 am — 10:30 am Education Tutor or Learning Academy at OCCTAC & Host Curriculum The Pre - Kinder Ails program is a bilingual school readiness Instructional Assistant OCCTAC & community sites program that serves children ages 3- 4 years old. The parents and Education Teaching Assistant Early Intervention/ First Five Early Childhood engaging in music, art, literacy, and parenting classes to prepare Early Start Program at curriculum, High Scope & "Hands children for school. OCCTAC on Training" Arts Teaching Assistant After - School Arts Program CA Performing Arts Standards training to at -risk youth, and children with disabilities in the at OCCTAC Curriculum and "Hands -on" Arts community. 9:00 am — 5:00 pm Therapeutic Arts Training Technology Technology Assistant Computers /Media LAB at SAC, Digital Media Center Graphic Artist OCCTAC & Santa Ana OCCTAC curriculums & Audio Engineer Intern Business Owners "Hands -on" Photoshop & Illustrator, Monday— Friday Film Production Intern St. Andrews Church & graphic design training other academic subjects. Rytmo & other Recording Recording Technology Training 9:00 am — 5:00 pin Studios Sftwares, Pro -Tools & S bellius Furthermore, WIA youth will be encouraged to participate in additional programs that we have at our agency to give youth more opportunities and "hands -on" experience on a variety of fields (health, education, arts and technology), so they can gain as much work experience as possible. TABLE 4: Additional Job Training Programs for WIA Youth mentored by NON -WIA staff EXHIBIT A 25A -134 !The rogram is and early intervention program that Mondays 7StartProgram oung children (6 months to 3 years of age) with and 8:30 am —11:30 am n a natural community environment with their Fridays at enhancing students' cognitive, language, motor 8:30 am — 10:30 am opment. Pre - Kinder Arts The Pre - Kinder Ails program is a bilingual school readiness Wednesdays Program program that serves children ages 3- 4 years old. The parents and 8:30 am —11:30 am children work together in a creative and nurturing environment by Fridays engaging in music, art, literacy, and parenting classes to prepare 10:30 — 12:30 pm children for school. After School Arts The ASA for Life program provides artistic training in the fields of Monday — Friday Program Music, Visual Arts, Dance, Musical Theatre, and Technology 3:30 pm — 8:30 pm training to at -risk youth, and children with disabilities in the and Saturdays community. 9:00 am — 5:00 pm Therapeutic Arts This program serves children and youth with disabilities of all ages Monday— Friday Program and special needs, including: learning disability, health impairments, 3:30 pm — 8:30 pm physical disability, developmental disabilities and others. Saturdays 9:00 am — 5:00 pin Learning Academy This program provides homework support and tutoring to students Monday— Friday & Tutoring Program (ages 5 — 16 yrs) in Language Arts (reading and writing), math, and 4:00 — 8:00 pm other academic subjects. Saturdays 9:00 am — 5:00 pin OCCTAC This program provides outreach, prevention, referrals and Monday — Friday Family Wellness engagement with individuals at -risk of mental health problems. 8:30 am — 8:30 pm Program Other support services include parenting, counseling, and support and weekends groups. EXHIBIT A 25A -134 2014 -15 Orange County Children's Therapeutic Arts Center Youth Workforce Investment Act Proposal Youth who successfully complete their training program are recommended and sometimes hired as tutors or teacher assistance to work in OCCTAC's After School Arts and Learning Academy programs. Additionally, OCCTAC will support youth with job readiness workshops, participation in job fairs, resume preparation, one -on -one job skills training, career coaching and referrals. All WIA participants will be paid for their "hands -on" job training in the placement site of their choice at OCCTAC program (e.g. Administrative Assistant, Arts programs, Learning Academy, etc.). During the last 4- months of the program, WIA participants will transition out of work experiences at the center and into job interviews and other opportunities in the community. The case manager will work closely with SAUSD TPP job developer, Santa Ana Work Center, Santa Ana business, and other community agencies to attain job leads for the youth. In partnership with Santa Ana College /Centennial Education, youth will be encouraged to enroll into post- secondary education or a short -term vocational training program. In collaboration with SAC, those youth who have not completed their secondary education will be encouraged to co- enroll. B. List some of the employers that will assist in the work based learning. OCCTAC has a strong work based learning program for WIA participants where they learn some essential "hands -on" job skills, including customer service, receptionist, office work, child care, technology, health - related jobs, etc. In addition to the experience provided at our agency, OCCTAC has strong ties with the business community and other non- profit agencies which have agreed to provide additional work based learning to our participants. C. If applicable, please include a copy of the Work Based Learning policy as Attachment E. Yes, OCCTAC has work based learning opportunities! Please see attachment E for our Work Based Learning Opportunity Policy. D. Will your agency take youth to real companies /businesses to become acquainted with the various employment industries? YES! We plan on taking youth to various businesses in Downtown Santa Ana, as well as other companies outside the City. One business in particular that we have built close ties and is related to one of our focus areas (Health) is the California School of Health Sciences. We plan to take our participants to visit and learn about the various health jobs. E. Will youth have the opportunity to meet or hear from real employers? Yes, of course! We plan to gather a group of employers (business owners) to come to our agency and share their personal experiences with our WIA youth. Some of these business owners are part of our Advisory Council. They will come to speak with our youth and we will also take the youth out to visit the various businesses. VI. Certificates /Diplomas /Credentials A. What type(s) of certificates will youth be able to earn while in your program. OCCTAC provides State recognized Certificate programs in partnership with the Santa Ana College. WIA participants are encouraged to enroll in any of the following certificate programs: 1) the Administrative/ Executive Assistant Certificate Program, 2) the Child Care Worker Certificate Program, and 3) the Mental Health Paraprofessional Certificate Program. Currently, we offer WIA participants 2 of 3 state certificate programs at our agency in partnership with the Santa Ana College. These are the Child Development and the Executive Administrative Certificate Programs. The Mental Health EXHFBIT A 25A -135 2014 -15 Orange County Children's Therapeutic Arts Center Youth Workforce Investment Act Proposal Certificate program will start again in 2014 -15 fiscal year. The SAC had to restructure and hire new faculty for this certificate program. Please see table 5 on page 12 for more details. TABLE 5: State Certificate Programs at OCCTAC in partnership with the Santa Ana College /s DE�1C TzOY 4 ate', 3 pc F� -0 3 h^ &Ci4xijTiSx,*,5 r<f .fit+ i Nh 4 s',. .,_„x_ ,. ., F a, -,�:_ $.,m , ,. _ ,. ,—,. ,. ,. 2....d.x -, _,�.,._ �... . �ik.._.r._as,i _....,. . Executive Administrative This program prepares students for in -depth training in Monday Assistant Certificate executive secretary /administrative assistant positions. The Tuesday Program open- entry /open exit, competency -based format promotes Wednesday success in a high employment occupational field. The Thursday program develops skills in research, report and correspondence preparation, advanced computer software 5:30 — 8:30 pm applications, database management, interactive presentations, customer service and telephone techniques, and other advanced office procedures. Child Care Worker Students learn about health information required for M, W, F Certificate Program licensing and skills necessary for successful operation of a childcare business, Also, students learn soft skills for those 8:30 am — 12:00 who would prefer to be employed by a childcare business. pm Mental Health Students learn basic skills for employment as a Paraprofessional Paraprofessional mental health worker. They acquire Certificate Program knowledge about the treatment of psychological and behavioral health disorders and the philosophy of delivery of In Progress mental health services to improve entry into this field. This Days and Times certificate program develops competency for vocational are Pending success that allows students to attain skill development in basic delivery of services, documentation and reporting, introduction to human development, principals of case management, working with families and employability. B. Describe the training that will lead to the certificate /diploma /credential. Participant will be asked to attend each class at a minimum of 2 days a week, and complete all assignments. Participants will also be asked to use information learned in their current Work experience placements, before taking class exams in order to ensure retention and knowledge of information. C. If applicable, include Letters of Intent from the training agencies, as Attachment F. Please see letter of Support from the Santa Ana College. D. What types of occupations will the training /certificates lead to? Are those occupations in demand? Please provide data and sources. Due to the certificate programs provided by OCCTAC (Child worker certificate and office clerk class) youth have been able to find employment in the following positions and receive above the minimum wage. • Global Cash card - $10+ benefits • Lowes - $10.45 EXHIBIT A 25A -136 2014 -15 Orange County Children's Therapeutic Arts Center Youth Workforce Investment Act Proposal • Micro Center $10.00+ benefits • Daikin AC $12.00 • Providence speech $13.00 + benefits • United Verification $9.00 + benefits • Real Time Staffing $8.50 According to 0 Net online, the following position and many other administration positions are considered those with a bright outlook and rising openings. 43- 4171.00 Receptionists and Information Clerks 43- 6013.00 Medical Secretaries 43- 3021.00 Billing and Posting Clerks According to 0 Net online the following position and many other in child workers are considered those with a bright outlook and rising openings as well. 39- 9011.00 Childcare Workers 25- 2011.00 Preschool Teachers, Except Special Education E. Will your program be able to identify and develop a pathway for students that can lead them from high school to career or college? Please elaborate on the specific pathway(s). Yes! This is a high priority for us at OCCTAC to inspire and motivate our WIA youth to continue to enhance their educational goals, so they can be more success in life! Please see below a Pathway that we have created at our agency to assist and lead our WIA participants from high school to college! EXHIBIT A 25A -137 2014 -15 Orange County Children's Therapeutic Arts Center Youth Workforce Investment Act Proposal VII. Workshops (not a required element of the program). A. Describe the workshops that will be provided to youth. Youth will be asked to attend 3 workshop series that will assist them in their overall achievement in this program, as well as their personal lives. OCCTAC Workshop series: 1. Financial literacy: This workshop series will allow WIA participants to understand the importance of budgeting their money and savings. They will gain an insight on how to become financially stable now in order further assist them with their goals in life. 2. Job Skills: This workshop series will allow youth to learn and create materials needed for employment purposes with the ultimate goal of when completed, they are able to assemble an employment portfolio that can be presented at any job fair, interview, and possible employer. 3. Life Skills: This workshop series will help our youth with every day information that can assist them in making healthy and reasonable choices in there every day lives. B. Will your agency provide any of the following workshops? If so, briefly describe the content of the workshops. Yes, our agency will provide most of these workshops! Read below for details. 1. Financial Literacy/ Budget Management - Yes, these are one of the most basic and important workshop series that we have been offering to our participants for several years! As mentioned above, WIA participants will learn about financial literacy and budgeting, and these workshops will EXHfBIT A 25A -138 2014 -15 Orange County Children's Therapeutic Arts Center Youth Workforce Investment Act Proposal allow our youth to think not only about the present, but of their future. They will learn the basic of opening checking and savings account and how to plan for retirement and future expenses. 2. Family Planning - Plan parenthood and human options will be proving our WIA youth with information on healthy relationships and birth control. These workshops are intended to help assist youth with their future and current family stabilities. 3. Worker's Rights /Labor Laws - Participants will be able to learn and understand their rights as an employee in California from things like mandatory break times and benefits. Participants will also be able to learn and understand how to ask and receive accommodations that must be provided to those who have some type of learning disability. As well as questions that may not be asked in an interview or after becoming employed. 4. Analytical Skills at the Workplace — Currently, we don't offer this workshop, but we will look into it and incorporate into our current workshop seriesl S. Health Resources - WIA participants will be able to receive resources from plan parenthood on how to be healthy and safe; and where they will be able to obtain medical services. Also, we are collaborating with the University of California, Irvine who will provide additional resources for out participants. Furthermore, our MECCA coalition will provide WIA participants with mental health resources and specialists, if needed. C. Can your agency provide workshops on public speaking skills to the youth? Yes, of course! We already provide training opportunities for WIA participants at OCCTAC! As part of our "hands -on job training skills" WIA participants are provided with the opportunity to learn and work on their public speaking skills at our agency and out in the community. For example, OCCTAC is contracted by the County of Orange, Health Care Agency to do Community Outreach and inform the public about Health and Wellness programs at OCCTAC. WIA participants are asked to attend some of these outreach events to learn public speaking skills in formal and informal settings. Also, OCCTAC engages WIA participants at each of our special events so they can practice their public speaking skills with elected officials and other important people. D. Can your agency provide workshops on customer service skills to youth? Yes, of course! We already provide training opportunities for WIA participants at OCCTAC! As part of our "hands -on job training skills" WIA participants are provided with the opportunity to learn and work in our reception area where they must learn to work with customers. Our office manager and lead receptionist trains WIA participants 1 on 1 so they learn all the necessary skill needed in the workplace environment. Also, we have a Customer Service Specialist /Consultant that provides 1 or 2 formal trainings during the year to train our Reception staff. WIA participants are encouraged to attend these formal trainings. Vlll. Post - Secondary Education A. Specify how your agency will help youth enter post- secondary education (college, apprenticeship, vocational schools, career technical training, etc.). The WIA case manager and career counselor meets regularly with each WIA youth to discuss job leads, employment opportunities and post- secondary education. The case manager helps youth with employment and the career counselor helps youth with entering post- secondary education. As mentioned previously, OCCTAC has a strong partnership with the Santa Ana College, as well as other local universities, such as, Cal State Fullerton, Chapman University EXHIBIT A 25A -139 2014 -15 Orange County Children's Therapeutic Arts Center Youth Workforce Investment Act Proposal and University of California, Irvine. The Educational Counselor will also assist youth in researching their fields of interest (majors and minors), and help create an educational plan that will streamline their registration every semester. B. How will your agency expose youth to the various post - secondary educational institutions (colleges, universities, vocational training schools, apprenticeships, etc.). WIA participants attend regular field trips to the various colleges and universities, so they can get motivated and encouraged to enroll in any of these institutions with the help of the case manager and the career /educational counselor at OCCTAC. Each time a youth visits a campus they are able to see the possibilities and create new goals for themselves. Also, they are provided with information on financial aid plans, housing opportunities, scholarships and admission deadlines, and other information. IX. Tutoring A. Specify how your agency will provide tutoring or tutoring resources to youth that need to improve their literacy /numeracy skills. WIA participants will be provided with weekly tutoring session in Literacy and Numeracy on a one -on -one basis via the Literacy and /or Numeracy coaches. The coaches will review the TABE pre -test to determine student needs and establish specific goals for tutoring sessions. To ensure that youth with disabilities are provided with the best service, the case manager and tutors will also work with SAUSD TPP staff to review and attain participants Individual Educational Plan (IEP), and accommodate the tutoring sessions as needed. At intake, all participants will be given an Adult Basic Education (TABE) test to determine the participant's Educational Functional Level in Literacy and Numeracy skills. The TABE test will determine the needs of the participants in both academic areas. Additionally, they will aid in the facilitation of the weekly tutoring sessions. As needed, OCCTAC will work with SAUSD Transitional Partnership Program to determine the Individual Educational Plan (IEP) for those youth with disabilities. The main role of the literacy and math tutors /coaches will be to facilitate learning through effective guidance and coaching in order to aid the student in becoming a successful, independent learner in the subject matter. The purpose of tutoring sessions will be to increase and enhance mastery of grade -level reading comprehension skills and writing abilities. The tutors will integrate effective study and learning strategies to maximize the WIA participants' potential for academic progress. The tutors will maintain contact with all WIA staff for updates on the tutee's progress. In sum, tutor responsibilities include: provide weekly one -on -one tutoring sessions; teach students study skills, note - taking skills, and test - taking strategies; review students' IEP's and accommodate sessions as needed; prepare materials for use with students in accordance to their learning needs; schedule independent tutoring sessions and communicating with WIA participants weekly to remind them of appointments; administer, proctor and score standardized tests; Assign /correct /review homework on a weekly basis; monitor student progress and address areas of concern, attend weekly WIA staff meetings, and others. Also, OCCTAC uses innovative teaching strategies that focus on creative approaches to engage participants in the learning process. Every year, OCCTAC has been very successful in increasing the numeracy and literacy rates of WIA participants! For example, OCCTAC has demonstrated EXMBIT A 25A -140 2014 -15 Orange County Children's Therapeutic Arts Center Youth Workforce Investment Act Proposal commitment in helping WIA youth with and without disabilities improve their literacy and numeracy skills as evidenced in last year's outcomes (90%)! Furthermore, OCCTAC's Learning Academy Program provides WIA participants the opportunity to tutor younger children in our "Learning Academy Lab" so they can also apply the skills that their tutors /coaches are teaching them. The learning lab is not only a great vehicle for WIA participants to practice what they have learned, but also a great vehicle to enhance their self- esteem, boost their confidence and learn tutoring, mentoring and leadership skills! X. Mentoring /Support (not a required element of the program) A. Specify how your agency will provide mentoring to youth. OCCTAC offers a variety of programs and mentoring opportunities to WIA participants. Youth can choose from any of these programs /fields to fulfill their career goals and work experience. WIA staff and Non -WIA staff mentor the youth and provide "hands -on" work experience opportunities at our agency. As mentioned previously, mentoring WIA participants is an important component of our program. TABLE 3: Mentorinu .G .Inh Trninina Prnara.nc .t "PP'r A r 5 rtt Yit, g " a ►rem ti r (tta�cat 1 gi tng Health Mental Health OCCTAC, Pacific Clinics, Pacific Clinics Curriculum & case Paraprofessional Worker MECCA and Community Sites *State Certificate Program management Child Care Child Care Worker Early Start Program at SAC Curriculum OCCTAC *State Certificate Program Office /Reception Executive /Administrative OCCTAC office SAC curriculum Computers Assistant & Community sites *State Certificate Program Customer Service Education Tutor or Learning Academy at OCCTAC & Host Curriculum Instructional Assistant OCCTAC & community sites Education Teaching Assistant Early Intervention/ First Five Early Childhood Early Start Program at curriculum, High Scope & "Hands OCCTAC on Training" Arts Teaching Assistant After- School Arts Program CA Performing Arts Standards at OCCTAC Curriculum and "Hands -on" Arts Training Technology Technology Assistant Computers /Media LAB at SAC, Digital Media Center Graphic Artist OCCTAC & Santa Ana OCCTAC curriculums & Audio Engineer Intern Business Owners "Hands -on" Photoshop & Illustrator, Film Production Intern St. Andrews Church & graphic design training Rytmo & other Recording Recording Technology Training Studios So - wares, Pro -Tools & Sybellius Furthermore, WIA youth will be encouraged to participate in additional programs that we have at our agency to give youth more opportunities and "hands -on" experience in a variety of fields (health, education, arts and technology), so they can gain as much work experience as possible EXHIBIT A 25A -141 2014 -15 Orange County Children's Therapeutic Arts Center Youth Workforce Investment Act Proposal TABLE 4: Additional Mentoring & Job Training Programs for WIA Youth by NON -WIA staff a! g' E Early Start Program The Early Start program is and early intervention program that Monday /Wednesday integrates very young children (6 months to 3 years of age) with and 8:30 am —11:30 am without special in a natural community environment with their Fridays parents. It aims at enhancing students' cognitive, language, motor 8:30 am — 1:00 pm and social development. After School Arts The ASA for Life program provides artistic training in the fields of Monday — Friday Program Music, Visual Arts, Dance, Musical Theatre, and Technology training 3:30 pm — 8:30 pm to at -risk youth, and children with disabilities in the community. And Saturdays 9:00 am — 5:00 pra Therapeutic Arts This program serves children and youth with disabilities of all ages Monday — Friday Program and special needs, including: learning disability, health impairments, 3:30 pm — 8:30 pm physical disability, developmental disabilities and others. Saturdays 9:00 am -5:00 pm Learning Academy This program provides homework support and tutoring to students Monday — Friday & Tutoring (ages 3 — 13 yrs) in Language Arts (reading and writing), math, and 4:00 — 6:00 pm Program other academic subjects. Saturdays 9:00 am — 5:00 pm OCCTAC This program provides outreach, prevention, referrals and Various days /times Family Wellness engagement with individuals at -risk of mental health problems. throughout the week Program Other support services include parenting, counseling, and support groups. B. Specify what types of support your agency will offer youth who are facing challenging obstacles such as: family dysfunctions, mental health issues, substance abuse, low self- esteem, probation, gang issues, parenting issues, etc. OCCTAC is committed to helping youth who are facing challenging obstacles in their life, such as mental health issues, substance abuse, etc. We will work closely with our community partners (County of Orange, Health Care Agency, Social Services, MECCA and others) to provide the necessary mental health support and any other additional services needed to help our WIA youth. OCCTA's environment is very nurturing and supportive and provides the perfect environment to engage youth and maintain a high level of involvement in our programs. WIA youth are supported emotionally throughout the entire year at OCCTAC, and are provided with a positive and welcoming environment that also encourages youth to partake on various leadership roles within the various programs and activities at our agency. These additional activities provide youth with an opportunity to gain self- confidence, self- esteem and leadership skills, and also experience a safe haven at our center. Our goal is to empower youth and provide a life changing opportunity through this WIA program. C. Will your agency offer mental health services or referrals? Please describe. Yes, as stated above, OCCTAC will work closely with our community partners to make sure that the services are provided at OCCTAC or at their sites. D. Will your agency provide supportive services to youth such as gas cards, bus pass, childcare assistance, etc.? If so, please describe and include the Supportive Service Policy as Attachment G. Yes, of course! OCCTAC provides these support services already for several years) WIA participants receive a wide variety of support services at OCCTAC. These include individual mentoring, individual counseling, support groups, life skills and leadership training, academic support, tuition support for certificate /vocational programs, books for related course work, work related supplies, portfolios, EXHIBIT A 25A -142 2014 -15 Orange County Children's Therapeutic Arts Center Youth Workforce Investment Act Proposal tutoring supplies, bus passes, gas cards, and finger printing and TB tests are covered for work related requirements. E. Will your agency provide incentives to youth for accomplishing program benchmarks or personal goals? If so, please describe and include the Incentive Policy as Attachment H. Yes. The incentives set are to assist and aid enrolled youth with their successful completion of OCCTAC's WIA program. The program will provide youth with a stipends after their completion of a set of 20 hours (4 stipends for a total of 80 hours). These stipends will be an accumulation of the youths participation in all activities. These activities may include meeting with case manger, educational councilor, and attending all of their required work base learning hours and training courses. Youth will also be able to accumulate hours for meeting with their Numeracy /Literacy tutors on a weekly basis. Finally youth who have dropped out of high school may have the opportunity to earn gift certificates after returning to some type of high school recovery program and completing 2 required courses. XI. Leverage Funds (not a required element of the program) A. Can your agency leverage funds to offer a civic engagement opportunity to WIA youth and other youth in the community aside from WIA youth participants? Yes. We already do this informally at our agency, especially when we host important events and invite elected officials or important community representatives. OCCTAC is willing to incorporate this civic engagement opportunity for WIA youth. We believe this is a great leadership training opportunity for all Santa Ana youth! B. What type of civic engagement opportunities will your program engage youth in? 1. All WIA youth will be asked to participate in the youth council meetings. They will be asked to contribute ideas and information on how to better serve the youth in Santa Ana. 2. All WIA youth will be asked to participants in the city council meeting the first Tuesday of every month and will be asked to research what is taking place and what ideas they can contribute for the progress of their communities. 3. Youth will also be asked to assist the MECCA program and partnered agencies with the contribution of creating and presenting employment workshops that will also assist adults in moving forward in employment. As well as creating their paths towards a better future. C. How many youth will participate in the civic engagement opportunity? All WIA youth will be asked to contribute towards the assisting of their communities and work placements while they are in the process of finding employment or have entered post- secondary education. D. Can your agency leverage funds to host work readiness type of workshops once per month at local after - school programs in Santa Ana? Maybe. This would require more discussion and coordination with ALL WIA agencies involved, so the responsibility is equally divided between all partner agencies. XII. Common Measures A. Improve Literacy /Numeracy Skills -77.5% OCCTAC has demonstrated commitment in helping WIA youth with and without disabilities improve EXHIBIT A 25A -143 2014 -15 Orange County Children's Therapeutic Arts Center Youth Workforce Investment Act Proposal their literacy and numeracy skills as evidenced in last year's outcome. Our agency's goal is that each youth increases by at least two Educational Functional Levels at time of post -test. By providing effective and individualized tutoring sessions we can ensure that our youth are able to increase their basic skills. In the past, OCCTAC has been very successful in the attainment of these goals and thus is committed In continuing to assist participants with and without disabilities. Please see Outcomes section XIII that demonstrates our efforts and commitment to help youth who are basic skills deficient improve their literacy /numeracy skills. B. Attain Employment or Enter Post - Secondary Education -83% OCCTAC has demonstrated commitment in helping WIA youth attain employment or enter post- secondary education as evidenced in last year's outcomes (95%)! In summary, OCCTAC case manager and the career counselor will continue to meet regularly with the WIA participants to ensure at least 65% of placements in employment or education. During these meetings youth are provided with career guidance (e.g. educational programs, college application, FAFSA completion, etc.) and job skills training (e.g. customer service, phone etiquette, etc.). Moreover, the case manager and counselor assists youth with job leads, resume writing, interview preparation, and other job readiness skills. Please see outcomes section XIII that demonstrates our efforts and commitment to ensure that youth will attain employment or enter post- secondary education. As mentioned previously, in order for participants to get the full benefit of our program and each component offered, WIA participants are required to commit to at least 6 months of training and work experience. It is understood that many WIA participants have demanding circumstances in their lives, which, often dictate their ability to maintain their established training and work schedule. However, the OCCTAC staff is committed in supporting WIA participants' efforts towards achieving their educational and career goals. The frequency of program activities is shown below in Table 2. Please see below the frequency and type of program activities that vary daily, weekly and monthly. Attain a Credential /Diploma /Certificate -59.1% OCCTAC has demonstrated commitment in helping WIA youth attain a credential/ diploma /certificate, as evidenced in last year's outcomes (82 %)I As mentioned previously, OCCTAC currently offers state certificate programs in partnership with the Santa Ana College: 1) Child Care Worker Certificate Program and 2) Executive Secretary /Administrative Assistant Certificate Program. All WIA youth are encouraged to enroll into a certificate program of their choice. The WIA participants are also encouraged to enroll into other certificate programs with other institutions in the community. By effectively providing these opportunities, OCCTAC is exceeding the 59% degree or certificate attainment goal. Please see prior outcomes section XII that demonstrates our efforts and commitment to ensure that youth will attain employment or enter post- secondary education. As noted below on Table 2, WIA participants will need to attend daily or weekly programs in order to accomplish this goal. Since every WIA participant has a different experience and /or educational background, our WIA staff will work with each WIA participant individually to help them accomplish their educational and career goals. EXHIBIT A 25A -144 2014 -15 Orange County Children's Therapeutic Arts Center Youth Workforce Investment Act Proposal TABLE 2: Frequency of Program Activities & OCCTAC/ WIA Staff Interaction Emphasis: Career Training Skills, Tutoring & Work Experience j WN .k i ig5, .. Emphasis: Employability /Job Skills & Career Goals MINOR Mo'tQ Emphasis: Life Skills, Financial Literacy and Leadership Training Attend daily educational /career training Meet with Case Manager at Participate at least once a month in life - skills in order to complete state certified least twice a month to discuss skills sessions or leadership training programs: Administrative Assistant goals, progress, performance provided by the counselor and /or when Certificate or Mental Health levels, and learn job skills. necessary referred to a licensed MFT for Paraprofessional Worker (Class is taught Entered Employment or services. Monday— Thursday, 2 hrs. each day) 20/21 =9551. Post - Secondary Meet with Literacy and Math Coach to Meet with the Educational and Participate once a month in a social/ receive weekly tutoring in academic/ Career Counselor to discuss support group with other participants, basic skills. educational and career goals staff & guest speakers. Participate in weekly educational and and pursue higher education career training skills with OCCTAC staff programs or enroll in another to engage in work experience with WIA certificate program outside of and other non -WIA support staff at the OCCTAC. center. XIII. Prior Outcomes Corrirn l sStreS k w D1d 1 Q 1 iy oa T-7 11� s 3 nmg ....: _.:,. Increased Literacy /Numeracy Skills 14/19 =73% 19/21 =90% 17/23 =74% Entered Employment or 10/17 =58% 18/22 =81% 20/21 =9551. Post - Secondary Attained Credential/ Diploma/ 10/13 =76% 13/14 =92% 14/17 =82% Certificate XIV. Fiscal Competency A. Describe the process used to capture and report fiscal data. -All invoices or vendor statements will be initialed by the Executive Director prior to signing the check to pay that bill or invoice. After checks are printed and signed, the accountant shall mark "Paid" with the date of payment and check number utilized for payment. All disbursements shall be reviewed and approved by the Executive Director. A monthly review of all disbursements shall be conducted by the Accounting clerk and reviewed by the Executive Director and the Finance Committee for verification of accuracy, documentation and appropriate approval. The Executive Director shall be authorized to expend funds as approved by the Board of Directors under the organization's annual operating budget. B. Attach a copy of the organization's procurement policies and procedures as Attachment I. See attached documents. EXHIBIT A 25A -145 2014 -15 Orange County Children's Therapeutic Arts Center Youth Workforce Investment Act Proposal C. What systems are used to ensure fiscal accountability, appropriate expenditures, and planned costs? All requests for reimbursement shall be reviewed and approved by the Executive Director and Finance Committee. All reimbursements are subject to budgetary limitations as established in the organization's approved operating budget. No reimbursements are made without appropriate backup documentation. Please see details below of the accounting system used at OCCTAC: Accountine Method: OCCTAC utilizes a modified accrual -based account methodology. Cost Allocation Method: Costs are allocated using the Direct Cost Allocation Method (OBM Circular A -122). OCCTAC classifies each item to a specific program, department, site, grant or contact that it directly relates to. Indirect expenses like general administration and general expenses are allocated based on the allowable budgeted portion of each program with the remaining portion to the center's administrative category. OCCTAC shall produce financial reporting for each of the Center's program functions. In consolidation, these programs shall make up the overall financial position of OCCTAC. All transactions (Payments and cash receipts) that occur at the center shall be classified under identified categories and programs. When program funding is split between two or more sources, the cost allocation for this program shall conform to the budget allocations established in the program. Budgets: Under the guidance of the Finance Committee and prior to the beginning of each fiscal year, the Executive Director prepares an Operational Budget, including Program Budgets. Tuition fees, Service fee rates, etc., shall be approved by the Board. Any gifts (monetary or otherwise) resulting from fund- raising activities, solicitations and acceptance of gifts or contributions that are presented with restrictions of use shall be approved by the Board of Directors and submitted to the finance committee to verify the appropriate method of accounting and reporting. Receivables: Receivables shall be aged monthly and delinquent accounts shall be followed up for collection. Receivables from miscellaneous sources shall be reviewed periodically by the Treasurer and significant amounts shall be reported to the Board of Directors. All write -offs shall require approval from the Finance Committee prior to implementation. The Board shall review all write -offs from uncollectible accounts receivables. Deposits and Receipt of Monies: Deposit of monies are made on a weeldy basis, or whenever more than one thousand dollars (in either cash or check) has been received and recorded by the OCCTAC office. All items to be deposited are and shall be stamped "For Deposit Only" to the Account of OCCTAC with the appropriate bank account number. A deposit form for established OCCTAC accounts shall be completed with deposit slip details for cash or multiple checks. A copy of the deposit form, slip and all items to be deposited shall be made for accounting purposes and upon completion of the deposit attached to the deposit slip and turned into the accounting revenue in- box. To ensure appropriate financial controls, the individual making deposits shall not be the same person reconciling the OCCTAC account. All funds received shall be recorded in the accounting system and filed in the locked accounting file cabinet. Disbursements: All disbursements are and shall be made by checks drawn on the established operating checking account for the OCCTAC. All disbursements shall utilize pre - numbered checks used in sequence. Any and all "voided" checks are and shall be mutilated and notes on the voided check stub. At no time shall disbursements be made to "bearer" or to "cash ". All banking materials, records, blank checks, and deposit books are and shall be maintained in secure cabinets in the OCCTAC office under the supervision of the Executive Director and Accounting clerk. Only those individuals authorized to handle check stock as their part of then accounting duties for OCCTAC account shall have access to these banking materials. Disbursements are prepared from original invoices. Each disbursement shall require submission of a purchase request form and appropriate backup documentation. Invoices shall be date stamped upon receipt and marked "approved for payment." Reconciliation of Accounts: All OCCTAC bank accounts are reconciled monthly. A monthly review of all accounts and financial reports are prepared by the Board Treasurer or designated Finance Committee Member. Files and Records: OCCTAC shall maintain hard copy files for all operational and business transactions that occur. Files shall be separated into the following categories: a) Accounting records, b) Grant documentation, c) Tax filings; Donors, d) Legal/Insurance/License /Permits, e) OCCTAC Programs, f) Personnel documents and files, g) Vendor and Client contracts and other documents. OCCTAC maintains electronic and hardcopy records of all accounting transactions and financial reporting. All electronic records are be copied and stored in a secure, off site location or in a web based file storage system, which is the server. All financial and accounting hardcopy files are stored in secure -- lockable file cabinets. Requests for financial documentation get processed through the accounting staff i.e, copy of original document. Original financial documentation remains in the file /s cabinet at all times. EXHIBIT A 25A -146 2014 -15 Orange County Children's Therapeutic Arts Center Youth Workforce Investment Act Proposal D. Describe invoicing process and list qualifications of staff assigned to task. OCCTAC accounting clerk creates monthly WIA invoices to submit to the City based on expenses incurred during the month. After the Coordinator and the Executive Director review and approve the program expenses, the Accounting clerk enters the data from the participants' stipends and /or time sheets, program staff as well as related expenses into the accounting system to generate an invoice. The invoice will be on the appropriate form provided by the WIA Contract and submitted for reimbursement. E. Describe how your agency's financial stability is not dependent on WIA funds. -The Orange County Children's Therapeutic Arts Center has a variety of funding sources: (1) contracts, (2) grants, (3) donations, (4) fee for service, and (5) fundraising. OCCTAC continues to maintain current contracts, as well as enter into new contracts with key community partners. Two years ago, OCCTAC started a new contract with the County of Orange, Health Care Agency to provide prevention and family wellness programs. We anticipate a steady revenue increase, as we continue to grow this year with our new county partners and MECCA. In addition, and as part of the OCCTAC's long -term sustainability plan, the Executive Director and our board of directors have agreed to continue to diversify OCCTAC's funding sources by focusing some more on (1) donor solicitation, and (2) social enterprise ventures. F. Submit most recent 2 years of audited financial statements as Attachment Q with the Audited Financial Statement Form signed. Please see attachments for 990. XV. Subcontracting - OCCTAC does not subcontract client services /activities under this contract. XVI. Budget Narrative -Please see budget narrative below. See Attachments A and B for more information. 46% percentage of the entire budget will go directly to WIA youth (work experience payments, direct training, supportive services, etc.). Also, please see Attachment J for information regarding program documents, such as: Logs, timecards, sign -ins, etc. to track the work experience compensation or participant incentives. Please see Attachment J. XVII. Budget - Please see Budget Form. See Attachments A and B for more information. XVIII. Attachments —See attachments. EXHIBIT A 25A -147 Ogg tit Orange County Children's Therapeutic ARTS Center 2215 N Broadway • Santa Ana, CA 92706 • 714.547.5468 • Fax 714.564.9690 • www.occtac.org 501(c)3 Federal TaxID# 33- 0930891 Work Based Learning Policy WIA Program 2014 — 2015 Purpose: To establish guidelines for the youth's paid work experience placements while enrolled in OCCTAC's Workforce Investment ACT (WIA) program Procedures: Stipend Period: Four Stipend Periods — First 80 hours of participant Most youth are able to complete their first 80 hours participants in about 2 months. During the first 2 months of participation, all youth will be required to attend regularly for about 10 to 20 hours a week. For their consistent participation youth will receive $150.00 stipend after they complete the first 20 hours. Youth will receive 3 more stipends, each of $150.00, upon completion of their 2 °d 3rd and 4th set of 20 hours, for a total of 80 hours. The stipend hours will be accomplished through different venues: case Management meetings, workshops, educational counseling services, work experience placement, job skills training, weekly tutoring, etc. Hourly Rate: Once Youth completed the four Stipend Periods Immediately after the completion of the first 100 hours of participation, those youth that have shown consistency will be encouraged to work between 10 to 20 hours per week until there job training period is complete. These youth will be paid $8.00 per hours EXHIBIT A 25A -148 Orange County Children's Therapeutic ARTS Center 2215 N Broadway - Santa Ana, CA 92706 - 714.547.5468 - Fax 714.564.9690 - www.occtoc.org 501(c )3 Federal Tax ID# 33- 0930891 Supportive Services Policies and Procedures WIA Program 2014 — 2015 Purpose: To establish guidelines for the issuance of supportive services to participants who are identified in need of such services. Goal is to aid this youth with their successful completion of OCCTAC's WIA program. Procedures: Eligibility: Supportive services are available to those identified as approved WIA participants; have limited resources to meet basic needs; and have expressed the need of additional support to the Case Manager. Supportive services will be made available to participants while they are enrolled in all phases of the WIA program. These services are contingent upon approval by the Case Manager and OCCTAC Director. Provision of supportive service is not an entitlement. Availability of Funds and Assessment of Need: The fiscal advisor or the accounting clerk and the Executive Director will verify the availability of funds and notify the case manager. Supportive services are delivered contingent upon availability of funds, the need of the participant and given on a first come, first serve basis. Initial assessment on need will be determined by the case manager and will be reviewed regularly. Logs of services will be kept on a regular basis and service(s) will also be case noted for documentation purposes. Transportation Assistance Guidelines: After identifying the need to transportation assistance and eliminating other resources, the case manager and the participant will develop a service plan and update progress in the case notes. Transportation assistance is defined as the provision of a gas voucher or bus pass. No replacement bus pass or gas card will be issued in the event the participant loses his /her bus pass or gas card. Fingerprinting —Live Scan and TB Test: Participants who work with children and are placed in an educational setting will be required to undergo Fingerprinting —Live Scan through the Department of Justice EXHIBIT A 25A -149 Orange County Children's Therapeutic ARTS Center ISE 2215 N Broadway • Santa Ana, CA 92706 • 714.547.5468 - Fax 714.564.9690 • www.occtoc.org 501(c)3 Federal TaxID# 33- 0930891 and show a cleared TB Test. This supportive service will be available for participants on a case -by -case basis and determined by the case manager. Books and /or Uniforms —Work Related Equipment A participant may need to purchase books, skill building tools or work related equipment to fully participate in returning to school and or a new job opportunity. All Funding will be allocated for specific needs on a case -by -case basis, i.e. Working Wardrobe— Interview outfit. Portfolios- Resume - Business Cards Related items for Job Search Tools Participants may put together a professional portfolio of work demonstrating their skills in the area of marketing, graphic arts and design related to Job - Search. Food Bank After identifying the need for Food Services and Eliminating other resources, the case manager and the participant will develop a service plan and update progress in the case notes. Participant will be provided with perishable and non - perishable food items for consumption before and/or after their work placements and for take home. Participant will be eligible for these items throughout each month depending on specific needs on a case by case basis. Other: Any other miscellaneous type expenses not mentioned above may be considered with proper authorization. The request must be fully documented and all receipts in proper order. EXHIBIT A 25A -150 01 -17 Orange County Children's Therapeutic ARTS I Center 2215 N Broadway - Santa Ana, CA 92706 • 714.547.5468 • Fax 714.564.9690 • www.occtac.org 501(c)3 Federal TaxID# 33- 0930891 Incentive Policy and Procedures WIA Program 2014 — 2015 Purpose: To establish guidelines for the incentives to participants who successfully commit and complete goals establish during program participation. Goal is to aid enrolled youth with their successful completion of OCCTAC's WIA program. Procedures: Stipends Period (All Enrolled Youth): Youth will receive 4 stipends, each of $150.00, upon successful completion of first 80 hours of program participation. Please refer to "Work Based Learning Policy 2014 — 2015" for additional information on stipend period. 20 hours $150.00 20 hours $150.00 20 hours $150.00 20 hours $150.00 TOTAL: 80 hours TOTAL: $600 HS Dropouts: Individuals who are HS dropouts at time of enrollment will be encouraged to attain a HS diploma or GED. Those who enroll into an institution yielding to a HS diploma or GED will be eligible to receive a $50.00 gift card for every two (2) subjects they complete while enrolled in all phases of the WIA program. Doing so will encourage these WIA participants to commit to their educational goal and thus attain a secondary credential within a reasonable amount of time. Case Manager, educational counselor and school representatives will communicate regularly to insure that students enrolled into their institution commit to their schedule to complete missing credits on a timely manner. Basic Skills Deficient (BSD) Youth: WIA participants who at time of enrolment are BSD will receive week tutoring in Math and /or Literacy. To encourage these participants, the weekly tutoring sessions will count towards their "stipend Period" as well as "hourly rate ". Thus, essentially participants will get paid for committing to their weekly tutoring schedule. This incentive will aid in literacy, numeracy gain of each client. EXHIBIT A 25A -151 Orange County Children's Therapeutic ARTS Center 2215 North Broadway Santa Ana, CA. 92706 t (714) 547 - 5468 www.occtac.ora YOUTH PROTECTION POLICY These OCCTAC Youth Protection Policy Guidelines are designed to help protect our youth in a proactive manner against verbal and sexual abuse (hereinafter "abuse "). OCCTAC prohibits any form of harassment of applicants, visitors, organization members, employees and especially YOUTH. All persons, including youth are to be treated with courtesy, dignity and respect at all times. Sexual harassment is defined as unwanted sexual advances or visual, verbal or physical conduct of a sexual nature. The definition encompasses many forms of offensive behavior and includes gender -based harassment of a person of the same sex as the harasser. OCCTAC Staff and Volunteers must be able to identify abuse when they see it, know their responsibilities to report suspected abuse, and provide a quality of leadership that will ensure that no child becomes the victim of abuse through willful act while participating in OCCTAC. Definition of Abuse Abuse is defined as verbal and sexual abuse, sexual harassment, and inappropriate sexual verbalization. The OCCTAC program requires OCCTAC staff and volunteers to provide good supervision, maintain safe surroundings, and ensure a safe and secure environment that eliminate and prevents opportunities for abuse. Touching Youth. Employees and Volunteers need to be mindful that an affectionate ( "harmless ") gesture towards a child could be construed as inappropriate by the child or the child's parent. Complementing Youth. A supportive comment or words of encouragement serve as positive reinforcement from the OCCTAC Staff and Volunteers for the youth's accomplishments and good behavior are safer than those comments related to appearance. Rewarding Youth. Should an employee or volunteer wish to give a reward or token gift to a child, it should be something that is given to other children in the same circumstances. Otherwise, the child or the parent could misconstrue the gesture. Photos of Youth Members OCCTACT policy prohibits the posting on the Internet of photos of youth identified in any way, such as by name, region, or club affiliation. The publication of photos of youth, identified or not, is permitted in OCCTAC and related publications whose distribution is limited primarily to OCCTAC staff. Interactions with Children/Youth An adult should NEVER be alone with a child or youth under any circumstances. EXHIBIT A 25A -152 4 Orange County Children's Therapeutic ARTS Center 2215 North Broadway Santa Ana, CA. 92706 r E (714) 547 - 5468 www.occtac.ora Reporting Suspected Sexual Abuse The primary reason for reporting sexual abuse is to protect the youth from further abuse. In addition to protecting the youth, reporting abuse can also provide help for the suspected abuser. Who must Report OCCTAC Employees and Volunteers shall assume the primary responsibility for reporting abuse as may arise within the Youth Programs. When to Report OCCTAC Staff and Volunteers are required to report abuse if s /he has knowledge of, or observes a youth who s /he knows or reasonably suspects has been the victim of abuse. Therefore, as soon as an employee or volunteer has knowledge of, or observes a child who s/he knows or reasonably suspects has been the victim of sexual abuse, that person must take a report to local child protective services or cognizant law enforcement authorities. No person may impede or inhibit the reporting duties. In addition, no person making such a report shall be subject to any sanction for making the report. Any person who violates the rights of an individual to report may be guilty of an infraction punishable by fine. Reporting Procedures All employees of OCCTAC are required by law to report any knowledge of child abuse that may be occurring to any student or child that attends our center. Any observed indications of child abuse that would lead you to suspect that there is child abuse present in the child's life, shall be reported immediately. OCCTAC will conduct yearly trainings for staff on child abuse identification procedures. Report Child Abuse to: Orange County Child Welfare Services Agency (OCCWS) 888 N. Main Street Santa Ana, CA (714)940 -1000 (800)207 -4464 EXHIBIT A 25A -153 2014-15 Orange County Children's Therapeutic Arts Center Youth Workforce Investment Act Proposal YSPN MEMBER PERFORMANCE PLAN 2014-2015 PROJECTED ENROLLMENTS& EXPENDITURES (NOTE: 100% OF YOUTH MUST BEEN ROLLED BY 2ND QUARTER-DECEMBER 31, 2014) [Y. r1i MI NOR . 5, M '1� - I 5, MINERM-At ME, In, ITUT AN X $53,200 -U— 12 $53,200 l Idi t )l ea "n' 'o completion of secondary school, c'oo', include community service and peer-centered 0 $53,200 _n -, a G1 0 A . .... U .-Mi c, $53,200 4 "s 27 $212,800 appropriate; EXHIBIT B 25A -154 X I. Tutoring, study skills training, and instruction, instruction, X X 6. Leadership development opportunities which may l Idi t )l ea "n' 'o completion of secondary school, c'oo', include community service and peer-centered dropout including d pou t prevention strategies activities encouraging responsibility and other positive social behaviors during non-school hours, as appropriate; X 2 Alternative secondary school services, as X 7. Supportive Services (e.g. tools, books, clothing, etc,); appropriate; X I Summer employment opportunities that are X 8. Adult Mentoring for the period of participation and directly linked to academic and occupational a subsequent period for a total of not less than 12 learning (this element cannot be offered as a months; stand-alone activity); X 4. As appropriate, paid and unpaid work X 9. Follow-up services for a minimum of 12 months experiences, including internships and job after the completion of participation as appropriate; shadowing; —appropriate; and Occupational skill training, as _X 10. —Comprehensive guidance and counseling which may include drug and alcohol abuse counseling and referral, as appropriate. EXHIBIT B 25A -154 COMPLAINT HANDLING UNDER THE WORKFORCE INVESTMENT ACT SANTA ANA WIA Santa Ana Local Workforce Investment Area Revised May 7, 2009 EXHIBIT C 25A -155 Table of Contents Information Regarding Complaints A. Nondiscrimination and Equal Opportunity Complaints 3 1. Policy Stateme 2. Civil Rights 3. Nondiscrimination laws under 0 11H 4. How to File Your Complaint 5 B. Criminal Complaints II. General Procedures for Handling Non - Criminal Violations of the Act 6 III. Procedures for Handling Complaints at the LWIA Level 8 IV. Procedures for Handling Complaints at the State 12 V. Procedures for Handling Discrimination Complaints by Participants 15 VI. Procedures for Handling Handicap Complaints by Participants 17 GLOSSARY OF WIA TERMS 2 v1T156 Information Regarding Complaints A. Nondiscrimination and Equal Opportunity Complaints 1. Policy Statement In carrying out the purpose of the Workforce Investment Act (WIA), the City of Santa Ana Local Workforce Investment Area (LWIA) will establish programs to prepare youth and unskilled adults for entry into the labor force and to afford job training to those individuals facing serious barriers to employment. Every effort will be made to provide services necessary for eligible individuals to obtain productive employment. In implementing WIA, all contractors in the Santa Ana LWIA will foster equal opportunity and non - discrimination, as provided in State and Federal equal opportunity and non - discrimination laws including, but not limited to: • Title VI of the Civil Rights Act of 1964 • Title VII of the Civil Rights Act of 1964 • The Age Discrimination Act of 1975, as amended • Section 503 of the Rehabilitation Act of 1973 • Section 504 of the Rehabilitation Act of 1973 • Title IX of the Education Amendments of 1972 • Section 188 of the Workforce Investment Act of 1998 In keeping with our commitment, no individual shall be excluded from participation in, denied benefits of, subjected to discrimination under, or denied employment, in the administration or of in connection with any WIA funded program because of race, color, religion, sex, national origin, age, handicap, or political affiliation or belief. Participation in programs and activities financially assisted in whole or in part under WIA shall be open to citizens and nationals of the United States, lawfully admitted permanent resident aliens, lawfully admitted refugee, parolees, and other individuals authorized by the Attorney General to work in the United States. No individual will be intimidated, threatened, coerced, or discriminated against because of filing a complaint, furnishing information, or assisting or participating in any manner in an investigation, compliance review, hearing or any other activity related to the administration of WIA. 19RIT197 Administration responsibility for this Equal Opportunity /Affirmative Action (EO /AA) Program is delegated to the Equal Employment Opportunity (EEO) Officer for the Santa Ana local Workforce Investment Area. Equal opportunity and non- discrimination, however, will only be achieved through leadership and implementation of a viable Affirmative Action Equal opportunity Program. 2. Civil Rights No one applying for or enrolled in the Workforce Investment Act (WIA) programs may be discriminated against because of race, color, creed, handicap, national origin, sex, age, political affiliation, or beliefs. This means that — for any of the characteristics listed above: • You may not be denied the opportunity to enroll in WIA. • No benefits or services may be denied you for discriminatory reasons. • You may not be segregated or treated any differently from other applicants or participants, while you are being registered, interviewed, counseled or tested; or while you are working or attending classes as part of the program. • You must be provided an equal chance to use all facilities available in the program. • Fair employment practices must be provided to all staff with regard to recruiting, hiring, transferring, promotions, training, compensation, benefits, layoff, and termination. You have the right to make a complaint if you feel you have been denied any of the above opportunities. You cannot in any way be penalized for filing a complaint. Your WIA sponsor has established a mechanism for handling complaints and grievances. Your complaint must be filed within 180 days. All complaints will be handled confidentially. 3. Nondiscrimination Laws under WIA Title VI of the Civil Rights Act of 1964 Prohibits discrimination on the basis of race, color, national origin, or religion. The Age Discrimination Act of 1975 Prohibits arbitrary discrimination against persons age 40 -70. The Rehabilitation Act of 1973 4 AB's 98 Prohibits discrimination based on handicap. Title IX of the Education Amendments of 1972 Prohibits discrimination in any education or training program or activity receiving federal financial assistance. OTHER CIVIL RIGHTS LAWS: Title VII of the Civil Rights Acts of 1964 Prohibits discrimination in employment based on race, color, religion, sex, or national origin in all terms and conditions of employment and establishes the Equal Employment Opportunity Commission as the administrative agency. White House Executive Order no. 11246 as Amended by Executive Order No 11375 Creates the office of Federal Contract Compliance and prohibits discrimination based on race, color, sex, religion, or national origin. Department of Labor Secretary's Order no. 4 -73 Prohibits discrimination based on sex. Equal Pay Act of 1963 Prohibits pay differential solely because of sex. Emergency Employment Act of 1971 Prohibits discrimination based on race, creed, national origin, political affiliation, or beliefs. 4. How to File Your Complaint a. Put your complaint in writing. b. Have it sworn to before a notary public, if possible. c. Provides details that tell what happened, where it happened and when it happened. d. Give the name and addresses of all persons who were present or who had anything to do with the matter. ...Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation and citizenship, must be filed within 180 days of the alleged occurrence directly with: s 2'%A-1 T99 Director Civil Rights Center U.S. Department of Labor, Room N -4123 200 Constitution Ave., NW Washington, D.C. 20210 Complaints on the basis of handicap must be filed within 180 days of the alleged occurrence. These complaints must be filed directly with the WIA administrative entity. The WIA administrative entity shall issue a written decision within 30 days of the filing of the complaint. If the complaint is still unresolved, an appeal may be made to the Chief of State Workforce Investment Division Office. The Department of Labor, the Civil Service Commission, the Equal Employment opportunity Commission, and many other offices and agencies are committed to assuring equal employment opportunities for all persons. They will protect you. A case may be taken to court if the other processes do not yield satisfactory results. You may hire your own lawyer, or if you cannot afford one, the court may appoint one for you. It is unlawful for an employer, union, or employment agency to punish you or any witness for attempting to present the facts in a case. YOUR CIVIL RIGHTS UNDER THE WORKFORCE INVESTMENT ACT Santa Ana Local Workforce Investment Area 1000 E. Santa Ana Blvd., Ste 200 Santa Ana, CA 92701 (714)565 -2600 B. Criminal Complaints In accordance with the WIA (P.L. 105 -200) and the implementing code of Federal section 667.600.... Federal handling of criminal complaints and report fraud, abuse and other criminal activity. "All information and complaints involving fraud, abuse or other criminal activity shall be reported directly and immediately to the City of Santa Ana and the Secretary of Labor." II. General Procedures for Handling Non - Criminal Violations of the Act The following procedure is promulgated to meet the requirements of Title 20, of the Code of Federal Regulations, Section 667.600 through 667.640 of the WIA regulations, and Section 181(c) of the Act (Public Law 105.200: 29 U.S. Code Sec. 2931 et seq.) at the State and LWIA 1 BIT1 �0 level for the receipt, investigation, hearing, and resolution of complaints by WIA participants, sub recipients, applicants for participation, or financial assistance, labor unions, community based organizations, or any other persons. These procedures provide for resolution of non - criminal complaints arising from the operation of the Santa Ana LWIA. A complaint is defined here as a written expression by a party alleging a violation of the Act, regulations promulgated under the Act, recipient grants, sub agreements, or other specific agreements under the Act, including terms and conditions of employment of such participants in employment training programs. All complaints, amendments and withdrawals shall be in writing. These procedures are intended to resolve matters which concern policies, procedures or action(s) arising in connection with WIA programs operated by each LWIA grant recipient and sub recipient under the Act. These procedures shall not be construed as affecting any other available legal remedy outside of the WIA complaint process (i.e., disputes regarding terms and conditions of employment of any employee who is not a participant), either separately or simultaneously, that a person may wish to pursue in the resolution of a non -WIA complaint. Also, these procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion Procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion and resolution of any problems outside of and without resort to the formal complaint procedure. A. The following principles and rules apply to all complaints at all steps of the complaint procedures: All complaints must be made in writing within 180 days of the alleged occurrence, except complaints alleging fraud or criminal activity. All persons filing a complaint shall be free from restraint, coercion, reprisal, or discrimination. Good faith efforts shall be made to informally resolve the complaint prior to the scheduled hearing. Complainants have the right to withdraw their complaints (in writing) at any time prior to the hearing. A complainant may amend his /her complaint to correct technical deficiencies but not to add issues. 3. Complainants shall have the right to be represented at their own expense by person(s) of their choosing at all levels of the complaint process. 4. Upon enrollment into employment or training, participants shall be provided with written description of these procedures, including notification of their right to file complaints and instructions for filing. An employer of participants, including private- for - profit employers of participants, may use this or other complaint resolution procedures so long as the participant is informed of the complaint resolution procedure they are to follow and the time frames governing review of complaints are met. A "participant ", within the meaning of these procedures, is an individual who receives employment- training services under a program funded by Santa Ana LWIA. The Complaint Resolution Procedures contained herein (or the alternative procedures which an employer may use) shall be available to participants to resolve disputes regarding items and conditions of employment of such participants in employment training programs. However, such procedures shall not be used to resolve disputes regarding terms and conditions of employment of any employee who is not a participant, as defined herein. 5. If a complaint does not receive a decision at the LWIA grant recipient level within 60 days of filing the complaint or receives an unsatisfactory decision, the complainant then has a right to request a review of the complaint by the Governor. 6. Complainants must initially file and exhaust LWIA grant recipient /hearing procedures prior to appealing to the State except where the State determines that the LWIA grant recipient's procedures are not in compliance with the State's procedures. III. Procedures for Handling Complaints at the LWIA Level A. Receipt Complaints Pursuant to the WIA regulations found at 20 CFR, Section 667.600, the LWIA administrative entities have the responsibility to conduct hearings and resolve complaints made by individuals about the administration of programs in the LWIA. "LWIA level" encompasses LWIA administrative entity and employers to which the administrative entity has delegated the complaint resolution process. The following comprise the guidelines for resolving issues arising in connection with WIA programs operated by the Santa Ana LWIA including resolutions of complaints arising from actions, such as audit disallowances or the imposition of sanctions taken by the Governor with respect to audit findings, investigations or monitoring reports. 1. Form and Filing of Compliant Official filing date of the compliant is the date the written complaint is received. The filing of the complaint with the Santa Ana LWIA Equal Employment Opportunity Officer shall be considered as a request for hearing and a decision must be issued within 60 days. The complaint must be in writing and must be signed and dated. The complaint should also contain the following information. a. Full name, telephone number, if any, and mailing address of the complainant; b. Full name, telephone number, and mailing address of the agency involved (respondent); c. Clear and concise statement of facts including dates constituting alleged violation; I U-192 d. What provisions under the Act, regulations, grant or other agreements under the Act, are believed to have been violated; e. Remedy sought by the complainant; and If the complainant is a private or public entity or corporation, and not a natural person, the filing of the complaint must be duly authorized by the governing body of such entity or corporation. The absence of any of the requested information shall not be a basis for dismissing the complaint. A copy of the complaint must be sent to the respondent and both parties notified of the opportunity for an informal resolution. At each step of the complaint process, the complainant must be notified in writing of the next procedural step. 2. Informal Conference Informal conferences will be utilized by the Santa Ana LWIA to resolve complaints; however, such informal conferences shall not extend the time within which a decision must be issued after receipt of a complaint. Attempts at informal resolution will commence with two (2) weeks of the date of filing of the complaint. a. The EEO Officer will review the case and ascertain facts prior to the conference so that appropriate resolution can take place at the time of this meeting whenever possible. Although the complainant should be encouraged to attend this conference, his /her failure to do so should not preclude his /her right to request a hearing on the matter. c. If mutually satisfactory resolution results and the Santa Ana LWIA concurs, the EEO Officer will write a brief report for the file stating the issues and resolution. The matter shall then be considered closed. If resolution does not result, the complainant shall be provided the necessary information and assistance to request a hearing if he /she so desires. 3. Request for Hearing As in the case of the complaint, the request for a hearing should be put in writing and be filed in person or by mail. A governing board resolution of authorization to appeal should also be submitted when appropriate. The request should be filled with: Anita Queen Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive, M -24 Santa Ana, CA 92701 (714) 647 -5157 A-193 b. A hearing will be scheduled by the EEO Officer within thirty (30) days of the date of filing of the complaint. 4. Notice of Hearing Upon receipt of the request for hearing, the complainant and the respondent will be notified in writing of the hearing ten (10) calendar days prior to the date of the hearing. The ten -day notice may be shortened with the written consent of the parties. A decision will be issued by the Santa Ana LWIA within sixty (60) days of the date of filing of the complaint. The hearing notice shall be in writing and contain the following information: a. The date of notice, name of the complainant, and the name of the party against whom the complaint is filed. b. The date, time and place of hearing before an impartial hearing officer. c. A statement(s) of the alleged violation(s) d. Advise as to where information or assistance may be obtained, and the name, address, and telephone number of the Santa Ana LWIA Equal Employment Opportunities (EEO) Officer who can answer inquiries. B. Conduct of Hearing The hearing shall be conducted in an informal manner with strict rules of evidence not applicable. Unnecessary technicalities should be avoided. It should provide the flexibility to enable adjustment to the circumstances presented. The hearing officer shall have complete independence to obtain facts and make decisions. The hearing officer shall be in a position to render impartial decisions and thus should not be subordinate to the Santa Ana LWIA or its sub recipients. The hearing officer will be selected from a list of names on file with the EEO Officer. Full regard must be given to the requirements of due process to insure a fair and impartial hearing. 3. The hearing office designated by the EEO Officer to function in a quasi - judicial capacity should begin the hearing by summarizing the record and the issue and should explain the manner in which the hearing will be conducted, making sure that everyone involved understands the proceedings. Such explanations should be adapted to the needs of the specific situation. The hearing officer might take testimony under oath or affirmation to give some assurance of veracity to the hearing. so A-194 4. The burden of proof should be reasonable and flexible, dependent upon the circumstances of the case involved. The hearing officer determines the order of proof. Generally, the party making the complaint has the obligation of establishing his or her case and should be examined first. 5. The party involved should have the right to be represented (at their own expense) if he /she so desires. Other he /she is limited to his /her own abilities and those to the hearing officer in obtaining testimony in the case. 6. It is important that the hearing officer obtain the fullest information for the record. If the parties involved, or their representatives, do not know how to ask the right or pertinent questions in pursuing their right to due process, it shall be necessary for the hearing officer to step in to have all the materials and relevant facts elicited. 7. The practice in informal hearings is generally not to apply strict rules of evidence in obtaining facts. However, the quantity of evidence required to support a decision on an issue should be sufficiently credible that the state (or other appropriate agency), upon reviewing the decision, would conclude that the decision is supported by substantial evidence. 8. The hearing officer should attempt to negotiate a resolution of the issue at any time prior to the conclusion of the hearing. 9. Within ten (10) days of the conclusion of the hearing, the hearing officer will issue a recommended decision to the LWIA for final determination. The recommended decision shall be in writing and may be accepted, rejected or modified by the Santa Ana Workforce Investment Board. C. Issuance of Decision Within sixty (60) calendar days of filing of the complaint, the Santa Ana LWIA shall issue a written decision to all parties by first class mail. The final decision shall contain the following information: 1. The name of the parties involved. 2. A statement of the alleged violation and issues related to the alleged violation. 3. A statement of the facts. 4. The decision and the reasons for the decision. 5. A statement of corrective action, if any, to be taken. 6. Notice of the right to request, within ten (10) calendar days of receipt of the decision, a review of the decision by the State Review Panel. D. Record of Hearing 11 XII 95 An administrative file containing support documents on the complaint resolution process hearing conducted will be retained by the Santa Ana LWIA. The purpose of a record is to serve as substantiation of the process followed by the Santa Ana LWIA on the resolution of the issues and the results. This information would then be available for subsequent review in the event the matter is raised with the State. Such records must be retained for a three - year period after the grant has been officially closed out. The Santa Ana LWIA's written decision will be included in the record. Evidence received at the hearing, notes by the hearing officer, stenographer's notes and tape recordings may also be used. E. Establishment of Complaint Procedures In accordance with Section 667.600, each employing agency including private- for - profit employers of participants under the Act is required to establish a complaint procedure for resolving matters relating to the terms and conditions of employment. Employers may operate their own grievance system or may utilize the Santa Ana LWIA's established procedures under Section 667.600. At a minimum these procedures must include: Written notice, upon enrollment into employment training services, of the scope and availability of such procedures. Employer's grievance procedures shall be set forth in a written document and must meet the regulation mandate that a complaint will be resolved with sixty (60) days from the date the complaint was filed. A copy of employer's grievance procedure shall be provided to each participant upon enrollment in employment training. 2. Written notice, at the time the grievance is filed, of the procedures under which the grievance will be processed. Written notification of the disposition of the grievance and a written decision shall be issued within thirty (30) days of the filing of the grievance unless a present and long established grievance specifically provides other limits; and 4. Written notification of the participant's right to request a review of the employer's decision by the Santa Ana LWIA and the State Review Panel in accordance with Section 667.600. IV. Procedures for Handling Complaints at the State Level Section 181 (c) of the Act and the WIA regulations at 20 CFR, Section 667.600 (d) requires the Governor to establish a State Review process of complaints filed at the LWIA grant recipient level and of complaints initially filed at the State level. Appeals of decisions issued at the LWIA level including audit disallowances and sanctions shall be reviewed by the State Review Panel. The State Review Panel shall review the record established at the LWIA level and shall issue a decision based on the information contained therein. 12 Complaints which may be initially filed at the State level will be heard by an independent hearing officer designated by the State Workforce Investment Division (WID). The hearing officer shall conduct a hearing and issue a recommended decision to the State Panel. The recommended decision shall be in writing and may be accepted, rejected or modified by the State Review Panel. A. Form and Filing of Complaint. 1. Request for State Review of LWIA Level Decisions On receipt of a complainant's request for review because of an unsatisfactory decision, the State shall provide for an independent state review. 2. Filing of Requests for State Review The State Review Panel shall review all LWIA level decisions when a request for review is filed within 10 days of receipt of the adverse decision. Such requests must be filed in writing with the Chief of the WID Office. The request for review should contain the following information: a. Full name, address, and telephone number of the party requesting the review b. Full name, address, and telephone number of the other party c. A copy of the decision d. Brief statement of reasons for review or the section of the LWIA decision to be reviewed including regulatory and statutory citations e. A statement of the relief sought. 3. Complainant Responsibility It is the responsibility of the complainant to include in the request for review a written statement setting forth the facts presented at the LWIA hearing which support the requested relief. The Chief, WID, shall mail a copy of the request for review to the other party and to the LWIA. It shall be the responsibility of the LWIA to submit the complete record including a typed record of the hearing to the Chief, WID, within ten (10) days. B. Conduct of Hearings. 1. Request for Hearing at the State Level If no decision has been issued at the LWIA level or the State has determined an audit disallowance or imposed sanctions, the complainant may request a hearing. The 13 29XI 97 hearing officer will then issue a recommended decision to the State's Review Panel for final determination. 2. Filing for Request for Review The request for a State hearing shall be filed within ten (10) days after LWIA should have issued a decision or ten (10) days after the issuance of the audit disallowance or sanction. The request shall be filed directly with the Chief of the WID in writing and should include the following: a. Full name, address, and telephone number of the LWIA b. Name, address, and telephone number of the LWIA C. Copies of complaints made at LWIA level from which no decisions were issued or sanctions and imposed. d. A statement of basis for the request for hearing. 3. Evidentiary Hearing Upon receipt of the request for a State level hearing, a hearing before a designated hearing officer will be scheduled. The hearing will be recorded mechanically or by court reporter. Both parties concerned will have the opportunity to present oral and written testimony under oath, to call and question witnesses in support of his /her position, to present oral and /or written arguments, to examine records and documents relevant to the issue(s), and to be represented. The hearing officer shall issue a written decision, which shall be forwarded to the State Review Panel for final determination. The State Review Panel may accept, reject or modify this recommendation. The decision of the State Review Panel is final except for audit disallowances, which must be approved by the Secretary of Labor C. State Review Panel The State Review Panel will consist of a panel of three representatives from the Employment Development Department: one from the Legal Offices, one from the WID, and one from the Director's office. The panel will issue a written decision, which will be sent to the appropriate parties within thirty (30) days of receipt of the request for State review. Decisions issued by this panel, under the authority of the Governor, are final. 14 2'Wi 68 D. Issuance of State Review Decision. The State review will be limited to violations of the WIA, implementing WIA regulations or the grant agreement. This review shall be limited to the record established at the LWIA hearing. V. Procedures for Handling Discrimination Complaints by Participants. A. Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation, and citizenship, where appropriate, must be filed within 180 days of the alleged occurrence. It is the responsibility of the Santa Ana LWIA's Equal Employment Opportunity (EEO) Officer to determine jurisdiction and to make the complainant aware of and provide assistance in filing a complaint in accordance with the Santa Ana LWIA's procedure under Section II (A). is 29vA 199 PROCEDURES FOR HANDLING NON - CRIMINAL COMPLAINTS No later than 180 days of alleged discrimination Handling of complaints filed at LWIA level arising in connection with WIA programs operated by LWIAs Informal Resolution Process w 0 O a Unsatisfactory Decision or LWIA Decision not issued within 60 days Within 10 days of ° receipt of unsatisfactory decision or 10 Request for State Review days from date wo LWIA decision o should have been N issued. Governor's Decision issued by State Review Panel If no decision issued by State Review Panel Appeal to DOL 16 AX2i �0 c c c c t V 2. In cases where areas of authority overlap, it is the responsibility of the EEO Officer to advise the complainant of the existence of State, Federal and other proper action agencies, which may also have a bearing. 3. Complainants alleging discrimination under this part will be made aware of their right to file directly with the Office of Civil Rights (OCR), U.S. Department of Labor and applicable procedures. 4. Complainants must file their complaint directly with: Anita Queen Sr. Personnel Analyst —EEO Officer 20 Civic Center Drive, M -24 Santa Ana, CA 92701 (714) 647 -5157 VI. Procedures for Handling Handicap Complaints by Participants Complaints alleging discrimination on the basis of handicap will be filed and processed under the Department of Labor regulations implementing Section 504 of the Rehabilitation Act of 1973 at 29 Code of Federal Regulations Section 32. 1. Complaints must exhaust the Santa Ana LWIA's informal resolution procedures before filing their complaint with OCR. 2. Complainants will be made aware of the 180 days requirement in which to file his /her complaint. A. Procedures at the LWIA Level 1. The complainant shall file his /her complaint directly with the Santa Ana LWIA. Upon receipt of the complaint, the EEO Officer shall investigate and gather information concerning the complaint. 2. An informal conference will be held with the parties concerned in an effort to resolve the issue(s). The complainant has the right to be present and may be represented during the conference. 3. The Santa Ana LWIA shall issue in writing its decision to the complainant no later than thirty (30) days after the filing of the complaint. B. Procedures at the State Level 1. The complainant may appeal to the State if he /she is not satisfied with the decision of the Santa Ana LWIA. v 2gr2T � 1 2. The Complainant must file his /her appeal as a request for review directly with the Chief WID within ten (10) calendar days after the receipt of the Santa Ana LWIA's decision. 3. The Chief -WID, shall issue a decision no later than thirty (30) calendar days after receipt of the request for review. 4. After the complainant has received a decision or no decision has been received from the Director of Employment Development Department (on behalf of the Governor), the complainant has the right to appeal his /her complaint within thirty (30) calendar days to the Office of Civil Rights (OCR) with the Department of Labor. is 2'9Xjil X12 PROCEDURES FOR HANDLING HANDICAP'; COMPLAINTS No later than 180 days of alleged discrimination Filed within 30 days of LW IA /State Decision or 90 days from date of initial filing of complaints If no resolution reached Unsatisfactory Decision or No Decision Appeal to Assistant Secretary Department of Labor 19 21X 1 � 3 Day 1 Day /45 Day 60 Days GLOSSARY OF WIA TERM AGE DISCRIMINATION ACT — A law passed by Congress in 1975 which prohibits discrimination on the basis of age by any program or activity receiving Federal Funds. APPLICANT — An individual who applies to a subrecipient or contract for services provided under WIA and who has not yet transitioned to the status of participant. ASSESSMENT — Services designed to determine each participant's employability, aptitudes, abilities and interests and to develop a plan to achieve the participant's employment and related goals; also to identify the available employment and traning activities appropriate for the participant. Testing and counseling may also be used during assessment process. CHARGING PARTY (CP) COMPLAINANT GRIEVANT OR AGGRIEVED PERSON — The person who charges that he /she has been discriminated against under Department of Justice nondiscrimination and civil rights regulations and /or guidelines. DISCRIMINATION — In general, a failure to treat all equally, whether intentional or unintentional; the effect of an action, policy or practice which selects an individual or class of persons to receive unequal treatment. ELIGIBLE NON - CITIZEN — Lawfully admitted permanent resident, aliens, lawfully admitted refugees, and parolees and other individuals authorized by the Attorney General to work in the United States. EMPLOYER — An employer subject to the provisions of the Civil Rights Act of 1964, as amended, including state and local governments and any Federal agency subjects to the provisions of Section 717 of the Civil Rights Act, as amended; and any Federal contractor or subcontractor covered by executive Order 11246, as amended. GRIEVANCE — An allegation that something imposes an illegal obligation or burden or denies some equitable or legal right, or causes injustice . HANDICAPPED INDIVIDUAL — Any individual who has a physical or mental disability that constitutes or results in a substantial handicap to employment. INTAKE — Includes screening to determine eligibility; to select from eligible applicants those individuals who are most in need and can benefit from program services; to complete procedural requirements necessary to enroll an individual into the program and to refer those not enrolled to other programs. JOINT COMPLAINT — A complaint of employment discrimination covered by Title VII or the Equal Pay Act and by Title VI or Title IX. Individual "joint complaints" are normally investigated by EEOC 20 2%X21 �4 unless OCR has a compelling reason to investigate. "Joint complaints" alleging discrimination in employment and other practices and pattern or practice "joint complaints" are normally investigated by OCR. JURISDICTION — Authority to investigate and resolve complaints against an institution subject to a law or statute which has been assigned to OCR for enforcement, i.e., Title VI, Title IX, etc. PARTICIPANT — Any applicant who has: (1) Been determined eligible for participation upon intake; and (2) Who is receiving subsidized employment, training or services (except post- termination services) funded under the Act, following intake, except for an individual who receives only outreach and /or intake and assessment services. 21 Arl 5 CERTIFICATION REGARDING LOBBYING CERTIFICATION FOR CONTRACTS GRANTS LOANS and COOPERATIVE AGREEMENTS The undersigned certifies, to the best of his or her knowledge and belief, that: 1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. 2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form -LLL, "Disclosure Form to Report Lobbying." in accordance with its instructions. 3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. 1352. 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 occurring on or before October 23, 1996, and of not less than $11,000 and not more than $110,000 for each such failure. Ct="kv`� C� or�r2�.�S �e 2Ec �evEL� Grantee /Contractor Organization Signature Date Name of Certifying Official Signature EXHIBIT D 25A -176 28 Certification Regarding Drug -Free Workplace Requirements The certification set out below is a material representation upon which reliance is placed by the U.S. Department of Housing and Urban Development in awarding the grant. If it is later determined that the contractor knowingly rendered a false certification, or otherwise violates the requirements of the Drug -Free Workplace Act, the U.S. Department of Housing and Urban Development, in addition to any other remedies available to the Federal Government, may take action authorized under the Drug -Free Workplace Act, CERTIFICATION A. The contractor certifies that it will provide a drug -free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture distribution, dispensing, possession or use of a controlled substance is prohibited in the contractor's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing a drug -free awareness program to inform employees about — (1) The dangers of drug abuse in the workplace; (2) The contractor's policy of maintaining a drug -free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance program; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Making it a requirement that each employee who will be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph -(a) that, as a condition of employment under the contract, the employee will - (1) Abide by the terms of the statement; and (2) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction. (e) Notifying the U.S. Department of Housing and Urban Development within ten days after receiving notice under subparagraph (d)(2) from an EXHIBIT E 25A -177 employee or otherwise receiving actual notice of such conviction; (f) Taking one of the following actions, within 30 days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted - ( 1) Taking appropriate personnel action against such an employee, up to and including termination; or (2) 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; (g) Making a good faith effort to continue to maintain a drug -free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (f). B. The contractor shall insert in the space provided on the attached "Place of Performance" form the site(s) for the performance of work to be carried out with the grant funds (including street address, city, county, state, and zip code) the contractor further certifies that, if it is subsequently determined that additional sites will be used for the performance of work under the contract, it shall notify the U.S. Department of Housing and Urban Development immediately upon the decision to use such additional sites by submitting a revised "Place of Performance" form. Date Program Operator Signature Orange County Children's Therapeutic Arts Center EXHIBIT E 25A -178 DIVISION OF EMPLOYMENT SERVICES PLACE OF PERFORMANCE FOR CERTIFICATION REGARDING DRUG -FREE WORKPLACE REQUIREMENTS Name: Orange County Children's Therapeutic Arts Center Name of Contractor: Orange County Children's Therapeutic Arts Center Contractor Number: Date: The Contractor shall insert in the space provided below the site(s) expected to be used for the performance of work under the contract covered by the certification: Place of Performance (include street address, city, county, state, zip code for each site): 2215 N. Broadway, Santa Ana, CA 92706 EXHIBIT E 25A -179 Certification Re¢ardine Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions This certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participants' Responsibilities. The regulations were published as Part VII of the May 16, 1988, Federal Register (Pages 19160 - 19211). (Before completing certification, read instructions which are an integral part of certification) 1. The prospective primary participant, (i.e. grantee) certifies to the best of its knowledge and belief, that it and its principals: a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency; , b. Have not within a three -year period preceding this proposal been convicted or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under a public transaction; violation of federal or state antitrust statues or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property. c. Are not presently indicted for or otherwise criminally or civilly charged by a government entity (federal, state or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and d. —Have -not within -a- three -year period preceding this application /proposal had one or more public transactions (federal, state or local) terminated for cause or default. 2. Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. E?CZF�t�)C��c llv�0� YJ2V,i `T� e'CLOrP2�tC.�C_ �Yt ---\ S C2v��Cs —v Grantee /Contractor Organization Name and Title of Official Authorized to Certify L 72 On Behalf of the Grantee Date EXHIBIT F 25A -180 26 BUDGET FORM 1. Case Mgr. 12.5% Administrative Total Total $2,187.50 (E.D) Match /In Cost (Not Program WIACost 3. Arts Inst. 12.5% Kind $810.00 Exceed Exceed 10%% ) Cost 4. Math Coach 12.5% IMMAMENINNIMMUNRIM $1,012.50 $7,500.00 (P.S) 5. Literacy Coach 12.5% $1,215.00 $1,215.00 $3,750.00 (E.A) 6. Career Counselor 12.5% $2,200.00 $2,200.00 $3,375.00 (C.D) Total Personnel Salaries & Benefits $110,137.50 $110,137.50 $174,937.50 'EX i 1. Coordinator & Case Mgr, 1.0 FTE 12 months $20. / Hr. $38,400.00 $38,400.00 Ext. Director 40 hrs, per week $17,500 2. Job Developer & Case Mgr, Assistant 11 months $16. / Hr. 25 $17,600.00 $17,600.00 Acct. Clerk hrs, per week $11,000 3. Arts Instructor /s 9 months $18. / Hr. $6,480.00 $6,480.00 Office Mgr. $10,000 10 hrs. per week 4. Math Coach 9 months $15. / Hr. $8,100.00 $8,100.00 Program Staff 15 hrs. per week 560,000 5. Literacy Coach 9 months $18. /Hr. $9,720.00 $9,720.00 Exec. Admin/ Rent* 15 hrs, per week - $7,000.00 $7,000.00 $96,000.00 Computer $30,000 S. Career Counselor 11 months $ 16. / Hr. $17,600.00 $17,600.00 Phones Child Dev. 1. Case Mgr. 12.5% $4,800.00 $4,800.00 $2,187.50 (E.D) 2. Case Mgr. Assistant 12.5% $2,200.00 $2,200.00 $1,375.00 (A.C) 3. Arts Inst. 12.5% $810.00 $810.00 $1,250.00 (O.M) 4. Math Coach 12.5% $1,012.50 $1,012.50 $7,500.00 (P.S) 5. Literacy Coach 12.5% $1,215.00 $1,215.00 $3,750.00 (E.A) 6. Career Counselor 12.5% $2,200.00 $2,200.00 $3,375.00 (C.D) Total Personnel Salaries & Benefits $110,137.50 $110,137.50 $174,937.50 'EX Rent* $7,000.00 $7,000.00 $96,000.00 Utilities $2,000.00 $2,000.00 $18,000.00 Phones $800.00 $800.00 $7,800.00 Internet Fees See phone Parking Fees N A Security N/A Maintenance $4,000.00 Insurance $1,000.00 $1,000.00 $7,000.00 Office expenses (consumables)(academic support) $2,130.00 $2,130.00 $10,000.00 Accounting Services $500.00 $500.00 $8,000.00 Staff Training* $400.00 $400.00 N/A Staff Conferences* $372.50 $372.50 N/A Staff Travel /Mileage $350.00 $350.00 N/A Participant Wages* $74,160.00 $74,160.00 N/A Supportive Services* $13,550.00 $13,550.00 N/A Participant Incentives* Youth Conferences* $400.00 $400.00 N/A Total Operating Expenses $10,650.00 $92,012.50 $102,662.50 $150,800.00 GRAND TOTAL (Personnel + Operating) $10,650.00 $202,150.00 $212,800.00 $325,737.50 EXHIBIT G 25A -181 b E ) ) (k) ))\ { ) 3 EXHIBIT 25A.182 ; ) ; t k~ r° ! ! ! ! \ ; | § � � \ \(( \ ! ! ~ \{ . 7)\ • �; ;! � ! � \} EXHIBIT 25A.182 WIA 2014 - 2015 Grant OCCTAC— Budget Narrative Personnel $110.137.50 Coordinator & Case Manager -100% FTE for 12 months: $43,200.00 (Benefits Included) 40 -Hours week for 12 Months @ @20.00 per month The Coordinator & Case Manager will work 40 Hours a week for 12 months providing: recruitment & eligibility intake, assessment, documentation & case notes; identify barriers and goals; monitor progress & goals; meet regularly with individual WIA participants to train on employment and job skills; represent OCCTAC in provider network and youth council meetings; organize and attend OCCTAC— WIA Staff Meetings and document input; organize relative activities. Distribute WEX hours to youth and keep track of all paid hours and supportive service activities. As well provide assistance to all follow up youth and complete any related documentation. Job Developer /Case Manager Assistant—. 63% PTEfor 11 Months: $19,800.00 (Benefits Included) 25 — hours a week 11 Months @$16.00 per hour The Job developer is responsible for creating job opportunities for clients by researching, identifying and soliciting commitments from possible sources of employment. Provide clients with soft skills and job search training. Job developer will also locate employment opportunities that fit each individual youth depending on barrier such as Disability, probation, or parenting youth. The Case manager portion of this position includes providing documentation & case notes; identify barriers and goals; monitor progress & goals; meeting regularly with individual WIA participants to train on employment and job skills; represent OCCTAC in provider network ad youth council meetings; organize and attend OCCTAC- WIA Staff Meetings and Document input; Organize related activities such as workshops, mock interviews etc. Arts /Technology Instructor —.25% PTE for 9 months: $7,290.00 (Benefits Included) 10 Hours a week for 9 months @18.00 per hour: The respective position will be responsible for providing educational and career training to all WIA participants as it related to the arts and technology emphasis; mentoring and assisting participants with related work experience placements; observing and monitoring participants with technical/ artistic skills; documentation progress throughout the program; meeting regularly & individual with WIA participants to train on related curriculum; and attending regular tern meetings. Numeracy Coach /Instructor —.38% PTE for 9 months: $9,112,50 (Benefits Included) 15 hours a week for 9 months @$15.00 per hour The respective position will be responsible for assessing the numeric and basic skills of all participants; teaching WIA participant's learning and mathematical solving strategies; monitor & document providing educational and carrier training to all participant as it assisting participants with related work experience placements; observing and monitoring participants with technical skills; documenting progress throughout the program; meeting regularly & individually with WIA participants to train on related curriculum; and attending regular team meetings. Literacy /Instructor -.38% PTE for 9 months: $10,935.00 (Benefits Included) 15 hours a week for 9 months @$18.00 The respective position is responsible for assessing the literacy and basic skills of all WIA participants; teaching WIA participants learning and literacy strategies; monitoring & documenting literacy progress throughout the program; meeting regularly with WIA participants and attending regular team meeting. EXHIBIT G 25A -183 WIA 2014 — 2015 Grant OCCTAC— Budget Narrative Carrier Counselor —.63% PTE for 11 months: $19,800.00 (Benefits Included) 25 hours a week for 11 months @$16.00 per hour: The respective position will be responsible for providing educational and career training to all WIA participants; mentoring and assisting with related work experience placement; observing and monitoring participants with technical /artistic skills; documenting progress throughout the program; meeting regularly & individually with WIA participants to train on related curriculum; and attending regular team meetings. Stipends and Wages for 27 Participants 574.160.00 Training Stipends (in school — out of school youth) — 27 participants First 20 hours: participants given $150.00 stipend to participate in program Second 20 hours: participants given $150.00 stipend to participate in program Third 20 hours: participants given $150.00 stipend to participate in program Forth 20 hours: participants given $150.00 stipend to participate in program After stipends completion Months 3 —11: participants paid $9.00 per hour for Work based learning (10 - 15 hours, a wk.) Supportive Service $13,550.00 Buss Pass /Gas Voucher: As needed for 27 participants $7,210.00 15 bus passes @65.55each for 5 months 4,960.00 5 gas cards @$50. Each every month $2,250.00 Funds are allocated for youth who are in need of transportation related support Food Bank: As needed for 27— participants $2,000.00 $200 per month will be spent to distribute food to 27 participants once a month. Work Related supplies: As needed for 27 participants $750.00 Work related and Skills building tools, book, academic Supplied, portfolios. Items needed forjob interviews. Program Incentives $ 1,050.00 $50 incentive for every two modules or classes completed leading to a High School Diploma 3 Youth x 7 (14 modules) = 21 x $50 = $ 1,050.00 Academic Support: As needed for 27 — participants $2,000.00 Tuition Support for certificates or other related academic programs for 27 participants; books for related course work, tutoring supplies, and college field trips. Fingerprinting /TB Test; As needed for 27 participants $540.00 27 fingerprinting @$10 each $270.00 and 27 TB test @$10 each $270.00 Funds allocated for Dept. of Justice Clearance & TB test for employment. Program Documents: a. WIA Youth Sign in Sheet: Participants will log and track all activities and hours accumulated on a day by day basis and have supervisor sign to confirm time of arrival and departure to EXHIBIT G 25A -184 WIA 2014 - 2015 Grant OCCTAC— Budget Narrative their activities. Activities can include Work Base Learning Hours, Class training, case management and education counseling meetings, Math /English tutoring session etc. b. WIA Youth Time Sheet: Participant will turn in a weekly time sheet with all hours accumulated throughout the weeks in activities attended. Youth will be asked to log there task in detail in order to provide proof of activities attended. Activities can include Work Base Learning Hours, Class training, case management and education counseling meetings, Math /English tutoring session and any other supplemental hours approved by supervisor. c. WIA Staff Time sheet: Staff will turn in a weekly time sheet with hours worked for meetings with WIA youth, WIA administration, teaching a WIA class or Workshop, or Tutoring and preparing for youth appointments. As well as any additional supplemental hours approved by supervisor that is intended for WIA program purposes only. 43% of budget will be directly spent on youth in the form of paid work experience, stipends, certificates training, college tuition support and other support services. EXHIBIT G 25A -185 Assurances & Certifications Selected providers will be required to sign and submit "actual" assurances and certificates as required by the City of Santa Ana and the Workforce Investment Board on all contracts. I recognize that I must give assurances for each item below. If I cannot, this proposal will be automatically rejected. Please initial each box. t 1 am authorized by my Board of Directors, Trustees, other legally qualified officer, or as the owner of this agency or business to submit this proposal. itWe are not currently on any Federal, State of California, or local Debarment list. We will provide records to show that we are fiscally solvent, if needed. [y We have, or will have, all of the fiscal control and accounting procedures needed to ensure that WIA funds will be used as required bylaw and contract. gl We have additional funding sources and will not be dependent on WIA funds alone. We do or will meet the applicable Federal, State, and local compliance requirements. These include, but are not limited to: Imo' Records that accurately reflect actual performance. Maintain record confidentiality, as required. ® Reporting financial, participant, and performance data, as required. Comply with State and Federal fiscal and program activity audits. Comply with Federal and State non - discrimination provisions. Meet requirements of Section 504 of the Rehabilitation Act of 1973. �i Meet requirements of the American's with Disabilities Act of 1990 Meet all applicable labor law, including Child Labor Law standards. Agree to provide a drug free workplace. Agree to insure the City of Santa Ana through General Liability Insurance and Automobile Liability. Coverage in the amount of $1,000,000.00. Agree to provide all participants with Grievance Procedures. Agree to insure proposer's employees through Workers Compensation Insurance (including part -time employees) Procurement policies and procedures are in place and meet federal guidelines. Youth Protection Policy and Sexual Abuse & Molestation insurance of $2,000,000 e will not: Place a youth in a position that will displace a current employee. Use WIA money to assist, promote, or deter union organizing. FLJr Use funds to employ or train of persons in sectarian activities. Use funds for youth in the construction, operation, or maintenance of any part of a facility to be used for sectarian instruction or religious worship. Use WIA funds for activities that would interfere with or replace regular academic requirements for eligible youth who are not dropouts. Use WIA funds to carry out programs funded under the School -to -Work Opportunities Act of 1994 unless the program(s) are only for youth eligible to participate under WIA. gr Use WIA money under this contract to purchase any equipment. I hereby assure that all of the above are true. e Name Title Date EXHIBIT H 25 25A -186 l CERTIFICATE OF LIABILITY INSURANCE DATE L..�� 12/19/2013 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER, THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW, THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). PRODUCER Llc #OA91355 CONTACT NAME: Comprehensive Insurance Services PHONE (999)709 -8800 FAX 1949))09 -1668 c No: 22342 Avenida Empresa aooAless: info@ the comprehens ive insurance. com Suite 250 INSUPER(B ) AFFORDING COVERAGE Rcho Sta Margarita CA 92688 INSURER ANon rofi is Insurance Alliance '11845 INSURED INSURER B Orange County Children's Theraputic INSURER C: Arts Center INSURER D: 2215 N. Broadway INSURER E: Santa Ana CA 92706 INSURER F: COVERAGES CERTIFICATE NUMBER -GL /AUTO /PROF /ISC REVIRInM NI IMRFR. THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUEO TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED, NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. ILTq TYPE OF INSURANCE ADDL',SUBR INSR WVD POLICY NUMBER POLICY EFF MOLICY YYY POLICY EXP Me V LIMITS GENERAL LIABILITY EACH OCCURRENCE 1,000,000 A X COMMERCIAL GENERAL LIABILITY CLAIMS -MADE FX7 OCCUR X 2013-09201 -NPO 12/21/201312/21 /2019 AMA ____$ E TO RCNTEO PREMISES Ea occurrence S 500,000 MEDEXPPm,m,epers @nl S 20,000 PERSONAL B ADV INJURY S 1,000,000 GENERAL AGGREGATE S 2,000,000 GENL AGGREGATE LIMIT APPLIES PER PRODUCTS - COMPIOP AGG S 2,000,000 POLICY PRO X LUC S AUTOMOBILE LIABILITY COMBINED SINGLE WAIT Ea recidc"t 5 I 10001000 A ANY AUTO ALL OWNED SCHEDULED AUTOS AUTOS 013- 09201 -NPO 12/21/2013 12/21 /2014 BODILY INJURY (Par re,Dm) S BODILY INJURY Fulmndoh S X X NON OWNED HIRED AUTOS AUTOS PROPERTY DAMAGE Pascroenl $ _ UMBRELLA LIAR EXCESS LAB OCCUR fl AIMS�VADF � p L V ED J (// (,r _.r..- .. '-� -I ✓ "` EACH OCCURRENCE 5 AGGREGATE —_._ -- DED RETENTION S S WORKERS COMPENSATION AND EMPLOYERS' LIABILITY YIN ANY PftOPRIETOPo "PARTNERIEXECUTIVE OFFICERIMEMBER EXCLUDED'' (Mandatory in NH) If Y. descnbe under N/A - - c -- ` LISA E. )I .. Attof AsslReant ('ItY L t\ HE-V Jf. ,ice WC STgTU OTH -1 EL EACH ACCIDENT $ E L DISEASE - EA EMPLOYE $ E.L. DISEASE - POLICY DMIT - $ DESCRIPTION OF OPERATIONS hel@w A Social Sery Professional 12013- 09201 -NPC 12/21/201312/21 /2014 $1, 000.000Agg/ I, 000.000OCC A Improper Sexual Conduct 12013- 09201 -NPO 12/21/201312/21 /2014 $1,000.o00Ao911, 000, 000 Ea CI DESCRIPTION OF OPERATIONS I LOCATIONS I VEHICLES (Allard ACORD 101, AddWonal Remarks Schedule, if more space Is required The City of Santa Ana, its officers, agents, employees, volunteers and representatives are included as Additional Insured per attached endorsement CG2026. This insurance is primary and non - contributory. CERTIFICATE HOLDER CANCFI I ATION AUOKU 2S (2U1UIU5) ©1988 -2010 ACORD CORPORATION. All rights reserved. INS025 (201005)01 The ACORD name a}i} Q[, q re tQ?"ed marks of ACORD SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN The City Of Santa Ana ACCORDANCE WITH THE POLICY PROVISIONS. Attn: Julie Castro-Cardenas AUTHORIZED REPRESENTATIVE 1000 E. Santa Ana Blvd. #200 Santa Ana, CA 92701 Richard Eynon /JEREMY AUOKU 2S (2U1UIU5) ©1988 -2010 ACORD CORPORATION. All rights reserved. INS025 (201005)01 The ACORD name a}i} Q[, q re tQ?"ed marks of ACORD POLICY NUMBER: 201 3 - 0 92 01 -NPO COMMERCIAL GENERAL LIABILITY CG 20260704 THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. ADDITIONAL INSURED - DESIGNATED PERSON OR ORGANIZATION This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART SCHEDULE Name Of Additional Insured Person(s) Or Organization(s) 'The City of Santa Ana, Its officers, agents, employees, volunteers and representatives Any person or organization that you are required to add as an additional insured on this policy, under a written contract or agreement currently in effect, or becoming effective during the term of this policy. The additional insured status will not be afforded with respect to Liability arising out of or related to your activities as a real estate manager for that person or organization. Information required to complete this Schedule, if not shown above, will be shown in the declarations. Section II — Who Is An Insured is amended to include as an additional insured the person(s) or organization(s) shown in the Schedule, but only with respect to liability for "bodily injury, "property damage" or "personal and advertising injury" caused, in whole or in part, by your acts or omissions or the acts or omissions of those acting on your behalf: A. In the performance of your ongoing operations; or B. In connection with your premises owned by or rented to you. CG 20 26 07 04 © ISO Properties, Inc., 2004 Page 1 of 1 EXHIBIT .I 25A -188 2013- 09201 -NPO COMMERCIAL GENERAL LIABILITY CG 00 01 07 98 COMMERCIAL GENERAL LIABILITY COVERAGE FORM Various provisions in this policy restrict coverage. Read the entire policy carefully to determine rights, duties and what is and is not covered. Throughout this policy the words "you" and "your" refer to the Named Insured shown in the Declarations, and any other person or organization qualifying as a Named Insured under this policy. The words "we ", "us" and "our" refer to the company providing this insur- ance. The ward "insured" means any person or organization qualifying as such under Section II — Who Is An In- sured. Other words and phrases that a pp ear in quotation 2 marks have special meaning. Refer to Section V — Definitions. SECTION t —COVERAGES COVERAGE A BODILY INJURY AND PROPERTY \ DAMAGE LIABILITY 1. Insuring Agreement a. We will pay those sums that the insured be- comes legally obligated to pay as damages be- cause of "bodily injury" or "property damage' to which this insurance applies. We will have the right and duty to defend the insured against any "suit" seeking those damages. However, we will have no duty to defend the insured against any "suit" seeking damages for "bodily injury" or "property damage" to which this insurance does not apply_ We may, at our discretion, investi- gate any "occurrence" and setJe any claim or "suit" that may result. But: (1) The amount we will pay for damages is limited as described in Section III —limits Of insurance; and (2) Our right and duty to defend end when we have used up the applicable limit of insur- ance In the payment of judgments or set- tlements under Coverages A or B or medi- cal expenses under Coverage C. No other obligation or liability to pay sums or perform acts or sorvices is covered unless ex- plicitly provided for under Supplementary Pay- ments — Coverages A and B. b. This insurance applies to "bodily injury" and "property damage" only if: (1) The "bodily injury" or "property damage" is caused by an " occurrence" that takes place in the "coverage territory" and (2) The "bodily injury" or "property damage" occurs during the policy period. c. Damages because of "bodily injury" include damages claimed by any person or organiza- tion for care, loss of seivices or death resulting at any time from the "bodily injury ". Exclusions This insurance does not apply to: a. Expected Or Intended Injury "Bodily injury" or "property damage" expected or intended from the standpoint of like insured. This exclusion does not apply to "bodily injury" resulting from the use of reasonable force to protect persons or property. b. Contractual Liability "Bodily injury" or "property damage" for which the insured is obligated to pay damages by reason of the assumption of liability in a con- tract or agreement. This exclusion does not apply to liability for damages: (1) That the insured would have in the absence of the contract or agreement; or (2) Assumed in a contract or agreement that Is an "Insured contract ", provided the "bodily injury" or "property damage" occurs subse- quent to the execution of the contract or agreement. Solely for the purposes of liabil- ity assumed in an "insured contract ", rea- sonable attorney fees and necessary litiga- tion expenses incurred by or fur a party other than an insured are deemed to be damages because of "bodily injury" or "property damage ", provided: (a) Liability to such party for, or for the cost of, that party's defense has also been assumed in the same "Insured contract "; and CG 00 01 07 98 Copyright, Insurance Services Office, Inc., 1997 Page 1 of 13 ❑ EXI -HBIT I 25A -189 (b) Such attorney fees and litigation ex- f. Pollution penses are for defense of that party against a civil or alternative dispute rase- (1) "Bodily injury" or "property damage" arising lution proceeding in which darnages to out of the actual, alleged or threatened dis- which this insurance applies are alleged. charge, dispersal, seepage, migration, re- ease or escape of "pollutants ": c. Liquor Liability "Bodily injury" or "property damage" for which (a) At or from any premises, site or location which is or was at any time owned or any insured may be held liable by reason of: occupied by, or rented or loaned to, any (1) Causing or contributing to the intoxication of insured. However, this subparagraph any person; does not apply to: (2) The furnishing of alcoholic beverages to a (i) 'Bodily injury" if sustained within a person under the legal drinking age or un- building and caused by smoke, der the influence of alcohol; or fumes, vapor or soot from equipment (3) Any statute, ordinance or regulation relating ased to heat that building; to the sale, gift, distribution or use of alto- (ii) "Bodily injury" or "property damage" holic beverages. for which you may be held liable, if This exclusion applies only if you are in the you are a contractor and the owner business of manufacturing, distributing, selling, lessee of such premises, site or serving or furnishing alcoholic beverages, t o location has been added to your p d. Workers' Compensation And Similar Laws icy as an additional insured with re- ol- spent to your ongoing operations per - Any obligation of the insured under a workers' farmed for that additional insured at compensation, disability benefits or unemploy- that premises, site or location and ment compensation law or any similar law. such premises, site or location is not e, Employer's Liability and never was owned or occupied "Bodily injury" to: by, or rented or loaned to, any in- sured, other than that additional in- (1) An "employee" of the insured arising out of sured; or and in the course of: (iii) "Bodily injury" or "property damage" (a) Employment by the insured; or arising out of heat, smoke or fumes (b) Performing duties related to the conduct from a "hostile fire "; of the insured's business; or (b) At or from any premises, site or location (2) The spouse, child, parent, brother or sister "employee" which is or was at any time used by or for any insured or others for the han- of that as a consequence of Paragraph (1) above. dung, storage, disposal, processing or treatment of waste; This exclusion applies: (c) Which are or were at any time trans - (1) Whether the insured may be liable as an ported, handled, stored, treated, dis- employer or in any other capacity, and posed of, or processed as waste by or (2) To any obligation to share damages with or for any insured or any person or organi- repay someone else who must pay dam- zation for whom you may be legally re- ages because of the injury. sponsible; or This exclusion does not apply to liability as- sumed by the insured under an "insured con- tract". Page 2 of 13 Copyright, Insurance Services Office. Inc_ 1997 CG 00 01 07 98 ❑ EXHIBIT I 25A -190 SECTION IV — COMMERCIAL GENERAL LIABILITY CONDITIONS 1. Bankruptcy Bankruptcy or insolvency of the insured or of the insured's estate will not relieve us of our obliga- tions under this Coverage Pad, 2. Duties In The Event Of Occurrence, Offense, Claim Or Suit a. You must see to it that we are notified as soon as practicable of an "occurrence" or an offense which may result in a claim. To the extent pos- sible, notice should include: (1) How, when and where the "occurrence" or offense took place; (2) The names and addresses of any injured persons and witnesses; and (3) The nature and location of any injury or damage arising out of the "occurrence" or offense. b. If a claim is made or "suit" is brought against any insured, you must: (1) Immediately record the specifics of the claim or "suit' and the date recaivPd; and (2) Notify us as soon as practicable. You must see to it that we receive written no- tice of the claim or "suit" as soon as practica- ble. c. You and any other involved insured must: (1) Immedlately send us copies of any de- mands, notices, summonses or legal pa- pers received in connection with the claim or "suit" (2) Authorize us to obtain records and other information; (3) Cooperate with us in the investigation or settlement of the claim or defense against the "suit "; and (4) Assist us, upon our request, in the en- forcement of any right against any person or organization which may be liable to the in- sured because of injury or damage to which this insurance may also apply. d. No insured will, except at that insured's own cost, voluntarily make a payment, assume any obligation, or incur any expense, other than for first aid, without our consent. 3. Legal Action Against Us No person or organization has a right under this Coverage Part: a. To join us as a party or otherwise bring us into a "suit" asking for damages from an insured; or It. To sue us on this Coverage Part unless all of its terms have been fully complied with. A person or organization may sue us to recover on an agreed settlement or on a final judgment against an insured obtained after an actual trial; but we will not be liable for darnages that are not payable under the terms of this Coverage Part or that are in excess of the applicable limit of insur- ance. An agreed settlement means a settlement and release of liability signed by us, the insured and the claimant or the claimant's legal represen- tative. 4. Otherinsurance If other valid and collectible Insurance is available `to the insured for a loss we cover under Cover- ages A or B of this Coverage Part, our obligations \i are limited as follows: a. Primary Insurance This insurance is primary except when b. below applies. If this insurance Is primary, our obliga- tions are not affected unless any of the other Insurance is also primary. Then, we will share with all that other insurance by the method de- scribed in c. below. b. Excess Insurance 'This insurance is excess over: (1) Any of the other insurance, whether pri- mary, excess, contingent or on any other basis: (a) That is Fire, Extended Coverage, Builder's Risk, Installation Risk or similar coverage for "yourwork "; (b) That is Fire insurance for premises rented to you or temporarily occupied by you with permission of the owner; (c) That is insurance purchased by you to cover your liability as a tenant for "prop- erty damage" to premises rented to you or temporarily occupied by you with permission of the owner; or (d) If the loss arises out of the maintenance or use of aircraft, "autos" or watercraft to the extent not subject to Exclusion g. of Section I -- Coverage A — Bodily Injury And Property Damage Liability. (2) Any other primary Insurance avallable, to YOU covering liability for damages arising out of the premises or operations for which you have been added as an additionalin- sured by attachment of an endorsement CG 00 01 07 90 Copyright, Insurance Services Office, Inc, 1997 Page 9 of 13 EXHIBIT I 25A -191 AGREEMENT UNDER THE WORKFORCE INVESTMENT ACT THIS AGREEMENT, made and entered into this lst day of July, 2014, by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California ( "CITY ") and Orange County Conservation Corps non- profit corporation ( "CONTRACTOR "). RECITALS: A. CITY has been designated a Local Workforce Investment Area (LWIA) under the Workforce Investment Act of 1998, Public Law 105 -220 ( "the Act "). B. The State of California has created the LWIA to administer the Act programs operated by the State of California pursuant to the Act. C. As a LWIA, CITY is entitled to receive federal funds to establish programs to prepare economically disadvantaged youths for entry into the labor market and to provide basic skills development to those individuals who are economically disadvantaged or otherwise face serious barriers to succeeding in life. One goal of California's Workforce Investment System is to provide youth with the opportunities to achieve career goals that will allow them to successfully compete in the labor market and prepare them for higher education. D. CONTRACTOR is experienced in operating education, occupational development and employment programs for economically disadvantaged youth for entry into the labor market ( "said program "). E. CONTRACTOR is willing to operate said program pursuant to the Act and California law. WHEREFORE, for and in consideration of the respective and mutual covenants and promises hereinafter contained and made, and subject to all the terms and conditions hereof, the parties hereto do hereby agree as follows: I. CONTRACTOR'S OBLIGATIONS A. CONTRACTOR agrees to provide the following services pursuant to said program, as more specifically set forth in CONTRACTOR'S Program Narrative contained in "Exhibit A" and in the Performance Standards "Exhibit B ", attached hereto and by this reference incorporated herein. CONTRACTOR'S failure to provide said services may be grounds for CITY to readjust the level of payment to CONTRACTOR otherwise provided for hereinafter. B. CONTRACTOR agrees to provide benefits to individuals who participate in the activities and services funded by this Agreement ( "participants ") in accordance with the standards and requirements set forth in Workforce Investment Act of 1998, Public Law 105 -220, 25A -192 Page 1 of 15 C. CONTRACTOR agrees to perform the services set forth herein in a professional, timely and diligent manner. D. CONTRACTOR shall provide wages and benefits to individuals who participate in the activities and services funded by this Agreement in accordance with the standards and requirements of the Act, including Section 181 of the Act. E. CONTRACTOR shall adhere to the Labor Standards described in the Act including Section 181 of the Act. F. CONTRACTOR agrees to comply with the "Complaint Handling Procedures Under the WIA ", attached hereto as "Exhibit C" and incorporated herein as though fully set forth in 20 CFR §667.200, Subpart F. CONTRACTOR shall advise participants of their rights to file complaints under the Act and the procedures for resolution of any complaints. CITY's procedures for handling complaints alleging a violation of the Act, regulations, grants, or other agreements wider the Act shall be followed and any decision of CITY, the State or the federal government relating to the complaint shall be binding and followed by CONTRACTOR. CONTRACTORS who are employers shall operate a grievance system that incorporates CITY's procedures for resolution of complaints relating to the terms and conditions of employment; these procedures shall be approved in writing by CITY. G. As a condition of this award of financial assistance under the Act to CONTRACTOR from CITY, CONTRACTOR assures, with respect to operation of all programs or activities funded with funds provided pursuant to the Act, and all agreements or arrangements to carry out such programs or activities, that it will comply fully with the nondiscrimination and equal opportunity provisions of the Act (Section 188) and compliance with Equal Employment Opportunity provisions in Executive Order (E.O.) 11246, as amended by E.O. 11375 and supplemented by the requirements of 41 CFR Part 60; the Nontraditional Employment for Women Act of 1991; Title VI of the Civil Rights Act. of 1964, as amended; section 504 of the Rehabilitation Act of 1973, as amended; the Age Discrimination Act of 1975, as amended; the Americans with Disabilities Act of 1990; and with all applicable requirements imposed by or pursuant to regulations implementing those laws, including, but not limited to, 29 CFR Part 33 and 37. The United States, the State of California and CITY have the right to seek judicial enforcement of this assurance. IL CONTRACTOR agrees that no participant(s) shall commence training prior to the approval of funding pursuant to Section 123 of the Act. I. CONTRACTOR agrees to maintain such records and submit such reports, data and information, on the form and containing such information, at such times as CITY may request or require regarding the performance of CONTRACTOR'S services or activities, costs or other data, including but not limited to, participants' attendance, payroll records and job duty statements. CONTRACTOR agrees to forward to the Santa Ana Work Center Administrative Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California 92701 completed Workforce Investment Act Application form and supporting documents; a complete Workforce Investment Act Enrollment; any subsequent updates to; Workforce Investment Act Youth Test Scores form; Workforce Investment Act Exit form upon completion/termination of active enrollment of participant; and the Workforce Investment Act Follow -Up form within 20 days following 30, 60, 90,180, 270, and 360 days of exit. Contractor agrees to enter information on the State of California's CalJobs database 25A -193 Page 2 of 15 system as instructed and requested by the Santa Ana Work Center Administration, CITY, the State of California and the United States government and /or their representatives shall have access for purposes of monitoring, auditing and examining of CONTRACTOR'S activities, performance, books, documents, papers, and records of CONTRACTOR subcontractors, bookkeepers and accountants, and employees and participants related to this Agreement. Such agencies or representatives shall also schedule on -site monitoring in their discretion. Monitoring activities may also include, but are not limited to, questioning employees and participants and entering any premises or onto any site in which any of the services or activities funded hereunder are conducted or in which any of the records of CONTRACTOR are kept. Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law, In the event CONTRACTOR does not make the above - referenced documents available within the City of Santa Ana, California, CONTRACTOR agrees to pay all necessary and reasonable expenses incurred by CITY in conducting any audit at the location where said records and books of account are maintained. All accounting records and evidence pertaining to all costs of CONTRACTOR and all documents related to this Agreement shall be kept available at the location where CONTRACTOR conducted the program, as well as in the County of Orange, for the duration of this Agreement and thereafter for three (3) years after completion of an audit. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY, the State of California or the United States Government take exception, shall be retained beyond the three (3) years until resolution of disposition of such appeals, litigation, claims, or exceptions. J. Without prejudice to any other section of this Agreement, CONTRACTOR shall, where applicable, maintain the confidential nature of information provided to it concerning participants in accordance with the requirements of federal and state law. Notwithstanding the foregoing, CONTRACTOR agrees to submit to CITY, the State of California and/or the United States Government or their representatives, all records requested for administrative purposes, including audits, examinations, monitoring and verification of records submitted by CONTRACTOR, costs incurred and services rendered hereunder. K. CONTRACTOR agrees to complete in triplicate, a monthly Invoice /Voucher on CITY's Invoice/Voucher form, showing in detail the amount of money already expended by CONTRACTOR hereunder, as this is a cash reimbursement contract. Accounting records must be supported by such source documentation such as cancelled checks, paid bills, payrolls, time and attendance records, contract and subgrant award documents [29 CFR— Subpart C, Section 97.20 (b)(6)]. CONTRACTOR agrees to submit the above - stated documents to the WIB Administrative Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California, 92701, by the tenth (10th) day of the month following the month in which CONTRACTOR'S services are performed. Should CONTRACTOR fail to deliver said documents to CITY, CITY shall have the option to cancel this Agreement by giving CONTRACTOR ten (10) days written notice thereof. CONTRACTOR shall either return to the CITY excess revenues over costs or use such excess revenues as program income by utilizing such program income for additional training activities authorized under the Act. L. CONTRACTOR agrees to expend all funds in accordance with all applicable 25A -194 Page 3 of 15 federal, state and local laws and regulations. CONTRACTOR also agrees to provide at CONTRACTOR'S own expense supplies and other costs of said PROGRAM. M. CONTRACTOR shall arrange independently for an audit that includes WIA funds received from CITY, in accordance with the Act, 20 CFR Section 667.200 and OMB Circular A- 133. CONTRACTOR shall submit one original of each required audit report to CITY within (30) days after the date received by CONTRACTOR. Should CONTRACTOR fail to comply with these requirements, CITY may at its option withhold payment of funds, or disallow funds or suspend additional grant funds. N. CONTRACTOR shall not expend funds pursuant to this Agreement to provide services to any participant where costs of training are paid for by any other person or entity. 0. CONTRACTOR shall comply with the provisions of Circular A -102 of the U.S. Office of Management and Budget (OMB) and the related "Common Rule" entitled "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Government', Subpart C, paragraphs 37 and 42, Circular A -128, and all other applicable federal statutes and executive orders and their implementing regulations, including regulations at 29 CFR Part 97. P. CONTRACTOR shall comply with the requirements of federal regulations found at 29 CFR 93 which provide that no appropriated funds may be expended by the recipient of a federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, member of Congress or an officer or employee of a member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. CONTRACTOR shall sign a Certification Regarding Lobbying to that effect in a form as set forth in "Exhibit D," attached hereto and by this reference incorporated herein. CONTRACTOR shall submit said signed Certification to CITY prior to performing any of its obligations under this Agreement and prior to any obligation arising on the part of CITY to pay any sums to CONTRACTOR under the terms and conditions of this Agreement. Q. CONTRACTOR agrees to provide a drug -free work place and to execute a Drug Free Workplace Certification as set forth in "Exhibit E" attached hereto and incorporated herein by this reference. R. CONTRACTOR, in accordance with the Child Support Compliance Act, recognizes and acknowledges the importance of child and family support obligations and shall fully comply with all state and federal laws relating to child and family support enforcement, including, but not limited to: disclosure of information and compliance with earnings assignment orders, as provided in Chapter 8 (commencing with Section 5200) of Part 5 of Division 9 of the state Family Code; and, to the best of its knowledge is fully complying with the earnings assignment orders of all employees and is providing the names of all new employees to the New Employee Registry maintained by the California Employment Development Department (EDD). S. CONTRACTOR agrees to comply with all applicable provisions of the ACT and the federal regulations, including but not limited to the regulations found at 20 CFR part 629. 25A -195 Page 4 of 15 T. CONTRACTOR agrees to that it is in compliance with the Certification Regarding Debarment ( "Exhibit F ") as required by the regulations implementing Executive Order 12549, Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participants' Responsibilities. The regulations were published as Part VII of the May 16, 1988, Federal Register (Pages 19160- 19211). U. CONTRACTOR agrees to provide priority of services for veterans and eligible spouses pursuant to 20 CFR part 1010 and the regulations implementing priority of service for veterans and eligible spouses in Department of Labor job training programs under the Jobs for Veterans Act published at 73 Fed.Reg. 78132 on December 19, 2008. V. CONTRACTOR acknowledges that the official name for the statewide system of providing employment and training through the WIA partnerships and various other local programs is "America's Job Center ". To achieve the goals of this grant, it is important that the public has a quick and easy method to identify that the projects or programs they are taking part in are part of the "America's Job Center ". CONTRACTOR agrees to place the America's Job Center logo, in accordance with the State of California guidelines for such use, on all public materials such as statements, press releases, brochures, advertisements, reports and other documents describing projects or programs funded in whole or in part with WIA funds. When the America's Job Center logo is used, CONTRACTOR may accompany it with the following statement, "The (Program Name) is a proud partner of the America's Job Center network ". CONTRACTOR shall not use the America's Job Center logo in any manner that would imply that the State of California endorses a commercial product, service or activity. II. CITY'S OBLIGATIONS A. CITY agrees to pay to CONTRACTOR when, if and to the extent federal funds are received under the provisions of the Act a sum not to exceed $200,000 for CONTRACTOR'S performance in accordance with the Budget attached hereto as "Exhibit G" during the period of this Agreement. Said sum shall be paid after CITY receives invoices submitted by CONTRACTOR as provided hereinabove. B. CONTRACTOR has the ability to adjust line item amounts in the budget with the approval of the Executive Director, so long as the total Budget amount does not increase. C. CITY agrees to provide for on -site monitoring reviews of said program operation at least annually. In addition, monthly desk -top reviews of pertinent information will be conducted. D. CITY has the right to de- obligate the funds hereunder and take such funding back from CONTRACTOR due to any of the following reasons: (a) lack of performance by CONTRACTOR; (b) lack of fiscal accountability of CONTRACTOR; or (c) decrease in available funding. III. TERM OF AGREEMENT This Agreement shall commence on July 1, 2014 and all duties arising under this Agreement shall have been performed by June 30, 2015. The term of this Agreement may be extended 25A -196 Page 5 offs by a writing executed by the City Manager and the City Attorney. IV. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer - employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. V. WORKER'S COMPENSATION AND EMPLOYER'S RIGHTS A. CONTRACTOR shall use appropriate funds received from CITY to provide workers' compensation to all those hired by CONTRACTOR under this Agreement. B. CONTRACTOR shall have the right to hire, dismiss, or promote its employees or contract personnel hired under this Agreement so long as its hiring or dismissal policy or standard does not violate Title VII of the Civil Rights Act of 1964, Fair Labor Standards Act of 1938, or any other applicable law, and CONTRACTOR maintains itself as an Equal Opportunity employer. VI. APPLICABLE GUIDELINES A. The parties hereto agree that CONTRACTOR shall comply with all applicable federal and state laws and regulations, including, but not limited to the Performance Standards (Exhibit B) and general program requirements described in Sections 106 and 141 of the Act (29 USC Sections 1516 and 1551) and applicable regulations, and the U.S. Department of Labor guidelines and regulations, including amendments or revisions made during the terms of this Agreement. Said applicable laws are hereby incorporated by reference and made as part of this Agreement as though fully set forth herein. B. CONTRACTOR also assures and certifies that: 1. CONTRACTOR acknowledges and confirms that the U.S. Department of Labor has established three (3) common measures for youth: (a) Placement in employment or education; (b) Attainment of degree or certificate; and, (c) Literacy or numeracy gains. Pending WIA reauthorization and or U.S. Department of Labor and EDD updates, Contractor agree to implement and shall meet any additional performance measures that may be subsequently required by the Workforce Investment Act or by any other Federal, State, and local law. 2. CONTRACTOR shall comply with Title VII of the Civil Rights Act of 1964 (P.L. 83 -354) and in accordance with Title VII of the Act, no person shall, on the grounds of race, 25A -197 Page 6 of 15 color, religion, sex, age, handicap or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under this Agreement. 3. CONTRACTOR shall comply with any and all federal laws limiting the political activity of employees hired under this Agreement. 4. CONTRACTOR shall comply with the requirements that no program under the Act shall involve political activities. 5. RECORD INSPECTION. CONTRACTOR shall provide the U.S. Department of Labor and the Controller General, by and through any authorized representative, as well as the WIB Administrative Office, access to and the right to examine all records, books, papers or documents relating to the accounting and use of funds under this Agreement for a three -year period from and after the effective date of this Agreement. 6. No person with responsibilities in the operation of any program under the Act shall discriminate with respect to any program participant or any application for participation in such program because of race, creed, color, national origin, sex, political affiliation or beliefs. 7. CONTRACTOR shall maintain appropriate standards for health and safety in work and training situations. 8. CONTRACTOR shall comply with general provisions, assurances, and execute the Assurances and Certifications attached hereto as "Exhibit H" and incorporated herein. 9. EQUAL OPPORTUNITY. Any literature distributed by CONTRACTOR for the purpose of apprising businesses, participants, or the general public of its programs under this Agreement shall state that its programs are supported by the City of Santa Ana and the Santa Ana Workforce Investment Board, and shall state that the program is an "equal opportunity employer /progran2" and that "auxiliary aids and services are available upon request to individuals with disabilities." 10. Based on the population eligible to be served, or likely to be directly affected by the WIA program or activity, the services or information may need to be provided in a language other than English in order to allow such population to be effectively informed about or able to participate in the program or activity, Pursuant to 29 CFR 37.35, CONTRACTOR must take reasonable steps to provide services and information in appropriate languages after considering the scope of the program or activity, and the size and concentration of the population that needs services or information in a language other than English. 11. CONTRACTOR certifies that all property, finished or unfinished documents, data, studies and reports prepared or purchased under this Agreement, will be disposed of in accordance with the direction of the CITY. In addition, any tools and /or equipment furnished to the CONTRACTOR by the CITY and /or purchased by the CONTRACTOR with funds pursuant to this Agreement, will be limited to use within the activities outlined in this agreement and will remain the property of the United States Government and /or CITY. Upon termination of this Agreement, CONTRACTOR will immediately return such tools and /or equipment to the CITY or dispose of them in accordance with the direction of the CITY. 25A -198 Page 7 of 15 12. CONTRACTOR certifies that this Agreement does not provide for the advancement or aid to any religious sect, church or creed, or sectarian purpose nor does it help to support or sustain any school, college, university, hospital or other institution controlled by any religious creed, church, or sectarian denomination, as specified by Article XVI, Section 5, of the Constitution of the State of California, regarding separation of church and state. 13. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The CONTRACTOR will disclose to the CITY any invention, written product, computer program developed or data assembled as a result of performance of work under this Agreement within seventy four (74) days of invention, development or assembly. The CITY, State of California, and U.S. Department of Labor will have the right to patent any invention and copyright any written product or computer program or data generated by CONTRACTOR. Upon written request, CONTRACTOR will transfer all pertinent information, specifications and right, title and interest to the designated agency. 14. INVENTIONS, PATENTS AND COPYRIGHTS. A. Reporting Procedure. If any project produces patentable items, patent rights, processes, or inventions in the course of work under a U.S. Department of Labor (DOL) grant or agreement, the CONTRACTOR shall report the fact promptly and fully to the CITY. The CITY shall report the fact to the Grant Officer, at the DOL. Unless there is a prior agreement between the CITY and the DOL and its representative on these matters, the DOL shall determine whether to seek protection on the invention or discovery. The DOL and its representative shall determine how the rightsin the invention or discovery, including rights under any patent issued thereon, will be allocated and administered in order to protect the public interest consistent with the "Governmental Patent Policy" (President's Memorandum for Heads of Executive Departments and Agencies, August 23, 1971, and Statement of Government Patent Policy as printed in 36 FR 16889). B. Copyright Policy. 1. Unless otherwise provided in the terms of the grant or agreement, when copyright - able material is developed in the course of or under a DOL Grant or agreement, the author and the CITY which developed the work is free to copyright material or to permit others to do so. The CONTRACTOR and the Workforce Investment Board (WIB) shall have a royalty -free, nonexclusive and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted material. 2. The DOL reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The copyright in any work developed under any grant, sub -grant, or contract under a grant or subgrant; (b) Any right of copyright to which a grantee, subgrantee or a CONTRACTOR purchases ownership with grant support; and (c) CONTRACTOR shall comply with the requirements of 29 CFR Part 97.34. C. Rights to Data. The DOL and the CITY shall have unlimited rights to any data first procured or delivered under this Agreement. 15. CLEAN AIR / CLEAN WATER ACT. If the grant hereunder exceeds $100,000, CONTRACTOR must comply with Section 306 of the Clean Air Act [(42 USC 1875(h)]; Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and Environmental 25A -199 Page 8 of 15 Protection Agency ( "EPA ") regulations (40 CFR Part 15) as any may now exist or be hereafter amended. Under these laws and regulations, the CONTRACTOR assures that: (a) No facility to be utilized in the performance of the proposed grant has been listed on the EPA List of Violating Facilities; (b) It will notify CITY prior to award of the receipt of any communication from the Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be utilized for the grant is under consideration to be listed on the EPA List of Violating Facilities; (c) It will notify the CITY and the EPA about any known violation of the above laws and regulations. 16. CONTRACTOR agrees to adhere to the following STANDARDS OF CONDUCT: a. General Assurance. Every reasonable course of action will be taken by CONTRACTOR in order to maintain the integrity of this expenditure of public funds and to avoid favoritism. This Agreement will be administered in an impartial manner, free from errors to gain personal, financial, political gain. CONTRACTOR, its officers and employees, in administering this Agreement, will avoid situations which give rise to a suggestion that any decision was influenced by prejudice, bias, special interest or desire for personal gain. b. Employment of Former State or CITY Employees. CONTRACTOR will ensure that any of its employees who were formerly employed by the State of California or CITY, in a position that could have enabled such individuals to impact policy regarding or implementation of programs covered by this Agreement, will not be assigned to any part or phase of the activities conducted pursuant to this Agreement for a period of not less than two (2) years following the termination of such employment. c. Conducting Business Involving Relatives. No relative by blood, adoption or marriage of any executive or employee of CONTRACTOR will receive favorable treatment when considered for enrollment in programs provided by, or employment with, CONTRACTOR. d. Conducting Business Involving Close personal Friends and Associates. Executives and employees of CONTRACTOR will be particularly aware of the varying degrees of influence that can be exerted by personal friends and associates and, in administering this Agreement, will exercise due diligence to avoid situations which give rise to an assertion that favorable treatment is being granted to friends and associates. When it is in the public interest for CONTRACTOR to conduct business with a friend or associate of an executive or employee of CONTRACTOR, an elected official in the area or a voting or non - voting member of the Workforce Investment Board (WIB), a permanent record of the transaction will be retained. e. Avoidance of Conflict of Economic Interest. No executive or employee of CONTRACTOR elected official in the area, or voting or non - voting member of a WIB, will solicit or accept money or any other consideration from a third person, for the performance of an act reimbursed in whole or part by CONTRACTOR or CITY. Supplies, materials, equipment or services purchased with Agreement finds will be used solely for purposes asserted or allowed under this Agreement. No voting member of the WIB will cast a vote on the provision of services or vote on any matter which 25A -200 Page 9 of 15 would provide direct financial benefit to that member or any business or organization which the member directly represents. f. Salary and Bonus Limitations. All Subrecipients of WIA program funds are required to comply with federal requirements regarding the limitations on salary and bonus payments in accordance with Public Law 109 -149, Section 7013. VII. HOLD HARMLESS A. CONTRACTOR shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers' compensation claims, resulting from or arising out of the negligent acts, errors or omission of CONTRACTOR, its employees or subcontractors. B. CONTRACTOR shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from and against any and all claims, demands, suits, actions or proceedings therefore, resulting from or arising out of the intentional or malicious acts of CONTRACTOR, its employees or subcontractors. VIII. INSURANCE 1. Commercial General Liability. CONTRACTOR agrees to obtain and keep in force during the term of this Agreement a policy of comprehensive commercial general liability insurance insuring the State of California, CITY, and CONTRACTOR against any liability for accident, injury or death arising out of or in consequence of this Agreement. Such insurance shall be in an amount not less than One Million Dollars ($1,000,000.00) for any injury to or death of any person or persons in any single accident or occurrence. Said policy of comprehensive general liability insurance shall be endorsed to provide to CITY and to the State of California, Employment Development Department, at least thirty (30) days written notice prior to cancellation; name CITY, its officers, agents, employees, and volunteers, and the State of California, its officers, employees, and volunteers as Additional hlsured; and state that such coverage is primary to any other coverage or self - insurance of the State of California and CITY (in substantially the form as Exhibit I, Additional Insured Endorsement, attached hereto). Governmental entities may substitute a certificate of self - insurance. 2. Automobile Liability Coverage. CONTRACTOR shall also obtain and maintain, during the effective period of this Agreement, broad form automobile liability coverage with at least $1,000,000 limit unless reduced by CITY, which applies to both owned /leased and non-owned automobiles used by CONTRACTOR employees or participants in performance of this Agreement, or, in the event that CITY will not utilize such owned/leased automobiles but intends to require employees, participants or other agents to utilize their own automobiles in the performance of this Agreement, CONTRACTOR shall secure and maintain on file from all such employees, participants, or 25A -201 Page 10 of 15 agents as self - certification of automobile insurance coverage. Governmental entities may substitute a certificate of self - insurance. 3. Workers' Compensation. If CONTRACTOR is an "employer ", as set forth in California Labor Code Section 3300 et seq., or utilizes participants as "employees," as set forth in California Labor Code Section 3350 et seq., CONTRACTOR shall obtain and keep in force during the term of this Agreement full Workers' Compensation insurance coverage for injuries suffered by participants. Said insurance policy shall guarantee CITY at least thirty (30) days written notice of cancellation or modification. CONTRACTOR shall carry medical and accident insurance for those participants not qualifying as "employees" for Worker's Compensation Coverage, pursuant to California Labor Code Section 3350, et seq. 4. Equipment Coverage. CONTRACTOR shall purchase a policy or policies of insurance covering loss or damage to any and all Equipment provided to or purchased by CONTRACTOR in accordance with this Agreement. Said insurance shall be in the amount of the full replacement value thereof, providing protection against the classification of fire, extended coverage, vandalism, malicious mischief, theft, and special extended perils. Governmental entities may substitute a certificate of self - insurance. 5. Youth Protection. To maintain a safe environment, funded youth providers that serve youth under the age of 18 will need to provide a Youth Protection Policy and proof of Sexual Abuse & Molestation insurance coverage of at least $2,000,000. Youth providers will be held responsible for conducting a background clearance (live -scan) for staff that have direct interaction with youth participants that are under the age of 18. 6. Proof of Insurance. Certificates and endorsements must be submitted and approved by CITY prior to any work under this Agreement. CONTRACTOR understands that CITY will make no payments under this Agreement until the required certificates and endorsements have been approved by CITY. IX. CORPORATESTATUS All corporate contractors shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board and Internal Revenue Service. Any change in corporate status or suspension shall be reported immediately to CITY. X. ASSIGNABILITY None of the duties of, or work to be performed by, CONTRACTOR under this Agreement shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of CITY. CONTRACTOR must submit all subcontracts and other agreements that relate to this Agreement to CITY. No subcontract or assignment shall terminate or alter the legal obligations of CONTRACTOR pursuant to this Agreement. 25A -202 Page 11 of 15 XI. LAWS GOVERNING THIS AGREEMENT In its performance under this Agreement, CONTRACTOR shall fully comply with the requirements of the following, whether or not otherwise referred to in this Agreement: 1. The Act and all applicable federal statutes, regulations, policies, procedures and directives, including but not limited to, 20 C.F.R. Parts 652 and 660 through 671. 2. All applicable State statutes, regulations, policies, procedures and directives; 3. All applicable CITY policies, procedures and directives; 4. All applicable local ordinances and requirements, including use permits and licensing; 5. Court orders applicable to its operation; and, 6. The terms and conditions of this Agreement. If any of the foregoing is enacted, amended, or revised, CONTRACTOR will comply with such or will notify CITY after enactment or modification that it cannot so comply. CITY may thereupon terminate this Agreement, if necessary. XII. EXCLUSIVITY AND AMENDMENT OF AGREEMENT This Agreement supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the employment of CONTRACTOR by CITY, and contains all the covenants and agreements between the parties with respect to such employment. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both CITY and CONTRACTOR. XIII. FRAUD CONTRACTOR shall immediately report to CITY all instances and facts concerning possible fraud, abuse or criminal activity relating to expenditure or receipt of funds under this Agreement. XIV. CONTINGENCY OF FUNDS CONTRACTOR acknowledges that approval of and funding for this Agreement is contingent upon State approval, and funds received or obligated from the State of California to CITY. If such approval of funds is not forthcoming, or is otherwise limited, CITY shall immediately notify CONTRACTOR. Within twenty (20) days of receipt of such notice, CONTRACTOR shall modify or cease operations as directed by CITY and negotiate necessary modification to this Agreement and /or reimbursement of costs incurred hereunder. 25A -203 Page 12 of 15 XV. TERMINATION A. This Agreement may be terminated by either party at its sole discretion, upon thirty (30) days written notice to the other party. Notice shall be deemed served on the date of mailing. However, CONTRACTOR may not terminate this Agreement if undue hardship will result to any participant. B. In the event CONTRACTOR defaults by failing to fulfill all or any of its obligations hereunder, CITY may declare a default and termination of this Agreement by written notice to CONTRACTOR, which default and termination shall be effective on a date stated in the notice which is to be not less than ten (10) days after certified mailing or personal service of such notice, unless such default is cured before the effective date of termination stated in such notice. If terminated for cause, CITY shall be relieved of further liability or responsibility under this Agreement, or as a result of the termination thereof, including the payment of money, except for payment for approved expenses incurred for services satisfactorily and timely performed prior to the mailing or service of the notice of termination, and except for reimbursement of (1) any payments made for services not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by CITY in obtaining substitute performance. XVI. DISPUTES Except as otherwise provided in this Agreement, any dispute concerning any question arising under this Agreement shall be decided by CITY. In such a case CITY shall reduce its decision to writing and mail or otherwise furnish a copy thereof to CONTRACTOR. The decision of the City shall be final and conclusive unless within thirty (30) calendar days from the mailing or delivery of such copy, CITY receives from CONTRACTOR written request to appeal said decision. Procedures governing the appeal shall be prescribed by CITY and /or the State of California in accordance with the Act and all corresponding regulations and OMB circulars. Pending final disposition of the appeal, CONTRACTOR shall act in accordance with CITY's decision w-Iless the dispute involves a change order. XVII. BREACH - SANCTIONS If, through any cause, CONTRACTOR violates any of the terms and conditions of this Agreement, and /or prior agreements whereby grant funds were received by CONTRACTOR pursuant to this Agreement, or if CONTRACTOR reports inaccurately or if any Audit Report makes disallowances, CONTRACTOR shall promptly remedy its acts or omissions and /or repay CITY all amounts due CITY as a result of CONTRACTOR's violation. For any such failures or violations, CITY shall also have the right at its sole discretion to either: (1) discontinue program support until such time as CONTRACTOR fulfills its obligations or remedies all violations of this Agreement or prior agreements; and /or (2) collect outstanding amounts as determined by CITY due CITY by offsetting or debiting from current claims or invoices, if after thirty (30) days' written notice CONTRACTOR has failed to repay some or a repayment schedule has not been made; and/or (3) terminate this Agreement by giving written notice to CONTRACTOR of such termination in accordance the notice provision in Paragraph XVIII herein below. 25A -204 Page 13 of 15 XVIII. NOTICES All notices, reports and correspondence between the parties hereto respecting this Agreement shall be in writing and deposited in the United States Mail, postage prepaid, addressed as follows: CITY: City of Santa Ana Manager, WIB Administrative Office P.O. Box 1988 (M -73) Santa Ana, CA 92702 CLERK: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Telefacsimile (714) 647 -6956 CONTRACTOR: Orange County Conservation Corps 1853 N. Raymond Avenue, Anaheim, CA 92801 Phone: (714) 956 -6222 Fax: (714) 956 -1944 XIX. MERGER This Agreement, together with the attachments hereto, expresses the total understanding of the parties. There are no oral understandings of the parties or terms and conditions other than as stated herein. XX. VALIDITY The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement. XXI. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the terms of this Agreement, and shall indemnify CITY fully, including reasonable costs and attorney's fees, for any injuries or damages to CITY in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. 25A -205 Page 14 of 15 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. Lisa Storck Assistant City Attorney "CITY" By: David Cavazos City Manager "CONTRACTOR" BY: Name: Kathaiyn Bandoni Title: Executive Director Tax ID #: 33- 0563781 25A -206 Page 15 of 15 GOVh.R 'iIGE PROPOSER APPLICATION AGENCYSTATUS PRIMARY FUNDING SOURCES Funding Source CalRec cle OCWIB FFS Other Grants Recycling Amount 2,082,453 1,056,950 1,030,000 861,000 375,000 HOURS OF OPERATION AND DAYS Days Monday Tuesday Wednesday Thursday Friday Saturday Sunday Hours 7-5 7 -5 7 -5 7 -5 8-12 TARGET POPULATION E Older Youth x Younger Youth��x Out -of- School �x In School x # of Youth to be Served m 20141�2015� 25 Total WIA Funds Requested, $200,000 In compliance with the RFP noted above, and subject to the conditions thereof, the undersigned offers to furnish the services stipulated and certifies he has read, understands, and agrees to all terms, conditions, and repuirements of this RFP and is authorized to contract on behalf of the agency named above. Chief Executive Officer Title EXHIBIT A 25A -207 • t. �. 1 Y Earn... Learn.-Serve... Tools to Green the Future! Proposal for Youth Services Santa Ana Workforce Investment Board 2014 -2015 EXHIBIT A 25A -208 YOUTH WORKFORCE INVESTMENT ACT PROPOSAL QUESTIONS 2014 -2015 Instructions: Please provide a narrative response for each section and maintain the formatted sequence according to the headers. Please answer each question as concisely as possible. Use font size 12 and standard size margins. Experience /Qualifications A. Briefly describe your agency. The Orange County Conservation Corps (OCCC) is a nonprofit, certified local conservation corps, one of 13 certified local conservation corps in California. As a certified local conservation corps, the OCCC operates under the California Public Resources Code which mandates several program components, including paid work experience, job training, education, life skills and pre - employment training. The OCCC must maintain its certification each year through an annual state certification review. The OCCC incorporates a variety of youth and workforce development best practices into its program design. In November 2013, the Department of Agriculture (USDA) and the Department of the Interior (DOI) announced that the OCCC is one of 91 initial organizations nationwide that have been approved as member organizations to help implement the Obama Administration's 21st Century Conservation Service Corps (21CSC). The 21CSC is a national collaborative effort to put America's youth to work protecting, restoring, and enhancing America's natural and cultural resources. Additionally, we implement a wrap- around services provision model that brings together various service providers to assist participants with their needs. Our collaborative partnership with local businesses provides hands -on work experience and on the job training. B. List the facility address and address of headquarters if different location. Please include major cross streets. Orange County Conservation Corps Charter School Cross streets: Walnut and South Acacia in Fullerton 1548 E. Walnut Fullerton, CA 92831 (714) 956 -6222 Administrative Headquarters Cross Streets: Raymond and Kimberly in Anaheim 1853 Raymond Ave. Anaheim, CA 92801 (714) 956 -6222 C. Indicate hours of operation for facility. OCCC offices are open Monday— Thursday from 7:00 am to 5:00 pm and Friday from 8:00 am to noon. Additional week -end and evening hours to be arranged depending on individual participant needs, scheduled events, and activities. 2t-209 D. Briefly indicate what makes your facility youth friendly and suitable for the proposed program. The facility is designed in a regular classroom setting with a certificated teacher assigned to each classroom. All classrooms are equipped with computers and internet access for Corpsmember use. Pictures of Corpsmember accomplishments and success boards are displayed throughout the facility. A resource area is designated in the facility for Corpsmembers to access medical, health, leadership development information, and job leads. The facility includes two computer labs, in which tutoring sessions, online courses, workshops, career exploration assessments, and many other activities take place. During parenting workshops, childcare is provided, making it much easier for participants to attend. The Corps - to- Career Specialist has a private office equipped with two computers in order to provide individual guidance, mock interviews, resume development assistance, and career exploration tools. There are spaces available in which case managers work with Corpsmembers one -on -one to provide needed support services. Our onsite counselor provides guidance to youth who require additional support. A feedback box is available for Corpsmembers to provide suggestions or request additional services. The facility is close to public transportation, and the OCCC provides transportation assistance in the form of bus passes, gas cards, and company vehicles. Online classes are also available for students for whom transportation is difficult. Beginning in August of 2014, all students and Corpsmembers will have access to healthy, free breakfast and lunch through the National Free and Reduced School Lunch Program, giving students the nutrition they need to focus on school and their futures. E. Provide brief information on the following elements: 1. Average annual operating budget and sources of revenue The Fiscal Year 2014 annual operating budget for the Orange County Conservation Corps is: 5.6 million 2. Brief description of staff The OCCC has 43 staff members committed to helping Corpsmembers achieve their goals. There is a dedicated full -time case manager for the Santa Ana region, who has many years of experience with the OCCC and the youth we serve. Javier Cabrera has over five years of experience guiding WIA youth to successful outcomes. This year we are also adding an additional half -time case manager, Ralph Jimenez, Senior Program Specialist, to assist with larger case load. Mr. Jimenez will support Mr. Cabrera's efforts in ensuring high level of services to Santa Ana youth. The OCCC also has support staff that help guide and mentor Corpsmembers. Beyond the Santa Ana WIA case manager, the OCCC has five other case managers who can assist Corpsmembers with supportive 2SX2 I 0 Orange Fee for Service Others Grants & CalRecycle Recycling Proposition 84 Sources of Revenue County WIB Contracts Revenue Amount 2,082,453 1,056,950 1,030,000 861,000 375,000 200,000 2. Brief description of staff The OCCC has 43 staff members committed to helping Corpsmembers achieve their goals. There is a dedicated full -time case manager for the Santa Ana region, who has many years of experience with the OCCC and the youth we serve. Javier Cabrera has over five years of experience guiding WIA youth to successful outcomes. This year we are also adding an additional half -time case manager, Ralph Jimenez, Senior Program Specialist, to assist with larger case load. Mr. Jimenez will support Mr. Cabrera's efforts in ensuring high level of services to Santa Ana youth. The OCCC also has support staff that help guide and mentor Corpsmembers. Beyond the Santa Ana WIA case manager, the OCCC has five other case managers who can assist Corpsmembers with supportive 2SX2 I 0 services and provide mentorship. The Corps -to- Career Specialist helps Corpsmembers discern their career and education goals, helps them create their resumes, coordinates externships and on- the -job training, and provides job leads. The OCCC Charter School has five passionate, certificated teachers who provide direct instruction in classrooms with state -of- the -art technology. A fulltime guidance counselor provides one -on -one support, including: helping them explore and plan their career paths, tracking their credits and graduation requirements, coordinating and facilitating workshops on anger management, substance abuse, various careers and vocational education opportunities, and post- secondary education. Staff Supervisors provide direction, structure, and mentorship to Corpsmembers who work on OCCC projects. For youth who had few mentors or boundaries in their childhood, their supervisors are guides and role models. The OCCC management team has over 65 years of experience working directly with the business aspects associated with the OCCC. This does not include additional external management experience and /or training in the nonprofit and business environments, as well as the wealth of experience and guidance available through the OCCC Board of Directors. The Chief Executive Officer brings over 20 years of leadership and executive management in the non - profit and corporate arenas before joining the OCCC. 3. Past experience with WIA programs or other youth programs The OCCC has incorporated a variety of best practices from various state and national models for youth and workforce development to serve this population. The OCCC's basic program design has been in place since 1995 and has expanded and enhanced its WIA program services since the inception of WIA funding in 1998. The OCCC's program design provides comprehensive and coordinated activities for at -risk youth to meet and exceed planned expected outcomes in literacy and numeracy gains, attainment of a degree or certificate and placement in employment or post- secondary education. 4. What kind of impact your agency has made on the youth community The OCCC enrolls the neediest at -risk youth as designated by the Santa Ana Youth Council, those who need to learn how to work and go to school. The OCCC is a six to twelve month comprehensive program with various components and strategies designed to guide and support youth into being employable, trainable, self- sufficient adults. The program's support services and paid work experience help the youth to stabilize their lives and help them deal with the many issues they face on a daily basis so they can first maintain their employment and education program. Once the youth become stable and are able to maintain employment and education, they continue to be assisted in furthering their education, improving their work skills, and seeking better employment post- corps, leading to a life of self- sufficiency. II. Proposed Program A. Provide an overview of the program's main objectives. The OCCC program is a transitional work /school program that combines work and school daily in a structured, supervised program, inclusive of the following program components: • Provide jobs for foster /emancipated youth, youth with disabilities and youth on probation and who are Older and /or Out -of- School WIA eligible youth and are Santa Ana residents • Meet /exceed the WIA outcomes for entered employment or education, credential attainment, and skill gains as outlined by the Santa Ana Youth Council; • Youth who are unemployed and out of school will be enrolled into the Orange County Conservation Corps Charter School to earn their high school diploma • Provide "soft" and "hard" occupational skills training needed to complete Orange County Conservation Corps work projects (i.e. evasive species removal, reforestation, irrigation, construction, recycling); • Provide paid work experience, trainings, and certificates to develop and /or improve their resumes for future employment; • Develop and maintain a portfolio that highlights their work /school /credential accomplishments to use in seeking employment post - program • Improve basic skills and improve at least two grade levels on a standardized tests (i.e., STAR, TABE); • Practice and prepare to pass the California High School Exit Exam; • Earn scholarships for post- secondary instruction; • Develop leadership skills through various crew based and individual trainings; • Transition successfully from the OCCC program into employment and /or post- secondary Continuing education; • Complete work projects that benefit our local communities and instill a sense of community service and pride in their communities. As a part of their training, Corpsmembers are placed in on- the -job training, and they are paid for the work they do. These paid work experience placements have been developed by the OCCC to assist local cities, county agencies, and other nonprofit agencies with their conservation needs. OCCC work projects are environmentally - driven and benefit the community. B. Please provide a full description of the program in sections III- XVIII. NOTE: It will be expected that a full -time case manager operate this program. 25A'2212 III. Population A. How many youth will be served. This grant will allow 45 of Santa Ana's youth to participate in the OCCC program. B. Will your agency be able to serve a minimum of 10% of youth from each of the following youth populations: youth with disabilities, foster /emancipated youth, youth that have dropped out of high school, and youth on probation. Yes, the OCCC works with multiple partners who work with youth with all of these barriers. We have been providing services to youth with multiple barriers since 1993 and have an extensive partner list for each of the barriers. Attached is a sample of our local partner list. C. Specify how the targeted youth populations (disability, foster /emancipated, probation, dropouts) will be recruited. Include a Letter(s) of Support from organizations that have agreed to refer youth to your program as Attachment G. The outreach and recruitment plan for this program will target youth most in need and will be recruited through the following: • Outreach to local organizations such as Boy & Girls Club, YMCA • Local school districts and alternative schools • County alternative schools • Probation officers • Youth and Family Resource Center • Word -of -mouth • Job fairs /presentations In addition to the normal recruitment strategies of job fairs, partner networks, and presentations to and referrals from local groups and organizations, the OCCC will employ "street outreach" to recruit the WIA participants. Street outreach entails handing out flyers with the OCCC's toll -free telephone number (888.641.2677) and website address (www.hireyouth.org); and interacting with youth where youth "hang out" in parks, malls, food courts, week -end community events, and even walking local neighborhoods. Historically the OCCC's most effective recruitment strategy has been referrals from former and current Corpsmembers, their family, and friends, as well as through Craigslist and advertisements in such periodicals as the PennySaver. Describe your recruitment plan that will fulfill the requirement of enrolling 100% of youth by the 2nd quarter of the program (December 31, 2014). We have been successful at recruitment and enrolling youth in the program in the past and do not expect any difficulty enrolling youth by December 31, 2014. Case Managers are in the community daily, as more fully described in the above paragraph. Our partners rely on our services and regularly refer their clients to us. The full -time case manager and the recruitment team will provide needed resources to complete full enrollment by December 31, 2014. E. What are some of the barriers that the youth populations face. EXHIBIT A 25A -213 • Average age of those enrolled is 20.0 years • 81% have not completed high school at the time of entry • 65% are or have been court - involved, including on probation /parole • 26% are parents • 13% are or have been in foster care • 30% are or have been gang - affiliated • 41% had incarcerated parents during childhood years • 76% of our students tested at two years below ninth grade literacy fluency • 74% of our students tested three years below ninth grade level • 100% qualify for the Free /Reduced Lunch Program F. Specify how your agency will address the barriers that youth encounter. Corpsmembers may remain at the OCCC for up to two years to earn... learn... and serve. This gives Corpsmembers the time necessary to develop the skills to enter the workforce and become self- sufficient. The OCCC program provides an opportunity for Corpsmembers to earn a living through paid work experience, learn job skills and further their education, while they serve their community by completing work projects. These disenfranchised youth need to work —often they need to work to make a living for themselves and in many cases, their families. Too many programs serving youth don't offer a paid work experience component —this negates the acquisition of basic skills for many youth because they don't see the relevancy of instruction. The youth need training that will lead to a career, and they need education that is relevant to their jobs and makes sense to them. The OCCC can help them understand how earning a high school diploma and passing the high school exit exam will benefit their employability and help them achieve their goals. Youth will be enrolled in the OCCC program for academic and vocational assessment and orientation to the OCCC. The timeline of services, as per the attached customer flow chart, will consist of up to 12 month direct services. This entails enrollment, assessments, and service provision with target outcomes for each participant. Each participant will also be eligible for 12 months post exit follow up services. The OCCC's Program Specialist, in conjunction with the WIA participant, will develop the youth's Individual Service Plan (ISP) inclusive of assessment results, work readiness evaluation, and counseling and guidance for personal needs. The needs of these disconnected youth are immense, whether they are pregnant /parenting, children of incarcerated parents, homeless, high school dropouts, offenders, foster /emancipated, or have a poor work history. They are facing financial hardships, drug addiction, lack of self- esteem; lack of basic skills, no employment, no skills, etc. With such a myriad of needs, a coordinated, articulated program, rich with varied approaches and learning opportunities needs to be provided. We will address the following needs: "soft" and "hard" occupational skills training; completion of high school credits to earn a high school diploma; improve basic skills; pass the California High School Exit Exam; develop leadership skills; develop a sense of community service. They will leave the OCCC program with a high school diploma, work experience, certifications and training, supportive services, and mentorship, which will allow them to enroll in higher education, obtain employment on a career path in a stable and /or growing industry, and become self- sufficient. The OCCC Charter School is a fully accredited charter school recognized by the State of California and administered by the Mono County Office of Education. This collaborative allows the Target Population, for In- School Youth and Out -of- School Youth in need of educational services, to earn high school credits that count toward a high school diploma, build skills to pass the California High School Exit Exam, and increase Literacy /Numeracy Skills. Of most importance, in close proximity to the OCCC administrative offices, the OCCC Charter school site houses all program services, (education, case management, transition services, follow up, etc.) are delivered. Having all services at one site and in close proximity to the administrative headquarters enhances the coordination of the program and eliminates duplication and redundancy. All instruction will be classroom based; field based, on -line, individual, small /large group, crew based, demonstrations, lectures, packets, guest speakers, and individual research. Many Corpsmembers come to the program with very specific needs based on their barriers. For instance, our agency provides services to both young mothers and parenting fathers, connecting them to needed resources. OCCC plans to be a part of the collaborative to connect services available to pregnant and parenting youth. Homeless youth also have very specific needs, often having a history of abuse, financial hardships, drug addiction, lack of self- esteem, lack of employment skills, etc. They face great dangers staying on the streets and are always flagged in our enrollment protocols to receive most immediate services. The OCCC will also refer youth to other agencies, based on need. The OCCC strongly believes in the All Youth, One System concept. This belief is demonstrated by the way the OCCC networks with many outside entities, helping to ensure that all participants are linked to appropriate and necessary support services in the community. IV. Employment A. Specify how your agency will help youth attain employment. WIA Corpsmembers will obtain services necessary to ensure that youth will attain employment. Services include, but not limited to: • Support services; referrals for legal, medical, substance abuse, health, housing, family /personal guidance and counseling; help with tools, books, clothing, other items needed for interviews, job requirements, advanced training, etc. • OCCC staff members serve as adult mentors • Access to the OCCC computer lab, fax, voice mail, and printer for resumes, applications, financial aid, job search, job retention, on -line services • Transition assistance such as: job placement, vocational certification, education opportunities, and career guidance 2ULR21,6 10 B. What types of services /workshops /resources will be provided to help youth attain employment. The OCCC provides a multitude of services, workshops, and resources for its Corpsmembers. Obtaining a high school diploma through the OCCC Charter School is a huge step towards self- sufficiency for high school dropouts. Paid work experience, job shadowing, on- the -job training, and externship opportunities provide valuable experience for Corpsmembers to put on their resume. The OCCC provides workshops on job retention, resume writing, filling out applications, mock interviews, career exploration, and many other topics. Corpsmembers can also receive certifications in customer service, forklift and chainsaw operation, safe food handling, and computer software. WIA participants receive monthly transportation assistance in the form of bus passes or gas cards to help them get to interviews and jobs. They can also receive interview attire, work uniforms, advanced training and certificates. They can receive many of these services even after they complete the OCCC program. WIA Corpsmembers will also have access to a full time Placement Specialist who will assist with the placement of WIA Corpsmembers after their work experience is completed. C. Specify the names of the employers that your agency has partnerships /agreements with, who will hire youth. The OCCC has established partnerships with the following employers who are dedicated to hiring our youth: Goodwill of Orange County, Terra Pacific Waste Management, Mesa Cold Storage, Costco, Party City, Smart & Final, CVS, Walgreens, Dollar Tree, Solar Installation Services of OC, City of Fullerton, Disney, Boys and Girls Club, Monkey Business Cafe, Hilton Hotels, and many others. The OCCC is a member of multiple coalition and community leadership groups. Our staff members attend the Quarterly Job Developers meetings that generate job leads for our youth. Our leadership team is heavily involved in the local groups like the Anaheim Task Force that can also benefit the Santa Ana participants though the relationships built at these meetings. Additionally, we have recently received an OJT (On- the -Job Training) contract from another WIA contract with which we currently work. This new opportunity will allow us to be highly marketable with local businesses and create even more in -depth relationships in the employer community. D. Please provide Letters of Commitment from employers willing to hire your youth participants, include as Attachment D. E. What types of employment services will be provided to youth after they exit the program (retention, transportation assistance, resources, etc.). Santa Ana WIA participants will receive follow -up services for twelve months after they finish the program. Their case manager will contact them once a month or more, as needed. They can receive monthly transportation services: a bus pass or gas card. They will receive job leads from both their case manager and the Corps - to- Career Specialist, as well as resume help and other work readiness assistance. They are eligible for help with interview outfits and /or work uniforms. The OCCC will also refer them to other organizations for additional services. 26432% V. Work Based Learning (not a required element of the program) A. Describe in detail the work based learning opportunities that will be offered to the youth such as: paid work experience, internships, externships, job shadowing, and work based learning. The OCCC is committed to career and workforce development programs, providing academic support and leadership development. Corpsmembers are placed in our on- the -job training and paid for their services. On- the -job training provides Corpsmembers with business, leadership, and teamwork skills. They train with professionals in a variety of fields, gain confidence in their own abilities, and pursue their career goals. Corpsmembers' time at the OCCC is largely spent serving their communities. OCCC projects and on- the -job training opportunities cover Orange County: aiding recycling efforts, restoring its native habitats, protecting water supplies, and working on fee for service projects throughout Orange County. Corpsmembers leave the OCCC program with an understanding of our natural resources and why we must preserve them. Because a big part of our mission involves getting our participants prepared to enter the workforce and become self - sufficient, we have been expanding our work experience program for the past couple years. OCCC program participants who are selected to participate are 18 -25 years old and receive paid work experience with our partner companies, like Goodwill Industries, Smart & Final, CVS Pharmacy, Party City, Marshalls, Costco, and many others. They are allowed to work a maximum of 28 hours per week, nights and weekends if needed, for up to 90 days while their wages, worker's compensation and liability insurance is paid through OCCC's grant funding, along with any uniforms the partner business requires. Assistance with transportation and other supportive services are also provided. Under the mentorship of the partner's employees, our participants learn valuable job skills that enhance their knowledge and ability. B. List some of the employers that will assist in the work based learning opportunities. • 211 Orange County— Santa Ana • Age Well Senior Services — Dana Point • A Live Scan Center — Anaheim • Anaheim Public Library — Haskett Branch • Bella Dia Salon — La Habra • Boys & Girls Club — Garden Grove • Boys & Girls Club — Santa Ana • Boys & Girls Club - Cypress • Costco — La Habra • Custom Hair —Buena Park f CVS Pharmacy —All cities • Dollar Tree — Buena Park • Goals - Anaheim • Goodwill of Orange County —All stores • Habitat for Humanity - Santa Ana ZAB L 1 / 12 • La Palma Public Library • Mesa Cold Storage - Fullerton • Monkey Business Cafe – Fullerton • Orange County Child Abuse Prevention –Santa Ana • Orange County Therapeutic Arts – Santa Ana • Orangethorpe Elementary School – Fullerton • Santa Ana Public Library • Santa Ana Work Center • Smart & Final Extra –AII Orange County stores • Terra Pacific Waste Management – Anaheim • The Friendly Center – Orange • The Elegant Touch – Orange • Walgreens –AII Orange County locations C. If applicable, please include a copy of the Work Based Learning policy as Attachment E. D. Will your agency take youth to real companies /businesses to become acquainted with the various employment industries. No other organizations in Orange County provide as many hours of work experience —up to 28 hours a week. Corpsmembers participate in on- the -job training in a variety of industries throughout the county. They do not simply visit companies and businesses in various industries; they work there. Corpsmembers have done externships in many industries, including the hospitality /tourism industry at local hotels, spas, and restaurants. They have also participated in a partnership with the Fullerton Arboretum on the campus of California State University Fullerton and local social enterprise Monkey Business Cafe, which benefits foster youth, called "Farm to Table." Corpsmembers work both on the arboretum's farm and at the cafe, developing a strong connection between where food grows and the process involved in delivering it to the table. OCCC crews provide recycling services to many companies and businesses, including Downtown Disney. We have Corpsmembers working at a number of CVS Pharmacies, exposing them to the field of healthcare. Corpsmembers have worked at the Santa Ana One Stop Center, exposing them to all kinds of career opportunities. Additionally, we have partnered with Vital Link services that provide hands -on career exploration experiences for youth, helping them carve out their own unique career path. Trips and tours of local businesses help youth sort through their interests, get excited, and "try on" a career for a day. E. Will youth have the opportunity to meet or hear from real employers. Corpsmembers and students have many opportunities to hear from employers. They have opportunities to attend job fairs and attend career exploration workshops. Corpsmembers participating in on- the -job training receive feedback and evaluations from their employers and supervisors regularly. 2W-I1v 13 VI. Certificates /Diplomas /Credentials Note: WIA only accepts certificates that are accredited by a State recognized educational entity or are recognized by employers. A. What type(s) of certificates will youth be able to earn while in your program. Youth are able to earn various state recognized credentials through our partners, ITA accounts and on- the -job earned certifications which include forklift operator, safe food handling, national retail federation, and computer software. Corpsmembers can receive vouchers to reduce the cost of getting their driver's license, and some of our partners can help them get their truck driving license. Most importantly, the OCCC Charter School provides high school diplomas, not just GEDs. A 2011 study by Education Research International indicates that the long- term effects of not having a high school diploma — on a person's career earnings, health, social situation, and likelihood of incarceration —are so disastrous that cost benefit analysis find that for every $1000 spent on drop -out prevention, society reaps a return of $1,500 to $3,000. For out -of- school youth, a high school education is strongly tied to securing employment. With high unemployment and high competition for jobs, youth without a high school diploma do not stand a chance to compete in today's job market. In addition to its classroom -based classes, the OCCC Charter School provides online courses through a special partnership to enable a flexible schedule and tailor its program to the individual needs and interests of its students. FlipSwitch is the result of more than ten years of research and development in the online learning industry. Founded in 2001 as American Virtual Academy (AVA), the company started as the exclusive technology and curriculum partner for a young, upstart institution in Arizona named Primavera Online High School. FlipSwitch has the following certifications: UC Certified (3 year process, complete 2012), A -G Certified (Complete High School Diploma), and NCAA Certified Courses (98% courses certified by NCAA). Through this collaboration, the OCCC is able to offer over 200 courses in language arts, social studies, mathematics, science, world languages, fine arts & vocational, health & physical education, and electives. B. Describe the training that will lead to the certificate /diploma /credential. The OCCC will provide the WIA Corpsmembers with hard skills (on the job training, certifications, etc.) and soft skills (responsibility, discipline, punctuality, uniform standards, etc.) which lead to job retention. The WIA Corpsmembers will be exposed to presentations, workshops, and fieldtrips to assist them in developing career paths. The Corps -2- Career Specialist will work individually with the WIA Corpsmembers to develop personalized goals (post- secondary education, job placement, and career development) that lead them to self- sufficiency. WIA Corpsmembers research jobs on O *NET to obtain expected job growth, wages and educational requirements. Subsequently, depending on the training that is needed, Corpsmembers are referred to ROP, Community Colleges, Apprenticeship Programs and Technical Schools. Additionally, presenters are scheduled from a variety of high- demand industries including green jobs, medical careers, etc. LVX-L 19 14 The OCCC will also use a standardized TABE test to determine basic math and reading skill levels. All WIA participants enrolled into the OCCC Charter School will be issued the California High School Exit Exam (CAHSEE). Through their Corps -2- Career classroom training, the Target Population will learn that the fields of environment and conservation, green jobs, green technologies, healthcare and manufacturing are the jobs of the future and that they offer non- traditional opportunities for both male and female. WIA participants will learn about food production, manufacturing, introduction to technology and computer software. The Target Population will see that occupations in these clusters frequently require skills in Science, Technology, Engineering and Math. C. If applicable, include Letters of Intent from the training agencies, as Attachment FI. D. What types of occupations will the training /certificates lead to. Are those occupations in demand. Please provide data and sources. The OCCC Charter School will provide high school diploma instruction; vocational and occupational skills training; life skills, pre - employment skills, etc.; specialized trainings (CPR /First Aid, Forklift, Chainsaw certification, etc.); safety demonstrations, leadership development, support services and educational topics (health, substance abuse, financial literacy, etc.); and instill the participants with a sense of community service and pride. The WIA Participants' paid work experience, certifications, and career training will be focused on our partnerships with those that can further provide experience in relevant and growing industries including information technology, transportation and logistics, manufacturing, hospitality and tourism, and healthcare. Some specific labor markets include green building operations, solar panel installation, and water treatment. According to the Orange County Business Council's Community Indicators Report from 2013, "Currently, the largest labor markets [in Orange County] are Trade, Transportation and Utilities (18%), Professional and Business Services (18%), and Leisure and Hospitality (13%)." The OCCC strives to create career pathways for Corpsmembers in these fields. All training will be designed to address those occupations which are in demand to help assure the successful employment of the WIA youth. E. Will your program be able to identify and develop a pathway for students that can lead them from high school to career or college. Please elaborate on the specific pathway(s). Training will assist youth in obtaining employment because the youth will learn how to work and go the school. As a result of the OCCC's six to twelve month comprehensive program, support services and paid work experience, youth will be able to stabilize their lives and lean how to deal with the many issues they face on a daily basis. The Corps -2- Career Specialist will work individually with WIA participants to develop personalized goals (post- secondary education, job placement, and career development) that lead to self- sufficiency. Once the youth become stable and are able to maintain employment and education, they will 26AN220 15 continue to be assisted in furthering their education, improving their work skills, and seeking better employment post- corps, leading to a life of self- sufficiency. The OCCC strives to help Corpsmembers enter the workforce successfully. The following career pathways have been listed as Orange County's top industries: Healthcare — Many Corpsmembers have obtained externships with CVS and Walgreens Pharmacies, exposing them to the field of healthcare. Other Corpsmembers have gone on to further their education in healthcare fields. One former Corpsmember graduated from American Career College as a dental assistant after having worked with an orthodontist while attending classes. The OCCC will continue to expose Corpsmembers to healthcare agencies through trips to local businesses, educational opportunities, and speakers and workshops at OCCC facilities. Medical Services —The OCCC will strive to expose Corpsmembers to the medical field and connect them with career certifications. The Superintendent of North Orange County ROP (NOCROP) is the Chair of the OCCC Charter School Board and has welcomed students to explore the certificate programs offered through NOCROP in medical administration and medical services, such as certifications in medical assistance and dental assistance. Transportation and Logistics — Corpsmembers have the opportunity to obtain certifications in forklift operation and truck driving through the OCCC or its partners. They get real -world experience by planning and executing OCCC projects around the county. Corpsmembers will participate in a large way in the expansion of the OCCC's waste management and recycling program to include oil, e- waste, and tire recycling. Hospitality and Tourism — Corpsmembers have a variety of opportunities in this field. Corpsmembers have the opportunity to receive food handler's licenses and National Retail Federation certifications in customer service. Externships, on -the- job training, and job shadowing opportunities through partners like Goodwill Industries, CVS and Walgreens Pharmacies, Costco, Dollar Tree, Smart & Final, and others provide hands -on customer service experience. A Corpsmember recently started an externship at a local hotel and spa. Corpsmembers have participated in a partnership with the Fullerton Arboretum and local social enterprise Monkey Business Cafe, which benefits foster youth, called "Farm to Table." Corpsmembers work both on the arboretum's farm and at the cafe, developing a strong connection between where food grows and the process involved in delivering it to the table. Government— Earlier this month, three Corpsmembers, the CEO, and the Director of Programs and Outreach went to Sacramento for the California Association of Local Conservation Corps (CALCC) Government Education Day. They met with senators and assemblymembers, toured the Capitol, participated in educational activities like developing a mock state budget, and learned about California's 2&AB22 1 16 government. They had the opportunity to engage with Corpsmembers from other conservation corps around the state and observed our state government at work. VII. Workshops (not a required element of the program) A. Describe the workshops that will be provided to youth. The OCCC provides workshops such as practice interviews, career exploration, personal finance, smoking cessation, parenting skills, customer service, job retention, resume preparation, communication skills, and many other topics. B. Will your agency provide any of the following workshops. If so, briefly describe the content of the workshops. 1. Financial Literacy/ Budget Management The OCCC Charter School provides an entire course on financial literacy. They discuss how to set up a checking and a savings account, how to create a budget, what an IRA is and how to set one up, the math behind compound interest, how to read the fine print on a credit card, how to establish and /or fix one's credit, car loans, and how to file income taxes. 2. Family Planning Planned Parenthood has offered workshops at the OCCC, discussing things like sexual health, birth control, pregnancy, and relationships. Parent -to- Parent has done parenting workshops at the OCCC, complete with childcare for participants' convenience. They discuss how to relate to your child, boundaries and discipline, and nurturing relationships with both children and partners. 3. Worker's Rights /Labor Laws The OCCC organizes visits to local labor unions to educate Corpsmembers about how labor unions operate. CalOptima recently presented a workshop on Covered California, providing information and support to both Corpsmembers and students. 4. Analytical Skills at the Workplace The OCCC provides many work readiness and career exploration workshops. Our Corps -to- Career Specialist and other staff provide workshops about job retention, resume writing, filling out applications, mock interviews, career exploration, and many others. During their OCCC orientation, Corpsmembers take the O *NET assessment to help them discover how their strengths and interests can connect to a career path. 5. Health Resources Besides family planning and parenting workshops, the OCCC provides workshops on health resources. The OCCC has provided workshops on smoking cessation and smoking's effect on the environment, tattoo removal services, substance abuse workshops, self- esteem and body image workshops, and many others. The OCCC would like to host a free X941 22 17 flu shot clinic in the future. Corpsmembers and students also receive referrals to other organizations for healthcare needs and information. C. Can your agency provide workshops on public speaking skills to the youth. The OCCC has sponsored public speaking workshops in the past and will continue to do so. For the annual OCCC graduation ceremony, students have the opportunity to audition to present a speech. OCCC and OCCC Charter School staff provides private and group coaching, and the selected students present their speeches at the graduation ceremony in front of several hundred people. D. Can your agency provide workshops on customer service skills to youth. The OCCC provides customer service training and certification through the National Retail Federation. VIII. Post - Secondary Education A. Specify how your agency will help youth enter post- secondary education (college, apprenticeship, vocational schools, career technical training, etc.). WIA Corpsmembers will obtain services necessary to ensure that youth will enter post- secondary education. Services include, but not limited to: • Support services; referrals for legal, medical, substance abuse, health, housing, family /personal guidance and counseling; help with books, clothing, other items needed for post- secondary education, advanced training, etc. • OCCC staff members serve as adults mentors • Access to the OCCC's computer lab, fax, voice mail, and printer for college applications, financial aid, on -line services • Transition assistance such as: vocational certification / education opportunities / school enrollment assistance B. How will your agency expose youth to the various post- secondary educational institutions (colleges, universities, vocational training schools, apprenticeships, etc.). The OCCC's organizational purpose is to empower youth and young adults to become self- sufficient members of their community. The OCCC accomplishes this by exposing WIA Corpsmembers to programs that provide opportunities for educational, professional, and personal development and provide the necessary skills to develop and maintain a positive work ethic. The intent of exposure to various post- secondary educational institutions is to provide a lasting foundation to enable youth to enter the workforce and be successful, productive, members of society. IX. Tutoring Note: YSPN providers are required to use the Test for Adult Basic Education (TABE) on ALL youth to assess their literacy and numeracy skills. Youth who score 8.9 and below are considered "basic skills deficient ". Youth that are basic skills deficient are required 2B -AuZ23 18 to improve their literacy or numeracy skills by at least one functional grade equivalency. A. Specify how your agency will provide tutoring or tutoring resources to youth that need to improve their literacy /numeracy skills. The OCCC Charter School teachers will interact with WIA Corpsmembers on a daily basis as they attend class five days a week, Monday- Friday, and provide additional tutoring as needed. Week -end work /school activities will be scheduled as needed and appropriate. The WIA Program Specialist (case manager) will meet at least monthly to monitor the participant's progress in meeting their Individual Service Strategy goals, and other work /school /personal issues that may arise. Other organizations such as social services, counseling centers, probation /parole, etc., may be providing outside support services as in -kind support for this proposal. Many WIA participants may come to the OCCC already involved is such services while others may be referred. The OCCC strongly believes in the All Youth, One System Concept which promotes networking with many outside entities to ensure all WIA Corpsmembers are linked to a variety of support services in the community. X. Mentoring /Support (not a required element of the program) A. Specify how your agency will provide mentoring to youth. OCCC staff members will meet daily with WIA Corpsmembers to deliver program components. Corpsmembers will be assigned to work in a crew which is supervised by one of the OCCC's Crew Supervisors. The Crew Supervisor will work Monday- Thursday with WIA Corpsmembers to complete assigned work projects. Other OCCC staff or interns meet with WIA Corpsmembers as needed for specialized trainings, workshops, or individualized follow up regarding work /school /personal issues that may arise. B. Specify what types of support your agency will offer youth who are facing challenging obstacles such as: family dysfunctions, mental health issues, substance abuse, low self- esteem, probation, gang issues, parenting issues, etc. WIA Corpsmembers will be provided with supportive services such as referrals for legal, medical, substance abuse, health, housing, family /personal guidance and counseling. C. Will your agency offer mental health services or referrals. Please describe. The OCCC refers Corpsmembers to other agencies for mental health related issues as needed. D. Will your agency provide supportive services to youth such as gas cards, bus pass, childcare assistance, etc.. If so, please describe and include the Supportive Service Policy as Attachment G'. The OCCC provides assistance with tools, books, clothing, other items needed for interviews, job requirements, advanced training, bus passes, and gas cards. Al E. Will your agency provide incentives to youth for accomplishing program benchmarks or personal goals. If so, please describe and include the Incentive Policy as Attachment K. XI. Leverage Funds (not a required element of the program) A. Can your agency leverage funds to offer a civic engagement opportunity to WIA youth and other youth in the community aside from WIA youth participants. The OCCC has a strong commitment to civic service. "Serve" is a foundation concept in the OCCC's mission. Participants' time at the OCCC is largely spent serving their communities. OCCC projects and on- the -job training opportunities cover Orange County: aiding recycling efforts, restoring its native habitats, protecting water supplies, and working on fee for service projects throughout the county. Corpsmembers and students leave the OCCC program with an understanding of our natural resources and why we must preserve them. B. What type of civic engagement opportunities will your program engage youth in. The OCCC already promotes civic engagement in its Corpsmembers through participation in community events. This year some of our youth assisted in hosting the 2013 Children's Water Education Festival held at the University of California, Irvine. The OCCC Corpsmembers operated the recycling stations throughout the festival, teaching children what to recycle and compost. They were able to empower other youth in our community to be environmentally conscious and learned important hands -on leadership skills. Through OCCC projects, Corpsmembers have a large community impact. Recently, through the Adopt -a- Channel project in association with Disneyland Resort, they have met important community leaders and contributed to removing over 2,000 pounds of debris and abatement of over 15,000 square feet of graffiti. Through the Sheriffs Department, Corpsmembers take pictures of the graffiti before its removal to help the Sheriffs Department record graffiti marks. This highly important project is environmentally beneficial in protecting our ocean and keeping our beaches clean. The OCCC will also be supporting Senator Lou Correa's Santa Ana River Conservancy, which will involve the restoration of the Santa Ana River, providing needed recreational opportunities, water quality protection, and land restoration to the Santa Ana community. The OCCC also has a partnership with local social enterprise Monkey Business Cafe as well as the Fullerton Arboretum in their "Farm to Table" program. Corpsmembers obtain externships through this partnership, in which they alternate growing produce on the arboretum's farm and cooking the harvest in the kitchen of the Monkey Business Cafe. This enriches the community and brings a stronger connection to the Earth for Corpsmembers and cafe patrons alike. OCCC students and Corpsmembers also have the opportunity to participate in field trips and educational outings. Last year students took a field trip to the Museum of Tolerance in Los Angeles, connecting them to history and fostering compassion for all people. Earlier this month, three Corpsmembers, the CEO, and the Director of 25DA"2U 20 Programs and Outreach went to Sacramento for the California Association of Local Conservation Corps (CALCC) Government Education Day. They met with State senators and assembly members, toured the Capitol, participated in educational activities like developing a mock state budget, and learned about California's government. The OCCC brings Corpsmembers to the California Workforce Association's annual Youth Conference, where they meet local and state leaders in workforce development, take part in career exploration, participate in workshops and peer mentoring, and network with a wide variety of professionals and leaders. The OCCC will continue to offer civic education opportunities like this for WIA and non -WIA youth in order to develop community engagement. C. How many youth will participate in the civic engagement opportunity. These opportunities will be open to all OCCC students and Corpsmembers. In addition, the OCCC will collaborate with other Santa Ana Youth Service Provider Network organizations to engage additional youth. D. Can your agency leverage funds to host work readiness type of workshops once per month at local after - school programs in Santa Ana, The OCCC is open to hosting work readiness workshops depending on the needs of the community. Our dedicated Santa Ana WIA case manager has already committed to facilitating a work readiness workshop in Santa Ana through his involvement with the Youth Service Provider Network on March 24th. This workshop will discuss how to expunge a criminal record and the importance of being responsible and punctual in the workplace. XII. Common Measures (refer to page 12 for definitions) A. Improve Literacy /Numeracy Skills -77.5% 1. Provide a visual aid, calendar, flow chart, or diagram that outlines the steps that will be taken to ensure that at least 77.5% of "basic skills deficient youth" improve their literacy or numeracy skills by at least one functional grade equivalency, no later than the exit date. B. Attain Employment or Enter Post - Secondary Education -83% 1. Provide a visual aid, calendar, flow chart, or diagram that outlines the steps that will be taken to ensure that at least 83% of youth attain employment or enter post- secondary education, no later than the first quarter after exit. C. Attain a Credential /Diploma /Certificate -59.1% 1. Provide a visual aid, calendar, flow chart, or diagram that outlines the steps that will be taken to ensure that at least 59.1% of youth will attain a credential /diploma or certificate, no later than the third quarter after exit. XIII. Prior Outcomes A. If your agency was previously awarded a WIA contract through the Santa Ana Workforce Investment Board please disclose your agency's past performance outcomes for the past 1 -2 years: rT a. COMMON MEASURES 2011 2012 (Example: 5 . 15 = 33 %) (Example: 5 _ 15 = 33 %) ' Increased Literacy /Numeracy Skills 14 _ 16 = 88 % 23 + 24 = 96 Entered Employment or Post - Secondary 8 — 16 = 50 % 9 22 = 41 % Attained Credential /Diploma /Certificate 1 11 14 = 79 % 1 18 = 20 = 90 XIV. Fiscal Competency A. Describe the process used to capture and report fiscal data. The OCCC is regularly monitored and audited by all funding agencies to assure compliance with grant budgetary and expenditure requirements, as well as having an annual independent audit by an outside CPA firm. Over the past five years, the OCCC has consistently received unqualified opinions on all of our annual audits conducted by an independent CPA firm. (Please see 2012 -13 audit results — Attachment Q.) With multiple revenue streams (federal, state, and local), the OCCC utilizes fund accounting to allocate, capture, and report fiscal data. Fund accounting allows expenses to be tracked and allocated to individual funding sources using a specific fund account and project code(s) for that fund account. The Santa Ana WIA contract will be assigned a specific fund number and a specific project code. All allowable expenses will be tracked using the assigned project code(s). Direct program costs such as staff time, WIA participants' salary, employer taxes, and other expenses will be tracked using the appropriate fund and project code(s) on time sheets. We have dedicated accounting software MIP500, timekeeping software NovaTime 3000, and payroll system M3 to manage our fiscal responsibility. We also have several customized program /grant- specific databases (such as the Virtual One Stop system), ClientTrack on -line database, internally developed forms and custom databases to track a wide variety of program and grant outcomes, are utilized. The OCCC reports fiscal data to the OCCC's Board of Directors on a monthly basis and invoices contracts on a monthly basis. The OCCC ensures accountability and that expenditures are appropriate and planned. In order for staff to submit a purchase request, it must first be determined that the purchase is within budget and which appropriate fund will be charged for the purchase. All budgets and line item accounts are tracked and maintained on a monthly basis for all OCCC contracts /grants /departments. All purchase requests are reviewed by the Chief Financial Officer before payment is made. Any Purchase Request that appears to be over budget or not planned will be flagged by the Chief Financial Officer and reviewed by the Chief Executive Officer for final disposition. The Chief Financial Officer reviews monthly financials with the entire management team and with the Board of Directors. AXL2 / 22 The OCCC invoices between the 20th and the 30th of each month for services provided in the previous month. Invoices are prepared by the Chief Financial Officer and approved by the Chief Executive Officer. All invoices are accompanied with proper supporting documentation. Once all costs for the month have been entered, an invoice is prepared along with all supporting documentation. B. Attach a copy of the organization's procurement policies and procedures as Attachment J. C. What systems are used to ensure fiscal accountability, appropriate expenditures, and planned costs. The OCCC uses MIP500 accounting software to track all our expenditures and planned costs. This grant will be assigned a unique fund number to track all financially related information. In addition to the accounting software, the OCCC also uses an Excel spreadsheet to track and present information to appropriate parties. Also built into our operation is the multi - layered approval process for any expenditure incurred. Financial reports are reviewed monthly to ensure we stay in expenditure compliance and within planned costs. D. Describe invoicing process and list qualifications of staff assigned to task. Invoices are prepared on a monthly basis by the Chief Financial Officer and approved by the Chief Executive Officer. Financial reports are generated out of MIP500 and then translated onto an Excel spreadsheet and formatted as required for the invoice. Supporting documentation is then gathered to support the invoice. The CFO has a Bachelor of Science degree in Business Administration; option in Accounting and minored in Economics, a Master of Business Administration emphasis in Finance and over 15 years of managing non - profit grants. The CFO has direct experience with the SAWIA grant for the past 6 years. E. Describe how your agency's financial stability is not dependent on WIA funds. The OCCC is well diversified in our funding base. The OCCC has an operating budget of more than $5.6 mil and more than 12 different sources of funding to ensure the overall operation will not suffer should we lose any single funding source or dependent of WIA funding. The OCCC has and will continue to work with our existing funders while continuing to explore funding opportunities, as we see an urgent need for our services. Submit most recent 2 years of audited financial statements as Attachment Qwith the Audited Financial Statement Form signed. XV. Subcontracting A. Subcontracting client services /activities is not permissible under this contract. However, if planning to subcontract non - client services such as payroll services, lease of equipment, etc., then please identify the subcontractor and the estimated cost for the services. B. None of the duties or work to be performed by the proposing agency shall be subcontracted or assigned to any other agency, consultant, or person without the 2'Sk-228 23 XVI XVII. XVIII. prior written consent of City. Proposing agency must submit all subcontracts and other agreements that relate to this Proposal to City. No subcontract or assignment shall terminate or alter the legal obligations of proposed program. Budget Narrative (2 pages maximum) Note: Budget Narratives will be reviewed to ensure that cost is justified and reasonable for the activities /services proposed, applicant is not solely relying on WIA funds, and that the program is leveraging funds from other resources. A. Budget Narrative should be included as a separate page, as Attachment A. Please summarize item 1(below) in the beginning of the budget narrative, then proceed with item B: 1. Identify the percentage of budget that will go directly to youth (work experience payments, directtraining, supportive services, etc.) versus the percentage of overhead and administrative costs. (ex: 50% of budget will be directly spent on youth in the form of work experience and training). B. Include a detailed narrative that outlines each line item listed on the Budget Form, Attachment B. C. At the end of the narrative please explain the pertinent documents /forms that will be used to track work experience compensation or participant incentives (i.e.: timecards, sign -in sheets, record logs etc.). Include the pertinent forms as Attachment J. Budget A. Use Budget Form Attachment B to outline the program's budget. (Excel version available upon request.) Note: The Budget Form will be reviewed for accuracy and completeness. All proposals will be reviewed for costs that are allowable under WIA, necessary, reasonable, and competitive, as measured by the review of the line item budget, the program design and the comparison to all other proposals. Attachments Note: please include and label each attachment according to the following order. A. Budget Narrative L. Assurances & Certificates B. Budget Form M. Certificate Regarding Debarment C. Letter of Support (partner agency) N. Certification Regarding Lobbying D. Letter of Commitment (employers) E. Work Based Learning Policy F. Incentive Policy G. Supportive Service Policy H. Incentive Policy I. Procurement Policy & Procedure O. Americans with Disabilities Act & Equal Opportunity Law P. Youth Protection Policy (if serving minors) Q. Audited Financial Statement Form R. IRS Form 990 S. Non - Profit Verification Form T. Audited Financial Statements (most recent) Program Documents, Logs, U. Audited Financial Statements (2nd most 2 j�T8229 24 Timecards, Records, etc. K. YSPN Member Performance Plan recent) V. Agency Experience Verification Form AAB� 10 25 Orange County Conservation Corps Santa Ana Workforce Investment Board —The Youth Service Provider Network Request for Proposal PY2014/2015 Local Partner List As Referred to in III.6. of Proposal EXHIBIT A 25A -231 26 0^ ]..L. S- 0 c _0 0 .N ,0 v ai 40 L XU L E W" L L M� W cu u c Q) W Q ^L' W L a L cu NW I..L. 0 .7" I m a V m h a Ib N Q• U °� T• F u U G d m 6' U. Q U Q U,[ fy ° h ,�4 °� W `pry° 'ti y ✓O a y 'yb U 'd ._. O J 4 N U N 0\ U O Oj N �f (yMVy AmYt 'i V G>• mU W us Y p y ry o ac M$ P7 79 Bi N q 7 C q '$ J °i i O .n •� n 'a" > c .°° d S 4 `� m �d F o ¢}� aU U c« U U•' av U'� .` .°•E 0�1 b ^ b � O 'x .�•� W K Qui. •9� � pz � '� 31.7 � G o v o O fx',Z US 'r�cti vi z 3z xz, o aa3 Cq v, q 0 us3mwN H w W E o fop O M �G3�° tl' M Vt M M M N r -.. try N N N .•� 0. O' °� N N �-+ N M O M M b O W h N r .-+ Q W O M W .-. 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P vUi P a a g v x o 0 0 o v C m N .J a0 o G O SI N U Vr O Cr COj MCI N v Ri V d ° °o b v b y °' e a °} s Gi a °�..�' i` 9 0• V q �«° gg N N' r F. N V U G Qa v ^# ° 2 �: Yr A F g j N U O y. G N °p G C N W `� o� U "5 o U Cr v' a O w .� O 3} E G g fi o fi a G v v d v m y fi v w �pp m v v u E v E v E v E d fi v 2R v 1 a° � x O S9 O xsxxx0x 'x6 x mx xxxx ST r "O a'3 oa B a PF G . '3 'F n a a a a G a a a a E ° x 11 M m n Orange County Conservation Corps Santa Ana Workforce Investment Board —The Youth Service Provider Network Request for Proposal PY2014/2015 Common Measures Flow Chart As Referred to in XII. A., B., & C. of Proposal 25 Am235 30 Outreach and Recruitment Orange County Conservation Corps -At -Risk Youth in Orange County Corpsmember Flowchart to Achieve Performance Outcomes - Organizations. Serving Youth -Collaborative Partners Assign Classroom, Case Manager, Crew Education Program OCCC Interview Process �^, // Youth - -Application &Interview Eligible for pr.. '`w Contacts OCCC - Motivation for Interest in Program Appropriate match? Review of Progress - Interest in Education - Support Services e - Life Skills Curriculum - Expectations Described - Paid Work Experience '. Enroll in OC Charter - Academic Remedlation ORIENTATION: School No High Initial Case Management Intake - Conservation Awareness - Begin work towards HS _,. School _ -Goal Clarification - Community Activism diploma Diploma - Development of Action Plan &ISP .� -Safety /First Aid (Optional for ISY) - Job Readiness - Progressive Skill Training - Planned Parenttood - Corps -to -Career Introduction With HIS Din loma -- - - -- -- Assign Classroom, Case Manager, Crew Education Program Training /Certifications Work Program Case Management -Tutoring & Skill Building Monthly Review - Job Shadowing & - Adult Menton -High School Diploma Review of Progress Mentorirg - Support Services e - Life Skills Curriculum Toward Performance - Paid Work Experience '. - Service Referrals - Academic Remedlation Outcome Goals -Job Tmi ring - Career Exploration - - Post Secondary - Positive Work Ethic - A.A. /N.A. Meetings Education Exposure - Job-Specific Skills -Field Visits - Progressive Skill Training - Planned Parenttood - Bonus Program Work Readiness - Tutoring & Skill Building .. ^ Life Skills e Training /Certifications Complet e - Forklift CAHSEE ?. - Safe Food Handier's Lic. - Customer Service Cart. - Chainsaw i - ITA Options - Driver License (Class B YES & C) N - CPR & First Aid Cc - Electrical 1 I IPI Certificate of - ,...zea s -'a -': u236 31 Corps to Career - Pre - Employment Skills - Career Exploration -Job Search Pro mm g "-deY Exit Program og - Resume update Elements ment3d... notice Fellow -up Tracking/ - Interview Skills Cc Services - Post Secondary Education Exposure - ,...zea s -'a -': u236 31 ORANGE COUNIY C:C;)NSFRVAT(ON C::()RP "bye Farn...Learn ... Serve... Tools to Olsten the Future! Purpose: toll free: (888) 641 -CORP (2677) www,hireyouth.org Orange County Conservation Corps Paid Work Experience Policy To establish guidelines for the paid youth work experience of any grant program governed by WIA regulations and to provide youth with meaningful work experience in order to assure the successful completion of our program. Eligibility: • An individual must be WIA eligible and enroll with Orange County Conservation Corps (OCCC) • An individual must have legal right to work in the United States and be able to furnish proof upon enrollment in the program • As it is with all WIA services, provision of services is not an entitlement. Placements: • All participants will start at a minimum of $8.00 /hr (effective 7/1/2014 this minimum will increase to $9.00 /hr) and will be provided with WC benefits. • All participants will work up to 28 hours per week. • All placements will be made based on the individual interest and plans developed with Case Manager to support the youth in the career exploration and achievement of their goals. Placements will be available on OCCC crews and worksite partner organizations. Roles and Responsibilities: Case Manager is responsible for: • Assessing and keeping record of youth's work experience needs and placements. • Inform participant of the OCCC policies and formal procedures. • In collaboration with the Corp -to- Career Specialist and other staff, refer youth to placements. • Providing counseling and guidance. • Monitoring worksite compliance of labor laws and compliance with job description duties. • Participant is responsible for: • Providing necessary documentation to asses eligibility and maintain legal right to work throughout duration of the program involvement. • Follow OCCC;s procedures and protocols EXHBIT A 25A -237 ORANGE COUN I Y C')NSE'kVXI` ION CORPS Respect and cooperate with supervisor and fellow co- workers. Perform the very best of his /her abilities. Report and incidents or accidents to the supervisor and /or Case manager. Corps -to- Career Specialist is responsible for: • Managing relationships with worksite representatives. • Ensure all proper MOUs and in place and all policies are followed. • Monitor activates of youth at worksites. lflxT2`38 C:} Io hJ C:.; E - UN CONSERVATION CORPS Earn... Lean... Serve... Tools to Green the Future! Orange County Conservation Corps Supportive Services Policy and Procedures Purpose: To establish guidelines for the issuance of support services to participants of any grant program governed by W.I.A. regulations, who are identified in need of such services, it order to assure the successful completion of our program. Reference: W.I.A. Regulations: 663.805: Support services may only be provided to individuals who are: a. Participating in core, intensive or training services. b. Unable to obtain supportive services through any other programs providing such services. c. When they are necessary to enable individuals to participate in the WIA program. Procedures: ELIGIBILITY: 1. To request and receive support services, an individual must be WIA eligible and enrolled with the Orange County Conservation Corps (OCCC). 2. Support Services will be made available to participants while they are in any facet of WIA services contingent upon need and approval. 3. As it is with all WIA services, provision of support services is not an entitlement. AVAILABILITY OF FUNDS AND ASSESSMENT OF NEED: 1. All Support Services not offered through OCCC are processed on a reimbursement basis. 2. Support services are delivered contingent upon availability of funds and given on a first come, first serve basis. 3. Initial assessment of need will be determined by the Case Manager. The assessment will be recorded on the Individual Service Strategy (ISS)/ My Action Plan (MAP) form and continuously reviewed on a monthly basis. 4. Support services are available to those participants who have no other way to meet needs and have expressed the need to the Case Manager. �r '' Earn... Learn... Serve.., Tools to Green the Future! SUPPORT SERVICES PROCESSING 1. Case Manager is responsible for: a. Assessing and recording needed services on an ISS form. b. Informing participant of support service policy and the required documentation needed to justify services. c. Referring participant to other supportive services offered outside of OCCC's program. d. Reviewing and approving most reasonable estimates. e. Keeping a log of all supportive services received by each participant with a running total value. f. Filing copies of receipts for supportive services (when applicable) in the participants' files. g. Collecting and reviewing all invoices /statements for accuracy. h. Submitting check request to Executive Director for approval. 2. Participant is responsible for: a. Procuring services referred by Case Manager and not provided through OCCC. b. Providing Case Manager with Invoice /statements for reimbursement. 3. Director of Programs is responsible for: a. Reviewing all Voluntary Deduction Agreements before submittal to the finance department and ensures that no deduction is submitted for an initial issuance to a grant funded participant. 4. Chief Executive Officer is responsible for: a. Reviewing and approving invoices /statements for payment. 5. Chief Financial Officer is responsible for: a. Verifying the availability of funds and notifying the Case Manager. b. Processing payment. Support Services: TRANSPORTATION SERVICES 1. Bus Passes a. Only one 30 -day bus pass will be issued per month. b. In the event the participant loses a bus pass, the participant will be charged for the cost of the replacement, except at the discretion of the Case Manager. EXHIBIT A 18 53 north rayrnund aven�.Iv aitaheirn, ca!ffHAA240s8s.641.£`ORP (26'77) 1 www.hirey< (At h,org C;�N'311'VA'C "ION CORPS Earn... Learn... Serve... Tools to Green the Future! c. Case Manager is responsible for issuing the bus pass and completing the information necessary on the bus pass log, the bus pass receipt form and the voluntary deduction agreement form if applicable. d. Copies of the bus pass receipt (and voluntary deduction agreement, if applicable) will be kept in the participant file. 2. Gas Card a. Only one gas card will be issued per month. b. In the event the participant loses a gas card, the participant will not receive a replacement. c. Case Manager is responsible for issuing gas card and completing the information necessary on the gas card log, the gas card receipt form. In order to receive a new gas card, proof of use for the old one must be presented. d. Copies of the gas card receipt will be kept in the participant file. CHILD CARE SERVICES: 1. Participant must be in need of child care for children under the age of 12. 2. An approved childcare provider can be licensed or non - licensed. Licensed childcare providers can be either licensed family day care homes or licensed childcare centers. Non - licensed can be a close adult relative or family friend whom is caring for the participant's child or children. 3. For licensed childcare providers, participant must provide the OCCC with their state license LID number. 4. Three quotes are required before selection of a licensed child -care provider. The most reasonable bid will be accepted 5. For a non - licensed home care, participant must submit a copy of provider's social security card and picture I. D. Participant must also provide a receipt for services provided. 6. Participant must submit copies of birth certificates for all children being cared for. 7. Reimbursement will be made directly to the participant when all proper supportive documentation is received. 8. Reimbursement for childcare services will be made on a monthly basis. The first payment will be made after the childcare service has been provided for one month. 9. No payment for childcare will be made to non - licensed providers for days which the participant has absences. 10. Holiday Pay —The OCCC observes 11 holidays per year. During this time the OCCC will not pay for childcare. If there is a conflicting holiday, the participant is responsible for child care. 11. Sick -Days — Payment will be paid to licensed childcare providers for up to 5 consecutive days when child is sick. A doctor's note will be required to verify the status of the child's health. If child is sick for a period longer than 5 consecutive days it is then the responsibility of the participant to notify the childcare provider and /or pay. 12. No payments for childcare will be made to licensed childcare providers, for days, which the participant has unexcused absences or is on suspension. The OCCC attendance policy and disciplinary procedure is defined in the OCCC corpsmembers handbook. EXHIBIT A 1853 north rsymond avenue I anflielm, r.ali2SAQ241 888,641.<:ORP (2677) 1 www.hireyout:h.org (_{)l,JN'rY CONSERVATION (:t`:)RPS Earn... Learn.., Serve... Tools to Green the Future! 13. Pay Rates — The Orange County Conservation Corps using WIA governed grant funding will pay rates based on the most recent Regional Market Rate Ceiling for California Childcare Providers issued by the California Department of Public Social Services. OTHER (i.e.; tools, uniforms, car repair) 1. Other miscellaneous expenses not covered above are included in the support services matrix below: SUPPORTIVE SERVICES MATRIX EXHIBIT A 1853 north mymond aVO.Mle I ,anaheino, ct )llf25Ae?42£i8£.',.Fi41.( -ORI" (2677) 1 www.hiroyouth.org MAXIMUM SUPPORTIVE SERVICES POLICY AMOUNT An estimate is required for any repair. If an estimate is unavailable, a waiver is required. A number of AUTO REPAIRS $500.00 small repairs may be paid if supported with written justification but the cumulative cost may not exceed the maximum amount. Reimbursement for books that is essential to participant completing $400.00 college or vocational training courses. Courses must result in BOOKS Twice yearly, not to exceed credential attainment or employment maximum earnings gain. Request for reimbursement must be accompanied by an itemized receipt and written justification for request $200.00 Certificates must be state CERTIFICATES /LICENSES recognized and attained to become One time only employed. Will be based on the most Paid monthly directly to the provider. recent Regional Market Rate Three quotes required from licensed CHILD CARE Ceiling for California Childcare childcare provider. Maintain Providers issued by the documentation on California Department of Public attendance /progress in participant Social Services. file. CLOTHING /SHOES /UNIFORM $400.00 Written justification must be provided by an itemized receipt from a store EXHIBIT A 1853 north mymond aVO.Mle I ,anaheino, ct )llf25Ae?42£i8£.',.Fi41.( -ORI" (2677) 1 www.hiroyouth.org C.wiRi?&,KJE COUNTY CY C(.)NiE(:`JA ION t OF',1'S Earn... Learn... Serve... Tools to Green the Future! EXHIBIT A 'I85:3 north raymond avenue I anaheim, cal!26SA4438 8£ 641.CO RP (2677) 1 www.Iiire.yc7uYhi.org As needed, not to exceed such as one of the following: K -Mart, maximum Marshalls, Plus Size Woman, Ross, Sears, T.J. Maxx, Target, Kohl's, and Wal -Mart. WIA funds should be used as the last resort. The cumulative cost may not exceed the maximum. $30.00 Printout of California driving record if DMV PRINTOUT needed during documented job Two per year search as condition of employment. $675 broken down as follows: Drug Screening ($25) An estimate is required for any Eye Exam /Glasses or Contacts health service. If an estimate is ($200) unavailable, a waiver is required. HEALTH SERVICES Participant may receive more than Hearing Exam /Aid ($150) one health service if supported with written justification, but the Dentistry ($300) cumulative cost may not exceed the One time only except for drug maximum amount. screening as needed for employment. Written justification for TOOLS $300.00 - One time only reimbursement must be accompanied by an itemized receipt from store. TRANSPORTATION: per day. See Policy for MILEAGE /BUS PASSES /GAS bus passes. bus p asses. See policy CARDS EXHIBIT A 'I85:3 north raymond avenue I anaheim, cal!26SA4438 8£ 641.CO RP (2677) 1 www.Iiire.yc7uYhi.org W.I.A. Regulated Grant Funded Incentive Policy Purpose: Reward youth for attainment of WIA performance outcomes and /or key benchmarks toward those outcomes (including but not limited to attainment of employment skills and goals, mastering competency levels, participating in unpaid career exploration activities, etc.); Encourage youth to enroll and remain in activities throughout program duration, including the 12 -month minimum post -exit follow up phase; and Provide an incentive for youth to take an active role in their community by engaging them in leadership and community service projects, REFERENCES: Workforce Investment Act Section 129 (a) (5) Procedures: An incentive is a payment to a WIA youth participant for the successful achievement of expected outcomes. The incentive must be linked to an achievement and must be tied to training and education, work readiness skills, and /or occupational skills attainment goal as identified in the Individual Service Plan (ISP). Such achievements must be documented in the participant's file as the basis for an incentive payment. Incentives may be awarded for, but are not limited to, the following goal accomplishments: • Attainment of skill goal (basic skills, work readiness, and /or occupational goal) Attainment of degree or recognized certificate Placement in employment or education (See attached CM Incentive Request Form for all applicable incentives) All WIA Youth Contractors who implement a youth incentive plan should ensure the following: 1. All incentive payments must be relevant to the results of the objective assessment of each participant's ISP. 2. All incentive details must be specified in the participant's WIA Incentives Log, including the amount that was provided, the funding source used and the participant's acknowledgement of receipt. 3. Participant records (ISP /Case Notes /Incentive Log) and financial records pertaining to incentive payments must be made available for review by local, state, and federal monitors and must meet financial management standards in WIA including enough information to provide: • A comparison of actual expenditures with the budgeted amounts of each contract. 29XIT244 ORANGE COUNIY CONSERVATION N COlUIS • Support for accounting records to ensure proper charging of costs and cost allocation. 4. Incentives shall not exceed $500.00 per participant during the participant's enrollment in the program, including the post -exit follow -up phase. Incentive Services Processing Program Specialist is responsible for: a. Assessing and recording needed services. b. Informing participant of incentive services policy and the required documentation needed to justify services. c. Referring participant to other supportive services offered outside of OCCC's program. d. Keeping a log of all incentives services received by each participant with a running total value. e. Filing copies of proof of attainments of goals for incentive services (when applicable) in the participants' files. f. Collecting and reviewing all documentation for accuracy. g. Submitting the Incentive Request From for review and approvals. Participant is responsible for: a. Obtaining services that are referred by Program Specialist but not provided through OCCC. b. Securing proof of goal attainment to receive'an incentive. 2. Director of Programs is responsible for: a. Reviewing all Incentive Requests before submittal to the finance department. 3. Executive Director is responsible for: a. Reviewing and approving invoices /statements for payment. Fiscal Officer is responsible for: a. Verifying the availability of funds and notifying the Program Specialist and the Director of Programs. b. Processing payment. Other: All incentives are optional and are not required. All incentives will be provided at the discretion of the Director of Programs and /or other Executive Staff. 216W L4) 5 YSPN MEMBER PERFORMANCE PLAN 2014-2015 WIA YOUTH POPULATION MW t 0 N R KIA409 ENO- , uj- 7TUFFEF 18 -21 8 25 25 .1 "Mm PROJECTED ENROLLMENTS & EXPENDITURES (NOTE: 75% OF YOUTH MUST BE ENROLLED BY 2N° QUARTER-DECEMBER 31, 2014) U, R W , r; 'M! Vorl as 'r ; uj- ,+ .1 "Mm 74"'N", 15 $50,000 ZU 6. Leadership development opportunities, which may leading to completion of secondary school, i include e community service and peer-centered activities Or V ;1 10 $50,000 encouraging responsibility and other positive social fU behaviors during non-school hours, as appropriate; $50,000 2. Alternative secondary school services, as x x 7 7. Supportive Services (e.g. tools, books, clothing, etc.); _N MMK' I g il m%x0 j, —, �'b $50,000 3. Summer employment opportunities that are x INOW 25 $200,000 p7p mil AIR 050, t MR 'M P 1. Tutoring, study skills training, and instruction, x x 6 6. Leadership development opportunities, which may leading to completion of secondary school, i include e community service and peer-centered activities x i including dropout prevention strategies e encouraging responsibility and other positive social behaviors during non-school hours, as appropriate; 2. Alternative secondary school services, as x x 7 7. Supportive Services (e.g. tools, books, clothing, etc.); x 2 appropriate; 3. Summer employment opportunities that are x x 8 8. Adult Mentoring for the period of participation and a x d directly linked to academic and occupational s subsequent period, for a total of not less than 12 learning (this element cannot be offered as a m months; stand-alone activity); 4. As appropriate, paid and unpaid work X X 9 9. Follow-up services for minimum of 12 months after x e experiences, including internships,job shadowing; t the completion of participation as appropriate; and 5. Occupational skill training, as appropriate; X X 1 10. Comprehensive guidance and counseling which x m may include drug and alcohol abuse counselling and referral, as appropriate. mil AIR COMPLAINT HANDLING UNDER THE WORKFORCE INVESTMENT ACT SANTA ANA WIA Santa Ana Local Workforce Investment Area Revised May 7, 2009 EXHIBIT C 25A -247 Table of Contents I. Information Regarding Complai A. Nondiscrimination and Equal Opportunity Complai 1. Policy 2. Civil Rights 4 3. Nondiscrimination laws under WIA 4 4. How to File Your Complai B. Criminal Compl II. General Procedures for Handling Non - Criminal Violations of the Act 6 III. Procedures for Handling Complaints at the LWIA Level 8 IV. Procedures for Handling Complaints at the State Level 12 V. Procedures for Handling Discrimination Complaints by Participants 15 VI. Procedures for Handling Handicap Complaints by Participants 17 GLOSSARY OF WIA TERMS e Information Regarding Complaints A. Nondiscrimination and Equal Opportunity Complaints 1. Policy Statement In carrying out the purpose of the Workforce Investment Act (WIA), the City of Santa Ana Local Workforce Investment Area (LWIA) will establish programs to prepare youth and unskilled adults for entry into the labor force and to afford job training to those individuals facing serious barriers to employment. Every effort will be made to provide services necessary for eligible individuals to obtain productive employment. In implementing WIA, all contractors in the Santa Ana LWIA will foster equal opportunity and non - discrimination, as provided in State and Federal equal opportunity and non - discrimination laws including, but not limited to: • Title VI of the Civil Rights Act of 1964 • Title VII of the Civil Rights Act of 1964 • The Age Discrimination Act of 1975, as amended • Section 503 of the Rehabilitation Act of 1973 • Section 504 of the Rehabilitation Act of 1973 • Title IX of the Education Amendments of 1972 • Section 188 of the Workforce Investment Act of 1998 In keeping with our commitment, no individual shall be excluded from participation in, denied benefits of, subjected to discrimination under, or denied employment, in the administration or of in connection with any WIA funded program because of race, color, religion, sex, national origin, age, handicap, or political affiliation or belief. Participation in programs and activities financially assisted in whole or in part under WIA shall be open to citizens and nationals of the United States, lawfully admitted permanent resident aliens, lawfully admitted refugee, parolees, and other individuals authorized by the Attorney General to work in the United States. No individual will be intimidated, threatened, coerced, or discriminated against because of filing a complaint, furnishing information, or assisting or participating in any manner in an investigation, compliance review, hearing or any other activity related to the administration of WIA. Administration responsibility for this Equal Opportunity /Affirmative Action (EO /AA) Program is delegated to the Equal Employment Opportunity (EEO) Officer for the Santa Ana local Workforce Investment Area. Equal opportunity and non- discrimination, however, will only be achieved through leadership and implementation of a viable Affirmative Action Equal opportunity Program. 2. Civil Rights No one applying for or enrolled in the Workforce Investment Act (WIA) programs may be discriminated against because of race, color, creed, handicap, national origin, sex, age, political affiliation, or beliefs, This means that – for any of the characteristics listed above: • You may not be denied the opportunity to enroll in WIA. • No benefits or services may be denied you for discriminatory reasons. • You may not be segregated or treated any differently from other applicants or participants, while you are being registered, interviewed, counseled or tested; or while you are working or attending classes as part of the program. • You must be provided an equal chance to use all facilities available in the program. • Fair employment practices must be provided to all staff with regard to recruiting, hiring, transferring, promotions, training, compensation, benefits, layoff, and termination. You have the right to make a complaint if you feel you have been denied any of the above opportunities. You cannot in any way be penalized for filing a complaint. Your WIA sponsor has established a mechanism for handling complaints and grievances. Your complaint must be filed within 180 days. All complaints will be handled confidentially. 3. Nondiscrimination Laws under WIA Title VI of the Civil Rights Act of 1964 Prohibits discrimination on the basis of race, color, national origin, or religion. The Age Discrimination Act of 1975 Prohibits arbitrary discrimination against persons age 40 -70. The Rehabilitation Act of 1973 M—MR, Prohibits discrimination based on handicap. Title IX of the Education Amendments of 1972 Prohibits discrimination in any education or training program or activity receiving federal financial assistance. OTHER CIVIL RIGHTS LAWS: Title VII of the Civil Rights Acts of 1964 Prohibits discrimination in employment based on race, color, religion, sex, or national origin in all terms and conditions of employment and establishes the Equal Employment Opportunity Commission as the administrative agency. White House Executive Order no. 11246 as Amended by Executive Order No. 11375 Creates the office of Federal Contract Compliance and prohibits discrimination based on race, color, sex, religion, or national origin. Department of Labor Secretary's Order no. 4 -73 Prohibits discrimination based on sex. Equal Pay Act of 1963 Prohibits pay differential solely because of sex. Emergency Employment Act of 1971 Prohibits discrimination based on race, creed, national origin, political affiliation, or beliefs. 4. How to File Your Complaint a. Put your complaint in writing. b. Have it sworn to before a notary public, if possible. c. Provides details that tell what happened, where it happened and when it happened. d. Give the name and addresses of all persons who were present or who had anything to do with the matter. ...Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation and citizenship, must be filed within 180 days of the alleged occurrence directly with: 2%AB'181 Director Civil Rights Center U.S. Department of Labor, Room N -4123 200 Constitution Ave., NW Washington, D.C. 20210 Complaints on the basis of handicap must be filed within 180 days of the alleged occurrence. These complaints must be filed directly with the WIA administrative entity. The WIA administrative entity shall issue a written decision within 30 days of the filing of the complaint. If the complaint is still unresolved, an appeal may be made to the Chief of State Workforce Investment Division Office. The Department of Labor, the Civil Service Commission, the Equal Employment opportunity Commission, and many other offices and agencies are committed to assuring equal employment opportunities for all persons. They will protect you. A case may be taken to court if the other processes do not yield satisfactory results. You may hire your own lawyer, or if you cannot afford one, the court may appoint one for you. It is unlawful for an employer, union, or employment agency to punish you or any witness for attempting to present the facts in a case. YOUR CIVIL RIGHTS UNDER THE WORKFORCE INVESTMENT ACT Santa Ana Local Workforce Investment Area 1000 E. Santa Ana Blvd., Ste 200 Santa Ana, CA 92701 (714)565 -2600 B. Criminal Complaints In accordance with the WIA (P.L. 105 -200) and the implementing code of Federal section 667.600.... Federal handling of criminal complaints and report fraud, abuse and other criminal activity. "All information and complaints involving fraud, abuse or other criminal activity shall be reported directly and immediately to the City of Santa Ana and the Secretary of Labor." I I. General Procedures for Handling Non - Criminal Violations of the Act The following procedure is promulgated to meet the requirements of Title 20, of the Code of Federal Regulations, Section 667.600 through 667.640 of the WIA regulations, and Section 181(c) of the Act (Public Law 105.200: 29 U.S. Code Sec. 2931 et seq.) at the State and LWIA I M IN level for the receipt, investigation, hearing, and resolution of complaints by WIA participants, sub recipients, applicants for participation, or financial assistance, labor unions, community based organizations, or any other persons. These procedures provide for resolution of non - criminal complaints arising from the operation of the Santa Ana LWIA. A complaint is defined here as a written expression by a party alleging a violation of the Act, regulations promulgated under the Act, recipient grants, sub agreements, or other specific agreements under the Act, including terms and conditions of employment of such participants in employment training programs. All complaints, amendments and withdrawals shall be in writing. These procedures are intended to resolve matters which concern policies, procedures or action(s) arising in connection with WIA programs operated by each LWIA grant recipient and sub recipient under the Act. These procedures shall not be construed as affecting any other available legal remedy outside of the WIA complaint process (i.e., disputes regarding terms and conditions of employment of any employee who is not a participant), either separately or simultaneously, that a person may wish to pursue in the resolution of a non -WIA complaint. Also, these procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion Procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion and resolution of any problems outside of and without resort to the formal complaint procedure. A. The following principles and rules apply to all complaints at all steps of the complaint procedures: All complaints must be made in writing within 180 days of the alleged occurrence, except complaints alleging fraud or criminal activity. 2. All persons filing a complaint shall be free from restraint, coercion, reprisal, or discrimination. Good faith efforts shall be made to informally resolve the complaint prior to the scheduled hearing. Complainants have the right to withdraw their complaints (in writing) at any time prior to the hearing. A complainant may amend his /her complaint to correct technical deficiencies but not to add issues. 3. Complainants shall have the right to be represented at their own expense by person(s) of their choosing at all levels of the complaint process. 4. Upon enrollment into employment or training, participants shall be provided with written description of these procedures, including notification of their right to file complaints and instructions for filing. An employer of participants, including private- for - profit employers of participants, may use this or other complaint resolution procedures so long as the participant is informed of the complaint resolution procedure they are to follow and the time frames governing review of complaints are met. A "participant ", within the meaning of these procedures, is an individual who receives employment- training services under a program funded by Santa Ana LWIA. The Complaint Resolution Procedures contained herein (or the alternative procedures which an employer may use) shall be available to participants to resolve disputes regarding items and conditions of employment of such participants in employment training programs. However, such procedures shall not be used to resolve disputes regarding terms and conditions of employment of any employee who is not a participant, as defined herein. If a complaint does not receive a decision at the LWIA grant recipient level within 60 days of filing the complaint or receives an unsatisfactory decision, the complainant then has a right to request a review of the complaint by the Governor. 6. Complainants must initially file and exhaust LWIA grant recipient /hearing procedures prior to appealing to the State except where the State determines that the LWIA grant recipient's procedures are not in compliance with the State's procedures. III. Procedures for Handling Complaints at the LWIA Level A. Receipt Complaints Pursuant to the WIA regulations found at 20 CFR, Section 667.600, the LWIA administrative entities have the responsibility to conduct hearings and resolve complaints made by individuals about the administration of programs in the LWIA. "LWIA level" encompasses LWIA administrative entity and employers to which the administrative entity has delegated the complaint resolution process. The following comprise the guidelines for resolving issues arising in connection with WIA programs operated by the Santa Ana LWIA including resolutions of complaints arising from actions, such as audit disallowances or the imposition of sanctions taken by the Governor with respect to audit findings, investigations or monitoring reports. 1. Form and Filing of Compliant Official filing date of the compliant is the date the written complaint is received. The filing of the complaint with the Santa Ana LWIA Equal Employment Opportunity Officer shall be considered as a request for hearing and a decision must be issued within 60 days. The complaint must be in writing and must be signed and dated. The complaint should also contain the following information: a. Full name, telephone number, if any, and mailing address of the complainant; b. Full name, telephone number, and mailing address of the agency involved (respondent); c. Clear and concise statement of facts including dates constituting alleged violation; 2W284 d. What provisions under the Act, regulations, grant or other agreements under the Act, are believed to have been violated; e. Remedy sought by the complainant; and If the complainant is a private or public entity or corporation, and not a natural person, the filing of the complaint must be duly authorized by the governing body of such entity or corporation. The absence of any of the requested information shall not be a basis for dismissing the complaint. A copy of the complaint must be sent to the respondent and both parties notified of the opportunity for an informal resolution. At each step of the complaint process, the complainant must be notified in writing of the next procedural step. 2. Informal Conference Informal conferences will be utilized by the Santa Ana LWIA to resolve complaints; however, such informal conferences shall not extend the time within which a decision must be issued after receipt of a complaint. Attempts at informal resolution will commence with two (2) weeks of the date of filing of the complaint. a. The EEO Officer will review the case and ascertain facts prior to the conference so that appropriate resolution can take place at the time of this meeting whenever possible. Although the complainant should be encouraged to attend this conference, his /her failure to do so should not preclude his /her right to request a hearing on the matter. c. If mutually satisfactory resolution results and the Santa Ana LWIA concurs, the EEO Officer will write a brief report for the file stating the issues and resolution. The matter shall then be considered closed. d. If resolution does not result, the complainant shall be provided the necessary information and assistance to request a hearing if he /she so desires. 3. Request for Hearing a. As in the case of the complaint, the request for a be filed in person or by mail. A governing board should also be submitted when appropriate. The Anita Queen Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive, M -24 Santa Ana, CA 92701 (714) 647 -5157 2SAT285 hearing should be put in writing and resolution of authorization to appeal request should be filled with: b. A hearing will be scheduled by the EEO Officer within thirty (30) days of the date of filing of the complaint. 4. Notice of Hearing Upon receipt of the request for hearing, the complainant and the respondent will be notified in writing of the hearing ten (10) calendar days prior to the date of the hearing. The ten -day notice may be shortened with the written consent of the parties. A decision will be issued by the Santa Ana LWIA within sixty (60) days of the date of filing of the complaint. The hearing notice shall be in writing and contain the following information: a. The date of notice, name of the complainant, and the name of the party against whom the complaint is filed. b. The date, time and place of hearing before an impartial hearing officer. c. A statement(s) of the alleged violation(s) d. Advise as to where information or assistance may be obtained, and the name, address, and telephone number of the Santa Ana LWIA Equal Employment Opportunities (EEO) Officer who can answer inquiries. B. Conduct of Hearing The hearing shall be conducted in an informal manner with strict rules of evidence not applicable. Unnecessary technicalities should be avoided. It should provide the flexibility to enable adjustment to the circumstances presented. The hearing officer shall have complete independence to obtain facts and make decisions. The hearing officer shall be in a position to render impartial decisions and thus should not be subordinate to the Santa Ana LWIA or its sub recipients. The hearing officer will be selected from a list of names on file with the EEO Officer. 2. Full regard must be given to the requirements of due process to insure a fair and impartial hearing. 3. The hearing office designated by the EEO Officer to function in a quasi - judicial capacity should begin the hearing by summarizing the record and the issue and should explain the manner in which the hearing will be conducted, making sure that everyone involved understands the proceedings. Such explanations should be adapted to the needs of the specific situation. The hearing officer might take testimony under oath or affirmation to give some assurance of veracity to the hearing. io 29*1286 4. The burden of proof should be reasonable and flexible, dependent upon the circumstances of the case involved. The hearing officer determines the order of proof. Generally, the party making the complaint has the obligation of establishing his or her case and should be examined first. The party involved should have the right to be represented (at their own expense) if he /she so desires. Other he /she is limited to his /her own abilities and those to the hearing officer in obtaining testimony in the case. 6. It is important that the hearing officer obtain the fullest information for the record. If the parties involved, or their representatives, do not know how to ask the right or pertinent questions in pursuing their right to due process, it shall be necessary for the hearing officer to step in to have all the materials and relevant facts elicited. The practice in informal hearings is generally not to apply strict rules of evidence in obtaining facts. However, the quantity of evidence required to support a decision on an issue should be sufficiently credible that the state (or other appropriate agency), upon reviewing the decision, would conclude that the decision is supported by substantial evidence. 8. The hearing officer should attempt to negotiate a resolution of the issue at any time prior to the conclusion of the hearing. 9. Within ten (10) days of the conclusion of the hearing, the hearing officer will issue a recommended decision to the LWIA for final determination. The recommended decision shall be in writing and may be accepted, rejected or modified by the Santa Ana Workforce Investment Board. C. Issuance of Decision Within sixty (60) calendar days of filing of the complaint, the Santa Ana LWIA shall issue a written decision to all parties by first class mail. The final decision shall contain the following information: 1. The name of the parties involved. 2. A statement of the alleged violation and issues related to the alleged violation. 3. A statement of the facts. 4. The decision and the reasons for the decision. 5. A statement of corrective action, if any, to be taken. 6. Notice of the right to request, within ten (10) calendar days of receipt of the decision, a review of the decision by the State Review Panel. D. Record of Hearing p� 11 2'M28% An administrative file containing support documents on the complaint resolution process hearing conducted will be retained by the Santa Ana LWIA. The purpose of a record is to serve as substantiation of the process followed by the Santa Ana LWIA on the resolution of the issues and the results. This information would then be available for subsequent review in the event the matter is raised with the State. Such records must be retained for a three - year period after the grant has been officially closed out. The Santa Ana LWIA's written decision will be included in the record. Evidence received at the hearing, notes by the hearing officer, stenographer's notes and tape recordings may also be used. E. Establishment of Complaint Procedures In accordance with Section 667.600, each employing agency including private- for - profit employers of participants under the Act is required to establish a complaint procedure for resolving matters relating to the terms and conditions of employment. Employers may operate their own grievance system or may utilize the Santa Ana LWIA's established procedures under Section 667.600. At a minimum these procedures must include: Written notice, upon enrollment into employment training services, of the scope and availability of such procedures. Employer's grievance procedures shall be set forth in a written document and must meet the regulation mandate that a complaint will be resolved with sixty (60) days from the date the complaint was filed. A copy of employer's grievance procedure shall be provided to each participant upon enrollment in employment training. 2. Written notice, at the time the grievance is filed, of the procedures under which the grievance will be processed. 3. Written notification of the disposition of the grievance and a written decision shall be issued within thirty (30) days of the filing of the grievance unless a present and long established grievance specifically provides other limits; and 4. Written notification of the participant's right to request a review of the employer's decision by the Santa Ana LWIA and the State Review Panel in accordance with Section 667.600. IV. Procedures for Handling Complaints at the State Level Section 181 (c) of the Act and the WIA regulations at 20 CFR, Section 667.600 (d) requires the Governor to establish a State Review process of complaints filed at the LWIA grant recipient level and of complaints initially filed at the State level. Appeals of decisions issued at the LWIA level including audit disallowances and sanctions shall be reviewed by the State Review Panel. The State Review Panel shall review the record established at the LWIA level and shall issue a decision based on the information contained therein. 12 rT� Complaints which may be initially filed at the State level will be heard by an independent hearing officer designated by the State Workforce Investment Division (WID). The hearing officer shall conduct a hearing and issue a recommended decision to the State Panel. The recommended decision shall be in writing and may be accepted, rejected or modified by the State Review Panel. A. Form and Filing of Complaint. 1. Request for State Review of LWIA Level Decisions On receipt of a complainant's request for review because of an unsatisfactory decision, the State shall provide for an independent state review. 2. Filing of Requests for State Review The State Review Panel shall review all LWIA level decisions when a request for review is filed within 10 days of receipt of the adverse decision. Such requests must be filed in writing with the Chief of the WID Office. The request for review should contain the following information. a. Full name, address, and telephone number of the party requesting the review b. Full name, address, and telephone number of the other party c. A copy of the decision d. Brief statement of reasons for review or the section of the LWIA decision to be reviewed including regulatory and statutory citations e. A statement of the relief sought. 3. Complainant Responsibility It is the responsibility of the complainant to include in the request for review a written statement setting forth the facts presented at the LWIA hearing which support the requested relief. The Chief, WID, shall mail a copy of the request for review to the other party and to the LWIA. It shall be the responsibility of the LWIA to submit the complete record including a typed record of the hearing to the Chief, WID, within ten (10) days. B. Conduct of Hearings. 1. Request for Hearing at the State Level If no decision has been issued at the LWIA level or the State has determined an audit disallowance or imposed sanctions, the complainant may request a hearing. The 13 2 %X!289 hearing officer will then issue a recommended decision to the State's Review Panel for final determination. 2. Filing for Request for Review The request for a State hearing shall be filed within ten (10) days after LWIA should have issued a decision or ten (10) days after the issuance of the audit disallowance or sanction. The request shall be filed directly with the Chief of the WID in writing and should include the following: a. Full name, address, and telephone number of the LWIA Name, address, and telephone number of the LWIA C. Copies of complaints made at LWIA level from which no decisions were issued or sanctions and imposed. A statement of basis for the request for hearing. 3. Evidentiary Hearing Upon receipt of the request for a State level hearing, a hearing before a designated hearing officer will be scheduled. The hearing will be recorded mechanically or by court reporter. Both parties concerned will have the opportunity to present oral and written testimony under oath, to call and question witnesses in support of his /her position, to present oral and /or written arguments, to examine records and documents relevant to the issue(s), and to be represented. The hearing officer shall issue a written decision, which shall be forwarded to the State Review Panel for final determination. The State Review Panel may accept, reject or modify this recommendation. The decision of the State Review Panel is final except for audit disallowances, which must be approved by the Secretary of Labor C. State Review Panel The State Review Panel will consist of a panel of three representatives from the Employment Development Department: one from the Legal Offices, one from the WID, and one from the Director's office. The panel will issue a written decision, which will be sent to the appropriate parties within thirty (30) days of receipt of the request for State review. Decisions issued by this panel, under the authority of the Governor, are final. 14 AMMO V D. Issuance of State Review Decision, The State review will be limited to violations of the WIA, implementing WIA regulations or the grant agreement. This review shall be limited to the record established at the LWIA hearing. Procedures for Handling Discrimination Complaints by Participants. A. Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation, and citizenship, where appropriate, must be filed within 180 days of the alleged occurrence. It is the responsibility of the Santa Ana LWIA's Equal Employment Opportunity (EEO) Officer to determine jurisdiction and to make the complainant aware of and provide assistance in filing a complaint in accordance with the Santa Ana LWIA's procedure under Section II (A). is PROCEDURES FOR HANDLING NON - CRIMINAL COMPLAINTS No later than 180 days of alleged discrimination Within 10 days of receipt of unsatisfactory decision or 10 days from date LWIA decision should have been issued. Handling of complaints filed at LWIA level arising in connection with WIA programs operated by LWIAs Informal Resolution Process Unsatisfactory Decision or LWIA Decision not issued within 60 days w 0 0 v Request for State Review �= W Governor's Decision issued by State Review Panel If no decision issued by State Review Panel Appeal to DOL yy�� 16 AV262 0 0 c c c c V 2. In cases where areas of authority overlap, it is the responsibility of the EEO Officer to advise the complainant of the existence of State, Federal and other proper action agencies, which may also have a bearing. 3. Complainants alleging discrimination under this part will be made aware of their right to file directly with the Office of Civil Rights (OCR), U.S. Department of Labor and applicable procedures. 4. Complainants must file their complaint directly with: Anita Queen Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive, M -24 Santa Ana, CA 92701 (714) 647 -5157 VI. Procedures for Handling Handicap Complaints by Participants Complaints alleging discrimination on the basis of handicap will be filed and processed under the Department of Labor regulations implementing Section 504 of the Rehabilitation Act of 1973 at 29 Code of Federal Regulations Section 32. 1. Complaints must exhaust the Santa Ana LWIA's informal resolution procedures before filing their complaint with OCR. 2. Complainants will be made aware of the 180 days requirement in which to file his /her complaint. A. Procedures at the LWIA Level 1. The complainant shall file his /her complaint directly with the Santa Ana LWIA. Upon receipt of the complaint, the EEO Officer shall investigate and gather information concerning the complaint. 2. An informal conference will be held with the parties concerned in an effort to resolve the issue(s). The complainant has the right to be present and may be represented during the conference. 3. The Santa Ana LWIA shall issue in writing its decision to the complainant no later than thirty (30) days after the filing of the complaint. B. Procedures at the State Level 1. The complainant may appeal to the State if he /she is not satisfied with the decision of the Santa Ana LWIA. v 261163 2. The Complainant must file his /her appeal as a request for review directly with the Chief WID within ten (10) calendar days after the receipt of the Santa Ana LWIA's decision. 3. The Chief -WID, shall issue a decision no later than thirty (30) calendar days after receipt of the request for review. 4. After the complainant has received a decision or no decision has been received from the Director of Employment Development Department (on behalf of the Governor), the complainant has the right to appeal his /her complaint within thirty (30) calendar days to the Office of Civil Rights (OCR) with the Department of Labor. 18 AM264 PROCEDURES FOR HANDLING HANDICAP COMPLAINTS No later than 180 days of alleged discrimination Filed within 30 days of LW IA /State Decision or 90 days from date of initial filing of complaints Filing of complaint on the basis Of Handicap with LWIA Informal Resolution o If no resolution reached Request for Hearing Notice of Hearing Hearing Conducted LWIA Decision Unsatisfactory Decision or No Decision State Review Governor's Decision Appeal to Assistant Secretary Department of Labor 19 nRj265 Day 1 Day 145 Day 60 Days GLOSSARY OF WIA TERM AGE DISCRIMINATION ACT — A law passed by Congress in 1975 which prohibits discrimination on the basis of age by any program or activity receiving Federal Funds. APPLICANT — An individual who applies to a subrecipient or contract for services provided under WIA and who has not yet transitioned to the status of participant. ASSESSMENT — Services designed to determine each participant's employability, aptitudes, abilities and interests and to develop a plan to achieve the participant's employment and related goals; also to identify the available employment and traning activities appropriate for the participant. Testing and counseling may also be used during assessment process. CHARGING PARTY (CP), COMPLAINANT, GRIEVANT, OR AGGRIEVED PERSON — The person who charges that he /she has been discriminated against under Department of Justice nondiscrimination and civil rights regulations and /or guidelines. DISCRIMINATION — In general, a failure to treat all equally, whether intentional or unintentional; the effect of an action, policy or practice which selects an individual or class of persons to receive unequal treatment. ELIGIBLE NON - CITIZEN — Lawfully admitted permanent resident, aliens, lawfully admitted refugees, and parolees and other individuals authorized by the Attorney General to work in the United States. EMPLOYER — An employer subject to the provisions of the Civil Rights Act of 1964, as amended, including state and local governments and any Federal agency subjects to the provisions of Section 717 of the Civil Rights Act, as amended; and any Federal contractor or subcontractor covered by executive Order 11246, as amended. GRIEVANCE —An allegation that something imposes an illegal obligation or burden or denies some equitable or legal right, or causes injustice . HANDICAPPED INDIVIDUAL — Any individual who has a physical or mental disability that constitutes or results in a substantial handicap to employment. INTAKE — Includes screening to determine eligibility; to select from eligible applicants those individuals who are most in need and can benefit from program services; to complete procedural requirements necessary to enroll an individual into the program and to refer those not enrolled to other programs. JOINT COMPLAINT — A complaint of employment discrimination covered by Title VII or the Equal Pay Act and by Title VI or Title IX. Individual "joint complaints" are normally investigated by EEOC 20 2M266 unless OCR has a compelling reason to investigate. "Joint complaints" alleging discrimination in employment and other practices and pattern or practice 'joint complaints" are normally investigated by OCR. JURISDICTION — Authority to investigate and resolve complaints against an institution subject to a law or statute which has been assigned to OCR for enforcement, i.e., Title VI, Title IX, etc. PARTICIPANT — Any applicant who has: (1) Been determined eligible for participation upon intake; and (2) Who is receiving subsidized employment, training or services (except post- termination services) funded under the Act, following intake, except for an individual who receives only outreach and /or intake and assessment services. em—T CERTIFICATION REGARDING LOBBYING CERTIFICATION FOR CONTRACTS GRANTS LOANS and COOPERATIVE AGREEMENTS The undersigned certifies, to the best of his or her knowledge and belief, that: 1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. 2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form -LLL, "Disclosure Form to Report Lobbying." in accordance with its instructions. 3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. 1352. 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 occurring on or before October 23, 1996, and of not less than $11,000 and not more than $110,000 for each such failure. Orange County Conservation Corns Name of Certifying Official Signature 3/19/14 Date EXHIBIT D 45 25A -268 Certification Regarding Drug -Free Workplace Requirements The certification set out below is a material representation upon which reliance is placed by the U.S. Department of Housing and Urban Development in awarding the grant. If it is later determined that the contractor knowingly rendered a false certification, or otherwise violates the requirements of the Drug -Free Workplace Act, the U.S. Department of Housing and Urban Development, in addition to any other remedies available to the Federal Government, may take action authorized under the Drug -Free Workplace Act. CERTIFICATION A. The contractor certifies that it will provide a drug -free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the contractor's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing a drug -free awareness program to inform employees about — (1) The dangers of drug abuse in the workplace; (2) The contractor's policy of maintaining a drug -free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance program; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Making it a requirement that each employee who will be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph -(a) that, as a condition of employment under the contract, the employee will - (1) Abide by the terms of the statement; and (2) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction. (e) Notifying the U.S. Department of Housing and Urban Development within ten days after receiving notice under subparagraph (d)(2) from an EXHIBIT E 25A -269 employee or otherwise receiving actual notice of such conviction; (f) Taking one of the following actions, within 30 days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted - ( 1) Taking appropriate personnel action against such an employee, up to and including termination; or (2) 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; (g) Making a good faith effort to continue to maintain a drug -free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (f). B. The contractor shall insert in the space provided on the attached "Place of Performance" form the site(s) for the performance of work to be carried out with the grant funds (including street address, city, county, state, and zip code) .the contractor further certifies that, if it is subsequently determined that additional sites will be used for the performance of work under the contract, it shall notify the U.S. Department of Housing and Urban Development immediately upon the decision to use such additional sites by submitting a revised 'Place of Performance" form. Date Program Operator Signature Orange County Conservation Corps EXHIBIT E 25A -270 DIVISION OF EMPLOYMENT SERVICES PLACE OF PERFORMANCE FOR CERTIFICATION REGARDING DRUG -FREE WORKPLACE REQUIREMENTS Name: Orange County Conservation Corps Name of Contractor: Orange County Conservation Corps Contractor Number: Date: The Contractor shall insert in the space provided below the site(s) expected to be used for the performance of work under the contract covered by the certification: Place of Performance (include street address, city, county, state, zip code for each site): 1853 N. Raymond Avenue, Anaheim, CA 92801 1:11 =1� 25A -271 Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions This certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participants' Responsibilities. The regulations were published as Part VII of the May 16, 1988, Federal Register (Pages 19160 - 19211). (Before completing certification, read instructions which are an integral part of certification) 1. The prospective primary participant, (i.e. grantee) certifies to the best of its knowledge and belief, that it and its principals: a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency; b. Have not within a three -year period preceding this proposal been convicted or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under a public transaction; violation of federal or state antitrust statues or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property. c. Are not presently indicted for or otherwise criminally or civilly charged by a government entity (federal, state or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and d. Have not within a three -year period preceding this application /proposal had one or more public transactions (federal, state or local) terminated for cause or default. 2. Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. Grantee /Co'htractor OrgaKization Date id Title of Official Authorized to Certify If of the Grantee EXHIBIT F 25A -272 43 OCCC BUDGETFORM Santa Ana WIA Santa Ana Youth Council FYE15 16A- IT 2b 2014 -2015 OCCC Match /In Kind 171 ,075 $182,120 Budget Form - Attachment B Santa Ana WIA OCCC Santa Ana Youth Council Direct Program Expenses FYE15 WIA WIA OCCC Staff Wages/Sa laries Time % Amount Administative Staff Chief Executive Officer K. Bandoni 4% $ 4,800 Office Coordinator J. Mates 4% $ 1,320 Chief Financial Officer -. Huynh 4% $ 4,280 Payroll Specialist S. Cortez 4% $ 1,640 Subtotal Admin Staff $ 12,040 Employer Taxes $ 1,668 Workers Compensation $ 144 Benefits $ 289 Subtotal Admin Staff Taxes/Benefits $ 2,101 Total Administrative Expenses $ 14,141 Program Staff Director of Programs L. Skiba 5% $ 3,600 WIA Program Specialist J. Cabrera 75% $ 28,500 Intake Specialist R. Torres 5% $ 1,425 Director of Operations .. Volp 4% $ 3,040 Project Manager J. Newton 4% $ 2,880 Crew Supervisor J. Urrutia 45% $ 13,950 Crew Supervisor W. Francis 45% $ 14,850 Subtotal Program Staff $ 68,245 Employer Taxes $ 9,452 Workers Compensation $ 2,890 Benefits $ 6,588 Subtotal Program Staff Taxes /Benefits $ 18,930 Program Expenses Project Transportation (vehicle, insurance, fuel, repair & maint) $ 4,928 Staff Training $ 800 Occupancy Related (rental, utilities, repair & maim ) $ 2,150 Subtotal Program Expenses $ 7,878 Total Program Expenses $ 95,054 Corpsmernber (CM) Expenses Average Total hrs/ WIA CM Stipends # of CMs Hourly Rate CM Amount CMs (28+ hr /wk x 15 wks) 25 $ 9.00 7,000 $ 63,000 Carry-overs 2 CMs Total Hours /Paid Work Experience 175,000 Employer Taxes $ 4,820 Workers Compensation $ 5,353 CM Stipend Total 27 $ 73,172 Supportive Services /Uniforms 25 $ 500 $ 12,633 CM Incentives /Bonus 25 $ 200 $ 5,000 Subtotal Cms Expenses $ 90,805 Total WIA $ 200,000 OCCC Staff Salaries & Wages (pg 2) Taxes & Benefits Employer Taxes Workers Compensation Benefits Subtotal Taxes & Benefits OCCC Match - Participant Wages & Benefits OCCC Charter School OCCC Expenses (pg 2) 59,105 $ 4,522 $ 739 $ 5,911 $ 11,171 EX2274 39,501 28,080 44,263 11 C E U Q E 0 6L N rn -a m () o00000000�n000 v� O O1 M N t0 N O O n 0 0 0 O A 0 = C 3 o D 0000 0 0 0 N O o O N ,�.ON W 7 d'wo NONN O Q U W M N C C.0 N I V Y O) of N o a o 0 0 0 0 0 o a o 0 _Q D m N f0 @ O Q m 2U(njZ� Y �I -0d-i- J J K, -� �: U16 `0 E D Q .�O °O N m 0 UL w� c a°i O° m o f° `o o a m `o Q w Ul r- O h N yO� r O "' U L Z m (� V N U C Y U �wrLLN�N'�NUNQ O. mm Cl) N LL co A a y c y E o E o m v o E m h U O N C O O N C w Y U 'C N O d O N N O O a �0p N �« N o N u d U O d O o y 2 L N D N p N L O m- M C C V 0- E L z U) m 0 0 0 U> in N N n NON (O N (O U D n N O M M W UY O CC6 .- LL'J 6 7 r o O W N c r i i i i pNj Q O (V V 0 0 0 0 0 o a o 0 G 0 0 0 0 0 0 0 0 0 Q O d N O a N (O UJ N 0 N 0 N (O ( 0 C N n n N O N Co 0 n M O W M W W r E o 3 0 0 0 0 0 0 0 0 0 000000000 0 0 0 o 0 0 0 0 o o o 0 O O N N W o 0 0 C> m O0 a M oz L m v p o a v a v Q m m 0 0 0 f- F- 3 0 A C 3 o D Q N E L A vi W c U o� oo. o. 10 U v C X O u Lx 0 vS C .0 j G N y N N mD¢0 20a`ci�� O0 a M oz L m v p o a v a v Q m m 0 0 0 f- F- Orange County Conservation Corps Santa Ana Workforce Investment Board - The Youth Service Provider Network Request for Proposal PY 201412015 ORANGE COUNTY CONSERVATION CORPS BUDGET NARRATIVE Administrative Staff — 6.02% of budget Administrative staff consists of 5 individuals holding various positions at the Corps. These positions are allocated and charged to this grant at 4% each to perform various administrative functions including; project management and coordination, payroll processing, leadership, office coordination and financial management. Administrative Staff Taxes and Benefits —1.05% of budget Less than 1 % of the budget will be dedicated for the taxes and fringe benefits associated with each administrative staff and their corresponding percentage of time spend on administering the grant. Program Staff — 34.12% of budget Program staff consists of 7 individuals of which 1 Program Specialist will be exclusively dedicated to ensuring the programmatic success of the grant. Other program staff includes; Director of Programs is charged at 5% to provide overall leadership and management, an Intake Specialist and is charged at 5% for intake and screening of participants, Director of Operation is charged at 4% for projects acquisition and project management, Project Manager is charged at 4% for project coordination, two Crew Supervisor at 45% each for direct daily participants supervision and mentorship. Program Staff Taxes and Benefits — 9.47% of budget These include taxes and fringe benefits associated with each staff and their corresponding percentage of time spent on fulfilling all programmatic aspect of the grant. Project Transportation — 2.46% of budget Project transportation includes vehicle leases, insurance, fuel, repair and maintenance. Costs are allocated based on the number of participant hours on the grant compared to overall Corps total participants hours. Staff Training - .04% of budget Staff training includes direct cost associated directly with training and development staffs who are directly working on the grant. These costs include career development, workshop and conferences. Rent — Occupancy Related —1.08% of budget EXHIBIT G 25A -276 Orange County Conservation Corps Santa Ana Workforce Investment Board - The Youth Service Provider Network Request for Proposal PY 201412015 These are costs associated with facility lease, utilities, insurance and various occupancy related costs. Costs are allocated based on the number of participant hours on the grant compared to overall Corps total participants hours. Participant Wages, Taxes and Benefits — 36.59% of budget Wages are paid directly to participants who earn a minimum of $9.00 per hours and are scheduled to work a minimum of 28 hours per week while enrolled in our program, some may be eligible to work up to 40 hours per week. Taxes and workers compensations are directly associated with participants wages and are paid by the Corps. Support Services — 6.32% of budget Supportive Services mainly include uniforms, bus passes and gas cards. Other supportive service may include hotel voucher, car repair, tattoo removal, dress for success, material and supply for certification training and any other related costs in helping the participants to successfully complete the program successfully. Incentives — 2.50% of budget Incentives are costs associated with gift cards given directly to the participants for successfully completing or accomplishing certain required or encouraged milestones. These include obtaining certification, passing the CASHEE, earning a high school diploma and other milestones. Budget Summary Overall, 92.93% of the budget is budgeted toward programmatic expenses where the majority of the fund budgeted is directly benefiting the participants in forms of wages, incentives and supportive services. In addition to the budget, the Corps will also be leveraging approximately $182120 of various costs associated with operating the program. These costs represent an additional 47.66% of our proposed budget for this program. Tracking OCCC uses finger biometric to track all participant hours in additional to daily field sign -in sheet. Time cards are generated bi- weekly and are signed off by participants with the corresponding supervisor, Various labor distribution reports are used to track participants hours and earnings. Incentives are requested through an incentive form with proper approval before incentives are distributed. Incentives report can be generated at will from our tracking database. EXHIBIT G 25A -277 ORANGE COUNTY CONSERVATION CORPS - Twa www.occcorps.org Cost Allocation Plan Cost Allocation Purpose The purpose of the cost allocation is to properly account for and distribute shared costs to all project/program and to properly account for the true cost of each project/program. Direct costs are costs that can be identified specifically with a particular project or program and are charged directly to the project/program. Should sub - grouping occurs within the contract/funding /project such as In- School -Youth (ISY) and Out -of- School Youth (OSY), then the direct cost will be sub - allocated based on the amount of resource and time dedicated to each respective sub -group (not based on budget). Shared costs are those that have been incurred for common or joint objectives and cannot be readily identified with a particular project or program. Only cost that are allowable will be allocated to project/program within OCCC. Cost Allocation Scope Cost allocation is done on a monthly basis to ensure all share cost are allocated to all program. Share costs are allocated using Corpsmembers worked hours for the month in each respective program, funding source in comparison to the entire Corps or actual time allocated by management to ensure an equitable allocation of resources. Should Corpsmembers worked hours for the month deemed not equitable by management, then a modified base will be incorporated in addition to the Corpsmembers worked hours base. Modified base occurs when there are not enough Corpsmembers work hours to equitably and fairly allocate shared expenses. This occurs due to recruitment or enrollment schedule. Modified base might include actual time and actual activity on the project/program. Other considerations will be given by management should project/program deviates from our traditional Corpsmembers hours calculation. Considerations will be determined based on the overall resource usage of the program /grant. Should sub - grouping occurs within the contract/fund /project such as ISY and OSY, then allocated cost will be sub - allocated based on resource and time dedicated to fulfill the deliverable in each respective sub - group. Cost Allocation Procedures Cost allocation is performed on a regularly basis. Shared costs are allocated using actual Corpsmembers worked hours for the period in each program /funding source. A tracking entry is created and entered to allocate shared costs to respective program /funding source. 1. A project /program summary hour report is generated from time clock system. 2. A shared cost report is generated from the accounting system. 3. Summarize project /program hour by project/program and determine the percentage of each. Other considerations may be given to subgroup should subgrouping exists. 4. Summarize shared cost into each category and by line items. 5. Additional consideration (non - hourly based) will be given for project/program that might include a modified base to reflect a more fair and equitable distribution. This occurs when there are not enough Corpsmembers hours due to recruitment or timing of enrollment schedule. 6. Create a journal entry as needed to journalize shared cost from shared cost department into individual project/program. 7. Staff input the journal entry into accounting system and generates a pre - posting report for approval. 8. Chief Financial Officer approves the pre -post report for posting. 1853 N. Raymond Avenue, Anaheim, CA 2801 ?Pline: 714.956.6222 - Fax: 714.956.1944 9. Post report to close out the batch. MCC Transnortation Allocation Cost 2014 -2015 ►"_ IIE t 1 # Participants on WIA 25 Total OCCC participants 300 of Participants on WIA 8% Monthly Overall Cost Gas /Fuel 7,000.00 Insurance 5,700.00 Maintenance 200.00 Vehicle lease 1,200.00 14,100.00 Percentage allocable to WIA 8% Monthly Cost Billable to WIA 1,175.00 Annualized Cost Billable to WIA 14,100.00 Actual Proposed Charge to WIA 4,928.00 In -kind to WIA 9,172.00 ►"_ IIE t 1 Assurances & Certifications Selected providers will be required to sign and submit "actual" assurances and certificates as required by the City of Santa Ana and the Workforce Investment Board on all contracts. I recognize that I must give assurances for each item below. If I cannot, this proposal will be automatically rejected. Please initial each box. j� I am authorized by my Board of Directors, Trustees, other legally qualified officer, or as the owner of this agency or business to submit this proposal. We are not currently on any Federal, State of California, or local Debarment list. We will provide records to show that we are fiscally solvent, if needed. We have, or will have, all of the fiscal control and accounting procedures needed to ensure that WIA funds will be used as required by law and contract. We have additional funding sources and will not be dependent on WIA funds alone. We do or will meet the applicable Federal, State, and local compliance requirements. These include, but are not limited to: Records that accurately reflect actual performance. Maintain record confidentiality, as required. Reporting financial, participant, and performance data, as required. Comply with State and Federal fiscal and program activity audits. Comply with Federal and State non - discrimination provisions. Meet requirements of Section 504 of the Rehabilitation Act of 1973. Meet requirements of the American's with Disabilities Act of 1990 Meet all applicable labor law, including Child Labor Law standards. Agree to provide a drug free workplace. Agree to insure the City of Santa Ana through General Liability Insurance and Automobile Liability. Coverage in the amount of $1,000,000.00. Agree to provide all participants with Grievance Procedures. Agree to insure proposer's employees through Workers Compensation Insurance (including part -time employees) Procurement policies and procedures are in place and meet federal guidelines. Youth Protection Policy and Sexual Abuse & Molestation insurance of $2,000,000 We will not: Place a youth in a position that will displace a current employee. Use WIA money to assist, promote, or deter union organizing. Use funds to employ or train of persons in sectarian activities. d[� Use funds for youth in the construction, operation, or maintenance of any part of a facility to be used for sectarian instruction or religious worship. Use WIA funds for activities that would interfere with or replace regular academic requirements for eligible youth who are not dropouts. Use WIA funds to carry out programs funded under the School -to -Work Opportunities Act of 1994 unless the program(s) are only for youth eligible to participate under WIA. lyto Use WIA money under this contract to purchase any equipment. all of .the above are true. Title T/d_0 TDate 42 ORANCOU -19 VVXKUMAR3 CERTIFICATE OF LIABILITY INSURANCE 14 1 DATE 2/11/2011120Y4 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). PRODUCER Arthur J. Gallagher & Co. Insurance Brokers of CA., Inc. 505 N Brand Blvd, Suite 600 Glendale, CA 91203 CONTACT NAME: PHONE PAX AID rvo Ext (81 8) g J 539.2300 A /C, No (818) 539 -2301 E -MAIL ADDRESS: INSURER(S) AFFORDING COVER AGE NAICH INSURER A: Great American Insurance Company 16691 INSURED - INSURER B: Non Profits United INSURER C: Orange County Conservation Corps INSURER D: 1853 N. Raymond AVG. Anaheim, CA 92801 INSURER E: INSURER F COVERAGES CERTIFICATE NUMBER: REVISION NUMBER: THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACTOR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES, LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. ILTR TYPE OF INSURANCE INSR S MD POLICY NUMBER POLICY EFF MMIDDM'YY POLICY EXP MMIDDIYYYY LIMITS GENERAL LIABILITY EACH OCCURRENCE $ 1,000,000 PREMISES Ea occurrence $ 10Q000 A X COMMERCIAL GENERAL LIABILITY CLAIMS -MADE � OCCUR X PACS154080-08 7/20)2013 712012014 MED EXP (My one person) $ 5,000 PERSONAL &ADV INJURY $ 1,000,000 X Professional $1 M X Sexual Abuse $1M GENERAL AGGREGATE $ 3,000,000 GENL AGGREGATE LIMIT APPLIES PER: PRODUCTS - COMP /OP AGO $ 3,000,000 POLICY PRO DEC JEC� $ AUTOMOBILE LIABILITY COMBINED SINGLE LIMIT Ea accident $ 5,000,000 BODILY INJURY (Per person) $ B X ANYAUTO 1888 71112013 71112014 ALL OWNED SCHEDULED AUTOS AUTOS BODILY INJURY (P., accident) $ PROPERTY DAMAGE PER ACCT DENT _ $ X HIREDAUTOS Ix NON-OWNED AUTOS _ UMBRELLA LIAB X OCCUR EACH OCCURRENCE $ 1.000,000 AGGREGATE $ 1,000,000 A X EXCESS LIAB CLAIMS -MADE UMB560379506 8117/2013 8/1712014 DED I X I RETENTION$ 10,000 $ B WORKERS COMPENSATION ANDEMPLOYERS'LIABILITY YIN ANY PROPRIETOR /PARTNERIEXECUTIVE OFFICERIMEMSER EXCLUDED? (Mandatory in NH) NIA NPU -WCG 001 -2014 1/1/2014 11112015 WC STATU- OTH - TORY LIMITS Eft EL EACH ACCIDENT It 1,000,000 E.L. DISEASE -EA EMPLOYE $ 1,000,000 If yes, describe under DESCRIPTION OF OPERATIONS below E.L. DISEASE - POLICY LIMIT $ 1,000,000 DESCRIPTION OF OPERATIONS I LOCATIONS I VEHICLES (Attach ACORD 141, Additional Remarks Schedule, If more space ie required) The City of Santa Ana its officers, employees, agents, volunteers and representatives are named additional insured with respect to the operations of the named insured. Endorsement to Follow. Workers Compensation coverage excluded, evidence only. Such insurance is Primary and Non - Contributory. m� 10 � 0, VLIT) CERTIFICATE HOLDER CANCELLATION SHOULD ANY OF THE ABOVE DE$.b`PdFB'ED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS, AUTHORIZED REPRESENTATIVE The City of Santa Ana 20 Civic Center Plaza // ��� /V°�'"%""%"`�f /Santa Ana, CA 92702. © 1988 -2010 ACORD CORPORATION. All rights reserved. ACORD 25 (2010105) The ACORD name a2 E ted marks of ACORD ORANCOU -19 VMXHAVERI ^1 ir[� CERTIFICATE OF LIABILITY INSURANCE DATE DIYY " "' 2/7/2014 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). PRODUCER Arthur J. Gallagher & Co. Insurance Brokers of CA, Inc. 505 N Brand Blvd, Suite 600 Glendale, CA 91203 CONTACT NAME: PHONE FAX AIC No Ext: (818) 539.2300 Am, No: (818) 539.2301 E-MAIL ADDRESS: INSURER(S) AFFORDING COVERAGE NAIC9 INSURER A:Great American Insurance Company INSURER B: Non Profits United 16691 INSURED INSURER C: Orange County Conservation Corps INSURER o 1853 N. Raymond Ave. Anaheim, CA 92801 INSURER E INSURER F COVERAGES CERTIFICATE NUMBER: REVISION NUMBER: THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. INNER TYPE OF INSURANCE NSR ME POLICY NUMBER MMIOI�mW MMI��VVXYY LIMITS GENERAL LIABILITY EACH OCCURRENCE $ 1,000,000 A X COMMERCIAL GENERAL LIABILITY CLAIMS -MADE I OCCUR X PAC5154680 -08 712012013 7 12012014 PREMISES Ea occurrence $ 100,000 MED EXP (Anyone person) $ 5,000 X Professional $1M PERSONAL B ADV INJURY $ 1,000,000 X Sexual Abuse$iM GENERAL AGGREGATE $ 3,000,000 GENL AGGREGATE LIMIT APPLIES PER: POLICY PEO� LOP PRODUCTS - COMPIOP AGO $ 3,000,000 _ $ B AUTOMOBILE X LIABILITY ANYAUTO 1888 711/2013 71112014 COMBINED SINGLE LIMIT Ea accident 5,000,000 BODILY INJURY(Per person) $ ALL OWNED SCHEDULED AUTOS AUTOS BODILY INJURY Per accident _ ( ) $ X HIRED AUTOS X NON -OWNED AUTOS PROPERTY DAMAGE PER ACCIDENT)$ A X UMBRELLA LIAB EXCESS LIAB X OCCUR CLAIMS -MADE IUMB560379506 8/17/2013 611712014 EACH OCCURRENCE $ 1,000,000 AGGREGATE $ 1,000,000 DED X RED ENTION$ 10,000 $ B WORKERS COMPENSATION AND EMPLOYERS'LIABILITY YIN ANY PROFRIETORIPARTNERIEXECUTIVE OFFICERAIEMSER EXCLUDED? (Mandatory In NH) If yes, ce rth. under NIA NPU -WCG 001.2014 1/1/2014 1/112015 WC STATU- 0TH TORY LIMITS ER -! E.L. EACH ACCIDENT _ $ 1,000,000 E.L. DISEASE - EA EMPLOYEE$ - J_ 1,000,000 E, L. DISEASE - POLICY LIMIT $ 1,000,000 DESCRIPTIONOFOPERATIONSbelow DESCRIPTION OF OPERATIONS 1 LOCATIONS I VEHICLES (Attach ACORD tot, Additional Remarks Schedule, If more space is required) !The City of Santa Ana Its officers, employees, agents, volunteers and representatives are named additional insured with respect to the operations of the (named insured. Workers Compensation coverage excluded, evidence only. CERTIFICATE HOLDER CANCELLATION SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE The City of Santa Ana 20 Civic Center Plaza THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS. Santa Ana, CA 92701 AUTHORIZED REPRESENTATIVE © 1988 -2010 ACORD CORPORATION. All rights reserved. do gill IILBIT ACORD 25 (2010/05) The ACORD name an EX;KMd marks of ACORD I 0694804 GREAT AMERICAN ALLIANCE INS CO 3alE401SueOffices CG 20 26 Ed.04/13 — , Cincinnati E dth S H ( ) Chclnnxtt OH 462024201 GREAT- IIIERICAN, s1aSaesodaph Policy: PAC 515 -46 -80 08 INSURANCE HOUR THIS ENDORSEMENT CHANGES THE POLICY, PLEASE READ IT CAREFULLY. ADDITIONAL INSURED DESIGNATED PERSON OR ORGANIZATION This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART the dame of Additional Insured Person(s) or Organization (s): THE CITY OF SANTA ANA, ITS OFFICERS, AGENTS, EMPLOYEES AND VOLUNTEERS, AND THE STATE OF CALIFORNIA, ITS OFFICERS, EMPLOYEES, AND VOLUNTEERS CITY OF SANTA ANA, WORKFORCE INVESTMENT BOARD 1000 E. SANTA ANA BLVD., STE. 200 SANTA ANA, CA 92702 Information required to complete this Schedule, if not shown above, will be shown in the Declarations. A. SECTION 11 - WHO IS AN INSURED is amended to include as an additional insured the person(s) or organization(s) shown in the Schedule, but only with respect to liability for "bodily injury," "property damage" or "personal and advertising injury" caused, in whole or in part, by your acts or omissions or the acts or omissions of those acting on your behalf: 1. in the performance of your ongoing operations; or 2. in connection with your premises owned by or rented to you. However: 1, the insurance afforded to such additional insured only applies to the extent permitted by law; and 2. If coverage provided to the Additional Insured is required by a contract or agreement, the insurance afforded to such additional insured will not be broader than that which you are required by the contract or agreement to provide for such additional insured. Copyright, ISO Properties, Inc„ 2012 CG 20 26 04/13 (Page 1 of 2) I 25AngQ4 F 89720 (312011) ,w7i{�1wrE#/Il41iG/La.JM7b'L W: l�i0.. F�7M7w3�if�L' a�111 .Ja +#,.�iYR+l�nnWAX" a� CO 0694804 GREAT AMERICAN ALLIANCE INS 301E4th Strc Offices CG 20 26 (Ed.Q 4!13 ) Sidi 4tH Stress iiE�T, CinemnAR OR 45292-4201 f(u14,mcAx 513369scooph Policy: PAC 515 -45 -80 08 INSURANCE GROUP THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. ADDITIONAL INSURED - DESIGNATED PERSON OR ORGANIZATION B. With respect to the insurance afforded to these Additional Insureds, the following is added to SECTION III - LIMITS OF INSURANCE: If coverage provided to the Additional Insured is required by a contract or agreement, the most we will pay on behalf of the Additional Insured is the amount of insurance: 1. required by the contract or agreement; or 2. available under the applicable Limits of Insurance shown in the Declarations; whichever is less. This endorsement shall not increase the applicable Limits of insurance shown in the Declarations. Copyright, ISO Properties, Inc., 2012 CG 20 26 04113 (Page 2 of 2 2 5AifW5 r 9972U (3/2011) C S1 "08/20/13' P A C 5603794 -06 832432281 'D /B ORIG IMAGE COPY 0694804 GREAT AMERICAN INS CO OF NY CG 20 01 (Ed. 04 13) THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. PRIMARY AND NONCONTRIBUTORY - OTHER INSURANCE CONDITION This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART PRODUCTS /COMPLETED OPERATIONS LIABILITY COVERAGE PART The following is added to the Other Insurance Condition and supersedes any provision to the contrary: Primary and Noncontributory Insurance (1) the Additional Insured is a Named Insured under such other insurance; and (2) you have agreed in writing in a contract or This insurance is primary to and will not seek contribution from any other insurance avail- able to an additional insured under your policy provided that: Copyright, ISO Properties, CG 20 01 (Ed. 04/13) r agreement that this insurance would be primary and would not seek contribution from any other insurance available to the Additional Insured, Inc., 2012 '0 �7- / -I ORANCOU -19 WXKUMAR3 '%11I.I CERTIFICATE OF LIABILITY INSURANCE °ATE1112014 Y' 2/11/2014 THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER. IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must be endorsed. If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s). PRODUCER Arthur J. Gallagher & Co. Insurance Brokers of CA„ Inc. 505 N Brand Blvd, Suite 600 Glendale, CA 91203 CONTACT NAME: PHONE FAx Arc No E.1), (818) 539 -2300 AIC,No) (818) 539 -2301 EMAIL ADORES& INSURER(S) AFFORDING COVERAGE NAIC q INSURER A: Great American Insurance Company INSURERS NonProfltS United 15691 INSURED INSURER C: A Orange County Conservation Corps 1853 N. Raymond Ave. Anaheim, CA 92801 INSURER D: PAC5154680 -08 INSURER E 7/20/2014 INSURER F $ 100,000 MED EXP(Any one person) COVERAGES CERTIFICATE NUMBER: RpvISInN NIIMRRR. THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACTOR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAYBE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS, ILTR TYPE OF INSURANCE [NSR Me POLICY NUMBER MMOOOIYYYVY ) (MM01L0'CDyN"YXY`YI . LIMITS GENERAL LIABILITY EACH OCCURRENCE $ 1,000,000 A X COMMERCIAL GENERAL LIABILITY CLAIMS -MADE 1XI OCCUR X PAC5154680 -08 7/20/2013 7/20/2014 A PREMISES Ea occurrence) $ 100,000 MED EXP(Any one person) $ 5,000 X Professional $1 M PERSONAL &ADV INJURY $ 1,000,000 X Sexual Abuse $1 M GENERAL AGGREGATE $ 3,000,000 GEN'L AGGREGATE LIMIT APPLIES PER PRODUCTS - COMP /OP AGO $ 3,000,000 POLCY PEA LOG $ B AUTOMOBILE X LIABILITY ANYAUTO 1888 7/1/2013 7/1/2014 COMBINED SINGLE LIMIT Ea accident 5,000,000 BODILY INJURY (Per person) $ A O SCHEDULED AUTOS AUTOS BODILY INJURY Per accident ( ) $ _ X HIRED AUTOS X NON -OWNED AUTOS PROPERTY DA GE PER ACCIDENT MA $ UMBRELLA LAB X OCCUR EACH OCCURRENCE $ 1,000,000 A X EXCESS LIAB CLAIMS -MADE UMB560379506 8/1712013 811712014 AGGREGATE $ 1,000,000 DED I X I RETENTION$ 10,000 1 $ B WORKERS COMPENSATION AND EMPLOYERS' LIABILITY YIN ANY PROPRIETORIPARTNERIEXECUTIVE OFFICEWMEMBER EXCLUDED? NIA NPU -WCG 001 -2014 1/112014 1/1/2015 WC STATU- H. OT TORY LIMITS ER E.L. EACHACCIDENT $ 1,000,000 E.L. DISEASE - EA EMPLOYEE $ 1,000,000 (Mandatory In NH) If yes, describe under E.L. DISEASE - POLICY LIMIT $ 1,000,000 DESCRIPTION OF OPERATIONS below 1-7 DESCRIPTION CF OPERATIONS I LOCATIONS I VEHICLES (Attach ACORD 101, Additional Remarks Schedule, If more space is required) 'The City of Santa Ana its officers, employees, agents, volunteers and representatives are named additional insured with respect to the operations of the named insured. Endorsement to Follow. Workers Compensation coverage excluded, evidence only. Such insurance is Primary and Non - Contributory. �TOR� CERTIFICATE HOLDER CANCELLATION -.itv Ait0YnP7 SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS. AUTHORIZED REPRESENTATIVE The City of Santa Ana 20 Civic Center Plaza _ ISanta Ana CA 92702 ___ n © 1988 -2010 ACORD CORPORATION. All rights reserved. ACORD 25 (2010/05) The ACORD name an2l5A,"6e,cI marks of ACORD EXHIBIT I C S1 *08/20/13 °PAC5603794 -06 832432281 *D /B ORIG IMAGE COPY 0694804 GREAT AMERICAN INS CO OF NY CG 20 01 (Ed. 04 13) THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. PRIMARY AND NONCONTRIBUTORY - OTHER INSURANCE CONDITION This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART PRODUCTS /COMPLETED OPERATIONS LIABILITY COVERAGE PART The following is added to the Other Insurance Condition and supersedes any provision to the contrary: Primary and Noncontributory Insurance This insurance is primary to and will not seek contribution from any other insurance avail- able to an additional insured under your policy provided that: CG 20 01 (Ed. 04/13) (1) the Additional Insured is a Named Insured under such other insurance; and (2) you have agreed in writing in a contract or agreement that this insurance would be primary and would not seek contribution from any other insurance available to the Additional Insured. Copyright, ISO Properties, Inc., 2012 r MEMORANDUM OF UNDERSTANDING UNDER THE WORKFORCE INVESTMENT ACT (Santa Ana Public Library) THIS MEMORANDUM OF UNDERSTANDING ( "Agreement "), made and entered into this 1" day of July, 2014, by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California ( "CITY ") and the City of Santa Ana /Santa Ana Public Library ( "CONTRACTOR "). RECITALS: A. CITY has been designated a Local Workforce Investment Area (LWIA) under the Workforce Investment Act of 1998, Public Law 105 -220 ( "the Act "). B. The State of California has created the LWIA to administer the Act programs operated by the State of California pursuant to the Act. C. As a LWIA, CITY is entitled to receive federal funds to establish programs to prepare economically disadvantaged youths for entry into the labor market and to provide basic skills development to those individuals who are economically disadvantaged or otherwise face serious barriers to succeeding in life. One goal of California's Workforce Investment System is to provide youth with the opportunities to achieve career goals that will allow them to successfully compete in the labor market and prepare them for higher education. D. CONTRACTOR is experienced in operating education, occupational development and employment programs for economically disadvantaged youth for entry into the labor market ( "said program "). E. CONTRACTOR is willing to operate said program pursuant to the Act and California law. WHEREFORE, for and in consideration of the respective and mutual covenants and promises hereinafter contained and made, and subject to all the terms and conditions hereof, the parties hereto do hereby agree as follows: I. CONTRACTOR'S OBLIGATIONS A. CONTRACTOR agrees to provide the following services pursuant to said program, as more specifically set forth in CONTRACTOR'S Program Narrative contained in "Exhibit A" and in the Performance Standards "Exhibit B", attached hereto and by this reference incorporated herein. CONTRACTOR'S failure to provide said services may be grounds for CITY to readjust the level of payment to CONTRACTOR otherwise provided for hereinafter. B. CONTRACTOR agrees to provide benefits to individuals who participate in the activities and services funded by this Agreement ( "participants ") in accordance with the standards and requirements set forth in Workforce Investment Act of 1998, Public Law 105 -220. 25A -289 Page 1 of 15 C. CONTRACTOR agrees to perform the services set forth herein in a professional, timely and diligent manner. D. CONTRACTOR shall provide wages and benefits to individuals who participate in the activities and services funded by this Agreement in accordance with the standards and requirements of the Act, including Section 181 of the Act. E. CONTRACTOR shall adhere to the Labor Standards described in the Act including Section 181 of the Act. F. CONTRACTOR agrees to comply with the "Complaint Handling Procedures Under the WIA ", attached hereto as "Exhibit C" and incorporated herein as though fully set forth in 20 CFR §667.200, Subpart F. CONTRACTOR shall advise participants of their rights to file complaints under the Act and the procedures for resolution of any complaints. CITY's procedures for handling complaints alleging a violation of the Act, regulations, grants, or other agreements under the Act shall be followed and any decision of CITY, the State or the federal government relating to the complaint shall be binding and followed by CONTRACTOR. CONTRACTORS who are employers shall operate a grievance system that incorporates CITY's procedures for resolution of complaints relating to the terms and conditions of employment; these procedures shall be approved in writing by CITY. G. As a condition of this award of financial assistance under the Act to CONTRACTOR from CITY, CONTRACTOR assures, with respect to operation of all programs or activities funded with funds provided pursuant to the Act, and all agreements or arrangements to carry out such programs or activities, that it will comply fully with the nondiscrimination and equal opportunity provisions of the Act (Section 188) and compliance with Equal Employment Opportunity provisions in Executive Order (E.O.) 11246, as amended by E.O. 11375 and supplemented by the requirements of 41 CFR Part 60; the Nontraditional Employment for Women Act of 1991; Title VI of the Civil Rights Act of 1964, as amended; section 504 of the Rehabilitation Act of 1973, as amended; the Age Discrimination Act of 1975, as amended; the Americans with Disabilities Act of 1990; and with all applicable requirements imposed by or pursuant to regulations implementing those laws, including, but not limited to, 29 CFR Part 33 and 37. The United States, the State of California and CITY have the right to seek judicial enforcement of this assurance. H. CONTRACTOR agrees that no participant(s) shall commence training prior to the approval of funding pursuant to Section 123 of the Act. I. CONTRACTOR agrees to maintain such records and submit such reports, data and information, on the form and containing such information, at such times as CITY may request or require regarding the performance of CONTRACTOR'S services or activities, costs or other data, including but not limited to, participants' attendance, payroll records and job duty statements. CONTRACTOR agrees to forward to the Santa Ana Work Center Administrative Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California 92701 completed Workforce Investment Act Application form and supporting documents; a complete Workforce Investment Act Enrollment; any subsequent updates to; Workforce Investment Act Youth Test Scores form; Workforce Investment Act Exit form upon completion/termination of active enrollment of participant; and the Workforce Investment Act Follow -Up form within 20 days following 30, 60, 90,180, 270, and 360 25A -290 Page 2 of 15 days of exit. Contractor agrees to enter information on the State of California's CalJobs database system as instructed and requested by the Santa Ana Work Center Administration. CITY, the State of California and the United States government and /or their representatives shall have access for purposes of monitoring, auditing and examining of CONTRACTOR'S activities, performance, books, documents, papers, and records of CONTRACTOR subcontractors, bookkeepers and accountants, and employees and participants related to this Agreement. Such agencies or representatives shall also schedule on -site monitoring in their discretion. Monitoring activities may also include, but are not limited to, questioning employees and participants and entering any premises or onto any site in which any of the services or activities funded hereunder are conducted or in which any of the records of CONTRACTOR are kept. Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. In the event CONTRACTOR does not make the above - referenced documents available within the City of Santa Ana, California, CONTRACTOR agrees to pay all necessary and reasonable expenses incurred by CITY in conducting any audit at the location where said records and books of account are maintained. All accounting records and evidence pertaining to all costs of CONTRACTOR and all documents related to this Agreement shall be kept available at the location where CONTRACTOR conducted the program, as well as in the County of Orange, for the duration of this Agreement and thereafter for three (3) years after completion of an audit. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY, the State of California or the United States Government take exception, shall be retained beyond the three (3) years until resolution of disposition of such appeals, litigation, claims, or exceptions. J. Without prejudice to any other section of this Agreement, CONTRACTOR shall, where applicable, maintain the confidential nature of information provided to it concerning participants in accordance with the requirements of federal and state law. Notwithstanding the foregoing, CONTRACTOR agrees to submit to CITY, the State of California and/or the United States Government or their representatives, all records requested for administrative purposes, including audits, examinations, monitoring and verification of records submitted by CONTRACTOR, costs incurred and services rendered hereunder. K. CONTRACTOR agrees to complete in triplicate, a monthly InvoiceNoucher on CITY's InvoiceNoucher form, showing in detail the amount of money already expended by CONTRACTOR hereunder, as this is a cash reimbursement contract. Accounting records must be supported by such source documentation such as cancelled checks, paid bills, payrolls, time and attendance records, contract and subgrant award documents [29 CFR— Subpart C, Section 97.20 (b)(6)]. CONTRACTOR agrees to submit the above - stated documents to the WIB Administrative Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California, 92701, by the tenth (10th) day of the month following the month in which CONTRACTOR'S services are performed. Should CONTRACTOR fail to deliver said documents to CITY, CITY shall have the option to cancel this Agreement by giving CONTRACTOR ten (10) days written notice thereof. CONTRACTOR shall either return to the CITY excess revenues over costs or use such excess revenues as program income by utilizing such program income for additional training activities authorized under the Act. 25A -291 Page 3 of 15 L. CONTRACTOR agrees to expend all funds in accordance with all applicable federal, state and local laws and regulations. CONTRACTOR also agrees to provide at CONTRACTOR'S own expense supplies and other costs of said PROGRAM. M. CONTRACTOR shall arrange independently for an audit that includes WIA funds received from CITY, in accordance with the Act, 20 CFR Section 667.200 and OMB Circular A- 133. CONTRACTOR shall submit one original of each required audit report to CITY within (30) days after the date received by CONTRACTOR. Should CONTRACTOR fail to comply with these requirements, CITY may at its option withhold payment of funds, or disallow funds or suspend additional grant funds. N. CONTRACTOR shall not expend funds pursuant to this Agreement to provide services to any participant where costs of training are paid for by any other person or entity. O. CONTRACTOR shall comply with the provisions of Circular A -102 of the U.S. Office of Management and Budget (OMB) and the related "Common Rule" entitled "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Government ", Subpart C, paragraphs 37 and 42, Circular A -128, and all other applicable federal statutes and executive orders and their implementing regulations, including regulations at 29 CFR Part 97. P. CONTRACTOR shall comply with the requirements of federal regulations found at 29 CFR 93 which provide that no appropriated funds may be expended by the recipient of a federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, member of Congress or an officer or employee of a member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. CONTRACTOR shall sign a Certification Regarding Lobbying to that effect in a form as set forth in "Exhibit D," attached hereto and by this reference incorporated herein. CONTRACTOR shall submit said signed Certification to CITY prior to performing any of its obligations under this Agreement and prior to any obligation arising on the part of CITY to pay any sums to CONTRACTOR under the terms and conditions of this Agreement. Q. CONTRACTOR agrees to provide a drug -free work place and to execute a Drug Free Workplace Certification as set forth in "Exhibit E" attached hereto and incorporated herein by this reference. R. CONTRACTOR, in accordance with the Child Support Compliance Act, recognizes and acknowledges the importance of child and family support obligations and shall fully comply with all state and federal laws relating to child and family support enforcement, including, but not limited to: disclosure of information and compliance with earnings assignment orders, as provided in Chapter 8 (commencing with Section 5200) of Part 5 of Division 9 of the state Family Code; and, to the best of its knowledge is fully complying with the earnings assignment orders of all employees and is providing the names of all new employees to the New Employee Registry maintained by the California Employment Development Department (EDD). S. CONTRACTOR agrees to comply with all applicable provisions of the ACT and the federal regulations, including but not limited to the regulations found at 20 CFR part 629. 25A-292 Page 4 of 15 T. CONTRACTOR agrees to that it is in compliance with the Certification Regarding Debarment ( "Exhibit F ") as required by the regulations implementing Executive Order 12549, Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participants' Responsibilities. The regulations were published as Part VII of the May 16, 1988, Federal Register (Pages 19160- 19211). U. CONTRACTOR agrees to provide priority of services for veterans and eligible spouses pursuant to 20 CFR part 1010 and the regulations implementing priority of service for veterans and eligible spouses in Department of Labor job training programs under the Jobs for Veterans Act published at 73 Fed.Reg. 78132 on December 19, 2008. V. CONTRACTOR acknowledges that the official name for the statewide system of providing employment and training through the WIA partnerships and various other local programs is "America's Job Center ". To achieve the goals of this grant, it is important that the public has a quick and easy method to identify that the projects or programs they are taking part in are part of the "America's Job Center ". CONTRACTOR agrees to place the America's Job Center logo, in accordance with the State of California guidelines for such use, on all public materials such as statements, press releases, brochures, advertisements, reports and other documents describing projects or programs funded in whole or in part with WIA funds. When the America's Job Center logo is used, CONTRACTOR may accompany it with the following statement, "The (Program Name) is a proud partner of the America's Job Center network ". CONTRACTOR shall not use the America's Job Center logo in any manner that would imply that the State of California endorses a commercial product, service or activity. II. CITY'S OBLIGATIONS A. CITY agrees to pay to CONTRACTOR when, if and to the extent federal funds are received under the provisions of the Act a sum not to exceed $190,000 for CONTRACTOR'S performance in accordance with the Budget attached hereto as "Exhibit G" during the period of this Agreement. Said sum shall be paid after CITY receives invoices submitted by CONTRACTOR as provided hereinabove. B. CONTRACTOR has the ability to adjust line item amounts in the budget with the approval of the Executive Director, so long as the total Budget amount does not increase. C. CITY agrees to provide for on -site monitoring reviews of said program operation at least annually. In addition, monthly desk -top reviews of pertinent information will be conducted. D. CITY has the right to de- obligate the funds hereunder and take such funding back from CONTRACTOR due to any of the following reasons: (a) lack of performance by CONTRACTOR; (b) lack of fiscal accountability of CONTRACTOR; or (c) decrease in available funding. III. TERM OF AGREEMENT This Agreement shall commence on July 1, 2014 and all duties arising under this Agreement shall have been performed by June 30, 2015. The term of this Agreement may be extended 25A -293 Page 5 of 15 by a writing executed by the City Manager and the City Attorney. IV. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer - employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. V. WORKER'S COMPENSATION AND EMPLOYER'S RIGHTS A. CONTRACTOR shall use appropriate funds received from CITY to provide workers' compensation to all those hired by CONTRACTOR under this Agreement. B. CONTRACTOR shall have the right to hire, dismiss, or promote its employees or contract personnel hired under this Agreement so long as its hiring or dismissal policy or standard does not violate Title VII of the Civil Rights Act of 1964, Fair Labor Standards Act of 1938, or any other applicable law, and CONTRACTOR maintains itself as an Equal Opportunity employer. VI. APPLICABLE GUIDELINES A. The parties hereto agree that CONTRACTOR shall comply with all applicable federal and state laws and regulations, including, but not limited to the Performance Standards (Exhibit B) and general program requirements described in Sections 106 and 141 of the Act (29 USC Sections 1516 and 1551) and applicable regulations, and the U.S. Department of Labor guidelines and regulations, including amendments or revisions made during the terms of this Agreement. Said applicable laws are hereby incorporated by reference and made as part of this Agreement as though fully set forth herein. B. CONTRACTOR also assures and certifies that: 1. CONTRACTOR acknowledges and confirms that the U.S. Department of Labor has established three (3) common measures for youth: (a) Placement in employment or education; (b) Attainment of degree or certificate; and, (c) Literacy or numeracy gains. Pending WIA reauthorization and or U.S. Department of Labor and EDD updates, Contractor agree to implement and shall meet any additional performance measures that may be subsequently required by the Workforce Investment Act or by any other Federal, State, and local law. 2. CONTRACTOR shall comply with Title VII of the Civil Rights Act of 1964 (P.L. 83 -354) and in accordance with Title VII of the Act, no person shall, on the grounds of race, 25A -294 Page 6 of 15 color, religion, sex, age, handicap or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under this Agreement. 3. CONTRACTOR shall comply with any and all federal laws limiting the political activity of employees hired under this Agreement. 4. CONTRACTOR shall comply with the requirements that no program under the Act shall involve political activities. 5. RECORD INSPECTION. CONTRACTOR shall provide the U.S. Department of Labor and the Controller General, by and through any authorized representative, as well as the WIB Administrative Office, access to and the right to examine all records, books, papers or documents relating to the accounting and use of funds under this Agreement for a three -year period from and after the effective date of this Agreement. 6. No person with responsibilities in the operation of any program under the Act shall discriminate with respect to any program participant or any application for participation in such program because of race, creed, color, national origin, sex, political affiliation or beliefs. 7. CONTRACTOR shall maintain appropriate standards for health and safety in work and training situations. 8. CONTRACTOR shall comply with general provisions, assurances, and execute the Assurances and Certifications attached hereto as "Exhibit H" and incorporated herein. 9. EQUAL OPPORTUNITY. Any literature distributed by CONTRACTOR for the purpose of apprising businesses, participants, or the general public of its programs under this Agreement shall state that its programs are supported by the City of Santa Ana and the Santa Ana Workforce Investment Board, and shall state that the program is an "equal opportunity employer /program" and that "auxiliary aids and services are available upon request to individuals with disabilities." 10. Based on the population eligible to be served, or likely to be directly affected by the WIA program or activity, the services or information may need to be provided in a language other than English in order to allow such population to be effectively informed about or able to participate in the program or activity. Pursuant to 29 CFR 37.35, CONTRACTOR must take reasonable steps to provide services and information in appropriate languages after considering the scope of the program or activity, and the size and concentration of the population that needs services or information in a language other than English. 11. CONTRACTOR certifies that all property, finished or unfinished documents, data, studies and reports prepared or purchased under this Agreement, will be disposed of in accordance with the direction of the CITY. In addition, any tools and /or equipment furnished to the CONTRACTOR by the CITY and /or purchased by the CONTRACTOR with funds pursuant to this Agreement, will be limited to use within the activities outlined in this agreement and will remain the property of the United States Government and /or CITY. Upon termination of this Agreement, CONTRACTOR will immediately return such tools and /or equipment to the CITY or dispose of them in accordance with the direction of the CITY. 25A -295 Page 7 oP 15 12. CONTRACTOR certifies that this Agreement does not provide for the advancement or aid to any religious sect, church or creed, or sectarian purpose nor does it help to support or sustain any school, college, university, hospital or other institution controlled by any religious creed, church, or sectarian denomination, as specified by Article XVI, Section 5, of the Constitution of the State of California, regarding separation of church and state. 13. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The CONTRACTOR will disclose to the CITY any invention, written product, computer program developed or data assembled as a result of performance of work under this Agreement within seventy four (74) days of invention, development or assembly. The CITY, State of California, and U.S. Department of Labor will have the right to patent any invention and copyright any written product or computer program or data generated by CONTRACTOR. Upon written request, CONTRACTOR will transfer all pertinent information, specifications and right, title and interest to the designated agency. 14. INVENTIONS, PATENTS AND COPYRIGHTS. A. Reporting Procedure. If any project produces patentable items, patent rights, processes, or inventions in the course of work under a U.S. Department of Labor (DOL) grant or agreement, the CONTRACTOR shall report the fact promptly and fully to the CITY. The CITY shall report the fact to the Grant Officer, at the DOL. Unless there is a prior agreement between the CITY and the DOL and its representative on these matters, the DOL shall determine whether to seek protection on the invention or discovery, The DOL and its representative shall determine how the rightsin the invention or discovery, including rights under any patent issued thereon, will be allocated and administered in order to protect the public interest consistent with the "Governmental Patent Policy" (President's Memorandum for Heads of Executive Departments and Agencies, August 23, 1971, and Statement of Government Patent Policy as printed in 36 FR 16889). B. Copyright Policy. 1. Unless otherwise provided in the terms of the grant or agreement, when copyright- able material is developed in the course of or under a DOL Grant or agreement, the author and the CITY which developed the work is free to copyright material or to permit others to do so. The CONTRACTOR and the Workforce Investment Board (WIB) shall have a royalty -free, nonexclusive and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted material. 2. The DOL reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The copyright in any work developed under any grant, sub -grant, or contract under a grant or subgrant; (b) Any right of copyright to which a grantee, subgrantee or a CONTRACTOR purchases ownership with grant support; and (c) CONTRACTOR shall comply with the requirements of 29 CFR Part 97.34. C. Rights to Data. The DOL and the CITY shall have unlimited rights to any data first procured or delivered under this Agreement. 15, CLEAN AIR / CLEAN WATER ACT. If the grant hereunder exceeds $100,000, CONTRACTOR must comply with Section 306 of the Clean Air Act [(42 USC 1875(h)]; Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and Environmental 25A -296 Page 8 of 15 Protection Agency ( "EPA ") regulations (40 CFR Part 15) as any may now exist or be hereafter amended. Under these laws and regulations, the CONTRACTOR assures that: (a) No facility to be utilized in the performance of the proposed grant has been listed on the EPA List of Violating Facilities; (b) It will notify CITY prior to award of the receipt of any communication from the Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be utilized for the grant is under consideration to be listed on the EPA List of Violating Facilities; (c) It will notify the CITY and the EPA about any known violation of the above laws and regulations. 16. CONTRACTOR agrees to adhere to the following STANDARDS OF CONDUCT: a. General Assurance. Every reasonable course of action will be taken by CONTRACTOR in order to maintain the integrity of this expenditure of public funds and to avoid favoritism. This Agreement will be administered in an impartial manner, free from errors to gain personal, financial, political gain. CONTRACTOR, its officers and employees, in administering this Agreement, will avoid situations which give rise to a suggestion that any decision was influenced by prejudice, bias, special interest or desire for personal gain. b. Employment of Former State or CITY Employs CONTRACTOR will ensure that any of its employees who were formerly employed by the State of California or CITY, in position that could have enabled such individuals to impact policy regarding or implementation of programs covered by this Agreement, will not be assigned to any part or phase of the activities conducted pursuant to this Agreement for a period of not less than two (2) years following the termination of such employment. c. Conducting Business Involving Relatives. No relative by blood, adoption or marriage of any executive or employee of CONTRACTOR will receive favorable treatment when considered for enrollment in programs provided by, or employment with, CONTRACTOR. d. Conducting Business Involvin Cg lose personal Friends and Associates. Executives and employees of CONTRACTOR will be particularly aware of the varying degrees of influence that can be exerted by personal friends and associates and, in administering this Agreement, will exercise due diligence to avoid situations which give rise to an assertion that favorable treatment is being granted to friends and associates. When it is in the public interest for CONTRACTOR to conduct business with a friend or associate of an executive or employee of CONTRACTOR, an elected official in the area or a voting or non - voting member of the Workforce Investment Board (WIB), a permanent record of the transaction will be retained. e. Avoidance of Conflict of Economic Interest. No executive or employee of CONTRACTOR elected official in the area, or voting or non - voting member of a WIB, will solicit or accept money or any other consideration from a third person, for the performance of an act reimbursed in whole or part by CONTRACTOR or CITY. Supplies, materials, equipment or services purchased with Agreement funds will be used solely for purposes asserted or allowed under this Agreement. No voting member of the WIB will cast a vote on the provision of services or vote on any matter which 25A -297 Page 9 of 15 would provide direct financial benefit to that member or any business or organization which the member directly represents. f Salary and Bonus Limitations. All Subrecipients of WIA program funds are required to comply with federal requirements regarding the limitations on salary and bonus payments in accordance with Public Law 109 -149, Section 7013. VII. HOLD HARMLESS A. CONTRACTOR shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers' compensation claims, resulting from or arising out of the negligent acts, errors or omission of CONTRACTOR, its employees or subcontractors. B. CONTRACTOR shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from and against any and all claims, demands, suits, actions or proceedings therefore, resulting from or arising out of the intentional or malicious acts of CONTRACTOR, its employees or subcontractors. VIII. INSURANCE 1. Commercial General Liability. CONTRACTOR agrees to obtain and keep in force during the term of this Agreement a policy of comprehensive commercial general liability insurance insuring the State of California, CITY, and CONTRACTOR against any liability for accident, injury or death arising out of or in consequence of this Agreement. Such insurance shall be in an amount not less than One Million Dollars ($1,000,000.00) for any injury to or death of any person or persons in any single accident or occurrence. Said policy of comprehensive general liability insurance shall be endorsed to provide to CITY and to the State of California, Employment Development Department, at least thirty (30) days written notice prior to cancellation; name CITY, its officers, agents, employees, and volunteers, and the State of California, its officers, employees, and volunteers as Additional Insured; and state that such coverage is primary to any other coverage or self - insurance of the State of California and CITY (in substantially the form as Exhibit I, Additional Insured Endorsement, attached hereto). Governmental entities may substitute a certificate of self - insurance. 2. Automobile Liability Coverage. CONTRACTOR shall also obtain and maintain, during the effective period of this Agreement, broad form automobile liability coverage with at least $1,000,000 limit unless reduced by CITY, which applies to both owned /leased and non -owned automobiles used by CONTRACTOR employees or participants in performance of this Agreement, or, in the event that CITY will not utilize such owned/leased automobiles but intends to require employees, participants or other agents to utilize their own automobiles in the performance of this Agreement, CONTRACTOR shall secure and maintain on file from all such employees, participants, or 25A -298 Page 10 of 15 agents as self - certification of automobile insurance coverage. Governmental entities may substitute a certificate of self - insurance. 3. Workers' Compensation. If CONTRACTOR is an "employer ", as set forth in California Labor Code Section 3300 et seq., or utilizes participants as "employees," as set forth in California Labor Code Section 3350 et seq., CONTRACTOR shall obtain and keep in force during the term of this Agreement full Workers' Compensation insurance coverage for injuries suffered by participants. Said insurance policy shall guarantee CITY at least thirty (30) days written notice of cancellation or modification. CONTRACTOR shall carry medical and accident insurance for those participants not qualifying as "employees" for Worker's Compensation Coverage, pursuant to California Labor Code Section 3350, et seq. 4. Equipment Coverage. CONTRACTOR shall purchase a policy or policies of insurance covering loss or damage to any and all Equipment provided to or purchased by CONTRACTOR in accordance with this Agreement. Said insurance shall be in the amount of the full replacement value thereof, providing protection against the classification of fire, extended coverage, vandalism, malicious mischief, theft, and special extended perils. Governmental entities may substitute a certificate of self - insurance. 5. Youth Protection. To maintain a safe environment, funded youth providers that serve youth under the age of 18 will need to provide a Youth Protection Policy and proof of Sexual Abuse & Molestation insurance coverage of at least $2,000,000. Youth providers will be held responsible for conducting a background clearance (live -scan) for staff that have direct interaction with youth participants that are wider the age of 18. 6. Proof of Insurance. Certificates and endorsements must be submitted and approved by CITY prior to any work under this Agreement. CONTRACTOR understands that CITY will make no payments under this Agreement until the required certificates and endorsements have been approved by CITY. IX. CORPORATESTATUS All corporate contractors shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board and Internal Revenue Service. Any change in corporate status or suspension shall be reported immediately to CITY. X. ASSIGNABILITY None of the duties of, or work to be performed by, CONTRACTOR under this Agreement shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of CITY. CONTRACTOR must submit all subcontracts and other agreements that relate to this Agreement to CITY. No subcontract or assignment shall terminate or alter the legal obligations of CONTRACTOR pursuant to this Agreement. 25A -299 Page 11 of 15 XI. LAWS GOVERNING THIS AGREEMENT In its performance under this Agreement, CONTRACTOR shall fully comply with the requirements of the following, whether or not otherwise referred to in this Agreement: 1. The Act and all applicable federal statutes, regulations, policies, procedures and directives, including but not limited to, 20 C.F.R. Parts 652 and 660 through 671. 2. All applicable State statutes, regulations, policies, procedures and directives; 3. All applicable CITY policies, procedures and directives; 4. All applicable local ordinances and requirements, including use permits and licensing; 5. Court orders applicable to its operation; and, 6. The terms and conditions of this Agreement. If any of the foregoing is enacted, amended, or revised, CONTRACTOR will comply with such or will notify CITY after enactment or modification that it cannot so comply. CITY may thereupon terminate this Agreement, if necessary. XII. EXCLUSIVITY AND AMENDMENT OF AGREEMENT This Agreement supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the employment of CONTRACTOR by CITY, and contains all the covenants and agreements between the parties with respect to such employment. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein, and that no other agreement or amendment hereto shall be effective unless executed in writing and signed by both CITY and CONTRACTOR. XIII. FRAUD CONTRACTOR shall immediately report to CITY all instances and facts concerning possible fraud, abuse or criminal activity relating to expenditure or receipt of funds under this Agreement. XIV. CONTINGENCY OF FUNDS CONTRACTOR acknowledges that approval of and funding for this Agreement is contingent upon State approval, and funds received or obligated from the State of California to CITY. If such approval of funds is not forthcoming, or is otherwise limited, CITY shall immediately notify CONTRACTOR. Within twenty (20) days of receipt of such notice, CONTRACTOR shall modify or cease operations as directed by CITY and negotiate necessary modification to this Agreement and /or reimbursement of costs incurred hereunder. 25A -300 Page 12 of 15 XV. TERMINATION A. This Agreement may be terminated by either party at its sole discretion, upon thirty (30) days written notice to the other party. Notice shall be deemed served on the date of mailing. However, CONTRACTOR may not terminate this Agreement if undue hardship will result to any participant. B. In the event CONTRACTOR defaults by failing to fulfill all or any of its obligations hereunder, CITY may declare a default and termination of this Agreement by written notice to CONTRACTOR, which default and termination shall be effective on a date stated in the notice which is to be not less than ten (10) days after certified mailing or personal service of such notice, unless such default is cured before the effective date of termination stated in such notice. If terminated for cause, CITY shall be relieved of further liability or responsibility under this Agreement, or as a result of the termination thereof, including the payment of money, except for payment for approved expenses incurred for services satisfactorily and timely performed prior to the mailing or service of the notice of termination, and except for reimbursement of (1) any payments made for services not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by CITY in obtaining substitute performance. XVI. DISPUTES Except as otherwise provided in this Agreement, any dispute concerning any question arising under this Agreement shall be decided by CITY. In such a case CITY shall reduce its decision to writing and mail or otherwise furnish a copy thereof to CONTRACTOR. The decision of the City shall be final and conclusive unless within thirty (30) calendar days from the mailing or delivery of such copy, CITY receives from CONTRACTOR written request to appeal said decision. Procedures governing the appeal shall be prescribed by CITY and/or the State of California in accordance with the Act and all corresponding regulations and OMB circulars. Pending final disposition of the appeal, CONTRACTOR shall act in accordance with CITY's decision unless the dispute involves a change order. XVII. BREACH - SANCTIONS If, through any cause, CONTRACTOR violates any of the terms and conditions of this Agreement, and/or prior agreements whereby grant funds were received by CONTRACTOR pursuant to this Agreement, or if CONTRACTOR reports inaccurately or if any Audit Report makes disallowances, CONTRACTOR shall promptly remedy its acts or omissions and /or repay CITY all amounts due CITY as a result of CONTRACTOR's violation. For any such failures or violations, CITY shall also have the right at its sole discretion to either: (1) discontinue program support until such time as CONTRACTOR fulfills its obligations or remedies all violations of this Agreement or prior agreements; and /or (2) collect outstanding amounts as determined by CITY due CITY by offsetting or debiting from current claims or invoices, if after thirty (30) days' written notice CONTRACTOR has failed to repay same or a repayment schedule has not been made; and /or (3) terminate this Agreement by giving written notice to CONTRACTOR of such termination in accordance the notice provision in Paragraph XVIII herein below. 25A -301 Page 13 of 15 XVIII. NOTICES All notices, reports and correspondence between the parties hereto respecting this Agreement shall be in writing and deposited in the United States Mail, postage prepaid, addressed as follows: CITY: City of Santa Ana Manager, WIB Administrative Office P.O. Box 1988 (M -73) Santa Ana, CA 92702 CLERK: Cleric of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Telefacsimile (714) 647 -6956 CONTRACTOR: City of Santa Ana /Santa Ana Library 26 Civic Center Plaza, Santa Ana, CA 92702 Phone: (714) 647 -5288 Fax: (714) 647 -6913 XIX. MERGER This Agreement, together with the attachments hereto, expresses the total understanding of the parties. There are no oral understandings of the parties or terms and conditions other than as stated herein. XX. VALIDITY The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement. XXI. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the teens 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. 25A -302 Page 14 of 15 TN WITNESS WHEREOF, the parties hereto have executed this Memorandum of Understanding the date and year first above - written. ATTEST: Maria D. Huizar Clerk of the Council APPROVED AS TO FORM: Sonia R. Carvalho City Attorney Lisa Storck Assistant City Attorney "CITY" David Cavazos City Manager "CONTRACTOR" BY: Name: Gerardo Monet Title: Executive Director Tax ID #: 95- 6000785 25A -303 Page 15 of 15 PROPOSER APPLICATION Agency Legal Name Santa Ana Public Library Agency DBA I Program Name Seeds To Trees Academy: Digital Media and Information Technology Institute Program Address 26 Civic Center Plaza, M -75, Santa Ana, CA 92702 Corporate Office Address 26 Civic Center Plaza, M -75, Santa Ana, CA 92702 Contact Person & Title Cheryl A. Eberly, Principal Librarian Email ceberlYnn,santa- ana.org Telephone # 714- 647 -5288 Fax # 714- 647 -6913 Federal ID Number 95- 6000785 AGENCYSTATUS Public Non - Profit WIA Corporation I I Private Non - Profit Friday Years in Operation. $190,000 Private for Profit $20,019 Government I X I Other 10 am- 6 m PRIMARY FUNDING SOURCES Funding Source WIA General Fund CDBG Thursday Friday Amount $190,000 $ 164,033 $20,019 10 am- 9pm 10 am -9 pm HOURS OF OPERATION AND DAYS Days Monday Tuesday Wednesday Thursday Friday Saturday Sunday Hours 10 am -9 pm 10 am- 9pm 10 am -9 pm 10 am -9pm 10 am- 6 m 10 am- 6pm TARGET POPULATION Older Youth 25 Younger Youth 1 5 Out -of- School 15 In- School 15 # of Youth to be Served in 2014 -2015 130 1 Total WIA Funds Requested $190,000 In compliance with the RFP noted above, and subject to the conditions thereof, the undersigned offers to furnish the services stipulated and certifies he has read, understands, and agrees to all terms, conditions, and requirements of this RFP and is authorized to contract on behalf of the agency named above. Signature Executive Director Title Date EXHIBIT A 25A -304 EXHIBIT A 25A -305 PROPOSER APPLICATION Agency Legal Name Santa Ana Public Library Agency DBA CDBG Program Name Seeds To Trees Academy: Digital Media and Information Technology Institute Program Address 26 Civic Center Plaza, M -75, Santa Ana, CA 92702 Corporate Office Address 26 Civic Center Plaza, M -75, Santa Ana, CA 92702 Contact Person & Title Cheryl A. Eberly, Principal Librarian Email ceber1y'&,,santa- ana.org Telephone # 714 - 647 -5288 Fax # 714- 647 -6913 Federal ID Number 95- 6000785 AGENCYSTATUS Public Non -Profit WIA Corporation CDBG Private Non - Profit Friday Years in Operation. $190,000 Private for Profit $20,019 Government X Other 10 am- 6 m PRIMARY FUNDING SOURCES Funding Source WIA General Fund CDBG Thursday Friday Amount $190,000 $ 164,033 $20,019 10 am- 9 m 10 am -9 pm HOURS OF OPERATION AND DAYS Days Monday Tuesday Wednesday Thursday Friday Saturday Sunday Hours 10 am -9 pm 10 am- 9 m 10 am -9 pm 10 am -9pm 10 am- 6 m 10 am- 6 m TARGET POPULATION Older Youth 25 Younger Youth 1 5 1 Out -of- School 15 In- School 15 # of Youth to be Served in 2014 -2015 130 Total WIA Funds Requested $190,000 In compliance with the RFP noted above, and subject to the conditions thereof, the undersigned offers to furnish the services stipulated and certifies he has read, understands, and agrees to all terms, conditions, and requirements of this RFP and is authorized to contract on behalf of the agency named above. Executive Director Signature Title Date EXHIBIT A 25A -306 The Santa Ana Workforce Investment Board /Youth Council Request For Proposals (RFP) for Youth Program Operators Program Year 2014 -2015 SEEDS TO TREES ACADEMY: DIGITAL MEDIA AND INFORMATION TECHNOLOGY INSTITUTE SANTA ANA PUBLIC LIBRARY In Partnership With SANTA ANA COLLEGE EXHIBIT A 25A -307 L Experiences and Qualifications The Seeds to Trees Academy apprenticeship program will be operated by the Santa Ana Public Library in partnership with Santa Ana College. Hence the experience and qualifications of both agencies will be described in this section. A. Briefly describe your agency - Santa Ana Public Library: The Santa Ana Public library (SAPL) is a division of the City of Santa Ana's Parks and Recreation Department (PRCSA). SAPL's purpose is to respond to our community's informational, educational, and personal interest needs using books, materials, technology, and professional expertise. The library is subdivided into 4 primary departments; young adult services, adult services, youth services and technology and support services. A primary way in which the informational needs of the community is via a variety of special programs, like the Seeds to Trees Academy young adult workforce training program. B. & C. List the facility address and address of headquarters if different location. Please include major cross streets. Indicate hours of operation for facility. Educational and training activities will take place at 3 library site locations all located within the city boundaries: • The headquarters at the Santa Ana Public Library Main Branch located at 26 Civic Center Plaza, at the cross - streets of Civic Center and Ross in Santa Ana. The Main library is open 10 am -9 pm Monday - Thursday, and 10 am — 6 pm Friday and Saturday. Computer labs and classroom space available to students are located in the TeenSpace, the basement of the Main Library, and the Mezzanine. All three areas are wired for data transmission using the City's public access Internet. • The Digital Media computer lab and Teen Center at Garfield Joint Use Community Center located at 850 Brown St. at the cross - streets of 4`� Street and Lacy. Garfield is open 3:00 p.m. -6:00 p.m. Monday - Friday. This located is specially designed and equipped with a digital media production studio and a classroom structured computer lab equipped with state of the art Mac computers. The TeenSpace at Jerome Recreation Center located at 726 S. Center Street, at the cross - streets of Center and Me Fadden. Jerome is open 3:00 pm — 8:00 pm Monday- Thursday and 3:00 pm -6:00 pm Friday. D. Briefly indicate what makes your facility youth friendly and suitable for the proposed program. - All three locations are youth friendly and offer young adults a designated, specially designed space for them to train, learn, work, relax, do homework and meet friends, and are ADA compliant. E. Provide brief information on the following elements: 1. Average annual operating budget and sources of revenue - The Library's allocation of City General Fund monies for 2012 -13 was $2,901,140. Other sources of revenue include a CDBG block grant of $258,072, which supports the Homework Help Centers. We anticipate an equivalent CDBG grant for 2013 -14 for this purpose, and were recently awarded a $59,000 LSTA grant from the State Library's LSTA program, as well as $13,000 in smaller grants from various sources. EXHIBIT A 25A -308 2. Brief description of staff - The library employs 10 full -time librarians, 8 full -time paraprofessionals and 8 full -time clerical personnel. We currently employ 70 part time clerks and tutors in children's, teen and adult programs. Some of our part- timers are paid through the General Fund and others through various grants. 3. Past experience with WIA programs or other youth programs - The trained staff devoted to this project will be the Young Adult principal librarian, the Technology and Support Principal librarian, one Out of School Youth Lead Caseworker, one In- School Youth Lead Caseworker, WIA program clerk, lead out -of School youth Sr. Tutor and lead in- school youth tutor, assistant librarian and youth services technician and library services manager. The young adult principal librarian has been the project director for the past three iterations of the Seeds to Trees WIA program and will nearly half of her work time to guiding and overseeing the program. The technology and support principal librarian will be in charge of CTV -3 programming for the city and will be responsible for effective cooperation with Santa Ana College and its School of Continuing Education, to insure that class schedules and locations, content and student monitoring are implemented and problems solved promptly. She also has had oversight of the work experience of the youth participants focused on CTV3 programming, coordinating filming, editing, and web content design through the efforts of her staff. An Out - Of- School Youth Lead Caseworker, an In- School Youth Lead Caseworker and a WIA program clerk will be recruited and hired for the project. It is anticipated that priority hiring will be given to staff who have already had previous experience working with the Seeds to Trees WIA program at the library. Lead in- School Tutor and lead out-of-school Sr. Tutors will be assigned Seeds to Trees WIA program duties from current pool of staff. Additional staff will have roles as tutor and project mentors. 4. What ]rind of impact your agency has made on the youth community? - The library has maintained a high number of ongoing apprenticeship programs for teens, including a very intensive Summer Volunteer Institute (SVI) that encourages teens to find self- worth and civic engagement though giving back to their community. Last summer nearly 150 teens donated some 5,000 hours of their time to supporting programs for library patrons of all ages, mentoring over 100 children in our "Buddy" programs, helping limited English speaking adults to master computer technology and improve job skills, volunteering at community events, and becoming involved in the social and educational life of their community. All together, the library conducted nearly 90 programs for teens during the summer at three sites. At present, teens continue to volunteer through the school year in math, reading, fitness and art "Buddy" programs aimed at young children. There are daily activities for teens at both library branches and the Jerome Recreation Center, including the Youth Health Ambassadors, history, civics, green living scholarship, fitness and Teen Library clubs as well as arts, literature, video production and graphic arts workshops and tutoring in math and reading. Half of our part time staff are involved exclusively in assisting with these projects, and are experienced and committed to the growth and development of the young people they work with. The majority of teens hired through our grant programs have begun their contact with the library through the volunteer program, Our volunteers are mentored by staff and older teens and transition age young adults (18 -24), and encouraged to develop personal and academic goals and an understanding of the importance of their work to themselves and others. The library has also been unusually effective in working with probation youth volunteers. Annually, forty to fifty probation youth complete their community service at the library. Ten to fifteen of those continue volunteering at the library when their community service responsibilities are concluded. In all of our youth - centered programs, two guiding principles have been primary: The Circle of Mentoring concept and its successor, the Seeds to Trees concept. The first emphasizes the value to both mentor and mentee of a close and lasting supportive relationship, and the second the value of providing long -term EXHIBIT A 25A -309 mentoring, teaching and financial support for developing youth. These principles are the basis of our success with WIA youth in our 2011 -2012, 2012 -2013 and 2013 -2014 programs. All full -time employees at the library are involved in mentoring the students we employ under WIA. In addition, the library has been able to supplement this personal support with organizational support in the form of educational and personal counseling, transportation to classes, and paid internships at the library. In collaboration, the efforts of staff members have produced notable successes, especially with WIA - mandated goals. The program has achieved full enrollment very early in the cycle for the 2011 -2012, 2012 -2013 and 2013 -2014 programs. Thus far, a total of sixty participants have completed the first phase of the training successfully, and were awarded certificates from RSCCD testifying to their mastery of digital media preproduction skills. Our out -of- school participants are working to complete high school requirements under staff supervision. In pursuit of WTA employment development goals, participants have been able to take part in the RSCCD Young Entrepreneurs Program, which exposes youth to mechanisms and methods of increasing the marketability of their products and skills. To attest to the impact of library services, in 2012 -2013, out of 20 students in the Seeds to Trees Digital Media Technology Academy program, 9 completed a high school diploma or GED, 90% students enrolled in post - secondary education and/or found employment, 100% demonstrated an improvement in basic skills, and all 20 received digital media technology credentials (refer to attachment I2). The library has had a strong track record in its impact on youth in the community. In recent years, the library has a record of unusual success in attracting teens to its TeenSpace and supporting them through its many programs. The TeenSpace is advised by the Teen library Club. As a group, these teens have contributed many thousands of hours of community service to the library and to various civic engagement projects around the city, 98 percent have graduated from high school and 90 percent have gone on to higher education. These are teens that do not represent the top 10 -20 percent of their high school class. They are not involved in student government or school activities. They are the quiet at -risk youth whom no one notices. But at our TeenSpace, they are noticed, nurtured and appreciated. They are provided pathways to professions, valuable work experiences, civic engagement opportunities, and encouraged to pursue higher education goals. A. Briefly describe your agency - Santa Ana College/ School of Continuing Education: A Santa Ana College (SAC) has had a long and extensive history of serving Santa Ana youth. Santa Ana College was founded in 1915 as a. department within Santa Ana High School. As such, the campus has focused on serving the youth of Santa Ana from its very inception. In 1947 Santa Ana College moved to a permanent campus at 17th and Bristol. It was the second junior college founded in Orange County and the fourth oldest in all of California. In 1971, Santa Ana College formally separated from the Santa Ana Unified School District to form the RSCCD. The college has evolved into one of the most energetic and fastest - growing comprehensive community colleges in the nation, currently serving 29,318 credit and non - credit students per semester. Santa Ana College will turn 100 years old in 2015. Santa Ana College provides access and equity in a dynamic learning environment that prepares students for transfer, careers and lifelong intellectual pursuits in a global community. The Middle College High School program is an example of their successful efforts to provide college level instruction to high school aged youth. The Digital Media Center, a 28,000- square -foot facility, is an innovative state -of -the -art facility created through a unique collaboration of RSCCD, SAC, City of Santa Ana, and the U.S. Department of Commerce, Economic Development Administration. The DMC features a business incubator for start -up companies, instructional space for SAC's digital media arts, TV /video production and digital music programs. The facility also houses a collection of business seminars related to the digital media and business industries, offered through SAC's Business Division. The DMC also received funding from two outside sources with an acre of land being donated by the City of Santa Ana and a $1.6 million grant from the U.S. Department of Commerce. EXHIBIT A 25A -310 The Centennial Education Center run by Santa Ana College is the only major Adult Education provider in the City of Santa Ana. For 33 years the Centennial Education Center has been critically important to the residents of Santa Ana as they strive to make a better life for themselves and their families through education. Last year was the college's largest high school graduating class ever with 211 graduates. The programs offered at Centennial Education Center are award winning receiving 4 major awards in 2013 from agencies including the California Department of Education. All programs and services offered at the Centennial Education Center are Tuition Free. B. & C. List the facility address and address of headquarters if different location. Please include mainr cross streets. Indicate hours of operation for facility. 1. Centennial Education Center 2900 W Edinger Ave, Santa Ana, CA 9270, Cross Street Edinger and Fairview - Hours of Operation Monday — Thursday 8:00 AM— 6:45 PM; Friday 8:OOAM — 4:30PM 2. Santa Ana College Main Campus 1530 W 17th St, Santa Ana, CA 92706, Cross Street 17th and Bristol - Hours of Operation Monday — Thursday 8:00 AM— 6:45 PM; Friday 8:OOAM — 4:30PM 3. Digital Media Center 1300 S. Bristol Santa Ana, CA 92704 Cross Street Edinger and Bristol - Hours of Operation Monday — Thursday 8:00 AM— 6:45 PM; Friday 8:OOAM — 4:30PM D. Brieflv indicate what makes your facility youth friendly and suitable for the proposed program, - In 2002, voters approved Measure E, a $337 million general obligation bond to renovate existing campus buildings and construct new classrooms to alleviate overcrowding and expand the educational and training programs at Santa Ana College, Santiago Canyon College, the regional education centers and the district operations center of the RSCCD. Bond Measure Q was approved in November of 2012, authorizing up to $198 million to finance further renovations, repairs and new construction at Santa Ana College. These updates included a new Digital Media Center, Early Childhood Education Center, building upgrades, an expansion of the Centennial Education Center, and Library renovations. These state of the art facilities are now available to provide the best possible educational setting for the next generation of Santa Ana Youth. E. Provide brief information on the following elements: 1. Average annual operating budget and sources of revenue - A majority of the classes will be undertaken the Centennial Education Center. Their annual budget amounts to $13,662,882. These funds come from various state, county, and local sources managed by Santa Ana College and the Ranch Santiago Community College District. The funding for the CEC provides the operating expenses to run 1457 class sessions per academic year. 2. Brief description of staff - The Centennial Education Center has 5 administrators, 11 Full -time Faculty and Counselors, 297 part time faculty and counselors, along with 103 support staff. The management team is made up of Interim Vice President Jim Kenriedy, Dean Nilo Lipiz, Dean Dr. Sergio Sotelo, Associate Dean Christine Kosko, and Associate Registrar Phuong Nguyen. 3. Past experience with WIA programs or other youth programs - The Adult Education center has had a long history of serving nontraditional high school students of all ages. Their GED and high school diploma programs have been utilized by many members of the Santa Ana community that did not complete their high EXHIBIT A 25A -311 school education. The faculty and staff are very experienced in helping nontraditional students reenroll into productive educational courses. The Adult Education Center will also have access to the resources that are typically made available to other incoming community college students. 4. What kind of impact your agency has made on the youth community? - Impact on the youth community — According to the US Census 48% of adults over the age of 25 in Santa Ana do not have a High School Diploma or GED equivalent. That's over 89,000 Santa Ana residents. Also over 20% of households in the city do not have a member in the household over the age of 14 that can speak English fluently. These are the programs and services that are offered at Centennial Education Center. The Continuing Education Center has served the Santa Ana Community for the last 33 years by provided a place where students lacking a high school diploma could take the steps needed to complete their secondary education. Last year they help 211 High School student Graduates with their diploma, an additional 60 completed their GEDS, and a total of 13072 courses were completed by students in the program. The center served a total of 24,259 different students enrolled in various programs at the center. Of these, 4,558 were Full -Time equivalent students working towards a degree or credential. In addition, Centemial Education Center students earned over 1,400 state approved certificates in English as a second language and career and technical education programs. H. Proposed Program A. Overview of Main Obiectives The "Seeds to Trees Academy: Digital Media and Information Technology Institute" program developed by the Santa Ana Public Library in partnership with (SAC) is free comprehensive apprenticeship program comprised of paid training and work- experience student internships and externships for 30 youth ages 16 -21 leading to certifications and college credit in the fields of computer information technology, clerical office work, and digital media. Of these 30 WIA eligible student interns, 15 youth (50 %) will be "Out -Of- School Youth" (ages 16 -21) and 15 youth (50 %) will be "In- School Youth" (ages 16 -21). At least 3 (10 %) will be foster, probation and/or youth with learning disabilities. A City internship program has now become a goal of the 5 year strategic plan being drafted by the City. The Seeds to Trees Academy has a tradition of providing internships from the Parks and Recreation Department. This project will now expand these internships opportunities to the Zoo, City Treasurer, City Attorney, and the Planning and Building Department. The "Seeds to Trees Academy: Digital Media and Information Technology Institute" program is an evolutionary outgrowth of the library's previously successful WIA funded " Seeds to Trees Digital Media Technology program that the library implemented successfully for 3 years in partnership with the District's (RSCCD) Corporate Training Institute (CTI). This revamped prognun takes the Seeds to Trees approach of mentored paid training and work - experience apprenticeship program and adds additional elements that will be increasingly beneficial to the participants of the program. These additional elements are: 1.) enrolling of all participants in Santa Ana College and paid training in courses leading to transferable college credit, 2.) increased focus on work - experience internships and externships at local businesses and city departments leading to potential employment and 3.) A pilot program element that introduces participants to post- secondary Massive Online Open Courses (MOOCs) in a structured staff/tutor led class -room workshop setting (Please refer to attachment X for an informational packet on MOOC's). Massive Online Open Courses Pilot Element — MOOCS are open online courses similar to online coursework being offered by colleges and universities. The development of MOOCS began as a way to provide high quality education to a larger and more diverse audience than had been previously possible. The stricture of the courses varies from short self -paced vocational lessons to advanced graded coursework from top universities. Industry leaders in this field include Coursera, ALISON, Udacity, Saylor, and EdX. They offer a wide range of freely EXHIBIT A 25A -312 available courses with options for either paid certifications. The movement towards developing MOOCs has been embraced by Harvard, MIT, Berkeley, Yale and other universities looking to reach wider audiences. (https: / /www.coursera.ora /) These courses have the potential to be used to expose student from at risk backgrounds to the rigors of higher education without the financial entry barriers they would traditionally face. Industry specific coursework is also being designed and offered by leading tech companies seeking to create an educated workforce that knows how to use their IT systems. AT &T and Google are both creating a series of low cost courses that will allow students to obtain inexpensive credentials certifying marketable skills. This trend toward industry specific training has been adopted by other MOOCs in areas with highly specialized instructional needs. ALISON in particular is already being offered through government workplace centers in 18 states to supplement the changing skillsets needed by industry, hiip: / /alison.com/ Human resource officers have begun reporting that prospective employees with certified MOOC course work demonstrate a commitment to upgrading skills and knowledge. This helps them gain a competitive edge compared to other applicants. MOOCs are in still in the process of developing social and pedagogical models around their courses in order to strengthen the completion rate among those enrolled in the coursework. This pilot aims to critically examine how MOOCS can be improved to reach educationally underserved populations more effectively. We believe that our program will improve the course completion rates by assigning a staff teaching assistant and dedicated scheduling to support each MOOC participant throughout the program. These small adjustments to the learning ecosystem could provide a cost effective method to help transition at risk Santa Ana youth into higher education courses that will help to ensure their adaptability to future changes in the job market. This pilot will utilize free MOOCs from Coursera, ALISON, Udacity, Saylor, and EdX to supplement the workload of each cohort. http: / /www.saylor.org Advanced Learning Interactive Systems Online ( ALISON) will provide free high quality industry recognized instruction in computer related fields. We will use Coursera, Udacity, & EdX to identify STEAM, information technology, digital media and marketing related courses. Saylor will provide business and soft skills courses as assed by our initial needs assessment. The courses will be done in a classroom setting with dedicated a teacher assistant to help them complete the MOOC courses. The program will provide participants with WIA Elements 1, 4 -10. The program will offer students tutoring, study skills training, and instruction leading to the completion of a high school diploma and post - secondary education readiness (1). Students will have the opportunity for occupational skill training in computer maintenance and repair and clerical office skills, as well as media technology through Santa Ana College and its Continuing Education Center Program (4), as well as work experience at the library creating design/content for various agency and affiliate web sites, producing videos for the city's CTV -3 channel, and work experience at externship sites at local businesses and city departments (5). During their work experience, the teens will operate in teams, where the need for teamwork will help them to develop an understanding of the importance of responsible behavior and an opportunity to display leadership (6). During the entire learning and working period, youth will be monitored and supported by adults and responsible young adults from the library and the College (8), and provided with the educational materials and equipment required to successfully complete the program (7). A Masters in Counseling intern skilled in a variety of fields, including addiction and family counseling, will be available to students as needed (10). Follow -up services for a minimum of 12 months after program completion will be provided for youth to support educational and /or employment endeavors (9). Upon eligibility determination, all 30 participants will be streamed into 3 program tracks. Track 1: Out — of-School Youth: Microsoft Office Application certifications and Intermediate Digital Media Apprenticeships (15 participants ): Digital Media Basics: 40 hours, Intro to Marketing: 50 hours, Intermediate Digital EXHIBIT A 25A -313 Media: 100 hours, MOOC's based certification trainings: 50 hours, Work Experience Internship/ Externships: 160 hours (400 hrs X $8.53) Track 2: In- School Youth: Microsoft Applications certification and Intermediate Digital Media Apprenticeships (15 Participants): Digital Media Basics: 40 hours, Intro to Marketing: 50 hours, Intermediate Digital Media: 100 hours, MOOC's based certification trainings: 10 hours, Work Experience Internship/ Externships: 100 hours, (3001hrs x $8.53) The duration of the Seeds to Trees program is approximately one year (44 weeks), from August 2014 to June 2014 of the following year. In order for youth apprentices to receive the maximum benefits of the program he /she must commit to between 7 -12 hours a week. These hours per week include instruction and work experience, in addition to workshops to enhance participant skills. There will be two full -time case managers assigned to this program. One case manager will be lead case manager for Out -Of- School youth and the other case manager will be lead case manager for In- School youth. Case managers will be assisted by part -time Sr. Tutor and Tutor staff assigned to the project. Students have the opportunity of interacting with their respective Case Manager at each class, work experience or workshop. On Average students and Case Manager interact 4 -5 times a week. For more intensive needs of the students, the Case Manager and/ or additional support staff will be available. III. Population A. How many Youth will be served? The Seeds to Trees Academy program will serve =30 youth. Of the 30 youth, 15 (50 %) will be "out -of- school youth" (ages 16 -21) and 15 (50 %) will be "in- school youth" (ages 16 -21). B. Will your agency be able to serve a minimum of 10% of youth from each of the following youth populations: Youth with disabilities, foster /emancipated Youth, vouth that have dropped out of high school, and youth on probation? Yes, we will serve at least 10% of youth from the populations mentioned above. C. Specifv how the targeted youth populations (disability, foster /emancipated, probation, dropouts) will be recruited. Include a Letter(s) of Support from organizations that have agreed to refer youth to your program as Attachment C. 1. Poster Youth: The library has developed a successful association with Orangewood Children's Foundation which serves foster youth in Orange County, and they have agreed to refer emancipated foster youth for participation in the program (refer to Letter of Intent from Orangewood Children's Foundation). Further, the Project Director has been attending meetings of the Foster Youth Breakthrough Collaborative since 2009 and the Orange County Social Services Agency has agreed to refer foster youth to the program (refer to Letter of Intent from the Orange County Social Services Agency). Since several project employees are former emancipated foster youth from Orange County, we will have staff on hand uniquely qualified to assist foster youth interns. 2. Probation Youth: The "Seeds to Trees Academy" program plans to recruit youth who are on probation through our partnership with the Orange County Probation Department who have agreed to refer probation youth for participation in the program ( refer to Letter of Intent from Orange County Department of Probation). We have had tremendous success with probation youth community service volunteers. Forty to fifty probation youth volunteer at the library annually, and ten to fifteen of those remain as volunteers after their service hours are completed. We are currently piloting a program specifically aimed at probation youth that includes workshops on adolescent behavior and attitudes and how they resonate in a student's life, as well as classes in needed academic subjects. EXHIBIT A 25A -314 3. Youth with Disabilities: The library has had a successful association with serving as a work experience site for the Santa Ana Unified School District's Special Education Program Youth. The Transition Center has agreed to continue to refer youth with disabilities to the Seeds to Trees Academy (please refer to Letter of Intent from SAUSD Transition Center). Youth with physical disabilities will be welcome in the program, as will youth with mild learning disorders. Youth with severe cognitive disabilities will find the educational components of the program too demanding. With space in the program limited, it is necessary to offer the training only to those who can benefit from it. D. Describe vour recruitment plan that will fulfill the requirement of enrolling 100% of youth by the 2nd quarter of the program (December 31, 2014). Recruitment and outreach for the program will occur at the start of the grant cycle 7/1/2014. Prior to the start of the program, the library TeenSpace staff will promote the upcoming "Seeds To Trees" program during its Summer Volunteer Institute program which annually recruits over 120 summer volunteers, many of which are WIA eligible, and it's Probation Youth Community Service program which has an average annual participation of 40- 50 youth on probation. In addition to recruiting from its pool of WIA eligible summer volunteers, staff will also make presentations at Orange County FYO (Foster Youth Outcomes) meetings, CASA (Court Appointed Social Advocates) meetings and at local Santa Ana High Schools, to recruit candidates for this program. In addition to Foster Youth, Probation and Youth with disability referrals, the Minnie Street Family Resource center has agreed to provide referrals of interested participants to our program as well. We will begin accepting notices of interest in the "Seeds To Trees Academy: Digital Media and Information Technology Institute" in May 2014 ( refer to attachment W for recruitment flyer), and distributing and accepting applications including gathering all documents required by the Service Navigator to determine youth WIA eligibility in July 2014. Once youth eligibility is confirmed, youth will be hired as Work Experience employees (WEX). It is anticipated that all this will occur in the month of August, 2014 in anticipation of the certificate and courses which simulate a college semester. The ambitious goal at this point is to have already recruited and enrolled at least 23 (76 %) of total 30 youth participants planned in the program. During this phase, all student interns will also take a TABE assessment test to determine their basic skill level. E. What are some of the barriers that the youth populations face? Basic Skills Deficiency: Among the youth served by the Santa Ana Public Library, there are a number of barriers associated with poverty preventing the achievement of short and /or long term goals. The most common barrier as concluded by the TABE test is basic skills deficiency. Student results indicate that a majority of students are performing at or below an equivalency of 8.9 grade level. These students often have difficulties in the completion of their education, since they are likely to fall behind in semester credits and in turn eventually drop out of high school. Poor Work History: Students with poor work history are at least 19 years of age and have never had a full -time job. As students continue to search for opportw-iities in a competitive job market, they have fewer opportunities with limited education and work experience. Many of the youth do not have reliable transportation to and from school or to the place of employment. As a result it causes an attendance and/or punctuality issue. Many of the students do not have professional clothing readily available for employment interviews or professional events. These barriers are often setbacks for students. High School Drop -Outs/ Lack of High School Diploma /GED: A significant number of youth in the community of Santa Ana come from economically disadvantaged families. Low socio- economic status often leads to a number of barriers impeding student success such as educational underachievement, higher likelihood of high school dropout, offender, teen parent, and welfare dependency. Latino students comprise a majority of EXHIBIT A 25A -315 the student population in the Santa Ana Unified School District. Nearly seventy -two percent are reported as dropping out. These students leaving school without a diploma will limit their opportunities for personal and /or professional success by not having the appropriate education or training for the labor force. It is known that high school dropouts earn less wages, are more likely to commit crimes, and are considered less healthy both physically and emotionally than students that graduate. Many jobs in the market require a high school diploma, so that youth who do not graduate contribute to increasing unemployment rates among youth, juvenile arrests, gang affiliation and births to teens, perpetuating the poverty cycle. Lack of post - secondary education/ training: For students who do earn a high school diploma, many do not enroll in post - secondary institutions. Instead, they enter the workforce to assist their families financially. But with limited education, training, and /or experience it is difficult to find employment with sustainable earnings. As a result many youth become frustrated with their current situation and resort to substance and/or drug abuse for an escape. Additionally, students who do enroll in post - secondary education are often first generation students and therefore have difficulties adjusting to the role of college student. Students are often unaware of the resources on campus available to assist them with the completion of their degree. Therefore many students perform poorly and eventually drop out of college. F. How will your agency address the barriers that youth encounter? The "Seeds to Trees" program plans to recruit youth with barriers to employment, educational advancement, and a successful future. The Seeds to Trees program will supports students by providing resources, knowledge and /or informational tools to find personal connections for educational and local workforce opportunities. Students will attend or partake in various activities to enhance their educational, employment and life skills. Youth who are TABE tested and determined basic skills deficient will be provided with one -on -one tutoring in order to assist them improve the skills that they are deficient in. All youth participants will be provided with valuable work experience via internships and externships opportunities offered by the Seeds to Trees Academy. Youth participants who are drop -outs or in danger of dropping out will be enrolled in the SAC school of continuing education high school diploma or GED completion program and will be provided with one -on -one tutoring to assist them with classes. All youth participants will be provided work training leading to state recognized certificates in computer maintenance and repair or general clerical as well as industry recognized certificates in customer service and digital media disciplines. To address the barriers to post- secondary education, all youth will be enrolled into Santa Ana College, and will be provided specialized college course training leading to college credits upon completion. Given the dramatic 13% decline in the employment prospects of American Teens recently reported by the Brooking Institutions, it is vital that training program offer flexible education models that can adapt to changing needs of employers. Their report found that many of these workers would face permanent effects of being locked out of the job market. Per the research findings in the report we believe that our MOOC pilot program cohorts can help to link high school students to post - secondary educational credentials. Furthermore these courses will help to strengthen career and technical education opportunities in industry specific areas. These educational opportunities provide a way for high school dropouts to receive advance training in industry related fields. An additional benefit of these courses is that they are highly adaptable to local job market conditions and can be tailored to the regional labor market as the Brookings institution suggests IV EmoloVment A. Specify how your agency will help youth attain employment. EXHIBIT A 25A -316 Agency will assist youth apprentices in attaining employment via a series of employment skill development workshops, internships and externships leading to potential employment, and emails with weekly job postings. We will focus on STEAM and green collar industries when placing an individual at an employment site. B. What types of services /workshops /resources will be provided to help youth attain employment? Interns will attend career skills onsite instructor based and MOOC based workshops on resume and cover letter creation, interviewing techniques and "Dressing for Success" as part of their on -the job training. Towards the completion of their program, interns will also attend workshops on job searches, submit applications, and post their resumes on several sites. The youth are brought into contact with potential employers and taught to present themselves effectively in the job market. Students have access to an employment binder where a number of job postings are included weekly. In addition the Case Manager sends several job leads to each participant's email weekly C. Specify the names of the emplovers that your agency has partnerships /agreements with, who will hire youth. Suavecito Inc., The Vazquez Law Group, Heritage Museum of Orange County, and host agency Santa Ana Public Library has agreed to hire youth apprentices who have interned /externed at agency contingent upon youth work performance and availability of resources. Additional potential employers who have committed to hosting interns, and may hire youth apprentices who have interned in their sites are the Santa Ana Business Council Inc., Knowlwood Enterprise Inc., The Frida Cinema, and the following City of Santa Ana departments: Treasury Department of the Finance and Management Services Agency, the Planning and Building Agency, the City Attorney's Office and the Santa Ana Zoo. Staff will continue to pursue additional employer partnerships during the course of the program to ensure that youth get a wide variety of employment options. D. Please provide Letters of Commitment from employers willing to hire your vouch participants. Please refer to Attachment D for letters of Commitment E. What types of employment services will be provided to youth after they exit the program (retention, transportation assistance, resources, etc.) After exit, students will continue to have access to the employment binder and also receive entails from Case Manager in regards to possible job leads. V. Work Based Learning A. Describe in detail the work based learning opportunities that will be offered to the youth such as: paid work experience, internships, externships, lob shadowing, and work based learning. The entire format of the "Seeds to Trees" academy program is one that focuses on work based learning opportunities. First, all 40 WIA eligible youth are hired as apprentice Work Experience employees (WEX) and paid an hourly wage to receive a complete in -class and on- the -job training work experience that they can use to propel them into higher education, employment and /or self- employment as a freelance entrepreneur. As part of their work experience, all apprentices will be provided opportunities to internship onsite, as well externship at sites that have committed to hosting interns from our program. Job shadowing and work based learning will be a part of this program of this program. B. List some of the emplovers that will assist in the work based learning opportunities. Suavecito Inc, The Vazquez Law Group, Heritage Museum of Orange County, and host agency Santa Ana Public Library, Santa Ana Business Council Inc, Knowlwood Enterprise Inc., The Frida Cinema, and the following City of Santa Ana departments: Treasury Department of the Finance and Management Services Agency, the Planning and Building Agency, the City Attorney's Office and the Santa Ana Zoo. Staff will EXHIBIT A 25A -317 continue to pursue additional employer partnerships during the course of the program to ensure that youth get a wide variety of externship and work -based learning opportunities. We will focus on STEAM technology and green collar industries. C. If applicable, please include a copy of the Work Based Learning policy as Attachment E. Policy attached – Please see attachment E D. Will your agency take youth to real companies /businesses to become acquainted with the various employment industries? Yes. Some fieldtrips are planned for PBS So Cal studio (refer to attachment F letter of intent), Univision and Public Relations firm. Additional company tours will be arranged during the duration of the program. Additionally youth placed at externship sites will gain valuable experience becoming acquainted with employment industries represented. E. Will youth have the opportunity to meet or hear from real employers? Yes. This will be achieved via fieldtrips and tours, and externship placements. In addition to this, all student interns will attend several workshops put on by the RSCCD Youth Entrepreneurship Program (YEP) at the Santa Ana Public Library as part of their on -the job work experience where they will be introduced to several local entrepreneurs from whom they will learn valuable employment lessons. VI. Certificates/Diplomas /Credentials A. What type(s) of certificates will youth be able to earn while in your program? Santa Ana College Course Credits a. 3 College Credits: Marketing 113 - Principles of Marketing (40 youth) b. 3 College Credits: Communications & Media Studies 102 -Multimedia Storytelling (15 Youth) c. 3 College Credits: Business Applications -164 Introduction to Adobe Photoshop (15 youth) d. 0.5 College Credits: Business Applications -043 Microsoft Certified Application Specialist Preparation (15 youth) 2. Rancho Santiago Community College District a. Youth Entrepreneurship Program (YEP) certificate of Completion 3. Massive Open Online Course (MOOC) Pilot Program Certificates: a. ALISON — Advanced Learning Interactive Systems Online (Alison.com). Provides industry recognized free certified training in a variety of subjects. Currently used by Employ Florida and Vir hnia Workforce Connection to train job seekers requiring additional skills and certifications. (i) Microsoft Digital Literacy- IT Basics, Internet & Productivity Programs Diploma (30 youth) - Diploma is verified by Microsoft and is industry recognized (ii) Google Applications Certifications – courses and certificates developed and verified by Google and is industry recognized 1. Google Webmaster Certificate 2. Google Fundamentals of Marketing Youth Business Online Certificate 3. Fundamentals Google Does Certificate 4. Exploring Google Apps Certificate 5. Google Applications for Business certificate 6. Fundamentals of Google Android Development Certificate EXHIBIT A 25A -318 7. Google AdSense Certificate 8. Google Analytics Certificate 9. Google SketchUp for 3D Modeling certificate b. EdX- "is a not -for- profit offering the highest quality education, both online and in the classroom. Founded by the Massachusetts Institute of Technology (MIT) and Harvard University, EdX offers online learning to on- campus students and to millions of people around the world. EdX is building an open - source online learning platform and hosts a web portal at www.edx.org for online education ". In addition to providing courses leading to certificates of completion from Harvard and MIT, EdX also provides access to courses and certificates of completion from a host of highly accredited Universities throughout the U.S and the world. (i) Youth Participants will be able to participate in tutor assisted online courses leading to "Honor Code Certificates of Achievement' from the university that administers the course. We will focus on having tutor assisted courses focused on Digital Media, Information Technology, and/or Business application topics depending on the availability of these courses on the EdX platform. (15 -30 Youth Participants) B. Describe the training that will lead to the certificate /diploma /credential. 1. Santa Ana College Course Credits: a) All 30 youth will be enrolled in Santa Ana College, and will take a 3 wait course in Intro to Marketing. 20 youth will take it in the first semester (August - January), and the remaining 10 youth will take it in the second semester (February - .Tune). Successful completion of the course will lead to all 30 youth receiving 3 units of transferable college credits. b) 15 youth (10 In- School and 5 Out -of- School) who are part of the track 2 and track 3 Seeds To Trees Academy intermediate digital media technology track will take 3 additional courses leading to transferrable college credit ( all these courses will be taken in the second semester (February- June): i) 3 Collage Credits: Communications & Media Studies 102 - Multimedia Storytelling (15 Youth) ii) 3 College Credits: Business Applications -164 Introduction to Adobe Photoshop (15 youth) iii) 0.5 College Credits: Business Applications -043 Microsoft Certified Application Specialist Preparation (15 youth) 2. Rancho Santiago Community College District Youth Entrepreneurship Program (YEP) c) All 30 youth will participate in a 5 week long series of workshops (2 hours) that will teach them the basics of entrepreneurship. This workshop will culminate in youth competing in teams to create a market plan for a product that they develop and present. All youth participants who complete the course will receive a certificate of completion. This training will occur in the second semester of the academy February -June) 3. Massive Open Online Course (MOOC) Pilot Program Certificates: d) ALISON Advanced Learning Interactive Systems Online (Alison.com). i) Microsoft Digital Literacy- IT Basics, Internet & Productivity Programs Diploma (10 youth) 1. Each online course component will be presented in a class -room setting and be facilitated by a staff /tutor. 2. Student will participate in the online classes as a group in groups of 10 upon determining eligibility and hiring into the "Seeds to Trees" academy as a work experience intern. EXHIBIT A 25A -319 3. This course will take approximately 10 hours and after completion of coursework, participants will take online assessment to receive diploma. 4. This program will be completed in August and September ii) Google Applications Certifications — courses and certificates developed and verified by Google and is industry recognized 1. Structure will be the same as above. 2. 30 youth participants will attend staff /tutor facilitated online class sessions onsite in leading to certificates in the following programs: a) Google Webmaster Certificate ( 30 youth) b) Google Fundamentals of Marketing Youth Business Online Certificate (30 youth) C) Fundamentals Google Docs Certificate (30 youth) d) Exploring Google Apps Certificate (30 youth) e) Google Applications for Business certificate (30 youth) 3. Each course session will be about 3 hours, and will be completed in August and September 4. 15 students in intermediate digital media track program will receive additional in class tutor /staff facilitated online training in: a) Fundamentals of Google Android Development Certificate (15 youth) b) Google AdSense Certificate (15 youth) C) Google Analytics Certificate (15 youth) d) Google SketchUp for 3D Modeling certificate (15 youth) 5. Each Intermediate track online course will take approximately 2 hours to complete and will be provided in the second semester (February - June). e) EdX online courses will be facilitated as in -class group sessions by staff /tutors during the I't semester (August - January) and 2 "d Semester (February -June) to either 30 participants or 15 intermediate digital media track students depending on the course topics available. C. If applicable, include Letters of Intent from the training agencies. Please refer to attachment F1 and F2 for letters of intent from Santa Ana College and the Youth Entrepreneurship Programs. Please refer to Attachment X for a description of MOOC's and courses/ certifications available. D. What types of occupations will the training /certificates lead to? Are those occupations in demand? Please provide data and sources. Caring mentors and teachers are only a part of the overall program designed to ensure that the participants are able to find gainful employment upon existing the program. More importantly the "Seeds to Trees Academy: Digital Media and Information Technology Institute" enables youth to undertake apprenticeship training in technologically advanced fields. The Santa Ana Public Library is committed to providing the brightest possible future for our young people through the attainment of in marketable skills sets in growing industries. An examination of the California Occupational Employment Projections for 2010 -2020 suggests that computer technology related skills can provide that path. According to this study the top 50 fastest growing occupations include Software related fields that will grow at the projected rates of 31.9 with a median annual wage of more than $100,000. Other fields requiring a bachelor's education include Marketing Specialists (24,600 jobs), Database Administrators (3,600 jobs), and Software Developers (24,100 jobs). There will also be 31,200 jobs for Computer Support Specialists that will not require a college degree. These positions will be able to be filled with individuals with the correct technical training to meet that positions industry recognized requirements. EXHIBid' A 25A -320 The training from this program will open up students to the possibility of working in one of the industry clusters that the WIB board identified in their 5 year strategic plan. These clusters include established fields of hospitality, government positions, and clerical positions in finance, insurance, and real estate cluster. Opportunities for job growth also exist within the emerging clusters of advanced manufacturing, information technology, and other scientific services. In the longer term, the Bureau of Labor Statistics' latest Occupational Outlook ( http : / /www.bls.gov /oco /ocos09O.htm) suggests that video and web design - related employment will grow between 8 and 24 percent in the next ten years (Please refer to attachment R for more detailed breakdown). Advances in information technology have inundated the lives of millions with a vast amount of media. User generated content has fast become a source of news, entertainment, and artistic expression for an entire generation of web savvy individuals. As e- commerce continues to grow at faster rates than the rest of the economy, the ability to express one's insights with multimedia presentations has become an increasingly marketable skill. Those individuals with the proper training and knowledge of software tools will be in a prime position to excel in a 2151 century economy. Many of our local youth are already naturally web savvy and are open to the idea that they could one day follow a career in software creation. In this way, the academy taps into a youth's desire for self- expression and teaches valuable work skills in the process. E. Will your program be able to identify and develop a pathway for students that can lead them from high school to career or college? Please elaborate on the specific pathway(s). The programs will seek to work with small and large businesses to identify current and evolving job opportunities and to learn what employers look for in candidates. The apprentice ship will give the students the chance to earn college credit in career related fields. 2011 -2012 job shortages included positions in marketing, computer programing, computer science marketing, and systems analysts. This is meant to expand our programs focus on providing the skills necessary for our participants to engage high value jobs in the regions emerging industries. The training provided in our work plan provides the participants with the first steps that they will need to take in order to begin the process of obtaining the college education needed to begin a career in these fields. The use of MOOCs is a tool with which the students are introduced and guided through college level course work. It is our belief that this early introduction to a college education will encourage them to pursue a degree after the program is completed. VII. Workshops A. Describe the workshops that will be provided to youth. During the course of their on- the -job work, all interns will be assigned to attend several life skills development workshops in areas of healthy living, green living, and independent living featuring domestic skills like cooking, gardening and sewing basics. All these are programs are a general part of the TeenSpace programming (Refer to attachment Y). B. Will your agency provide any of the following workshops? If so, briefly describe the content of the workshops. 1. Financial Literacy/ Budget Management Yes, Build Workplace Financial Education Program will be presented by Orange County Credit Union (refer to attachment Y2 and attachment F) 2. Family Planning Yes. The Orange County Child Abuse Prevention Center will provide a workshop on teen pregnancy prevention (refer to attachment F) 3. Worker's Rights /Labor Laws Yes. We intend to partner with the Orange County Labor Federation to provide a workshop on this topic. EXHIBIT A 25A -321 4. Analytical Skills at the Workplace Yes. This workshop will be provided as an in class MOOC course 5. Health Resources Yes. Sprouting Justice, will provide a workshop series on gardening and nutrition, and healthy living please refer to attachment Y3 C. Can your agency provide workshops on public speaking skills to the youth? Yes. Several TeenSpace staff has BA degrees in communication, theater, and /or rhetoric. In the past we have had a series of workshops on public speaking and open Mic events. D. Can your agency provide workshops on customer service skills to youth? Yes. These workshops will be provided as in class MOOC course. VIII. Post - Secondary Education: A. Specify how your agency will help vouth enter post - secondary education (college, apprenticeship, vocational schools, career technical training, etc.) i) The Seeds to Trees Academy program will be a blended program approach that combines traditional post - secondary education in- person training and educational methods, with cutting edge online post- secondary training and educational methods via MOOC's. ii) All youth participants in the Seeds to Trees Academy will be enrolled in Santa Ana College, and will at minimal be able to complete 3 college credits via the completion of an Intro to marketing course. iii) Youth Participants in the Intermediate Digital Media Tracks will be able to complete up to 9.5 units of transferable college credit. B. How will your agency expose vouth to the various post - secondary educational institutions (colleges, universities, vocational training schools, apprenticeships, etc.). i) Participants will be introduced to post - secondary education via MOOC's that will provide them access to courses from some of the most elite universities in the U.S and the world. ii) Interns will attend workshops on college searches, college applications, scholarships and financial aid, as part of their on- the -job training. Interns will also be taken on fieldtrips to local colleges such as Santa Ana College, Cal State Fullerton, Chapman University and the Art Institute in Santa Ana, Cal State Long Beach and UC Irvine. hi) The Santa Ana Public Library works closely with the Adelante program at Santa Ana College, an initiative advocating for every home in the city to have a college degree. High School students may enroll in the Adelante program and upon completion of general education requirements, admission to either University of California Irvine or California State University Fullerton is guaranteed. iv) Santa Ana College and Santa Ana Public Library have recently partnered to create a Higher education center at the Santa Ana Central Library. As part of this partnership contract with SAC all participants will be enrolled in college level SAC courses in the fields of marketing and intermediate digital media. These courses will take place at Garfield Community Center. This will enable our program to enroll each one of our participants in a center for higher education by the end of the first quarter. IX. Tutoring EXHIBIT A 25A -322 A. Specify how your agency will provide tutoring or tutoring resources to youth that need to improve their literacy /numeracy skills. The Santa Ana Public Library currently runs an after - school tutoring program in its Central Library and Newhope Learning Centers as well as in its Central library and Jerome TeenSpace programs. All student interns will have access to these tutoring services. Prior to acceptance into the program, all WIA enrolled youth will take a TABE test to assess their levels of basic skills. All enrolled youth who are basic skills deficient will be assigned a TeenSpace Sr. Tutor mentor who will schedule time to tutor them on a daily or weekly one -on- one basis to increase their basic skills to the 9t" grade level. Students who are not basic skills deficient will also have access to one -on -one hands -on tutoring, primarily in English (as this is what is most needed in the production field) with the goal of increasing the grade levels of their English abilities. Tutoring help will be provided to in- school youth who are in 12`h grade to complete their high school diploma. Out of school youth who do not possess a high school diploma must enroll in the SAC Continuing Ed GED completion program. Sr. Tutors mentors will utilize TeenSpace math and English computer software applications and MOOC courses as a creative strategy to assist all their students increase their literacy and numeracy gains. X. MentoringlSupport A. Specify how your agency will provide mentoring to youth. Mentorship has always been a cornerstone of the Santa Ana Public Library's Teen (12 -18) and Young Adult (18 -24) programming, and thus it will be a cornerstone of the "Seeds to Trees Academy" program as well. All program participants will be assigned a Tutor Mentor, who they will meet with individually on a weekly basis for 30 minutes as part of their on -the job training. They will discuss the progress of their vocational and on -the job training as well as any additional educational tutoring and support service needs that they may have. Tutor Mentors will provide the necessary resources to meet their mentees' needs. Tutor Mentors will also schedule their mentees' tutoring time at this meeting. In addition to mentoring from their assigned Tutor Mentors, interns will also receive mentorship on their particular production projects from project mentors. These Project Mentors will be responsible for helping interns develop and produce content for programming on specific topics. They will also receive mentoring from the Lead Case Managers who will meet with them on a bi- monthly basis to track their progress and needs. Interns will also receive additional mentoring from their in- class vocational training instructors and externship employers. B. Specify what types of support your agency will offer youth who are facing challenging obstacles such as: family dysfunctions, mental health issues, substance abuse, low self- esteem, probation, gang issues, parenting issues, etc. A staff member with a MA in mental health counseling will be available on a weekly basis to provide counseling services to youth having challenging obstacles. Counselor will compile a resource binder for us to refer youth to. C. Will your agency offer mental health services or referrals? Please describe. Yes, we will offer counseling per previous answer and will provide referral service to local service providers. to EXHIBIT A 25A -323 No. Seeds to Trees Academy program does not provide supportive services. We provide all transportation to and from training sites. We will provide referral services to meet youth needs. E. Will your agency provide incentives to youth for accomplishing program benchmarks or personal goals? If so, please describe and include the Incentive Policy as Attachment H. No, we do not provide incentives as our focus is in providing a paid work experience and training. We do however have a scholarship program that has been established by one of our previous WIA Seeds to Trees youth interns; "The Moises Garcia Seeds to Trees" Scholarship which provides an annual scholarship of $300 to a WIA youth XI. Leverake Funds A. Can your agency leverage funds to offer a civic engagement opportunity to WIA youth and other youth in the community aside from WIA youth participants? Yes we are able to leverage our funding to include the WIA youth participants in a host of civic engagement events throughout the programing calendar. The active engagement of Santa Ana youth in civic affairs is part of the core mission for the SAPL TeenSpace program. B. What type of civic engagement opportunities will your program engage youth in? All interns will also have the opportunity to join the Teen Library Club volunteer program, and participate in the many community and library volunteer service projects the club participates in, such as the Santiago Creek Clean -ups, OC Marathon Clean-ups, Heritage House Gala Fundraisers, Autism Walk, Library Halloween Haunted House, Santa's Corner, and Library Book Sales. Interns will also have the opportunity to develop their leadership skills at a Teen Library Leadership curriculum program. The Youth Leadership program is a six - month, once -a -week curriculum culminating in a manual of topics and /or community service projects discussed. Some of the additional events this year include the organization and promotion of photo scanning events to preserve and share local history. Additionally all student interns will spend a portion of their on -the -job work time assisting TeenSpace staff in one of our `Buddy" programs. As part of the "Buddy " program, student interns will be given the opportunity to learn to mentor and serve as role models to younger children (4 -11) in a variety of our ongoing "Buddy" programs such as "Reading Buddy ", "Math Buddy ", "Art Buddy ", "Sports Buddy ", "Healthy Buddy ", "Garden Buddy ", "Acting Buddy" and "Science Buddy ". C. How many youth will participate in the civic engagement opportunity? All 30 of the WIA youth will be part of these civic engagement projects. The attendance of the individual events ranges from 5 -60 people depending on the size of the event. Most of the session will take place in groups smaller than 20. D. Can your agency leverage funds to host work readiness type of workshops once per month at local after- school programs in Santa Ana. Yes we have strong history of partnering with other local agencies to provide a steady stream of career and life skills courses. Our partnership with the OC Probation's Department REACH program gives us access to monthly sessions for our participants to attend. XIL Common Measures EXHIBIT A 25A -324 - Please see following page- XIII. Prior Outcomes a. If your agency was previously awarded a WIA contract through the Santa Ana Workforce Investment Board please disclose your agency's past performance outcomes for the past 1 -2 years: XIV. Fiscal Competency A. Describe the process used to capture and report fiscal data. The City of Santa Ana uses the Lawson Financial Management System to capture, report, and monitor revenues and expcnditures. Grants are provided a unique accounting unit and activities are used to track grant program expenditures and grant matching fiords. Every expenditure requires an accounting unit and activity number. Lawson is capable of generating reports at the accounting unit or activity number level. B. Attach a copy of the organization's procurement policies and procedures as Attachment I. Attached EXIIIBIT A 25A -325 F% Increased Literacy/Numeracy 7 — 8 = 88 Skills 8 — 8 = 100 % Entered Employment or Post- 4 - 4 = 100 % Secondary 1 — 1 = 100 % Attained Credential /Di loma/Certificate 20 20 = 100 % 20 - 20 = 100 % XIV. Fiscal Competency A. Describe the process used to capture and report fiscal data. The City of Santa Ana uses the Lawson Financial Management System to capture, report, and monitor revenues and expcnditures. Grants are provided a unique accounting unit and activities are used to track grant program expenditures and grant matching fiords. Every expenditure requires an accounting unit and activity number. Lawson is capable of generating reports at the accounting unit or activity number level. B. Attach a copy of the organization's procurement policies and procedures as Attachment I. Attached EXIIIBIT A 25A -325 C. What systems are used to ensure fiscal accountability, appropriate expenditures, and planned costs? The management of the City of Santa Ana has established a comprehensive internal control framework that is designed both to protect the government's assets from loss, theft, or misuse and to compile sufficient reliable information for the preparation of the City's financial statements in conformity with GAAP. Because the cost of internal controls should not outweigh their benefits, the City of Santa Ana's comprehensive framework of internal controls has been designed to provide reasonable rather than absolute assurance that the financial statements will be free from material misstatement. As the City, we assert that, to the best of our knowledge and belief, the financial information is complete and reliable in all material respects. Additionally, the City is also required to undergo an annual "Single Audit" in conformity with the provisions of the Single Audit Act of 1996 and U.S. Office of Management and Budget (OMB) Circular A -133, Audits of States, Local Governments, and Non - Profit Organizations. The standards governing Single Audit engagements require the independent auditor to report not only on the fair presentation of the financial statements, but also on the audited government's internal controls and compliance with legal requirements, with special emphasis on internal controls and legal requirements involving the administration of federal awards. D. Describe invoicing process and list qualifications of staff assigned to task. The invoicing process will consist of a review of each period's expenditures, identifying eligible expenditures and submitting a periodic report documenting eligible expenditures. Staff assigned to this task has many years of experience in reporting to local, state and federal agencies. Additionally, staff assigned to the task has performed this fimction during prior grant years. With each WIA report submitted staff continues to gain experience to provide information more efficiently and effectively. E. Describe how your agenev's financial stability is not dependent on WIA funds. The City receives over $400 million in revenue each year. Additionally, Parks, Recreation, and Community Services Agency (PRCSA) is appropriated approximately $17.7 million from the General Fund. The amount requested in WIA funds is approximately $400,000, which represents approximately 2% of the Agency's General Fund appropriation and therefore the Agency's financial stability is not dependent on WIA funding. On the other hand, while the amount of WIA funding is small in comparison to PRCSA General Funds, these funds allow PRCSA to provide very valuable educational opportunities to Santa Ana residents. With such a large City the demand for services often exceeds the available resources. For this reason PRCSA is requesting WIA funding to provide services that otherwise would not be provided by the City due to the limitation of funds. F. Submit most recent 2 years of audited financial statements as Attachment Q with the Audited Financial Statement Form signed. For a complete look at the 2 latest Comprehensive Annual Financial Reports for the City of Santa Ana please visit: http: / /www.santa- ana.org /finance /cafr/default.asp XT. Subcontracting EXHIBIT A 25A -326 A. Subcontracting client services /activities is not permissible under this contract. However, if planning to subcontract non - client services such as payroll services, lease of equipment, etc., then please identify the subcontractor and the estimated cost for the services. The Santa Ana Library and partner Santa Ana College will not subcontract non - client services. All services will be provided by the Santa Ana Public Library or by Santa Ana College. B. None of the duties or work to be performed by the proposing agency shall be subcontracted or assigned to any other agency, consultant, or person without the prior written consent of City. Proposing agency must submit all subcontracts and other agreements that relate to this Proposal to City. No subcontract or assignment shall terminate or alter the legal obligations of proposed program. The Santa Ana Library and partner Santa Ana College will not subcontract non - client services. All services will be provided by the Santa Ana Public Library or by Santa Ana College, EXHIBIT A 25A -327 (Teg'(4, to �'Pl' '14'a (w') 1, SANTA ANA PUBLIC LIBRARY WORK BASED LEARNING APPRENTICESHIP PAID WORK EXPERIENCE (WEX) POLICY The Seeds to Trees Academy: Digital Media and Information Technology Institute at Santa Ana Public Library in partnership with Santa Ana College and its School of Continuing Education will provide paid on- the -job experiences (WEX) and vocational training and certification for WIA eligible youth ages 16 -21 at the Santa Ana Public Library (SAPL) in Digital Media , Information technology and customer service. The operational plan of the Seeds to Trees program combines a paid apprenticeship model that combine on- the -job internship component at the Santa Ana Public Library producing digital media content for the city's CTV3 and Seeds to Trees Spotlight Website, paid externships at local businesses and city departments, as well as related classroom instruction by School of Continuing Education designed to maximize the value of on- the -job experiences, job shadowing, industry specific workshops, and other skill building workshops. Purpose Seeds to Trees Academy: Digital Media and Information Technology Institute: 1.) Introduces WEX student interns to digital media and information technology; 2.) Allows them the opportunity to directly put into practice training learned in class, via the production of video and web content for Santa Ana's CTV3 and "Seeds To Trees Spotlight Website via internships onsite; 3.) Prepares them for employment via externships ; 4.) Provides increase in their literacy and /or numeracy skills; 5.) Prepares them for entry into post- secondary education 6.) Provides Work Based Learning (WEX) interns with opportunities for certifications in, Clerical Office Skills, Microsoft Information Systems, and Google Programing Specialties, 7.) Provides work based learning participants with training leading to college credit, 8.) Provides students the opportunity to learn to work with mentors and peers in ways that are successful and rewarding. Scope of Work Work Base learning apprentices will receive paid training and on -the job experience via through 2 tracks of training: Track 1: Out —of- School Youth: Microsoft Office Application certifications and Intermediate Digital Media Apprenticeships (15 participants ): Digital Media Basics: 40 hours, hrtro to Marketing: 50 hours, Intermediate Digital Media: 100 hours, MOOC's based certification trainings: 50 hours, Work Experience Internship/ Externships: 160 hours (400 his ) Track 2: In- School Youth: Microsoft Applications certification and Intermediate Digital Media Apprenticeships (15 Participants): Digital Media Basics: 40 hours, Intro to Marketing: 50 hours, hrtermediate Digital Media: 100 hours, MOOC's based certification trainings: 10 hours, Work Experience Internship/ Externships: 100 hours, (300hrs ) EXHIBIT A 25A -328 YOUTH PROTECTION GUIDELINES LIBRARY DEPARTMENT PURPOSE The City of Santa Ana understands the importance of protecting youth in the community and in our programs and therefore wishes to provide a safe and secure environment. The City will provide practices that will protect youth from incidents of misconduct or inappropriate behavior and also protect the employees and volunteers from false accusations. Staff - all employees, full and part -time, and program volunteers that have any contact with youth. Youth - individuals 17 years of age or younger. SCREENING All City of Santa Ana Library staff having direct interaction with youth will be screened in accordance with these guidelines. Screening components include: • Written Application • Personal Interview • Reference Check • Background Check (Live -Scan) TRAINING All staff will receive an orientation that includes: • Review of policies related to prevention of child abuse and • Participation in Youth Protection Training. ONE -ON -ONE CONTACT • A minimum of two staff should be assigned to each program or activity. • Staff members will never be alone with an individual youth where they are not observable by others. CONTACT WITH YOUTH It is understood that caring quality staff will develop positive relationships with youth while involved in programs and activities. The following practices will be followed to ensure the protection of both youth and staff outside of City of Santa Ana Library programs and activities. • Staff will not initiate contact with or accept supervisory responsibility for youth outside of the City of Santa Ana Library programs and activities, including baby- sitting or private instructions. Staff with prior or family relationships to youth may be exempted from this restriction with prior documented Executive Director approval. EXHIBIT A 25A -329 YOUTH PROTECTION GUIDELINES LIBRARY DEPARTMENT June 2013 Staff will not communicate with youth outside of City of Santa Ana Library programs via written, electronic or other means without express Executive Director approval. Staff will appear and behave in a manner consistent with the mission and values of the City of Santa Ana Library at all times while on or off duty; including electronic, written and verbal communications. CHILDREN'S INTERNET PROTECTION ACT (CIPA) In accordance with CIPA, all Library Department public computers shall contain Internet filters to protect children from harmful online content. Any allegation of abuse or neglect must be reported immediately or as soon as practically possible. City of Santa Ana Library staff is recognized as mandated reporters and will follow current regulations and guidelines for the reporting of abuse. Staff will follow the internal chain of command for the report of abuse and may report directly to local authorities. If an incident of abuse or neglect is alleged to have occurred at or during a City of Santa Ana program or activity, the following procedure shall be followed: 1. The parent or guardian of the child will be notified. 2. The appropriate authorities will be notified; consistent with local, state and /or federal regulations. 3. The alleged perpetrator of the abuse or misconduct will immediately be placed on leave pending an investigation. 4. An incident report will be completed. 5. The City of Santa Ana Library will cooperate with any City internal investigation or outside investigation of the incident by state or local authorities. 6. Any person who is found not innocent of the alleged abuse or misconduct will be removed from their position with the City of Santa Ana Library. MONITORING These guidelines will be reviewed and updated as needed or on an annual basis. I hereby acknowledge receipt of these guidelines and understand that any violation of these guidelines will result in disciplinary action, up to and including termination. Print Name Signature Date Library /Yo uthProtectionGuidel inesJ une2013 EW,&-330 YSPN MEMBER PERFORMANCE PLAN 2014-2015 PROJECTED ENROLLMENTS & EXPENDITURES (NOTE: 100% OF YOUTH MUST BE ENROLLED BY 2N° QUARTER-DECEMBER 31, 2014) "M . . . . . . U N 1 n M ge 1551K 1 I 10W 0 ®R IM, 001fil a Ua TANW-f-mm MEN M . N .h R B" Wi. 25/75% $47,500 511"! Sri F, 'P5 all 5/15% $47,500 R 0 30 x 74% $47,500 A mm m activities encouraging responsibility and other positive RN gg $47,500 Al IT w- 6�!Wga M00% 3 -re u4-v T 30 x 65% $190,000 V MN appropriate; PERFORMANCE GOALS/COMMON MEASURES *DISCLAIMER: OUTCOMES ARE SUBJECT TO INCREASE/DECREASE DEPENDING ON YOUTH POPULATION at eK- at pry '4M gg a NJ t, or an X 511"! Sri F, 'P5 all leading to completion of secondary school, � -M mr.� M, Plate 13eftt "'tra Secondary 30 x 74% 22 including dropout prevention strategies activities encouraging responsibility and other positive X Al IT w- 6�!Wga M00% 3 -re u4-v T 30 x 65% 20 V MN appropriate; N 9RW 30 x 67% 20 EXHIBIT B 25A-331 1. Tutoring, study skills training, and instruction, X 6. Leadership development opportunities which may leading to completion of secondary school, Include community service and peer-centered including dropout prevention strategies activities encouraging responsibility and other positive X social behaviors during non-school hours, as appropriate; 2. Alternative secondary school services, as 7. Supportive Services (e.g. tools, books, clothing, etc.); appropriate; 3. Summer employment opportunities that are X 8. Adult Mentoring for the period of participation and directly linked to academic and occupational a subsequent period for a total of not less than 12 learning (this element cannot be offered as a months; stand-alone activity); 4. As appropriate, paid and unpaid work X 9. Follow-up services for a minimum of 12 months X experiences, including internships and job after the completion of participation as appropriate; shadowing; and S. Occupational skill training, as appropriate; X 10. Comprehensive guidance and counseling which X may include drug and alcohol abuse counseling and I I I referral, as appropriate. EXHIBIT B 25A-331 COMPLAINT HANDLING UNDER THE WORKFORCE INVESTMENT ACT SANTA ANA MUA Santa Ana Local Workforce Investment Area Revised May 7, 2009 EXHIBIT C 25A -332 Table of Contents Information Regarding Complaints A. Nondiscrimination and Equal Opportunity Complaints 3 1. Policy Statement 3 2, Civil Rights 4 3. Nondiscrimination laws under 4. How to File Your Comp 0 B. Criminal Complaints 6 II. General Procedures for Handling Non - Criminal Violations of the Act 6 III. Procedures for Handling Complaints at the LWIA IV. Procedures for Handling Complaints at the State I 12 V. Procedures for Handling Discrimination Complaints by Participants 15 VI. Procedures for Handling Handicap Complaints by Participants 17 GLOSSARY OF WIA TERMS 20 2 &W-513 Information Regarding Complaints A. Nondiscrimination and Equal Opportunity Complaints 1. Policy Statement In carrying out the purpose of the Workforce Investment Act (WIA), the City of Santa Ana Local Workforce Investment Area (LWIA) will establish programs to prepare youth and unskilled adults for entry into the labor force and to afford job training to those individuals facing serious barriers to employment. Every effort will be made to provide services necessary for eligible individuals to obtain productive employment. In implementing WIA, all contractors in the Santa Ana LWIA will foster equal opportunity and non - discrimination, as provided in State and Federal equal opportunity and non - discrimination laws including, but not limited to: • Title VI of the Civil Rights Act of 1964 • Title VII of the Civil Rights Act of 1964 • The Age Discrimination Act of 1975, as amended • Section 503 of the Rehabilitation Act of 1973 • Section 504 of the Rehabilitation Act of 1973 • Title IX of the Education Amendments of 1972 • Section 188 of the Workforce Investment Act of 1998 In keeping with our commitment, no individual shall be excluded from participation in, denied benefits of, subjected to discrimination under, or denied employment, in the administration or of in connection with any WIA funded program because of race, color, religion, sex, national origin, age, handicap, or political affiliation or belief. Participation in programs and activities financially assisted in whole or in part under WIA shall be open to citizens and nationals of the United States, lawfully admitted permanent resident aliens, lawfully admitted refugee, parolees, and other individuals authorized by the Attorney General to work in the United States. No individual will be intimidated, threatened, coerced, or discriminated against because of filing a complaint, furnishing information, or assisting or participating in any manner in an investigation, compliance review, hearing or any other activity related to the administration of WIA. 2'M 4 Administration responsibility for this Equal Opportunity /Affirmative Action (EO /AA) Program is delegated to the Equal Employment Opportunity (EEO) Officer for the Santa Ana local Workforce Investment Area. Equal opportunity and non- discrimination, however, will only be achieved through leadership and implementation of a viable Affirmative Action Equal opportunity Program. 2. Civil Rights No one applying for or enrolled in the Workforce Investment Act (WIA) programs may be discriminated against because of race, color, creed, handicap, national origin, sex, age, political affiliation, or beliefs. This means that — for any of the characteristics listed above: • You may not be denied the opportunity to enroll in WIA. • No benefits or services may be denied you for discriminatory reasons. • You may not be segregated or treated any differently from other applicants or participants, while you are being registered, interviewed, counseled or tested; or while you are working or attending classes as part of the program. • You must be provided an equal chance to use all facilities available in the program. i Fair employment practices must be provided to all staff with regard to recruiting, hiring, transferring, promotions, training, compensation, benefits, layoff, and termination. You have the right to make a complaint if you feel you have been denied any of the above opportunities. You cannot in any way be penalized for filing a complaint. Your WIA sponsor has established a mechanism for handling complaints and grievances. Your complaint must be filed within 180 days. All complaints will be handled confidentially. 3. Nondiscrimination Laws under WIA Title VI of the Civil Rights Act of 1964 Prohibits discrimination on the basis of race, color, national origin, or religion. The Age Discrimination Act of 1975 Prohibits arbitrary discrimination against persons age 40 -70. The Rehabilitation Act of 1973 4 ': =51TV Prohibits discrimination based on handicap. Title IX of the Education Amendments of 1972 Prohibits discrimination in any education or training program or activity receiving federal financial assistance. OTHER CIVIL RIGHTS LAWS: Title VII of the Civil Rights Acts of 1964 Prohibits discrimination in employment based on race, color, religion, sex, or national origin in all terms and conditions of employment and establishes the Equal Employment Opportunity Commission as the administrative agency. White House Executive Order no. 11246 as Amended by Executive Order No. 11375 Creates the office of Federal Contract Compliance and prohibits discrimination based on race, color, sex, religion, or national origin. Department of Labor Secretary's Order no. 4 -73 Prohibits discrimination based on sex. Equal Pay Act of 1963 Prohibits pay differential solely because of sex. Emergency Employment Act of 1971 Prohibits discrimination based on race, creed, national origin, political affiliation, or beliefs. 4. How to File Your Complaint a. Put your complaint in writing. b. Have it sworn to before a notary public, if possible. c. Provides details that tell what happened, where it happened and when it happened. d. Give the name and addresses of all persons who were present or who had anything to do with the matter. ...Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation and citizenship, must be filed within 180 days of the alleged occurrence directly with: s AM56 Director Civil Rights Center U.S. Department of Labor, Room N -4123 200 Constitution Ave., NW Washington, D.C. 20210 Complaints on the basis of handicap must be filed within 180 days of the alleged occurrence. These complaints must be filed directly with the WIA administrative entity. The WIA administrative entity shall issue a written decision within 30 days of the filing of the complaint. If the complaint is still unresolved, an appeal may be made to the Chief of State Workforce Investment Division Office. The Department of Labor, the Civil Service Commission, the Equal Employment opportunity Commission, and many other offices and agencies are committed to assuring equal employment opportunities for all persons. They will protect you. A case may be taken to court if the other processes do not yield satisfactory results. You may hire your own lawyer, or if you cannot afford one, the court may appoint one for you. It is unlawful for an employer, union, or employment agency to punish you or any witness for attempting to present the facts in a case. YOUR CIVIL RIGHTS UNDER THE WORKFORCE INVESTMENT ACT Santa Ana Local Workforce Investment Area 1000 E. Santa Ana Blvd., Ste 200 Santa Ana, CA 92701 (714)565 -2600 B. Criminal Complaints In accordance with the WIA (P.L. 105 -200) and the implementing code of Federal section 667.600.... Federal handling of criminal complaints and report fraud, abuse and other criminal activity. "All information and complaints involving fraud, abuse or other criminal activity shall be reported directly and immediately to the City of Santa Ana and the Secretary of Labor." II. General Procedures for Handling Non - Criminal Violations of the Act The following procedure is promulgated to meet the requirements of Title 20, of the Code of Federal Regulations, Section 667.600 through 667.640 of the WIA regulations, and Section 181(c) of the Act (Public Law 105.200: 29 U.S. Code Sec. 2931 et seq.) at the State and LWIA L.7X*17 level for the receipt, investigation, hearing, and resolution of complaints by WIA participants, sub recipients, applicants for participation, or financial assistance, labor unions, community based organizations, or any other persons. These procedures provide for resolution of non - criminal complaints arising from the operation of the Santa Ana LWIA. A complaint is defined here as a written expression by a party alleging a violation of the Act, regulations promulgated under the Act, recipient grants, sub agreements, or other specific agreements under the Act, including terms and conditions of employment of such participants in employment training programs. All complaints, amendments and withdrawals shall be in writing. These procedures are intended to resolve matters which concern policies, procedures or action(s) arising in connection with WIA programs operated by each LWIA grant recipient and sub recipient under the Act. These procedures shall not be construed as affecting any other available legal remedy outside of the WIA complaint process (i.e., disputes regarding terms and conditions of employment of any employee who is not a participant), either separately or simultaneously, that a person may wish to pursue in the resolution of a non -WIA complaint. Also, these procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion Procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion and resolution of any problems outside of and without resort to the formal complaint procedure. A. The following principles and rules apply to all complaints at all steps of the complaint procedures: All complaints must be made in writing within 180 days of the alleged occurrence, except complaints alleging fraud or criminal activity. 2. All persons filing a complaint shall be free from restraint, coercion, reprisal, or discrimination. Good faith efforts shall be made to informally resolve the complaint prior to the scheduled hearing. Complainants have the right to withdraw their complaints (in writing) at any time prior to the hearing. A complainant may amend his /her complaint to correct technical deficiencies but not to add issues. Complainants shall have the right to be represented at their own expense by person(s) of their choosing at all levels of the complaint process. 4. Upon enrollment into employment or training, participants shall be provided with written description of these procedures, including notification of their right to file complaints and instructions for filing. An employer of participants, including private- for - profit employers of participants, may use this or other complaint resolution procedures so long as the participant is informed of the complaint resolution procedure they are to follow and the time frames governing review of complaints are met. 2'W 58 A "participant ", within the meaning of these procedures, is an individual who receives employment- training services under a program funded by Santa Ana LWIA. The Complaint Resolution Procedures contained herein (or the alternative procedures which an employer may use) shall be available to participants to resolve disputes regarding items and conditions of employment of such participants in employment training programs. However, such procedures shall not be used to resolve disputes regarding terms and conditions of employment of any employee who is not a participant, as defined herein. 5. If a complaint does not receive a decision at the LWIA grant recipient level within 60 days of filing the complaint or receives an unsatisfactory decision, the complainant then has a right to request a review of the complaint by the Governor. 6. Complainants must initially file and exhaust LWIA grant recipient /hearing procedures prior to appealing to the State except where the State determines that the LWIA grant recipient's procedures are not in compliance with the State's procedures. III. Procedures for Handling Complaints at the LWIA Level A. Receipt Complaints Pursuant to the WIA regulations found at 20 CFR, Section 667.600, the LWIA administrative entities have the responsibility to conduct hearings and resolve complaints made by individuals about the administration of programs in the LWIA. "LWIA level" encompasses LWIA administrative entity and employers to which the administrative entity has delegated the complaint resolution process. The following comprise the guidelines for resolving issues arising in connection with WIA programs operated by the Santa Ana LWIA including resolutions of complaints arising from actions, such as audit disallowances or the imposition of sanctions taken by the Governor with respect to audit findings, investigations or monitoring reports. 1. Form and Filing of Compliant Official filing date of the compliant is the date the written complaint is received. The filing of the complaint with the Santa Ana LWIA Equal Employment Opportunity Officer shall be considered as a request for hearing and a decision must be issued within 60 days. The complaint must be in writing and must be signed and dated. The complaint should also contain the following information: a. Full name, telephone number, if any, and mailing address of the complainant; b. Full name, telephone number, and mailing address of the agency involved (respondent); c. Clear and concise statement of facts including dates constituting alleged violation; &Xj1 jq d. What provisions under the Act, regulations, grant or other agreements under the Act, are believed to have been violated; e. Remedy sought by the complainant; and If the complainant is a private or public entity or corporation, and not a natural person, the filing of the complaint must be duly authorized by the governing body of such entity or corporation. The absence of any of the requested information shall not be a basis for dismissing the complaint. A copy of the complaint must be sent to the respondent and both parties notified of the opportunity for an informal resolution. At each step of the complaint process, the complainant must be notified in writing of the next procedural step. 2. Informal Conference Informal conferences will be utilized by the Santa Ana LWIA to resolve complaints; however, such informal conferences shall not extend the time within which a decision must be issued after receipt of a complaint. Attempts at informal resolution will commence with two (2) weeks of the date of filing of the complaint. The EEO Officer will review the case and ascertain facts prior to the conference so that appropriate resolution can take place at the time of this meeting whenever possible. Although the complainant should be encouraged to attend this conference, his /her failure to do so should not preclude his /her right to request a hearing on the matter. c. If mutually satisfactory resolution results and the Santa Ana LWIA concurs, the EEO Officer will write a brief report for the file stating the issues and resolution. The matter shall then be considered closed. d. If resolution does not result, the complainant shall be provided the necessary information and assistance to request a hearing if he /she so desires. 3. Request for Hearing a. As in the case of the complaint, the request for a hearing should be put in writing anc be filed in person or by mail. A governing board resolution of authorization to appeal should also be submitted when appropriate. The request should be filled with: Anita Queen Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive. M -24 Santa Ana, CA 92701 (714) 647 -5157 2'MMO b. A hearing will be scheduled by the EEO Officer within thirty (30) days of the date of filing of the complaint. 4. Notice of Hearing Upon receipt of the request for hearing, the complainant and the respondent will be notified in writing of the hearing ten (10) calendar days prior to the date of the hearing. The ten -day notice may be shortened with the written consent of the parties. A decision will be issued by the Santa Ana LWIA within sixty (60) days of the date of filing of the complaint. The hearing notice shall be in writing and contain the following information: a. The date of notice, name of the complainant, and the name of the party against whom the complaint is filed. b. The date, time and place of hearing before an impartial hearing officer. c. A statement(s) of the alleged violation(s) d. Advise as to where information or assistance may be obtained, and the name, address, and telephone number of the Santa Ana LWIA Equal Employment Opportunities (EEO) Officer who can answer inquiries. B. Conduct of Hearing The hearing shall be conducted in an informal manner with strict rules of evidence not applicable. Unnecessary technicalities should be avoided. It should provide the flexibility to enable adjustment to the circumstances presented. The hearing officer shall have complete independence to obtain facts and make decisions. The hearing officer shall be in a position to render impartial decisions and thus should not be subordinate to the Santa Ana LWIA or its sub recipients. The hearing officer will be selected from a list of names on file with the EEO Officer. 2. Full regard must be given to the requirements of due process to insure a fair and impartial hearing. The hearing office designated by the EEO Officer to function in a quasi - judicial capacity should begin the hearing by summarizing the record and the issue and should explain the manner in which the hearing will be conducted, making sure that everyone involved understands the proceedings. Such explanations should be adapted to the needs of the specific situation. The hearing officer might take testimony under oath or affirmation to give some assurance of veracity to the hearing. "M The burden of proof should be reasonable and flexible, dependent upon the circumstances of the case involved. The hearing officer determines the order of proof. Generally, the party making the complaint has the obligation of establishing his or her case and should be examined first. The party involved should have the right to be represented (at their own expense) if he /she so desires. Other he /she is limited to his /her own abilities and those to the hearing officer in obtaining testimony in the case. 6. It is important that the hearing officer obtain the fullest information for the record. If the parties involved, or their representatives, do not know how to ask the right or pertinent questions in pursuing their right to due process, it shall be necessary for the hearing officer to step in to have all the materials and relevant facts elicited. 7. The practice in informal hearings is generally not to apply strict rules of evidence in obtaining facts. However, the quantity of evidence required to support a decision on an issue should be sufficiently credible that the state (or other appropriate agency), upon reviewing the decision, would conclude that the decision is supported by substantial evidence. 8. The hearing officer should attempt to negotiate a resolution of the issue at any time prior to the conclusion of the hearing. Within ten (10) days of the conclusion of the hearing, the hearing officer will issue a recommended decision to the LWIA for final determination. The recommended decision shall be in writing and may be accepted, rejected or modified by the Santa Ana Workforce Investment Board. C. Issuance of Decision Within sixty (60) calendar days of filing of the complaint, the Santa Ana LWIA shall issue a written decision to all parties by first class mail. The final decision shall contain the following information: 1. The name of the parties involved. 2. A statement of the alleged violation and issues related to the alleged violation. 3. A statement of the facts. 4. The decision and the reasons for the decision. 5. A statement of corrective action, if any, to be taken. 6. Notice of the right to request, within ten (10) calendar days of receipt of the decision, a review of the decision by the State Review Panel. D. Record of Hearing 11 PM- KAR An administrative file containing support documents on the complaint resolution process hearing conducted will be retained by the Santa Ana LWIA. The purpose of a record is to serve as substantiation of the process followed by the Santa Ana LWIA on the resolution of the issues and the results. This information would then be available for subsequent review in the event the matter is raised with the State. Such records must be retained for a three - year period after the grant has been officially closed out. The Santa Ana LWIA's written decision will be included in the record. Evidence received at the hearing, notes by the hearing officer, stenographer's notes and tape recordings may also be used. E. Establishment of Complaint Procedures In accordance with Section 667.600, each employing agency including private- for - profit employers of participants under the Act is required to establish a complaint procedure for resolving matters relating to the terms and conditions of employment. Employers may operate their own grievance system or may utilize the Santa Ana LWIA's established procedures under Section 667.600. At a minimum these procedures must include: Written notice, upon enrollment into employment training services, of the scope and availability of such procedures. Employer's grievance procedures shall be set forth in a written document and must meet the regulation mandate that a complaint will be resolved with sixty (60) days from the date the complaint was filed. A copy of employer's grievance procedure shall be provided to each participant upon enrollment in employment training. 2. Written notice, at the time the grievance is filed, of the procedures under which the grievance will be processed. 3. Written notification of the disposition of the grievance and a written decision shall be issued within thirty (30) days of the filing of the grievance unless a present and long established grievance specifically provides other limits; and 4. Written notification of the participant's right to request a review of the employer's decision by the Santa Ana LWIA and the State Review Panel in accordance with Section 667.600. IV. Procedures for Handling Complaints at the State Level Section 181 (c) of the Act and the WIA regulations at 20 CFR, Section 667.600 (d) requires the Governor to establish a State Review process of complaints filed at the LWIA grant recipient level and of complaints initially filed at the State level. Appeals of decisions issued at the LWIA level including audit disallowances and sanctions shall be reviewed by the State Review Panel. The State Review Panel shall review the record established at the LWIA level and shall issue a decision based on the information contained therein. 12 AM M3 Complaints which may be initially filed at the State level will be heard by an independent hearing officer designated by the State Workforce Investment Division (WID). The hearing officer shall conduct a hearing and issue a recommended decision to the State Panel. The recommended decision shall be in writing and may be accepted, rejected or modified by the State Review Panel. A. Form and Filing of Complaint. 1. Request for State Review of LWIA Level Decisions On receipt of a complainant's request for review because of an unsatisfactory decision, the State shall provide for an independent state review. 2. Filing of Requests for State Review The State Review Panel shall review all LWIA level decisions when a request for review is filed within 10 days of receipt of the adverse decision. Such requests must be filed in writing with the Chief of the WID Office. The request for review should contain the following information: a. Full name, address, and telephone number of the party requesting the review b. Full name, address, and telephone number of the other party c. A copy of the decision d. Brief statement of reasons for review or the section of the LWIA decision to be reviewed including regulatory and statutory citations e. A statement of the relief sought. 3. Complainant Responsibility It is the responsibility of the complainant to include in the request for review a written statement setting forth the facts presented at the LWIA hearing which support the requested relief. The Chief, WID, shall mail a copy of the request for review to the other party and to the LWIA. It shall be the responsibility of the LWIA to submit the complete record including a typed record of the hearing to the Chief, WID, within ten (10) days. B. Conduct of Hearings. 1. Request for Hearing at the State Level If no decision has been issued at the LWIA level or the State has determined an audit disallowance or imposed sanctions, the complainant may request a hearing. The 13 2MS44 hearing officer will then issue a recommended decision to the State's Review Panel for final determination. 2. Filing for Request for Review The request for a State hearing shall be filed within ten (10) days after LWIA should have issued a decision or ten (10) days after the issuance of the audit disallowance or sanction. The request shall be filed directly with the Chief of the WID in writing and should include the following: a. Full name, address, and telephone number of the LWIA b. Name, address, and telephone number of the LWIA C. Copies of complaints made at LWIA level from which no decisions were issued or sanctions and imposed. d. A statement of basis for the request for hearing. 3. Evidentiary Hearing Upon receipt of the request for a State level hearing, a hearing before a designated hearing officer will be scheduled. The hearing will be recorded mechanically or by court reporter. Both parties concerned will have the opportunity to present oral and written testimony under oath, to call and question witnesses in support of his /her position, to present oral and /or written arguments, to examine records and documents relevant to the issue(s), and to be represented. The hearing officer shall issue a written decision, which shall be forwarded to the State Review Panel for final determination. The State Review Panel may accept, reject or modify this recommendation. The decision of the State Review Panel is final except for audit disallowances, which must be approved by the Secretary of Labor C. State Review Panel The State Review Panel will consist of a panel of three representatives from the Employment Development Department: one from the Legal Offices, one from the WID, and one from the Director's office. The panel will issue a written decision, which will be sent to the appropriate parties within thirty (30) days of receipt of the request for State review. Decisions issued by this panel, under the authority of the Governor, are final. 14 29MM5 D. Issuance of State Review Decision. The State review will be limited to violations of the WIA, implementing WIA regulations or the grant agreement. This review shall be limited to the record established at the LWIA hearing. V. Procedures for Handling Discrimination Complaints by Participants. A. Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation, and citizenship, where appropriate, must be filed within 180 days of the alleged occurrence. 1. It is the responsibility of the Santa Ana LWIA's Equal Employment Opportunity (EEO) Officer to determine jurisdiction and to make the complainant aware of and provide assistance in filing a complaint in accordance with the Santa Ana LWIA's procedure under Section II (A). ss &WM6 PROCEDURES FOR HANDLING NON - CRIMINAL COMPLAINTS No later than 180 days of alleged discrimination Handling of complaints filed at LWIA level arising in connection with WIA programs operated by LW/As Informal Resolution Process w 0 0 0 Unsatisfactory Decision or LWIA Decision not issued within 60 days Within 10 days of receipt of ° unsatisfactory decision or 10 Request for State Review w days from date 0 LWIA decision o O should have been issued. Governor's Decision issued by State Review Panel If no decision issued by State Review Panel Appeal to DOL 16 29XB 47 c c c c t V In cases where areas of authority overlap, it is the responsibility of the EEO Officer to advise the complainant of the existence of State, Federal and other proper action agencies, which may also have a bearing. 3. Complainants alleging discrimination under this part will be made aware of their right to file directly with the Office of Civil Rights (OCR), U.S. Department of Labor and applicable procedures. 4. Complainants must file their complaint directly with: Anita Queen Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive, M -24 Santa Ana, CA 92701 (714) 647 -5157 VI. Procedures for Handling Handicap Complaints by Participants Complaints alleging discrimination on the basis of handicap will be filed and processed under the Department of Labor regulations implementing Section 504 of the Rehabilitation Act of 1973 at 29 Code of Federal Regulations Section 32. Complaints must exhaust the Santa Ana LWIA's informal resolution procedures before filing their complaint with OCR. 2. Complainants will be made aware of the 180 days requirement in which to file his /her complaint. A. Procedures at the LWIA Level The complainant shall file his /her complaint directly with the Santa Ana LWIA. Upon receipt of the complaint, the EEO Officer shall investigate and gather information concerning the complaint. 2. An informal conference will be held with the parties concerned in an effort to resolve the issue(s). The complainant has the right to be present and may be represented during the conference. 3. The Santa Ana LWIA shall issue in writing its decision to the complainant no later than thirty (30) days after the filing of the complaint. B. Procedures at the State Level 1. The complainant may appeal to the State if he /she is not satisfied with the decision of the Santa Ana LWIA. , .�H fy�17 L M8 2. The Complainant must file his /her appeal as a request for review directly with the Chief WID within ten (10) calendar days after the receipt of the Santa Ana LWIA's decision. 3. The Chief -WID, shall issue a decision no later than thirty (30) calendar days after receipt of the request for review. 4. After the complainant has received a decision or no decision has been received from the Director of Employment Development Department (on behalf of the Governor), the complainant has the right to appeal his /her complaint within thirty (30) calendar days to the Office of Civil Rights (OCR) with the Department of Labor. 18 PROCEDURES FOR HANDLING HANDICAP COMPLAINTS No later than 180 days of alleged discrimination Filed within 30 days of LW IA /State Decision or 90 days from date of initial filing of complaints Filing of complaint on the basis Of Handicap with LWIA Informal Resolution If no resolution reached o Request for Hearing Notice of Hearing Hearing Conducted LWIA Decision Unsatisfactory Decision or No Decision o State Review Governor's Decision Appeal to Assistant Secretary Department of Labor 19 &K-5t0 Day 1 Day 145 Day 60 Days GLOSSARY OF WIA TERM AGE DISCRIMINATION ACT — A law passed by Congress in 1975 which prohibits discrimination on the basis of age by any program or activity receiving Federal Funds. APPLICANT — An individual who applies to a subrecipient or contract for services provided under WIA and who has not yet transitioned to the status of participant. ASSESSMENT — Services designed to determine each participant's employability, aptitudes, abilities and interests and to develop a plan to achieve the participant's employment and related goals; also to identify the available employment and traning activities appropriate for the participant. Testing and counseling may also be used during assessment process. CHARGING PARTY (CP) COMPLAINANT GRIEVANT, OR AGGRIEVED PERSON — The person who charges that he /she has been discriminated against under Department of Justice nondiscrimination and civil rights regulations and /or guidelines. DISCRIMINATION — In general, a failure to treat all equally, whether intentional or unintentional; the effect of an action, policy or practice which selects an individual or class of persons to receive unequal treatment. ELIGIBLE NON - CITIZEN — Lawfully admitted permanent resident, aliens, lawfully admitted refugees, and parolees and other individuals authorized by the Attorney General to work in the United States. EMPLOYER — An employer subject to the provisions of the Civil Rights Act of 1964, as amended, including state and local governments and any Federal agency subjects to the provisions of Section 717 of the Civil Rights Act, as amended; and any Federal contractor or subcontractor covered by executive Order 11246, as amended. GRIEVANCE — An allegation that something imposes an illegal obligation or burden or denies some equitable or legal right, or causes injustice . HANDICAPPED INDIVIDUAL — Any individual who has a physical or mental disability that constitutes or results in a substantial handicap to employment. INTAKE — Includes screening to determine eligibility; to select from eligible applicants those individuals who are most in need and can benefit from program services; to complete procedural requirements necessary to enroll an individual into the program and to refer those not enrolled to other programs. JOINT COMPLAINT — A complaint of employment discrimination covered by Title VII or the Equal Pay Act and by Title VI or Title IX. Individual "joint complaints" are normally investigated by EEOC 20 PTF7 MTIT unless OCR has a compelling reason to investigate. "Joint complaints" alleging discrimination in employment and other practices and pattern or practice "joint complaints" are normally investigated by OCR. JURISDICTION — Authority to investigate and resolve complaints against an institution subject to a law or statute which has been assigned to OCR for enforcement, i.e., Title VI, Title IX, etc. PARTICIPANT — Any applicant who has: (1) Been determined eligible for participation upon intake; and (2) Who is receiving subsidized employment, training or services (except post- termination services) funded under the Act, following intake, except for an individual who receives only outreach and /or intake and assessment services. 21 &M82 CERTIFICATION REGARDING LOBBYING CERTIFICATION FOR CONTRACTS GRANTS LOANS and COOPERATIVE AGREEMENTS The undersigned certifies, to the best of his or her knowledge and belief, that: 1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. 2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form -LLL, "Disclosure Form to Report Lobbying." in accordance with its instructions. 3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. 1352. 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 occurring on or before October 23, 1996, and of not less than 11,000 and not more than 110,000 for each such failure. /c Su Flf a �� �'� ^'�.�^ "�llx1 C'�_ � (�.,?o�a.,r�p7 b�rN,�,� I G C�C.f. •J�/ i czrL�. / ;.✓ Grantee /Contractor Organization U� f Signature Date Name of Certifying Official Signature EXHIBIT D 25A -353 28 Certification Regarding Drug -Free Workplace Requirements The certification set out below is a material representation upon which reliance is placed by the U.S. Department of Housing and Urban Development in awarding the grant. If it is later determined that the contractor knowingly rendered a false certification, or otherwise violates the requirements of the Drug -Free Workplace Act, the U.S. Department of Housing and Urban Development, in addition to any other remedies available to the Federal Government, may take action authorized under the Drug -Free Workplace Act, CERTIFICATION A. The contractor certifies that it will provide a drug -free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the contractor's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing a drug -free awareness program to inform employees about — (1) The dangers of drug abuse in the workplace; (2) The contractor's policy of maintaining a drug -free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance program; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Making it a requirement that each employee who will be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph -(a) that, as a condition of employment under the contract, the employee will - (1) Abide by the terms of the statement; and (2) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction. (e) Notifying the U.S. Department of Housing and Urban Development within ten days after receiving notice under subparagraph (d)(2) from an EXHIBIT E 25A -354 employee or otherwise receiving actual notice of such conviction; (f) Taking one of the following actions, within 30 days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted - ( 1) Taking appropriate personnel action against such an employee, up to and including termination; or (2) 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; (g) Making a good faith effort to continue to maintain a drug -free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (f). B. The contractor shall insert in the space provided on the attached "Place of Performance" form the site(s) for the performance of work to be carried out with the grant funds (including street address, city, county, state, and zip code) the contractor further certifies that, if it is subsequently determined that additional sites will be used for the performance of work under the contract, it shall notify the U.S. Department of Housing and Urban Development immediately upon the decision to use such additional sites by submitting a revised "Place of Performance" form. Date Program Operator Signature City of Santa Ana/ Santa Ana Library EXHIBIT E 25A -355 DIVISION OF EMPLOYMENT SERVICES PLACE OF PERFORMANCE FOR CERTIFICATION REGARDING DRUG -FREE WORKPLACE REQUIREMENTS Name: City of Santa Ana/ Santa Ana Library Name of Contractor: City of Santa Ana/ Santa Ana Library Contractor Number: Date: The Contractor shall insert in the space provided below the site(s) expected to be used for the performance of work under the contract covered by the certification: Place of Performance (include street address, city, county, state, zip code for each site): 26 Civic Center Plaza, Santa Ana, CA 92702 EXHIBIT E 25A -356 Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions This certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participants' Responsibilities. The regulations were published as Part VII of the May 16, 1988, Federal Register (Pages 19160 - 19211). (Before completing certification, read instructions which are an integral part of certification) 1. The prospective primary participant, (i.e. grantee) certifies to the best of its knowledge and belief, that it and its principals: a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency; b. Have not within a three -year period preceding this proposal been convicted or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under a public transaction; violation of federal or state antitrust statues or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property. c. Are not presently indicted for or otherwise criminally or civilly charged by a government entity (federal, state or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and d. Have not within a three -year period preceding this application /proposal had one or more public transactions (federal, state or local) terminated for cause or default. 2. Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. /qq /// !r'r..K.:C i<]r_ ✓< < ?'�....r (�,fr�rv��F. a„ <,�F.'i�ar° ✓�. rt..r• /rl / +� �,�, ,!' Grantee / Contractor Organization' Name and Title of Official Authorized to Certify On Behalf of the Grantee --�, M 9 Date EXHIBIT F 25A -357 26 Budget Form (Administrative Total Cost (Not to Program Total WIA Cost Match /In Kind Exceed 10 %) Cost I, Lead Case Manager (1 FTE) $44,947.20 $33,710.40 $11,236.801 Project Director $28,749.00 $28,749.00 Technology /CTV3 Coordinator $20,535.00 $20,535.00 Library Services Manager $15,276.00 $15,276.00 Support Staff/ Tutor/Mentors(.8 FTE) $92,041.00 $22,540.00 $69,501.00 i Lead Caseworkers (1 FTE) $13,974.08 $10,480.56 $3,493.52 Project Director $8,912.19 $8,912.19 Technology /CTV3 Coordinator $6,365.85 $6,365.85 Library Services Manager $4,735.56 $4,735.56 Support Staff /Tutor /Mentors (.8 FTE) $17,065.35 $1,836.76 $15,228.59 Total Personnel Salaries & Benefits $0.00 $252,601.23 $68,567.72 $184,033.51 Rent Utilities Phones Internet Fees Parking Fees Security Maintenance Insurance Equipment rental fees* Equipment rental fees* Vehicle lease* Office expenses (c o nsumables) Accounting Services Legal Services Auditing Services Indirect Cost* - $3,408.771 $3,408.77 $3,408.77 Staff Training Staff Conferences /Youth Conferences $1,300.00 $1,300.00 Staff Travel /Mileage _ p -..._ __.$96,87150 Participant Wages* $96,873.50 Supportive Services* Participant Incentives* Other- Vocational Training $19,850.00 - Budget Narrative: WIA Funds -65% of budget Spent directly on youth in the form of paid work experience, and training / 34% budget spent on youth case management, mentoring and tutoring I. PERSONNEL SALARIES: Lead Case Managers (1 FTE): i.) Lead Case Manager: Responsible for management of all student interns, maintaining WIA compliance, mentoring of several youth, follow up services to previous year WIA youth and management of all employment and library based training components . Assistant Librarian 100% (20001irs) of $44,947 (annual salary) = $33,710.40 WIA; $ 11,236.80 In -Kind; 2. Program Director 05 FTE): Responsible for general oversight and direction of program. Principal Librarian — Cheryl A. Eberly. 35% (700hrs) of $82,140 (annual salary) = $28,749.00 In -kind (In -Kind) 3. Technolo9y /CTV3 Coordinator (.25 FTE): Responsible for oversight and management of technology aspects of the grant, website and CTV3 television programming. Principal Librarian — Lynn Nguyen. 25% (500hrs) of $82,140 (annual salary) = $20,535.00 In -kind 4. Library Operations Manager (.15FTE): Responsible for supervising library operations in relation to this grant. Library Operations Manager - Heather Folmar. 15% (3001trs) of 101,834 (annual salary) = $15,276.00 In -Kind 5 Support Staff/ Tutor/Mentors i.) Clerical Support Staff (.31 FTE) : Assist in document management, recruitment, eligibility determination, payroll of staff, assist with overall operations, and inquiries and information technology courses. Clerk- $14.88 x 625 hours= $9,300 WIA; $8,928.00 In -Kind ii.) Out -of- School Youth Tutor/Mentor (.25 FTE) : One -on -one mentoring and tutoring of out -of,- school youth, and coordination and instruction of several workshop/ MOOC components. Sr. Tutor - $14.37 x 1700 hours = $7,185 WIA; $10,059.00 In -Kind iii.) In- School Youth Tutor/Mentor (.25 FTE) : One-on -one mentoring and tutoring of in- school youth, and coordination and instruction of several workshop/ MOOC components. Tutor - $12.11 x 1700 hours = $6,055 WIA; $8,477.00 In -Kind i.) MOOC's coordinator (.35 FTE): Responsible for management of all MOOC based training elements of program, will mentor several out -of- school youth. Assistant Librarian 35% (700hrs) of $46,820 (annual salary) = $ 16,387.00 In- Kind ii.) Garfield Site Coordinator (.3 FTE): Responsible for management college credit course based training components and video production workshops. Librarian 30% (6001irs) of $57,000 (annual salary) = $ 17,100 In -Kind iii.) Graphic Design/ Website Design Course Coordinator (.15 FTE): Responsible for development of intro to graphic design/ website design training components. Librarian 15% (300hrs) of $57,000 (annual salary) = $ 8,550 In -Kind II.) PERSONNEL BENEFITS: Benefits are calculated as percentage of Salary. i.) Grant Funded Rates for Lead Case Workers (2 FTE) are as follows: PERS /Social Security (- 12.07 %), Medicare (- 1.45°/x), Health Insurance (- 13.71 %), Retiree Health (- 0.90 %), Worker's Comp (2.96 %) EXHIBIT G 25A -359 ii.) In -Kind Rates for Program Director, Technology Coordinator, Library Services Manager and In -Kind Full Time Support Staff are as follows: PERS /Social Security (- 12.07 %), Medicare (- 1.45 %), Health Insurance (- 13.71 %), Retiree Health (- 0.90 %), Worker's Comp (2.96 %) iii.) Grant Funded and In -Kind Rates for PT Clerical Support/ Sr. Tutor/ Tutor Mentor Staff are as follows: Deferred Comp (- 3.75 %), Medicare (- 1.45 %), Worker's Comp (2.96 %) III.) OPERATING EXPENSES: INDIRECT COSTS: The rate of 6.06% was used to calculate Indirect Cost using salary w /out benefits base of $56,250.40 ( WIA funded personnel) = $ 3,408.77 WIA Funds V.) STAFF CONFERENCES = i.) CWA Conference cost for 4 youth interns (2 x $225)= $900 ii.) CWA Conference cost for ladult mentors (1 x $400) = $400 IV.) PARTICIPANT WAGES: All youth will participate in a 44 week long combination paid Work Experience training and internship /externship program. $96,873.50 WIA Funds Track 1: Out —of- School Youth: Microsoft Office Application certificationsand Intermediate Digital Media Apprenticeships (5 participants ): Digital Media Basics: 40 hours, Intro to Marketing: 50 hours, Intermediate Digital Media: 100 hours, MOOC's based certification trainings: 50 hours, Work Experience Internship/ Externships: 160 hours (400 hrs X $8.53) Track 2: In- School Youth: Microsoft Applications certification and Intermediate Digital Media Apprenticeships (10 Participants): Digital Media Basics: 40 hours, Intro to Marketing: 50 hours, Intermediate Digital Media: 100 hours, MOOC's based certification trainings: 10 hours, Work Experience Internship/ Externships: 100 hours, (300hrs x $8.53) Participant Benefits: Benefits for the Paid Work Experience Training and Internship/ Externship Program are based on a percentage of the participant's wages as follows: Deferred Camp (- 3.75 %), Medicare (- 1.45 %), Worker's Comp (2.96 %) Santa Ana College Course Technical Training Partnership: Charge is the contract amount to be charged by Santa Ana College to provide the Intermediate Digital Media Courses and Marketing Courses 043 Microsoft Certified Instructor for Business Applications 164 :Introduction to Adobe Photoshop 1 4,750 Instructor for Communications & Media Studies 102: Multimedia Storytelling 1 4,750 Instructor for Marketing 113 :Principles ofMarketine 1 9.500 TOTAL WORK EXPERIENCE TRACKING: All Work experience compensation will be tracked via daily sign -in sheets and bi- monthly timesheets (Please refer to attachment J for samples of timesheets and sign -in sheets) EXHIBIT G 25A -360 Assurances & Certifications Selected providers will be required to sign and submit "actual" assurances and certificates as required by the City of Santa Ana and the Workforce Investment Board on all contracts. I recognize that I must give assurances for each item below. If I cannot, this proposal will be aut matically rejected. Please initial each box. y ✓ I am authorized by my Board of Directors, Trustees, other legally qualified officer, or as the ' owner of this agency or business to submit this proposal. y We are not currently on any Federal, State of California, or local Debarment list. - We will provide records to show that we are fiscally solvent, if needed. We have, or will have, all of the fiscal control and accounting procedures needed to ensure that WIA funds will be used as required by law and contract. We have additional funding sources and will not be dependent on WIA funds alone. We do or will meet the applicable Federal, State, and local compliance requirements. They include, but are not limited to: Records that accurately reflect actual performance. r- Maintain record confidentiality, as required. Reporting financial, participant, and performance data, as required. Comply with State and Federal fiscal and program activity audits. r Comply with Federal and State non - discrimination provisions. f Meet requirements of Section SO4 of the Rehabilitation Act of 1973. (;r Meet requirements of the American's with Disabilities Act of 1990 Meet all applicable labor law, including Child Labor Law standards. Agree to provide a drug free workplace. Agree to insure the City of Santa Ana through General Liability Insurance and Automobile Liability. Coverage in the amount of $1,000,000.00. Agree to provide all participants with Grievance Procedures. Agree to insure proposer's employees through Workers Compensation Insurance (including part -time employees) Procurement policies and procedures are in place and meet federal guidelines. Youth Protection Policy and Sexual Abuse & Molestation insurance of $2,000,000 We will not: Place a youth in a position that will displace a current employee. Use WIA money to assist, promote, or deter union organizing. f` Use funds to employ or train of persons in sectarian activities. u Use funds for youth in the construction, operation, or maintenance of any part of a facility to be used for sectarian instruction or religious worship. f. Use WIA funds for activities that would interfere with or replace regular academic requirements for eligible youth who are not dropouts. Use WIA funds to carry out programs funded under the School -to -Work Opportunities Act of 1994 unless the program(s) are only for youth eligible to participate under WIA. Use WIA money under this contract to purchase any equipment. n 14reby assuo that' pll of the 446ove are true. 4 Name V'/ Title Date EXHIBIT H 25A -361 25 Self- Insured EXHIBIT I 25A -362 AGREEMENT UNDER THE WORKFORCE INVESTMENT ACT THIS AGREEMENT, made and entered into this 1st day of July, 2014, by and between the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California ( "CITY ") and Taller San Jose a non - profit corporation ( "CONTRACTOR "). RECITALS: A. CITY has been designated a Local Workforce Investment Area (LWIA) under the Workforce Investment Act of 1998, Public Law 105 -220 ( "the Act "). B. The State of California has created the LWIA to administer the Act programs operated by the State of California pursuant to the Act. C. As a LWIA, CITY is entitled to receive federal funds to establish programs to prepare economically disadvantaged youths for entry into the labor market and to provide basic skills development to those individuals who are economically disadvantaged or otherwise face serious barriers to succeeding in life. One goal of California's Workforce Investment System is to provide youth with the opportunities to achieve career goals that will allow them to successfully compete in the labor market and prepare them for higher education. D. CONTRACTOR is experienced in operating education, occupational development and employment programs for economically disadvantaged youth for entry into the labor market ( "said program "). E. CONTRACTOR is willing to operate said program pursuant to the Act and California law. WHEREFORE, for and in consideration of the respective and mutual covenants and promises hereinafter contained and made, and subject to all the terms and conditions hereof, the parties hereto do hereby agree as follows: I. CONTRACTOR'S OBLIGATIONS A. CONTRACTOR agrees to provide the following services pursuant to said program, as more specifically set forth in CONTRACTOR'S Program Narrative contained in "Exhibit A" and in the Performance Standards "Exhibit B ", attached hereto and by this reference incorporated herein. CONTRACTOR'S failure to provide said services may be grounds for CITY to readjust the level of payment to CONTRACTOR otherwise provided for hereinafter. B. CONTRACTOR agrees to provide benefits to individuals who participate in the activities and services funded by this Agreement ( "participants ") in accordance with the standards and requirements set forth in Workforce Investment Act of 1998, Public Law 105 -220. 25A -363 Pagel of 15 C. CONTRACTOR agrees to perform the services set forth herein in a professional, timely and diligent manner. D. CONTRACTOR shall provide wages and benefits to individuals who participate in the activities and services funded by this Agreement in accordance with the standards and requirements of the Act, including Section 181 of the Act. E. CONTRACTOR shall adhere to the Labor Standards described in the Act including Section 181 of the Act. F. CONTRACTOR agrees to comply with the "Complaint Handling Procedures Under the WIA ", attached hereto as "Exhibit C" and incorporated herein as though fully set forth in 20 CFR §667.200, Subpart F. CONTRACTOR shall advise participants of their rights to file complaints tinder the Act and the procedures for resolution of any complaints. CITY's procedures for handling complaints alleging a violation of the Act, regulations, grants, or other agreements under the Act shall be followed and any decision of CITY, the State or the federal government relating to the complaint shall be binding and followed by CONTRACTOR. CONTRACTORS who are employers shall operate a grievance system that incorporates CITY's procedures for resolution of complaints relating to the terms and conditions of employment; these procedures shall be approved in writing by CITY. G. As a condition of this award of financial assistance under the Act to CONTRACTOR from CITY, CONTRACTOR assures, with respect to operation of all programs or activities funded with funds provided pursuant to the Act, and all agreements or arrangements to carry out such programs or activities, that it will comply fully with the nondiscrimination and equal opportunity provisions of the Act (Section 188) and compliance with Equal Employment Opportunity provisions in Executive Order (E.O.) 11246, as amended by E.O. 11375 and supplemented by the requirements of 41 CFR Part 60; the Nontraditional Employment for Women Act of 1991; Title VI of the Civil Rights Act of 1964, as amended; section 504 of the Rehabilitation Act of 1973, as amended; the Age Discrimination Act of 1975, as amended; the Americans with Disabilities Act of 1990; and with all applicable requirements imposed by or pursuant to regulations implementing those laws, including, but not limited to, 29 CFR Part 33 and 37. The United States, the State of California and CITY have the right to seek judicial enforcement of this assurance. H. CONTRACTOR agrees that no participant(s) shall commence training prior to the approval of funding pursuant to Section 123 of the Act. I. CONTRACTOR agrees to maintain such records and submit such reports, data and information, on the form and containing such information, at such times as CITY may request or require regarding the performance of CONTRACTOR'S services or activities, costs or other data, including but not limited to, participants' attendance, payroll records and job duty statements. CONTRACTOR agrees to forward to the Santa Ana Work Center Administrative Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California 92701 completed Workforce Investment Act Application form and supporting documents; a complete Workforce Investment Act Enrollment; any subsequent updates to; Workforce Investment Act Youth Test Scores form; Workforce Investment Act Exit form upon completion/termination of active enrollment of participant; and the Workforce Investment Act Follow -Up form within 20 days following 30, 60, 90,180, 270, and 360 days of exit. Contractor agrees to enter information on the State of California's CalJobs database 25A -364 Page 2 of 15 system as instructed and requested by the Santa Ana Work Center Administration. CITY, the State of California and the United States govermnent and /or their representatives shall have access for purposes of monitoring, auditing and examining of CONTRACTOR'S activities, perfonnance, books, documents, papers, and records of CONTRACTOR subcontractors, bookkeepers and accountants, and employees and participants related to this Agreement. Such agencies or representatives shall also schedule on -site monitoring in their discretion. Monitoring activities may also include, but are not limited to, questioning employees and participants and entering any premises or onto any site in which any of the services or activities funded hereunder are conducted or in which any of the records of CONTRACTOR are kept. Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. In the event CONTRACTOR does not make the above - referenced documents available within the City of Santa Ana, California, CONTRACTOR agrees to pay all necessary and reasonable expenses incurred by CITY in conducting any audit at the location where said records and books of account are maintained. All accounting records and evidence pertaining to all costs of CONTRACTOR and all documents related to this Agreement shall be kept available at the location where CONTRACTOR conducted the program, as well as in the County of Orange, for the duration of this Agreement and thereafter for three (3) years after completion of an audit. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY, the State of California or the United States Government take exception, shall be retained beyond the three (3) years until resolution of disposition of such appeals, litigation, claims, or exceptions. J. Without prejudice to any other section of this Agreement, CONTRACTOR shall, where applicable, maintain the confidential nature of information provided to it concerning participants in accordance with the requirements of federal and state law. Notwithstanding the foregoing, CONTRACTOR agrees to submit to CITY, the State of California and/or the United States Government or their representatives; all records requested for administrative purposes, including audits, examinations, monitoring and verification of records submitted by CONTRACTOR, costs incurred and services rendered hereunder. K. CONTRACTOR agrees to complete in triplicate, a monthly Invoice /Voucher on CITY's Invoice/Voucher form, showing in detail the amount of money already expended by CONTRACTOR hereunder, as this is a cash reimbursement contract. Accounting records must be supported by such source documentation such as cancelled checks, paid bills, payrolls, time and attendance records, contract and subgrant award documents [29 CFR— Subpart C, Section 97.20 (b)(6)]. CONTRACTOR agrees to submit the above - stated documents to the WIB Administrative Office, 1000 East Santa Ana Blvd., Suite 200, Santa Ana, California, 92701, by the tenth (10th) day of the month following the month in which CONTRACTOR'S services are performed. Should CONTRACTOR fail to deliver said documents to CITY, CITY shall have the option to cancel this Agreement by giving CONTRACTOR ten (10) days written notice thereof. CONTRACTOR shall either return to the CITY excess revenues over costs or use such excess revenues as program income by utilizing such program income for additional training activities authorized under the Act. L. CONTRACTOR agreed tto�xpgn��l funds in accordance with all applicable Page 3 of 15 federal, state and local laws and regulations. CONTRACTOR also agrees to provide at CONTRACTOR'S own expense supplies and other costs of said PROGRAM. M. CONTRACTOR shall arrange independently for an audit that includes WIA funds received from CITY, in accordance with the Act, 20 CFR Section 667.200 and OMB Circular A- 133. CONTRACTOR shall submit one original of each required audit report to CITY within (30) days after the date received by CONTRACTOR. Should CONTRACTOR fail to comply with these requirements, CITY may at its option withhold payment of funds, or disallow funds or suspend additional grant funds. N. CONTRACTOR shall not expend funds pursuant to this Agreement to provide services to any participant where costs of training are paid for by any other person or entity. O. CONTRACTOR shall comply with the provisions of Circular A -102 of the U.S. Office of Management and Budget (OMB) and the related "Common Rule" entitled "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Government ", Subpart C, paragraphs 37 and 42, Circular A -128, and all other applicable federal statutes and executive orders and their implementing regulations, including regulations at 29 CFR Part 97. P. CONTRACTOR shall comply with the requirements of federal regulations found at 29 CFR 93 which provide that no appropriated funds may be expended by the recipient of a federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, member of Congress or an officer or employee of a member of Congress in connection with awarding of any federal contract, the making of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. CONTRACTOR shall sign a Certification Regarding Lobbying to that effect in a form as set forth in "Exhibit D," attached hereto and by this reference incorporated herein. CONTRACTOR shall submit said signed Certification to CITY prior to performing any of its obligations under this Agreement and prior to any obligation arising on the part of CITY to pay any sums to CONTRACTOR under the terms and conditions of this Agreement. Q. CONTRACTOR agrees to provide a drug -free work place and to execute a Drug Free Workplace Certification as set forth in "Exhibit E" attached hereto and incorporated herein by this reference. R. CONTRACTOR, in accordance with the Child Support Compliance Act, recognizes and acknowledges the importance of child and family support obligations and shall fully comply with all state and federal laws relating to child and family support enforcement, including, but not limited to: disclosure of information and compliance with earnings assignment orders, as provided in Chapter 8 (commencing with Section 5200) of Part 5 of Division 9 of the state Family Code; and, to the best of its knowledge is fully complying with the earnings assignment orders of all employees and is providing the names of all new employees to the New Employee Registry maintained by the California Employment Development Department (EDD). S. CONTRACTOR agrees to comply with all applicable provisions of the ACT and the federal regulations, including but not limited to the regulations found at 20 CFR part 629. 25A -366 Page 4 of 15 T. CONTRACTOR agrees to that it is in compliance with the Certification Regarding Debarment ( "Exhibit F ") as required by the regulations implementing Executive Order 12549, Debarnent and Suspension, 29 CFR Part 98, Section 98.510, Participants' Responsibilities. The regulations were published as Part VII of the May 16, 1988, Federal Register (Pages 19160- 19211). U. CONTRACTOR agrees to provide priority of services for veterans and eligible spouses pursuant to 20 CFR part 1010 and the regulations implementing priority of service for veterans and eligible spouses in Department of Labor job training programs under the Jobs for Veterans Act published at 73 Fed.Reg. 78132 on December 19, 2008. V. CONTRACTOR acknowledges that the official name for the statewide system of providing employment and training through the WIA partnerships and various other local programs is "America's Job Center ". To achieve the goals of this grant, it is important that the public has a quick and easy method to identify that the projects or programs they are taking part in are part of the "America's Job Center ". CONTRACTOR agrees to place the America's Job Center logo, in accordance with the State of California guidelines for such use, on all public materials such as statements, press releases, brochures, advertisements, reports and other documents describing projects or programs funded in whole or in part with WIA funds. When the America's Job Center logo is used, CONTRACTOR may accompany it with the following statement, "The (Program Name) is a proud partner of the America's Job Center network ". CONTRACTOR shall not use the America's Job Center logo in any manner that would imply that the State of California endorses a commercial product, service or activity. II. CITY'S OBLIGATIONS A. CITY agrees to pay to CONTRACTOR when, if and to the extent federal funds are received under the provisions of the Act a sum not to exceed $80,000 for CONTRACTOR'S performance in accordance with the Budget attached hereto as "Exhibit G" during the period of this Agreement. Said sum shall be paid after CITY receives invoices submitted by CONTRACTOR as provided hereinabove. B. CONTRACTOR has the ability to adjust line item amounts in the budget with the approval of the Executive Director, so long as the total Budget amount does not increase. C. CITY agrees to provide for on -site monitoring reviews of said program operation at least annually. In addition, monthly desk -top reviews of pertinent information will be conducted. D. CITY has the right to de- obligate the funds hereunder and take such funding back from CONTRACTOR due to any of the following reasons: (a) lack of performance by CONTRACTOR; (b) lack of fiscal accountability of CONTRACTOR; or (c) decrease in available funding. III. TERM OF AGREEMENT This Agreement shall commence on July 1, 2014 and all duties arising under this Agreement shall have been performed by Jur}g .220 ,��ye term of this Agreement may be extended Page 5 of 15 by a writing executed by the City Manager and the City Attorney. IV. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer- employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. V. WORKER'S COMPENSATION AND EMPLOYER'S RIGHTS A. CONTRACTOR shall use appropriate funds received from CITY to provide workers' compensation to all those hired by CONTRACTOR under this Agreement. B. CONTRACTOR shall have the right to hire, dismiss, or promote its employees or contract personnel hired under this Agreement so long as its hiring or dismissal policy or standard does not violate Title VII of the Civil Rights Act of 1964, Fair Labor Standards Act of 1938, or any other applicable law, and CONTRACTOR maintains itself as an Equal Opportunity employer. VI. APPLICABLE GUIDELINES A. The parties hereto agree that CONTRACTOR shall comply with all applicable federal and state laws and regulations, including, but not limited to the Performance Standards (Exhibit B) and general program requirements described in Sections 106 and 141 of the Act (29 USC Sections 1516 and 1551) and applicable regulations, and the U.S. Department of Labor guidelines and regulations, including amendments or revisions made during the teens of this Agreement. Said applicable laws are hereby incorporated by reference and made as part of this Agreement as though fully set forth herein. B. CONTRACTOR also assures and certifies that: 1. CONTRACTOR acknowledges and confirms that the U.S. Department of Labor has established three (3) common measures for youth: (a) Placement in employment or education; (b) Attainment of degree or certificate; and, (c) Literacy or numeracy gains. Pending WIA reauthorization and or U.S. Department of Labor and EDD updates, Contractor agree to implement and shall meet any additional performance measures that may be subsequently required by the Workforce Investment Act or by any other Federal, State, and local law. 2. CONTRACTOR shall comply with Title VII of the Civil Rights Act of 1964 (P.L. 83 -354) and in accordance with T* yII of the-Act, no person shall, on the grounds of race, Page 6 cf 15 color, religion, sex, age, handicap or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under this Agreement. 3. CONTRACTOR shall comply with any and all federal laws limiting the political activity of employees hired under this Agreement. 4. CONTRACTOR shall comply with the requirements that no program under the Act shall involve political activities. 5. RECORD INSPECTION. CONTRACTOR shall provide the U.S. Department of Labor and the Controller General, by and through any authorized representative, as well as the WIB Administrative Office, access to and the right to examine all records, books, papers or documents relating to the accounting and use of funds under this Agreement for a three -year period from and after the effective date of this Agreement. 6. No person with responsibilities in the operation of any program under the Act shall discriminate with respect to any program participant or any application for participation in such program because of race, creed, color, national origin, sex, political affiliation or beliefs. 7. CONTRACTOR shall maintain appropriate standards for health and safety in work and training situations. S. CONTRACTOR shall comply with general provisions, assurances, and execute the Assurances and Certifications attached hereto as "Exhibit H" and incorporated herein. 9. EQUAL OPPORTUNITY. Any literature distributed by CONTRACTOR for the purpose of apprising businesses, participants, or the general public of its programs under this Agreement shall state that its programs are supported by the City of Santa Ana and the Santa Ana Workforce Investment Board, and shall state that the program is an "equal opportunity employer /program" and that "auxiliary aids and services are available upon request to individuals with disabilities." 10. Based on the population eligible to be served, or likely to be directly affected by the WIA program or activity, the services or information may need to be provided in a language other than English in order to allow such population to be effectively informed about or able to participate in the program or activity. Pursuant to 29 CFR 37.35, CONTRACTOR must take reasonable steps to provide services and information in appropriate languages after considering the scope of the program or activity, and the size and concentration of the population that needs services or information in a language other than English. 11. CONTRACTOR certifies that all property, finished or unfinished documents, data, studies and reports prepared or purchased under this Agreement, will be disposed of in accordance with the direction of the CITY. In addition, any tools and /or equipment furnished to the CONTRACTOR by the CITY and/or purchased by the CONTRACTOR with funds pursuant to this Agreement, will be limited to use within the activities outlined in this agreement and will remain the property of the United States Government and /or CITY. Upon termination of this Agreement, CONTRACTOR will immediately return such tools and /or equipment to the CITY or dispose of them in accordance with the direction of the CITY. 25A -369 Page 7 of 15 12. CONTRACTOR certifies that this Agreement does not provide for the advancement or aid to any religious sect, church or creed, or sectarian purpose nor does it help to support or sustain any school, college, university, hospital or other institution controlled by any religious creed, church, or sectarian denomination, as specified by Article XVI, Section 5, of the Constitution of the State of California, regarding separation of church and state. 13. PATENT, COPYRIGHTS AND RIGHTS IN DATA. The CONTRACTOR will disclose to the CITY any invention, written product, computer program developed or data assembled as a result of performance of work under this Agreement within seventy four (74) days of invention, development or assembly. The CITY, State of California, and U.S. Department of Labor will have the right to patent any invention and copyright any written product or computer program or data generated by CONTRACTOR. Upon written request, CONTRACTOR will transfer all pertinent information, specifications and right, title and interest to the designated agency. 14. INVENTIONS, PATENTS AND COPYRIGHTS. A. Reporting Procedure. If any project produces patentable items, patent rights, processes, or inventions in the course of work under a U.S. Department of Labor (DOL) grant or agreement, the CONTRACTOR shall report the fact promptly and fully to the CITY. The CITY shall report the fact to the Grant Officer, at the DOL. Unless there is a prior agreement between the CITY and the DOL and its representative on these matters, the DOL shall determine whether to seek protection on the invention or discovery. The DOL and its representative shall determine how the rightsin the invention or discovery, including rights under any patent issued thereon, will be allocated and administered in order to protect the public interest consistent with the "Governmental Patent Policy" (President's Memorandum for Heads of Executive Departments and Agencies, August 23, 1971, and Statement of Government Patent Policy as printed in 36 FR 16889). B. Copyright Policy. 1. Unless otherwise provided in the terms of the grant or agreement, when copyright - able material is developed in the course of or trader a DOL Grant or agreement, the author and the CITY which developed the work is free to copyright material or to permit others to do so. The CONTRACTOR and the Workforce Investment Board (WIB) shall have a royalty -free, nonexclusive and irrevocable license to reproduce, publish, use and to authorize others to use all copyrighted material. 2. The DOL reserves a royalty -free, nonexclusive, and irrevocable license to reproduce, publish or otherwise use, and to authorize others to use, for Federal Government purposes: (a) The copyright in any work developed under any grant, sub -grant, or contract under a grant or subgrant; (b) Any right of copyright to which a grantee, subgrantee or a CONTRACTOR purchases ownership with grant support; and (c) CONTRACTOR shall comply with the requirements of 29 CFR Part 97.34. C. Rights to Data. The DOL and the CITY shall have unlimited rights to any data first procured or delivered under this Agreement. 15. CLEAN AIR / CLEAN WATER ACT. If the grant hereunder exceeds $100,000, CONTRACTOR must comply with Section 306 of the Clean Air Act [(42 USC 1875(h)]; Section 508 of the Clean Water Act (33 USC 1368 ; Executive Order 11738 and Environmental 25d -370 Page 8 of 15 Protection Agency ( "EPA ") regulations (40 CFR Part 15) as any may now exist or be hereafter amended. Under these laws and regulations, the CONTRACTOR assures that: (a) No facility to be utilized in the performance of the proposed grant has been listed on the EPA List of Violating Facilities; (b) It will notify CITY prior to award of the receipt of any communication from the Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be utilized for the grant is under consideration to be listed on the EPA List of Violating Facilities; (c) It will notify the CITY and the EPA about any known violation of the above laws and regulations. 16. CONTRACTOR agrees to adhere to the following STANDARDS OF CONDUCT: a. General Assurance. Every reasonable course of action will be taken by CONTRACTOR in order to maintain the integrity of this expenditure of public funds and to avoid favoritism. This Agreement will be administered in an impartial manner, free from errors to gain personal, financial, political gain. CONTRACTOR, its officers and employees, in administering this Agreement, will avoid situations which give rise to a suggestion that any decision was influenced by prejudice, bias, special interest or desire for personal gain. b. Employment of Former State or CITY Employees. CONTRACTOR will ensure that any of its employees who were formerly employed by the State of California or CITY, in a position that could have enabled such individuals to impact policy regarding or implementation of programs covered by this Agreement, will not be assigned to any part or phase of the activities conducted pursuant to this Agreement for a period of not less than two (2) years following the termination of such employment. c. Conducting Business Involving Relatives. No relative byblood, adoption or marriage of any executive or employee of CONTRACTOR will receive favorable treatment when considered for enrollment in programs provided by, or employment with, CONTRACTOR. d. Conducting Business Involving Close personal Friends and Associates. Executives and employees of CONTRACTOR will be particularly aware of the varying degrees of influence that can be exerted by personal friends and associates and, in administering this Agreement, will exercise due diligence to avoid situations which give rise to an assertion that favorable treatment is being granted to friends and associates. When it is in the public interest for CONTRACTOR to conduct business with a friend or associate of an executive or employee of CONTRACTOR, an elected official in the area or a voting or non - voting member of the Workforce Investment Board (WIB), a permanent record of the transaction will be retained. e. Avoidance of Conflict of Economic Interest. No executive or employee of CONTRACTOR elected official in the area, or voting or non - voting member of a WIB, will solicit or accept money or any other consideration from a third person, for the performance of an act reimbursed in whole or part by CONTRACTOR or CITY. Supplies, materials, equipment or services purchased with Agreement funds will be used solely for purposes asserted or allowed under this Agreement. No voting member of the WIB will cast a vote on the provision of services or vote on any matter which 25A -371 Page 9 of 15 would provide direct financial benefit to that member or any business or organization which the member directly represents. f Salary and Bonus Limitations. All Subrecipients of WIA program funds are required to comply with federal requirements regarding the limitations on salary and bonus payments in accordance with Public Law 109 -149, Section 7013. VII. HOLD HARMLESS A. CONTRACTOR shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from any and all claims, demands, suits, actions or proceedings of any kind or nature, including, but not by way of limitation, workers' compensation claims, resulting from or arising out of the negligent acts, errors or omission of CONTRACTOR, its employees or subcontractors. B. CONTRACTOR shall indemnify and save harmless CITY, its officers, agents and employees, from and against any and all damages to property or injuries to or death of any person or persons, including property and employees or agents of CITY, and shall defend, indemnify and save harmless CITY, its officers, agents and employees, from and against any and all claims, demands, suits, actions or proceedings therefore, resulting from or arising out of the intentional or malicious acts of CONTRACTOR, its employees or subcontractors. VIII. INSURANCE 1. Commercial General Liability. CONTRACTOR agrees to obtain and keep in force during the term of this Agreement a policy of comprehensive commercial general liability insurance insuring the State of California, CITY, and CONTRACTOR against any liability for accident, injury or death arising out of or in consequence of this Agreement. Such insurance shall be in an amount not less than One Million Dollars ($1,000,000.00) for any injury to or death of any person or persons in any single accident or occurrence. Said policy of comprehensive general liability insurance shall be endorsed to provide to CITY and to the State of California, Employment Development Department, at least thirty (30) days written notice prior to cancellation; name CITY, its officers, agents, employees, and volunteers, and the State of California, its officers, employees, and volunteers as Additional Insured; and state that such coverage is primary to any other coverage or self - insurance of the State of California and CITY (in substantially the form as Exhibit I, Additional Insured Endorsement, attached hereto). Governmental entities may substitute a certificate of self - insurance. 2. Automobile Liability Coverage CONTRACTOR shall also obtain and maintain, during the effective period of this Agreement, broad form automobile liability coverage with at least $1,000,000 limit unless reduced by CITY, which applies to both owned/leased and non -owned automobiles used by CONTRACTOR employees or participants in performance of this Agreement, or, in the event that CITY will not utilize such owned /leased automobiles but intends to require employees, participants or other agents to utilize their own automobiles in the performance of this Agreement, CONTRACTOR shall secure an file from all such employees, participants, or Page 10 of 15 agents as self - certification of automobile insurance coverage. Governmental entities may substitute a certificate of self - insurance. 3. Workers' Compensation. If CONTRACTOR is an "employer ", as set forth in California Labor Code Section 3300 et seq., or utilizes participants as "employees," as set forth in California Labor Code Section 3350 et seq., CONTRACTOR shall obtain and keep in force during the term of this Agreement full Workers' Compensation insurance coverage for injuries suffered by participants. Said insurance policy shall guarantee CITY at least thirty (30) days written notice of cancellation or modification. CONTRACTOR shall carry medical and accident insurance for those participants not qualifying as "employees" for Worker's Compensation Coverage, pursuant to California Labor Code Section 3350, et seq. 4. Equipment Coverage. CONTRACTOR shall purchase a policy or policies of insurance covering loss or damage to any and all Equipment provided to or purchased by CONTRACTOR in accordance with this Agreement. Said insurance shall be in the amount of the full replacement value thereof, providing protection against the classification of fire, extended coverage, vandalism, malicious mischief, theft, and special extended perils. Governmental entities may substitute a certificate of self - insurance. 5. Youth Protection. To maintain a safe environment, funded youth providers that serve youth under the age of 18 will need to provide a Youth Protection Policy and proof of Sexual Abuse & Molestation insurance coverage of at least $2,000,000. Youth providers will be held responsible for conducting a background clearance (live -scan) for staff that have direct interaction with youth participants that are under the age of 18. 6. Proof of Insurance. Certificates and endorsements must be submitted and approved by CITY prior to any work under this Agreement. CONTRACTOR understands that CITY will make no payments under this Agreement until the required certificates and endorsements have been approved by CITY. IX. CORPORATESTATUS All corporate contractors shall be in good standing, without suspension by the California Secretary of State, Franchise Tax Board and Internal Revenue Service. Any change in corporate status or suspension shall be reported irnmediately to CITY. X. ASSIGNABILITY None of the duties of, or work to be performed by, CONTRACTOR under this Agreement shall be subcontracted or assigned to any agency, consultant, or person without the prior written consent of CITY. CONTRACTOR must submit all subcontracts and other agreements that relate to this Agreement to CITY. No subcontract or assignment shall terminate or alter the legal obligations of CONTRACTOR pursuant to this Agreement. 25A -373 Page 11 of 15 XI. LAWS GOVERNING THIS AGREEMENT In its performance under this Agreement, CONTRACTOR shall fully comply with the requirements of the following, whether or not otherwise referred to in this Agreement: 1. The Act and all applicable federal statutes, regulations, policies, procedures and directives, including but not limited to, 20 C.F.R. Parts 652 and 660 through 671. 2. All applicable State statutes, regulations, policies, procedures and directives; 3. All applicable CITY policies, procedures and directives; 4. All applicable local ordinances and requirements, including use permits and licensing; 5. Court orders applicable to its operation; and, 6. The terms and conditions of this Agreement. If any of the foregoing is enacted, amended, or revised, CONTRACTOR will comply with such or will notify CITY after enactment or modification that it cannot so comply. CITY may thereupon tenninate this Agreement, if necessary. XII. EXCLUSIVITY AND AMENDMENT OF AGREEMENT This Agreement supersedes any and all other agreements, either oral or in writing, between the parties hereto with respect to the employment of CONTRACTOR by CITY, and contains all the covenants and agreements between the parties with respect to such employment. Each party to this Agreement acknowledges that no representations, inducements, promises or agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein, and that no other agreement or amendment hereto shall be effective Lmless executed in writing and signed by both CITY and CONTRACTOR. XIII. FRAUD CONTRACTOR shall immediately report to CITY all instances and facts concerning possible fraud, abuse or criminal activity relating to expenditure or receipt of funds under this Agreement. XIV. CONTINGENCY OF FUNDS CONTRACTOR acknowledges that approval of and funding for this Agreement is contingent upon State approval, and funds received or obligated from the State of California to CITY. If such approval of fiends is not forthcoming, or is otherwise limited, CITY shall immediately notify CONTRACTOR. Within twenty (20) days of receipt of such notice, CONTRACTOR shall modify or cease operations as directed by CITY and negotiate necessary modification to this Agreement and /or reimbursement of costs incurred hereunder. 25A -374 Page 12 of 15 XV. TERMINATION A. This Agreement may be terminated by either party at its sole discretion, upon thirty (30) days written notice to the other party. Notice shall be deemed served on the date of mailing. However, CONTRACTOR may not terminate this Agreement if undue hardship will result to any participant. B. In the event CONTRACTOR defaults by failing to fulfill all or any of its obligations hereunder, CITY may declare a default and termination of this Agreement by written notice to CONTRACTOR, which default and termination shall be effective on a date stated in the notice which is to be not less than ten (10) days after certified mailing or personal service of such notice, unless such default is cured before the effective date of tennination stated in such notice. If terminated for cause, CITY shall be relieved of further liability or responsibility under this Agreement, or as a result of the termination thereof, including the payment of money, except for payment for approved expenses incurred for services satisfactorily and timely performed prior to the mailing or service of the notice of termination, and except for reimbursement of (1) any payments made for services not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by CITY in obtaining substitute performance. XVI. DISPUTES Except as otherwise provided in this Agreement, any dispute concerning any question arising under this Agreement shall be decided by CITY. In such a case CITY shall reduce its decision to writing and mail or otherwise furnish a copy thereof to CONTRACTOR. The decision of the City shall be final and conclusive unless within thirty (30) calendar days from the mailing or delivery of such copy, CITY receives from CONTRACTOR written request to appeal said decision. Procedures governing the appeal shall be prescribed by CITY and /or the State of California in accordance with the Act and all corresponding regulations and OMB circulars. Pending final disposition of the appeal, CONTRACTOR shall act in accordance with CITY's decision unless the dispute involves a change order. XVII. BREACH - SANCTIONS If, through any cause, CONTRACTOR violates any of the terms and conditions of this Agreement, and /or prior agreements whereby grant fiends were received by CONTRACTOR pursuant to this Agreement, or if CONTRACTOR reports inaccurately or if any Audit Report makes disallowances, CONTRACTOR shall promptly remedy its acts or omissions and/or repay CITY all amounts due CITY as a result of CONTRACTOR's violation. For any such failures or violations, CITY shall also have the right at its sole discretion to either: (1) discontinue program support until such time as CONTRACTOR fulfills its obligations or remedies all violations of this Agreement or prior agreements; and /or (2) collect outstanding amounts as determined by CITY due CITY by offsetting or debiting from current claims or invoices, if after thirty (30) days' written notice CONTRACTOR has failed to repay same or a repayment schedule has not been made; and /or (3) terminate this Agreement by giving written notice to CONTRACTOR of such termination in accordance the notice provision in Paragraph XVIII herein below. 25A -375 Page 13 of 15 XVIII. NOTICES All notices, reports and correspondence between the parties hereto respecting this Agreement shall be in writing and deposited in the United States Mail, postage prepaid, addressed as follows: CITY: City of Santa Ana Manager, WIB Administrative Office P.O. Box 1988 (M -73) Santa Ana, CA 92702 CLERK: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Telefacsimile (714) 647 -6956 CONTRACTOR: Taller San Jose 801 N. Broadway, Santa Ana, CA 92701 Phone: (714) 543 -5105 Fax: (714) 543 -5032 XIX. MERGER This Agreement, together with the attachments hereto, expresses the total understanding of the parties. There are no oral understandings of the parties or terns and conditions other than as stated herein. XX. VALIDITY The invalidity in whole or in part of any provision of this Agreement shall not void or affect the validity of any other provision of this Agreement. XXI. MISCELLANEOUS PROVISIONS a. Each undersigned represents and warrants that its signature hereinbelow has the power, authority and right to bind their respective parties to each of the tenns 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. 25A -376 Page 14 of 15 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: C Lisa Storck Assistant City Attorney "CITY" .0 David Cavazos City Manager "CONTRACTOR" BY: Name: Shawna Smith Title: Executive Director Tax ID #: 59- 3816355 25A -377 Page 15 of 15 PROPOSER APPLICATION Agency Legal Name Taller San Jose Agency DBA James Irvine Program Name Workforce Training for At -Risk Youth Program Address 801 North Broadway, Santa Ana, CA 92701 Corporate Office Address Foundation Contact Person & Title Shawna Smith, CEO /Executive Director Email ssmithPtallersaniose.ore Telephone # (714) 543 -5105, ext. 109 Fax # (714) 543 -5032 Federal ID Number 59- 3816355 AGENCYSTATUS Public Non -Profit Cedar Corporation James Irvine Private Non -Profit X Years in O eration. 18 Private for Profit Foundation Government Chase Other 8:30 -5:00 PRIMARY FUNDING SOURCES Funding Source Cedar Edna James Irvine REDF JP Morgan Saturday Foundation McConnell Foundation 8:30 -5:00 Chase 8:30 -5:00 8:30 -5:00 Clark Foundation Foundation Amount $225,000 $220,000 $150,000 1 $150,000 $95,000 HOURS OF OPERATION AND DAYS Days Monday Tuesday Wednesday Thursday Friday Saturday Sunday Hours 8:30 -5:00 8:30 -5:00 8:30 -5:00 8:30 -5:00 8:30 -5:00 TARGET POPULATION Older Youth X Younger Youth Out -of- School X In- School # of Youth to be Served in 2014 -2015 10 Total WIA Funds $80,000 Requested In compliance with the RFP noted above, and subject to the conditions thereof, the undersigned offers to furnish the services stipulated and certifies he has read, understands, and agrees to all terms, conditions, and requirements of this RFP and is authorized to contract on behalf of the agency named above. Signature EXHIBIT A 25A -378 Title Date I. Experience /Qualifications Taller San Jose (St. Joseph's Workshop) empowers undereducated, unskilled and unemployed young people (ages 18 -28) with the skills, stability and support needed to move out of poverty and on to self - reliance. Every year, Taller San Jose serves 350 young people from Central Orange County, including Santa Ana, who have not completed high school, who have no defined job skills, and who have criminal records. Taller San Jose addresses these barriers to employment or academic achievement through intensive classroom instruction, hands -on training, and effective adult mentoring. Founded in 1995 by the Sisters of St. Joseph of Orange, Taller San Jose is a highly focused, goal- oriented program that challenges its participants to build a foundation for future sustainability. Taller San Jose Facilities Taller San Jose Headquarters, Medical Careers Academy and Office Careers Academy 801 N. Broadway, Santa Ana, CA 92701 P: (714) 543 -5105 F: (714) 543 -5023 Hours of Operation: Monday — Friday 8:30AM — 5:OOPM Major cross streets: Broadway and Civic Center Drive West The fully renovated Broadway location has served as a training center for the Office and Medical Careers Academies since 1995 and houses Taller San Jose's administrative and program staff. This location is centrally located in neutral gang territory adjacent to the city's transportation corridor, ensuring a safe and accessible training site for participants from across Orange County. Construction and Green Technology Academy 810 N. Poinsettia St., Santa Ana, CA 92701 P: (714) 569 -0940 F: (714) 569 -0941 Hours of Operation: Monday — Friday 8:30AM — 5:OOPM Major cross streets: Poinsettia Street and Civic Center Drive East The 10,000 square foot Poinsettia facility serves as the training site for both the basic and green construction programs and houses job development and support services staff. The space provides adequate room for everything from classroom work to large scale building projects. Taller San Jose worked closely with the City of Santa Ana during the development of this program to establish this as a suitable site for a trade school. The Santa Ana City Council approved this usage and provided a variance for all training activities. Taller San Jose Founder, Sister Eileen McNerney, put a great deal of effort into making both facilities warm and inviting learning environments. Artwork adorns both buildings and the classrooms more appropriately resemble workstations as opposed to cold institutions. Operating Budget and Sources of Revenue Taller San Jose has an eighteen year history of steady income growth and the agency works hard to diversify its funding base so that it does not rely solely on one revenue stream. The revenue from Taller San Jose's current annual operating budget of $3.7 million is from the following sources: 39 percent foundations; 35 percent individuals and corporations; 10 percent EXHIBIT A 25A -379 government; 8 percent Hope Builders (Taller San Jose's social enterprise) and program service fees; 6 percent Sisters of St. Joseph of Orange; and 2 percent other. Staff Students enrolled in the WIA- funded program will be overseen by one WA-dedicated case manager, Michelle Delacio, who is currently pursuing her Master of Social Work degree at the University of Southern California. Michelle has over 13 years of experience in the social work /counseling field and has worked as a case manager or legal advocate at various nonprofits, including Human Options and SPIN. The following staff members will also participate in the training and support of WIA youth in employment placement and enrollment in post- secondary programs: Director of Programs, Karyn Mendoza (.1 FTE) oversees Taller San Jose's workforce development, life skills and case management programs. Karyn is a Licensed Clinical Social Worker who earned her Master of Social Work degree from USC. Enrollment Specialist, Angie Rodriguez (.3 FTE) oversees enrollment at Taller San Jose and interviews each applicant to determine eligibility for admission. Employment Services Manager, Meghan Medlin (.2 FTE) develops relationships with employers in the Orange County construction, business services, and healthcare industries and provides on -going coaching to students in order to help them transition into employment successfully. She holds a B.S. in Chemistry from the University of Redlands and an M.A. in Criminology, Law and Society from the University of California, Irvine. Prior to Taller San Jose, Meghan worked for AppleOne Employment Services. Medical Careers Academy Program Manager, Martha Guzman (.2 FTE in -kind) oversees program development for the Medical Careers Academy. From 2004 -2007, Martha worked as a Medical Assistant Instructor at Corinthian College and in 2007 became a licensed phlebotomist and worked as a Certified Phlebotomy Technician I at Los Alamitos Medical Center. Construction and Green Technology Instructor, Armando Gonzalez (.3 FTE in -kind) provides instruction for the Construction Academy. He is a licensed general contractor with over 20 years of experience in the construction field. Enrollment and Support Services Manager, Elfie Abril (.2 FTE in -kind) holds an M.A. in Social Work from the University of Southern California. He has worked for many nonprofit agencies, including Metropolitan State Hospital and the Orange County Bar Foundation, providing individual and family therapy. Career and Education Services Manager, Samantha Matil/o (.2 FTE in -kind) holds an M.A. in Education from Ashford University. From 2006 until 2009, Samantha worked as a Senior Account Executive at AppleOne Employment Services, EXHIBIT A 25A -380 Director of Finance, Nancy Loughrey (.05 FTE) is a Certified Public Accountant with more than 25 years of experience with small businesses, especially concentrating on nonprofits and computer software companies. She holds a B.S and an M.B.A. in Finance. Past Experience and Impact From 2006 -2012, Taller San Jose received WIA funding and, therefore, understands the challenges associated with helping disconnected young people meet employment and /or post- secondary outcomes. In the past eighteen years, Taller San Jose has helped more than 4,500 young people restructure their lives, develop marketable skills and find employment. Last year, Taller San Jose made 227 job placements at an average wage of $11.43 per hour and 1 in 4 Taller San Jose youth entered a post- secondary pathway. II. Proposed Program Each year, Taller San Jose serves youth between the ages of 18 and 28 from Central Orange County who are unemployed, low income, basic skills deficient, pregnant or parenting and /or impacted by gangs, violence or criminal activity. Taller San Jose seeks to place these youth on a path to a family- sustaining income. Targeting young adults who are completely disconnected from the workforce and all educational opportunities, Taller San Jose seeks to help them: 1) Improve their preparedness for the workforce; 2) Increase their life stability; and, 3) Increase their economic stability. Operating on the premise that disadvantaged youth don't learn how to work by sifting in a classroom, Taller San Jose is a paid training program that simulates the workplace and consists of four components, delivered over a 28 -month period: • 16 -20 week training academies in Construction, Healthcare Careers and Business Administration: These academies include a mix of hands -on training and classroom learning. Trainees are paid a $100 weekly stipend and instructors model the employer - employee relationship. Basic skills remediation, financial assistance for childcare and transportation and 32 hours of both life skills and job readiness training are all embedded in the curriculum; • 28 months of Case Management, beginning during the training academies and continuing for 24 months after: Each trainee is assigned a Support Services Specialist, who helps the trainee address the social and emotional issues which may prevent them from finding and keeping employment; • 24 months of Employment Placement for youth who have completed the training academies: Taller San Jose's Employment Services Manager strives to link all interns to permanent and temporary (internship) employment within 90 days of training completion; and, EXHIBIT A 25A -381 24 months of links to Education Pathways to help youth achieve advanced certifications and enroll in and persist through post- secondary degree programs or apprenticeship training programs. Over a 28 -month period, Taller San Jose seeks to help youth improve their basic skills (as measured by a TABE test after 16 weeks of training), find employment and enroll in continuing education. At 28 months from the start of training, Taller San Jose expects that youth, who complete the training and secure a job, will demonstrate increased economic stability by achieving at least two of these three outcomes: 1) Wage progression to at least $12.50 per hour; 2) Employment progression (i.e., increase in number of hours worked or shift from temporary to permanent); and, 3) Educational progression and persistence, including achieving a post- secondary certificate, or completion of 6 months of an apprenticeship or AA degree. III. Population According to the U.S. Census, there are more than 55,000 impoverished youth, ages 18 -28, living in Central Orange County. Figures from the U.S. Census Bureau's 2012 American Community Survey indicate that only 51 percent of Santa Ana residents over age 25 have a high school diploma (compared to 82.4 percent for Orange County), 10.8 percent of the population is unemployed (compared to 6.8 percent for Orange County) and 19.5 percent of the city's residents live in poverty (compared to 10.9 percent for Orange County). High unemployment among this target population, coupled with low high school graduation rates, high rates of criminal recidivism and an incarceration system stretched beyond its capacity, will continue to exacerbate this situation for the foreseeable future. Major gaps in education and experience prevent impoverished youth from moving on to community college or to employment with a self- sustaining wage. Taller San Jose believes that it has a unique opportunity to impact the ability of these "opportunity youth" to achieve and maintain self- sufficiency. Taller San Jose will recruit and enroll 10 out -of- school Santa Ana youth between 18 -21 years of age over the course of the next year. At least ten percent of youth will be from each of the following populations: 1) Foster /emancipated youth (Taller San Jose is a Guardian Scholar School of Orangewood Children's Home and each year between 8 and 15 students are referred to Taller San Jose from Orangewood); 2) Youth on probation: Taller San Jose actively recruits at PAC meetings and about 60 percent of its male students are on probation or parole; 3) Youth that have dropped out of high school; and, 4) Youth with disabilities. A Letter of Support from Santa Ana -based MOMS Orange County has been included as Attachment C and demonstrates the agency's commitment to refer at -risk youth to Taller San Jose. Taller San Jose will utilize the following recruitment efforts to ensure that 100% of 10 youth are enrolled into one of its five training tracks starting between July 1 and December 31, 2014: 1) Community Outreach Coordinator— based on information derived from a demographic scan identifying high -needs census tracts (i.e., low income communities with a high youth population and dense housing) in the City of Santa Ana, a staff member will actively market the program to potential students and organize recruitment efforts at local churches, jails, community centers, and other youth - serving nonprofits, among others; 2) Referrals from current and former Taller EXHIBIT A 25A -382 San Jose students — about 65% of students are referred by a friend or relative; 3) Referrals from community partners including: the Orange County Probation Department, the Santa Ana WORK Center, Santa Ana Regional Occupation Center (ROP), Centennial Education Center, La Familia, Youth Provider Network, Daisy Wheel Network, as well as nonprofit institutions, including: Jamboree Housing, Orangewood Children's Foundation and Phoenix House; and, 4) Local newsprint publications such as the free PennySaver. Young people in Santa Ana who have not completed high school, who have no defined job skills, and who have criminal records face a number of significant obstacles to self- sufficiency. To address these barriers to employment, upon program enrollment all WA-enrolled students are matched to a case manager who conducts an initial assessment and develops goals with the student and who, for a 28 -month period, monitors their progress along Taller San Jose's Steps to Success: Social and Emotional Wellness; Healthy Behaviors; Technological Literacy; Financial Responsibility; Educational Achievement; and Employment Attainment. Within each step, case managers help students achieve tangible goals, such as completing their high school diploma, getting a valid driver's license, opening and using a bank account, setting up a professional email account, avoiding unhealthy relationships and remaining crime and drug free. Taller San Jose attributes its success at reaching and retaining Santa Ana's undereducated and unskilled youth to a holistic, relational approach to education and training. The philosophy of the program calls for high interaction between staff and participants. Staff members focus on making warm and supportive contacts with each participant from the first phone contact /walk -in, through orientation sessions and throughout the first critical weeks of the student's participation. Taller San Jose employs twenty -nine staff who work with youth on a daily basis to provide support services, instruction, and links to employment and post- secondary pathways. IV, Employment Taller San Jose's training simulates the workforce and, from the first interaction, models real - world experiences by requiring prospective students to fill out an application, show valid right -to- work documents, participate in an interview and pass a pre -hire drug screen. Prospective applicants must demonstrate a need for basic skills remediation by testing between 5th -8th grade on the TABE. Taller San Jose's Enrollment Specialist interviews each candidate to assess their barriers and discern their motivation for enrolling in the program. Youth who fall within the target population, and demonstrate a strong motivation for taking responsibility to turn their lives around, are priority applicants. The program requires trainees to demonstrate that they are responsible and respectful by showing up every day, on time, drug free, dressed professionally and with a good attitude. Taller San Jose's training academies focus on high - growth industry sectors: • Construction and Green Technology Academy: The construction program is accredited by the National Center for Construction Education and Research (NCCER) and is led by a licensed general contractor. The program focuses on construction fundamentals and incorporates: safety awareness and training, construction theory, adherence to attendance policies, mentoring, job coaching, and leadership development. Hands -on training includes EXHIBIT A 25A -383 framing, drywall installation, electrical and plumbing. Apprentices participate in two hours of daily math training, concentrating on the algebra, geometry and trigonometry needed for basic construction principles, such as estimating material costs, reading blueprints and rough carpentry. Once students learn concepts in the classroom, they move to the lab for hands -on training, ultimately building a home from the ground up. Upon successful program completion, each graduate is certified with 10 hours of Occupational Safety and Health Administration (OSHA) training and awarded a fully- equipped tool belt to bring with them to their eventual job site. The Construction Academy partners with Tierra Institute International and Grid Alternatives to offer a 40 -hour green technology training three times annually, which prepares students to pass the photovoltaic installer level I exam from the Electronics Technicians Association. Youth who have completed training in the Construction Academy have been placed into employment with McCarthy Building Companies, Inc., Bergelectric Corp. and Arce Electric, among others. • Medical Careers Academy: The program trains youth as both administrative and clinical medical assistants and focuses on two tracks: 1) Administration and Billing Clerk (ABC) focuses on basic accounting, medical billing /coding, medical terminology, small business office management and scheduling and coding software and prepares youth to work in a medical front office and /or in insurance or medical billing; and, 2) Clinical Medical Assisting (CMA) prepares students for back office work, training them to measure vital signs, assist the physician with procedures, administer medications and give injections, record electrocardiograms, draw blood samples and perform basic laboratory tests. It also provides training in HIPPA Compliance and OSHA training. To ensure that students are able to meet the academic demands of the MCA program, the curriculum includes daily Math and Dosage Calculations for Health Care and Word Power. Youth who have completed training in the Medical Careers Academy have been placed into employment with St. Jude Heritage Medical Group, MemorialCare Medical Group and SOS. • Office Careers Academy: The Office Careers Academy trains and prepares youth for employment as administrative assistants, receptionists and data entry specialists in business settings. The program co- enrolls trainees in Santa Ana College's Business Application and Technology Certificate program. All classes are offered by SAC instructors at Taller San Jose and classes include: Office Procedures, Computer Fundamentals, Microsoft Certified Applications Specialist, Business Applications, Computer Keyboarding Speed & Accuracy Development I, Microsoft Word, Microsoft Excel, Microsoft PowerPoint, Business Mathematics, Microsoft Outlook, Excel Application Projects, and Customer Service. Trainees earn 18 units towards completion of an AA degree program and are poised to advance their educational status through continued enrollment at Santa Ana College. Youth who have completed training in the Office Careers Academy have been placed into employment with St. Joseph Health, Mission Hospital Foundation and the Orange County Community Foundation. Taller San Jose's Employment Services Team meets with all students in each training cohort to help them create a resume, learn how to conduct a job search on the internet, set up a EXHIBIT A 25A -384 professional email account and dress professionally for an interview and the workplace. In addition, every student practices their interviewing skills by participating in between three and five mock interview sessions with volunteers from local companies. Taller San Jose's Employment Services Manager strives to place all youth who complete training into employment within 90 days of program completion. The Employment Services Manager works to build relationships with local employers to hire Taller San Jose trainees and case managers provide 24 months of support to help youth retain their employment (Letters of Support from St. Joseph Health and McCarthy Building Companies, Inc. have been included as Attachment D and demonstrate employer commitment to hire Taller San Jose youth). V. Work Based Learning Taller San Jose has established several on- the -job training opportunities to help youth gain professional experience prior to moving into the mainstream workforce. For example, students enrolled in Taller San Jose's Medical Careers Academy participate in a four -week medical assisting externship at a partnering doctor's office or community clinic (a sample Externship Agreement has been included as Attachment E). Participating clinics include MemorialCare medical clinics, St. Jude Heritage Medical Group and La Amistad Community Clinic, among others. Taller San Jose's Employment Services team work to identify potential externship sites and promote the program. Students work at their externship site full -time from Monday - Thursday and convene at Taller San Jose on Friday morning to review the skills that they have applied during the week and to review questions with their instructor. The Medical Careers Academy Program Manager conducts regular site visits to monitor students' performance, and at the completion of the externship interns are evaluated by their site supervisor(s) in these categories: Performance (technical skills), Initiative, Professionalism and Patient /Staff Relations. About 60 percent of youth are hired by their externship site (80 percent of them are still employed at the same site 12 months after their initial placement). Taller San Jose has also developed paid internship opportunities with local companies. St. Joseph Health's Revenue Cycle Services offers 24 -week, paid internships ($9.50 per hour; 40 hours per week) each year that are available to Office Careers Academy trainees. Each intern is matched to a staff mentor and gains experience in medical billing. To date, twenty Taller San Jose students have cycled through this program and eight have been hired full -time by St. Joseph Health. Driven by the desire to strengthen its sustainability and increase its mission impact, in 2010 Taller San Jose launched its social enterprise and general contracting venture, Hope Builders, Inc. Hope Builders employs youth who complete training in Taller San Jose's Construction and Green Technology Academy, offers them an opportunity to refine their skill set by working side - by -side with master tradesmen, and fast - tracks them to living wage employment with local construction companies. Hope Builders, Inc. specializes in distressed properties and serves developers, private investors, nonprofit housing organizations and home owners throughout Southern California with new construction, renovation and rehabilitation services. 1 ';XHIBIT A 25A -385 To date, Hope Builders has employed 23 youth, worked on more than 50 projects, generated over $1,000,000 in sales and transitioned ten Taller San Jose youth to permanent employment. In the next five years, Hope Builders expects to grow its business to employ 40 Taller San Jose youth annually and contribute 5% of Taller San Jose's annual operating income. VI. Certificates /Diplomas /Credentials By focusing on traditionally high -growth industries and emphasizing living -wage employment with health benefits, Taller San Jose gives students the skills needed to enter today's workforce and move out of poverty so that they can support themselves and their families. Each of Taller San Jose's training programs is designed to place students in high- demand industries that offer career ladders for growth. Taller San Jose's Medical Careers Academy, for example, trains clinical and administrative medical assistants to enter the allied health field, where the demand for allied health workers in California is expected to grow 63% between 2010 and 2030 and 39% by 2016 in Orange County. Researchers estimate that California's universities and community colleges will only have the capacity to train 634,000 of the needed workers — between 63 and 79% of the allied health workers the state requires (The California Wellness Foundation, September 2009). Traditionally the building trades have been a high - growth industry in the county. As the industry continues to rebound, there exists a need for skilled, reliable, entry -level workers to replace the baby boomers who are retiring from their work as laborers. Taller San Jose works with industry partners to refine its program curriculum to ensure that its training continues to meet the evolving needs of the market. All WIA youth will receive certification from one of the following entities: American Heart Association (Basic Life Support for Healthcare Providers), the National Center for Construction Education and Research (NCCER), the U.S. Department of Labor /Occupational Safety and Health Administration (OSHA), or Santa Ana College (Business Applications and Technology Certificate). VII. Workshops Taller San Jose believes in supporting individuals through professional and personal growth. Through Life Skills workshops, youth develop key skills to help them enhance their personal and professional lives. Weekly Life Skills workshops are provided over the course of the 16 -20 week training. Workshops reinforce Taller San Jose's Steps to Success: Social and Emotional Wellness; Healthy Behaviors; Technological Literacy; Financial Responsibility; Educational Achievement; and Employment Attainment. Financial Literacy /Budget Management workshops include; Topic: Basic Banking Overview: The Basics of Banking introduce youth to basic banking concepts, such as types of financial institutions — banks, credit unions, and savings institutions, the different accounts they can open to help save money, use money to pay for day -to -day expenses, EXHIBIT A 25A -386 or even save for long -term goals. This lesson also teaches youth how to use and manage their accounts once they are opened. Topic: ABCs of Credit Overview: The ABCs of Credit workshop teaches youth the basics of credit. Participants learn how to build and maintain good credit, read credit scores and credit reports, use credit cards, loans and how to manage debt. Topic: Smart Money Management Overview: The Smart Money Management workshop teaches youth how to make the most of their money by saving more, creating a spending plan, and understanding basic money- saving principals. Topic: Smart Car Shopping and Renting Overview: The Smart Car Shopping and Renting workshop teaches participants how to build a pathway to reliable car buying or leasing and renting. Family Planning workshops include: Topic: Love Notes: Making Relationships Work for Young Adults and Young Parents Overview: Through hands -on, interactive activities, discussions and use of music, film, stories, drawing, and sculpting, participants gain skills in the following: Understanding Self; Communications; Conflict Management; Problem Solving; Relationship Skills; and Sexual Relationships. Worker's Rights /Labor Laws workshops include: Topic: Legal Issues: Resources Overview: The Legal Issues workshop is designed to provide youth with information on Orange County Court services. Youth learn to access public information online and become informed about a typical background check a prospective employer might review. Youth also learn the benefits of Penal Code 1203.4 and about eligibility to file for the benefits of dismissal and Certificate of Rehabilitation. Skills at the Workplace workshops include: Topic: Diversity in the Workplace & Beyond Overview: The workshop addresses different issues related to diversity in the workplace such as gender, race, sexuality, social class, religion, etc. It first discusses what each of the issues are and then gives the interns an opportunity to give their opinion on either the accuracy of the terms, or their thoughts on each of the issues surrounding those terms. EXHIBIT A 25A -387 Health Resources workshops include: Topic: Anxiety & Depression Overview: Youth learn how to identify anxiety and depression and understand potential treatments. Youth learn via group activities, true and false quizzes, PowerPoint and video. Topic: Unhealthy Relationships /Domestic Violence Overview: This workshop focuses on educating youth about unhealthy relationships, including a discussion of emotional, verbal, physical, sexual abuse and acquaintance rape. The workshop stresses the importance of identifying early signs of an abusive relationship. Youth gain a greater understanding of the impact of domestic violence on the victims, including children who witness abuse. Interns are linked to community resources that help address this potential problem both for the victim and perpetrator. VIII. Post - Secondary Education Taller San Jose recognizes that ongoing education is a key indicator of economic stability and has recently elevated Education Pathways to a core component of its program model, with the goal of helping youth prepare for and gain access to post- secondary education programs. Staff has identified four areas that it believes are important for successfully navigating a post- secondary education — Academic Achievement, Financial Stability, Career Exploration and a Supportive Environment —and staff strives to help youth achieve tangible goals within each of these categories, based on the hypothesis that achieving these goals will help ensure that youth successfully navigate a post- secondary education. Currently staff works to connect interns who have completed Taller San Jose's skills training academies to educational and training pipeline programs at local community colleges, career technical schools and apprenticeship training programs. Each of Taller San Jose's training programs includes a College 101 curriculum that embeds intensive math and English into the training to prepare youth to enter a post- secondary pathway upon completion. During the 24- month period that follows the completion of their training program, youth must participate in at least 4 career and education workshops at Taller San Jose. These workshops include: Going to College I, during which youth research different post- secondary pathways that match their field of study; Going to College II, where youth learn about the different avenues of financial support to pay for ongoing education that are available to them; Preparing for the Placement /GED test, where participants will receive tips and guidance related to test taking, as well as tutoring to help them boost their basic skills levels; Applying for the FAFSA, will helps youth complete the application process for financial aid; Healthcare Boot Camp, which provides youth, who have completed the MCA, information and guidance regarding NCCT certification; and, The Master Student, which teaches basic study skills methods, along with goal planning and time management concepts. EXHIBIT A 25A -388 Taller San Jose has several post- secondary partners in place to help it achieve its goal of helping youth complete a post- secondary certification or persist through 6 months of an apprenticeship or AA degree program with this goal: • Construction and Green Technology Academy. Taller San Jose's Construction and Green Technology Academy partners with Tierra Institute International of Orange Coast College to offer a 40 -hour solar panel installation program that prepares youth to receive the photovoltaic installer level 1 certificate upon passing their exam from the Electronics Technicians Association. The Construction Academy also refers youth to the Associated General Contractors, a non -union training program. • Medical Careers Academy: Taller San Jose has an articulation agreement in place with National American University (NAU), which awards youth, who complete Taller San Jose's Medical Careers Academy up to 34 credits, which can be applied to a master's degree at NAU. In partnership with Santa Ana College (SAC), the Medical Careers Academy also offers a 1.5- credit Career Technical Education writing course to help bolster youth's skill level in medical terminology, as well as English, preparing them to ultimately perform well enough on SAC's entrance exam to enroll in credit - bearing coursework. Taller San Jose also has an agreement in place with Newbridge College, a career technical school that facilitates youth's enrollment in their phlebotomy certification program. In the last year, 12 youth have enrolled in one of these post- secondary pathways. • Office Careers Academy: Office Careers Academy trainees co- enroll in SAC's General Business Application and Technology Certificate program and earn 18 units towards completion of a degree program. Taller San Jose will continue to offer scholarship assistance to youth who enter an educational pathway program to alleviate the costs associated with pursuing advanced education. In addition to funding from the James Irvine Foundation to provide this assistance, Orange County United Way's Women's Philanthropy Fund also supports Taller San Jose's youth who seek advanced training. IX. Tutoring Taller San Jose provides tutoring to youth that need to improve their literacy /numeracy skills on an ongoing basis. During orientation and for the first two weeks of training, youth participate in "math jams" and study skills sessions for two hours each week. Trainees review basic math concepts and discuss learning styles and note taking skills to increase their likelihood of successful program completion. Youth may thereafter be referred to tutoring by their training academy instructor or they may request to participate. Tutoring is facilitated by a part -time staff member and takes place on Friday mornings at the Construction and Green Technology Academy, prior to classroom instruction, and on Friday afternoons at the Office Careers and Medical Careers academies, following instruction. EXHIBIT A 25A -389 X. Mentoring /Support Case management serves as the backbone throughout 28 months of Taller San Jose's service delivery (a copy of Taller San Jose's Support Services Policies has been included as Attachment G). Upon program enrollment, every WIA- enrolled youth will be matched to a case manager, who will conduct an initial assessment using the Casey Life Skills Self- Assessment and Taller San Jose's Steps to Success, the fundamental building blocks that Taller San Jose believes every young person should possess to achieve life stability. These Steps to Success, which are informed by the work of American psychotherapist Virginia Satir, provide the framework for Taller San Jose's case management plan and include six broad categories: Education, Employment, Financial Literacy, Technological Literacy, Social and Emotional Development and Healthy Behaviors. Each trainee works with their Support Services Specialist to develop a 28 -month plan to achieve tangible goals within each category, such as getting a valid driver's license, finishing the high school diploma, opening and using a bank account, . During the 16 -20 week skills training academy, Support Services Specialists meet weekly with the trainee to monitor their progress. Upon training completion, Support Services Specialists conduct a follow -up assessment to develop a plan to help the intern make a smooth transition to the labor market and /or post- secondary program. Interns are incentivized for their adherence to the follow up plan, participation in activities and completion of established goals. Each intern can earn a maximum of $400 ($200 annually) through this incentive program. Staff believes that these incentives will promote stronger engagement of interns during the follow up period and encourage them to be proactive in achieving their goals (a copy of Taller San Jose's Incentive Policy has been included as Attachment H). Embedded in the classroom training is 32 hours of weekly Life Skills training, based on FuturoNow's Love Notes curriculum and on the Enriching curriculum from Virginia Satir's Global Network. These curricula strive to help individuals achieve their goals in relationships, family and marriage. Additional Supportive Services Bus Passes Bus passes are available to Taller San Jose trainees. To be eligible, trainees must be enrolled in a Taller San Jose training program for at least 30 days. Childcare Vouchers Childcare stipends are available to Taller San Jose trainees who are caring for young children. To be eligible, trainees must complete an application and be enrolled in a Taller San Jose training program for at least 30 days. Trainees may receive a stipend of up to $200 for every month of training. Emergency /Special Funds Funding may be provided to a participant who faces an emergency that may prevent their successful completion of their training program or pose an impediment to their EXHIBIT A 25A -390 employment. Examples may include, but not be limited to: one -time assistance with a utility bill or assistance to pay for a DMV permit test. Counseling Services and Support Groups Counseling at Taller San Jose is offered on an individual basis. Youth may also participate in social and emotional wellness groups. XI. Leverage Funds While Taller San Jose does not currently offer a civic engagement opportunity to youth outside of training, a Life Skills workshop entitled "Civic Engagement 101" is periodically offered to youth. The workshop addresses the importance of civic engagement and trainees are introduced to the voting process. Past guest presenters have included the Orange County Registrar of Voters and local political officials, including Michele Martinez, City of Santa Ana Councilwoman. XII. Common Measures A. Improve Literacy /Numeracy Skills -77.5% Anticipated Outcome Strategies Measures Improve Provide intensive remedial math and Grade level increase in basic Literacy /Numeracy English training to trainees, skills level of trainees as Skills measured by a post- training Taller San Jose's training programs TABE assessment offer a contextualized delivery system that embeds basic math and language At least 77.5% of the 10 remediation into its curriculum to participants will experience a ensure that students' math and grade level increase in their language levels are sufficient enough basic skills level. for them to not only complete their training, but also to prepare them to enter a post- secondary program. Taller San Jose participants who have not completed their secondary education are encouraged to co- enroll in a high school diploma program offered in the evenings and on Friday and Saturday. These diploma and certification programs are sponsored through the local community college, Santa Ana College Office of Continuing Education. Taller San Jose staff work with Continuing Education staff to monitor participant progress and meet EXHIBIT A 25A -391 educational goals as appropriate. Staff also provide tutoring. B. Attain Employment or Enter Post - Secondary Education -83% Anticipated Outcome Strategies Measures Attain Employment or Provide links to employment through Case managers follow -up with Enter Post- job preparation workshops, youth and staff measure rates Secondary Education participation in job fairs, resume of: placement, wage preparation, referrals and job progression, job retention, coaching; staff works to connect continuing education, interns who have completed Taller San employer - sponsored health Jose's skills training academies to benefits, and recidivism. educational and training pipeline programs at local community colleges, At least 83% of the 10 career technical schools and participants will attain apprenticeship training programs. employment or enter post- secondary education, no later The Employment Services Manager than the first quarter after exit. serves as a liaison among employers, students and community resources such as the One -Stop Center to ensure that program youth locate employment within 90 days of their Taller San Jose program completion. Participants are taught job search techniques throughout their training. All students participate in mock interview sessions with local Human Resource professionals. A network of local employers provides employment opportunities to youth upon their completion of training at Taller San Jose. During this period, Taller focuses on: 1) placing youth into initial employment; and, 2) helping youth move up the career and wage ladder in their industry by connecting them to additional educational and training opportunities. Staff has recently identified four areas EXHIBIT A 25A -392 that it believes are important for successfully navigating a post- secondary education — Academic Achievement, Financial Stability, Career Exploration and a Supportive Environment —and staff strives to help youth achieve tangible goals within each of these categories, based on the hypothesis that achieving these goals will help ensure that youth successfully navigate a post- secondary education. C. Attain a Credential /DiplomalCertificate- 59.1% Anticipated Outcome Strategies Measures Attain a By completing the 16 week training, all At least 59. 1 % of the 10 Credential /Diploma /C youth will receive certification from one of participants will attain a ertificate the following entities: American Heart Credential /Diploma /Certifi Association (Basic Life Support for cate Healthcare Providers), the National Center for Construction Education and Research (NCCER), U.S. Department of Labor /Occupational Safety and Health Administration (OSHA), or the Santa Ana College Business Applications and Technology Certificate. Taller San Jose relies on existing partnerships with post- secondary partners, including National American University, Santa Ana College and Newbridge College, so that youth can pursue post- secondary certification and degrees. Taller San Jose also partners with the Associated General Contractors of California (AGC), so that trainees in its Construction Academy have a pathway to an apprenticeship degree. EXHIBIT A 25A -393 XIII. Prior Outcomes XIV. Fiscal Competency Taller San Jose has an eighteen year history of steady income growth and the agency works hard to diversify its funding base so that it does not rely solely on one revenue stream. The revenue from Taller San Jose's current budget of $3.7 million is from the following sources: 39 percent foundations; 35 percent individuals and corporations; 10 percent government; 8 percent Hope Builders (Taller San Jose's social enterprise) and program service fees; 6 percent Sisters of St. Joseph of Orange; and 2 percent other. Accountability requirements and administrative measures have been developed to handle reporting requirements and tracking systems for all income and expenses including grants received by Taller San Jose for program purposes. Fiscal data is recorded in QuickBooks Enterprise. There is an accounting manual available upon request which details the complete system. There is an annual independent audit. In addition, an annual budget is used to plan expenditures and costs, which is approved by the Board of Directors. Financial statements are prepared monthly, and reviewed by the Executive Director. On a bi- monthly basis, financials are reviewed by Department Managers, the Finance Committee, and the Board of Directors. Taller San Jose maintains a procurement policy (Attachment 1) and is capable of providing monthly invoices for services provided. Costs are accumulated in the general ledger by account and grant. Cost reports and invoices are prepared by the Controller who has been a Certified Public Accountant for 24 years, and has had extensive experience with small businesses, especially concentrating on nonprofits and computer software companies. She holds a B.S and an M.B.A. in Finance (copies of Taller San Jose's 2 most recent audited financial statements are included as Attachments T and U). XV. Subcontracting Taller San Jose will not sub - contract client services or activities. XVI. Budget Narrative Please see Attachment A. XVII. Budget Please see Attachment B. EXHIBIT A 25A -394 Incentives are used during the Placement Phase of Taller San Jose's program to promote retention and encourage interns to participate in activities assigned by the Support Services Specialist including attendance at support and educational groups, completion of ISP and Casey Assessment and as a reward for working with the staff to complete Steps to Success goals. Incentives are managed by the Enrollment and Support Services Manager and distributed by the Support Services Specialist. Incentives come in the form of a gift card; cash rewards are strictly prohibited. Taller San Jose has established specific time periods when gift cards can be used. The participant can earn up to $400.00 during their participation in the Placement Phase. Full participation must be exhibited to receive the incentive. Incentives may not be distributed for activities an intern engages in that are outside of Taller San Jose. The following times have been designated as reward periods: Year 1: ✓ Data Collection Points (30 day, 60 day, 90 day, 1 year. $25 at each interval) ✓ Group participation ($25 per group. Maximum $100. Goal: 2 groups in year 1) Year 2: ✓ Data Collection Points (18 month, 2 year. $25 at each interval) ✓ Group participation ($25 per group. Maximum $75. Goal: 2 groups in year 2) ✓ Participation in Leadership Symposium ($75) If the Support Services Specialist deems counseling over groups is in the best interest of an intern, an intern attending counseling at Taller San Jose may be eligible for an incentive at the completion of therapy services without ever attending a group. The amount will be determined by the Support Services Specialist in consultation with the Therapist but not to exceed $100 in year 1 and $75 in year 2. EXHIBIT A 25A -395 1 1 .. Taller San Jose EXHIBIT A 25A -396 Table of Contents Introduction................................................................................................................................ ..............................1 Taller San Jose Program Model .......................................................................................... ..............................1 Stepsto Success Goals ............................................................................................................. .............................2. SupportServices ....................................................................................................................... ..............................7 The Role of Support Services Specialists Orientation Intake Meeting LifeSkills ............................................................ ............................... Bus Passes Child Care Stipends Counseling Services Emergency /Special Funds Evaluation Methods ...................................... ............................... Casey Life Skills Assessment ............................. ............................... • When to Conduct the Casey ................... ............................... • Conducting the Casey • Casey Scores / Results .............................. ............................... • Entering the Casey in ETO ...................... ............................... Steps to Success Evaluation Individual Services Plan (ISP) ............................ ............................... • When to Create and Update the ISP • Instructions for entering ISP into ETO • Characteristics of an Effective ISP .......... ............................... • Components of an ISP ............................ ............................... Reports.............................................................. ............................... Support Services Meetings ........................ ............................... Training Phase 1:1 Meetings Placement Phase 1:1 Meetings ......................... ............................... MeetingFrequency ........................................... ............................... Documentation Taller San Jose, Support Services Manual 28,97 .................... ............................... 8 .................... ............................... 25 ................... ............................... 26 ...................................... I ... I....... 27 ................... ............................... 28 ................... ............................... 29 ................... ............................... 30 ................... ............................... 31 ................... ............................... 32 ................... ............................... 35 .................... ............................... 36 ........................ ............................... 37 ........................ ............................... 38 CaseNoting ................................................................................................................ ............................... Retention, Dismissal & Re -entry in Phase Four.... ............. ................... __ ................................ Incentives Program Dismissal Re- Entry ............................................. ............................... Appendix.. .... .......... Appendix A: Casey Summary Appendix B: STEPS TO SUCCESS EVALUATION RUBRIC Appendix C: SERVICE MODEL ... 39 �.. 41 ..................................................... ............................... 42 Taller San Jose, Support Services Manual 26AP9$ ....43 This handbook outlines the guidelines, requirements, and procedures for the work performed by Support Services Specialists at Taller San Jose. It aims to provide clear direction about how to conduct services from intake through program completion. Additionally, this guide was created to develop common procedures for performance management. To cultivate a culture of evaluation, documentation must be standardized and procedures must be followed in their entirety. Taller San Jose's program model articulates the role of support services in helping young adults achieve Taller San Jose's proposed outcomes. REFERRAL SOURCES • Current trainees, interns and program I alumni • probation Parole • Community -based organ) atom + Churches TARGET POPULATION III Disconnected youth, ages 18-2B, who son • Unemployed • Low income • Undere<hmated • Ready for change And who are either or both of the following: • Impacted by violence • Pregnant or parenting OUTCOMES Two of the three, following outcomes: • Wage progression to $12.50 per hour • Employment progression -marls hours or temporary to permanern • Educational progression-post, secondary certificate, completion of 6 months of an apprenticeship or AA degree TALLER SAN JOSE xc.ms+.mi r wouxraoe © 2013 Taller $an Jose 1 801 N. Broadway, Santa Ana, CA 927011 (714) 543.5105 1 www.tallemanio5o.org I EIN /Tax IS Number: 59-3816355 Page 1 Taller San Jose, Support Services Manual E A ;399 Taller San Jose's Steps to Success (Graph 1.1) represent a set of behaviors believed to be critical to not only getting a job, but also to retaining and advancing employment, life stability, and educational goals. Beginning at Orientation, Support Services Specialists become the key driver to ensuring participants achieve goals under each Step to Success. Graph 1.1 St eps to ,,:Goals Goal Setting -Knows how to set goals with appropriate action steps and target dates Resourceful- Solves problems and navigates systems with minimal assistance; develops and uses support system(s) when needed (Has a SOCIAL EMOTIONAL connection to trusted adults) WELLNESS Self- Awareness — Articulates and expresses emotions; has a realistic assessment of strengths and weaknesses Social Awareness -Knows how to interact in diverse settings; understands other's feelings and perspectives Self- Management- Thinks before reacting; manages emotions; applies positive coping skills; adapts to new conditions and stressors Healthy Relationships - Establishes and maintains positive relationships; resists peer pressure Drug free and Crime free- Acknowledges the potential for relapse and /or reports relapse HEALTHY BEHAVIORS Stable Housing -Is informed of affordable housing options; has a plan for addressing housing needs Reliable Childcare & Transportation -Has access to affordable childcare; has a driver's license and dependable car, can navigate a bus route Community Engagement- Registered to vote; volunteers and understands its importance Page 2 Taller San Jose, Support Services Manual EUA ATOO Steps to S,u& TECHNOLOGICAL LITERACY �. Use technology to find a job -Can access job search sites; has basic understanding of Word to update cover letter and resume; can send an email and attachments Use technology for your job-Understands the technology needs of the industry they are pursuing and has beginning to advanced proficiency with those skills Open and Use a Bank Account - Understands how to use an ATM and access FINANCIAL LITERACY online banking; can write checks; can save Learn to Budget -Can create a budget based on income; understands difference between income & expenses EDUCATIONAL Improve Reading & Math Skills by at least 1 grade level ACHIEVEMENT Finish GED /high school diploma Go to college, apprenticeship or post- secondary program Professionalism -Has professional attire; dresses professionally; punctual with appointments and assignments /projects Get a Job - Obtains a job within 90 days of completing training EMPLOYMENT ATTAINMENT Keep a Job -Can maintain steady employment as demonstrated by at least one year of consistent employment (ro more than 3 weeks between jobs) Job Advancement- More hours, higher wage, promotion (by the end of 2 years) Enroll in Health Benefits - Enrolls in health benefits through work or California health exchange Social /Emotional Literacy Indicators Goa( Setting: • Demonstrates ability to set goals and action steps • Demonstrates ability to prioritize assignments over competing family /friends' obligations Page 3 Taller San Jose, Support Services Manual I'7RifSiT' A Resourceful • Can find resources to help self • Can identify a social support system • Uses appropriate support systems • Asks questions when he /she doesn't understand something • Demonstrates ability to think for self Self - Awareness • Ability to identify personal feelings • Demonstrates ability to reflect on emotions, thoughts, feelings • Can articulate strengths and weaknesses • Acknowledges positive achievements Social Awareness • Uses healthy communication skills, such as listening skills • Able to listen to others' perspectives • Demonstrates ability to adapt to different social settings • Interacts positively with diverse groups Self - Management • Applies stress management techniques • Uses problem solving skills • Demonstrates ability to slow down when under pressure, angry, etc... • Demonstrates ability to discuss criticisms/ setbacks and how these are perceived • Demonstrates an ability to apply problem - solving skills HEALTHY BEHAVIORS INDICATORS Healthy Relationships • Can describe indicators of a healthy relationship • Can identify red flags in a potential partner • Able to assess own relationships • Makes choices to engage in healthy relationships • Sets healthy boundaries in personal and professional relationships Drug free and Crime free • Acknowledges signs of potential relapse • Acknowledges relapse Page 4 Taller San Jose, Support Services Manual EZAA A' O2 • Utilizes support system to prevent or assist with relapse • Avoids situations or people that influence relapse Stable Housing • Knowledge of resources and options • Acknowledges when housing is unstable or insecure • Able to secure stable housing Reliable Childcare & Transportation • Knowledge of resources and options • Acknowledges when childcare is unstable or insecure • Working toward obtaining a valid driver's license • Able to secure childcare and transportation Community Engagement • Can describe reasons to engage in community • Is registered to vote • Volunteers TECHNOLOGICAL LITERACY INDICATORS Use technology to find a job • Has a professional email and understands how to use it for job search purposes • Understands how to conduct a job search using the internet • Uses professional email for job purposes (i.e. Communication with TSJ staff) Use technology for your industry • Has technology skills for the job he /she is seeking • Identifies gaps in skills and attends trainings FINANCIAL RESPONSIBILITY INDICATORS Open and use a Bank Account • Has a bank account • Understands how to use checking and savings account Develop Money Management Skills Page 5 Taller San Jose, Support Services Manual ► -403 • Can create a budget • Can describe resources to help with debt • Able to pay bills, loans, debt • Sets financial goals EDUCATIONAL ACHIEVEMENT INDICATORS ip Improve Reading & Math Skills by at least one grade level • Finish GED /high school diploma • Go to college, apprenticeship or post- secondary program EMPLOYMENT ATTAINMENT INDICATORS Professionalism • Demonstrates punctuality • Has appropriate clothing for job and interview • Demonstrates good grooming habits • Demonstrates understanding of workplace culture Get a Job • Active in job search • Attending interviews • Working with employment staff at TSJ • Acknowledges challenges in seeking a job Keep a Job • Demonstrates signs of a "good employee" • Discusses challenges of the job; seeks support to resolve them • Perseveres on the job despites challenges Enrolls to Health Benefits • Demonstrates understanding of personal health plan • Attends physical exams as needed Page 6 Taller San Jose, Support Services Manual i ATO4 I I! Support Services as described in this manual refers to services and activities provided and conducted by Taller San Jose's Support Services Specialists. MUNWITUM Taller San Jose's Support Services Specialists are vital to Taller San Jose's training program. As the designated staff members responsible for ensuring participants achieve the Steps to Success goals, Support Specialists establish a personal relationship with each participant, Through life skills workshops, support groups, one on one support services meetings and coaching, they help participants address barriers that may prevent them from finding and keeping employment and /or advancing their education, connect participants to resources (internal and external), and ensure participants learn to access resources (internal and external) to improve their self- efficacy. Orientation The purpose of Orientation is to explain Taller San Jose's mission and values to participants, ensure participants understand the expectations (policies & procedures) for the program they have chosen, and to ask participants to sign the Shared Agreement, indicating a two -year commitment to the program. Throughout the Orientation phase, participants will participate in a number of activities designed to familiarize them with Taller San Jose's staff and training facilities. During this time, participants will be informed of the requirement to attend an intake meeting with the Support Services Specialist assigned to work with them. Assignments are made by the Enrollment and Support Services Manager. It is the responsibility of the Support Services Specialist to work with the training academy's Program Manager to ensure that an explanation of support services is provided at orientation, and that the Casey Life Skills Assessment (Casey) is completed by each participant prior to the intake meeting. An intake must be provided to all participants beginning at orientation and must be complete no later than week 1 of training. Staff should allot 60 minutes for the intake. The purpose is to build rapport with the trainee, conduct a thorough assessment of the trainee's needs and to establish goals to help the trainee achieve the Steps to Success. Support Services Specialists must complete and /or review the documentation below prior to the intake meeting. This information must then be used to create an Individual Services Plan (ISP) for the 4 -month training period. Documents required for intake: ✓ Application and interview documents ✓ TABE Scores ✓ The Casey Scores ✓ Other, i.e. Individual Education Plan (IEP), etc... Page 7 Taller San Jose, Support Services Manual PA�-TF A- 405 Life Skills Taller San Jose (TSJ) believes in supporting individuals through professional and personal growth. Through life skills workshops, trainees develop their ability to enhance their personal and professional lives. The Support Services Specialists are responsible for coordinating weekly life skills workshops throughout the duration of the skills training academy and documenting the workshops in the data management system. Workshops not only reinforce the Steps to Success goals, but also cover a range of topics that meet the needs of students in each cohort. Enriching Your Relationship with Yourself and Others, a curriculum based on the work of world famous psychotherapist Virginia Satir, forms the basis of the Life Skills program. Enriching was selected because of its alignment to Taller San Jose's Social and Emotional Wellness goals: Resourcefulness, Self- Awareness, Social Awareness, Self- Management, and Healthy Relationships. The philosophy of this program is based upon some of the following assumptions: • All people have internal resources that can be used for coping and growing. • Change is possible. • Hope is a significant component of change. • Past learning that is unhelpful can be replaced with new learning. • We have choices, especially in terms of responding to events rather than reacting to them. • We cannot change past events, only the effects they have on us. • Feelings belong to us, we all have them. • Enhancing self- esteem is primary. • Awareness is the first step toward change. • Acceptance of oneself and others is critical to the process of healing. • When we get new information, we have new possibilities. The curriculum offers the following evidence - supported components: practicing mindfulness, self- efficacy, nurturing the spirit, and making heart connections. Through hands -on, interactive activities and discussions, participants learn six skill sets outlined below. Instructors should allow sufficient time for participants to practice the skill sets while using real -life work, classroom and personal examples. Trainees learn how to apply these skill sets to all areas of their lives. Skill 1: Making Contact with Self and Others Objective: To introduce participants to mindfulness and building positive connections Skill 2: Validating (Valuing Oneself and Others) Objective: To help participants develop positive communication skills, i.e. listening appreciatively, and teaching to value self Page 8 Taller San Jose, Support Services Manual EZA# A' O6 Skill 3: Becoming Aware Objective: To help participants understand self - awareness and ways to manage emotions Skill 4: Opening to Greater Understanding and Acceptance Objective: To help participants manage emotions by understanding self and other perspectives Skill 5: Making Conscious Choices Objective: To help participants think critically about difficult situations and understand their choices Skill 6: Seeking /Giving Support Objective: To help participants enhance problem solving skills Along with the Enriching curriculum, other life skills workshops have been approved for use by staff. All workshops must align with TS1's Steps to Success goals including: ✓ Social and Emotional Wellness ✓ Healthy Behaviors ✓ Technological Literacy ✓ Financial Responsibility ✓ Educational Achievement ✓ Employment Achievement Following is a list of the approved workshops along with an overview, key learning objectives and a list of presenters who can be called upon to teach the workshops. Workshops that are not included below must be approved by the Career and Education Specialist. All workshops taught and developed must clearly demonstrate that they are aligned with Taller San Jose's Steps to Success goals. Staff should use the information below when teaching a life skills workshop and provide the information, when applicable, to outside presenters to ensure the learning objectives for each workshop are met. Page 9 Taller San Jose, Support Services Manual �T` A`O7 Curriculum: Love Notes: Making Relationships Work for Young Adults and Young Parents Approved Presenter(s): TSJ Support Specialists Overview: The Love Notes curriculum was selected because of its foundation on research and content that is specifically tailored for Taller San Jose's participants. Through hands -on, interactive activities, discussions and use of music, film, stories, drawing, and sculpting, participants gain skills in the following: Understanding Self, Communications, Conflict Management, Problem Solving, Relationship Skills, and Sexual Relationships. Life Skills Targeted: Goal Setting, Self- Awareness, Social Awareness Learning Objective: Varies with lesson taught Materials /Resources: Varies with lesson taught Special Instructions: The following Love Notes lesson plans have been approved for use: ✓ Defining a Vision — Moving Toward Goals, Love Notes Lesson 1.2 ✓ Knowing Yourself, Love Notes Lesson 2.1 -2.3 ✓ My Future & My Expectations, Love Notes Lesson 3.1 -3.3 ✓ Foundations for Good Communication, Love Notes Lesson 11. 1111.2, 11.4,11.5, 11.6 ✓ Communication Challenges and More Skills, Love Notes Lesson 12.1 -12.6 Topic: Diversity in the Workplace & Beyond Approved Presenter(s): David Saldana, TSJ Overview: This workshop is presented in two parts. The first is presented in power -point and dialogue form. The power -point addresses different issues related to diversity in the workplace such as gender, race, sexuality, social class, religion, etc. It first discusses what each of the issues are and then gives the interns an opportunity to give their opinion on either the accuracy of the terms, or their thoughts on each of the issues surrounding those terms. For example, when discussing gender and "gender roles ", the trainees are given the opportunity to share their opinions or thoughts about what they either agree with, or disagree with, in relation to gender roles and so forth. Through an engaging activity, in the second part of the workshop, trainees explore their own identity and discussion focuses on valuing others' identities. The trainees are asked a series of questions and answer them by silently walking to and standing under signs that best fit them (e.g., gender, race, ethnicity, sexual orientation, class, educational level, religion, work, family, neighborhood). For example, the instructor might ask, "I think about this aspect of my identity the most ". Silently, the trainees walk to whichever sign they think about the most. After Page 10 Taller San Jose, Support Services Manual Z% -A408 walking to the various signs, participants are encouraged to share why they chose the sign that they did. The trainees are made aware that the questions will be difficult to answer and through dialogue, can express their experiences. Approximately 5 -7 different questions are asked and some examples are below: • 1 think about this aspect of my identity the most • I think about this aspect of my identity the least • This part of my identity has the most effect on how people treat me • This was the most emphasized in my family • This was the least emphasizes in my family • 1 feel the most discomfort about this part of my identity Life Skills Targeted: Self- Awareness, Social Awareness Learning Objective: After attending this lesson, trainees will be able to: ✓ Acknowledge and visually demonstrate that all of us have complex, multifaceted identities and to help people examine which parts of themselves they emphasize, or not, and why. Materials /Resources: • Diversity PowerPoint (Located in Staff Docs /Support Services /Life Skills /Diversity) Various "poster size' signs with the terms; Gender, Race, Sexual Orientation, Social Class, Education Level, Religion on them Special Instructions: Because of the intensity of this workshop on participants, Case Managers are asked to be present during this workshop and follow -up with trainees who need more time to process their experiences. At least 20 -30 minutes should be allotted to process toward the end of this workshop and a follow -up in class the next day is ideal. Facilitator should also remind Instructors when this workshop is conducted. Topic: Master Student Approved Presenter(s): TBD Overview: The Master Student workshop will teach trainees basic study skill methods along with goal planning and time management concepts. Trainees will be taught different study skill approaches such as memorization techniques (using index cards), how to take class and textbook notes via outline format, or how to use recording devices in class. Trainees will learn to plan short and long term goals and how to manage time wisely by using scheduling strategies and the 7 day anti- procrastinating plan. Life Skills Targeting: Goal Setting, Self- Management Learning Objectives: After completing this lesson, trainees will be able to: Page 11 Taller San Jose, Support Services Manual R11.1%t _A' O9 ✓ Determine what kind of a learner they are (visual, kinesthetic, auditory) ✓ Determine what learning techniques suites them individually ✓ Understand how to take notes effectively ✓ Define and explain between long and short term goals ✓ Define and explain what the 7 day anti — procrastinating plan is ✓ Understand basic time management skills ✓ Balance personal and study time Materials /Resources: • The Master Student PowerPoint (Located in Staff Docs /Support Services /Life Skills /The Master Student) Topic: Anxiety & Depression Approved Presenter(s): Elfie Abril, TSJ Overview: Trainees will learn to identify anxiety and depression and will understand potential treatments. Trainees will learn via group activities, true and false quizzes, PowerPoint and Video. Life Skills Targeted: Managing Emotions, Stress Management Learning Objective: After attending this lesson, Trainees will be able to: ✓ Recognize symptoms of depression ✓ Describe the types of help that are available ✓ Explain how common depression is and that all people are vulnerable Materials /Resources: • Lesson Plan for Depression (Located at: Staff Docs /Support Services /Life Skills /Depression /Lesson Plan for Depression) Topic: Writers Workshop Approved Presenter(s): Art Guerrero, TSJ Overview: The Writers Workshop is designed to help trainees learn to respond to a series of questions using their own words and to teach self- expression through writing. The collected writings are placed in a booklet for each training session. Life Skills Targeted: Self- Awareness Learning Objective: Page 12 Taller San Jose, Support Services Manual % A' O After attending this lesson, Trainees will be able to: ✓ Construct phrases reflecting their point of view ✓ Share their writing(s) with the group Materials /Resources: • Paper, pens Curriculum: Love Notes: Making Relationships Work for Young Adults and Young Parents Approved Presenter(s): TSJ Support Specialists Life Skills Targeted: Healthy Relationships Learning Objective: Varies with lesson taught Materials /Resources: Varies with lesson taught Special Instructions: The following Love Notes lesson plans have been approved for use: ✓ Relationships Today, Lessons 1.1, 1.3 ✓ Attractions & Starting Relationships, Lessons 4.1 -4.4 ✓ Principles of Smart Relationships, Lessons 6.1 -6.7 ✓ Is it a Healthy Relationship? Lessons 7.1 -7.5 ✓ Dangerous Love, Lessons 8.1 -8.5 Topic: "Unhealthy Relationships/ Domestic Violence" Approved Presenter(s): ✓ Marissa C. Presley, Laura's House, mpresley @laurashouse.org ✓ Shirley Gellatly, Human Options Director of Education or sgellatly @humanoptions.org (949) 737 -5242 ext. 214 ✓ Kathy Strong, WTLC kstrong @wtic.org or (714) 992 -1939 x104 ✓ Michelle Delacio or Karyn M. Mendoza, TSJ Overview: This workshop focuses on educating trainees about unhealthy relationships, including a discussion of emotional, verbal, physical, sexual abuse and acquaintance rape. The workshop will stress the importance of Page 13 Taller San Jose, Support Services Manual —d identifying early signs of an abusive relationship. Trainees will have a greater understanding of the impact of domestic violence on the victims, including children who witness abuse. Trainees will be linked to community resources that help address this potential problem both for the victim and perpetrator. Learning Objective: After attending this lesson, Trainees will be able to: ✓ State types of abuse ✓ Know how to access a domestic violence shelter ✓ Identify at least five "red flags" ✓ Describe the impact domestic violence has on the victim and children Materials /Resources: Provided by presenter Topic: Legal Issues: DUI Approved Presenter(s): Art Guerrero, Taller San Jose Overview: Consequences of driving under the influence of drug and /or alcohol -DMV sanctions and court dispositions Life Skills Targeted: Healthy Relationships, Drug Free, Crime Free Learning Objective: Cultural /peer pressure associated with drug and /or alcohol use; impact on judgment; financial loss; understand loss of coordination using the Fatal Vision glasses while tossing and catching a ball; trying to perform the field sobriety test while wearing the F -V glasses After attending this lesson, trainees will be able to: ✓ Understand their diminished coordination while under the influence ✓ Know the sanctions imposed by the Courts and DMV ✓ Understand their potential financial loss Materials /Resources: • Estimated DUI cost sheet: • Fatal Vision kit • Pamphlets: Alcohol, How drinking affects health and nutrition and Hangovers, The agony after the ecstasy (both available at ADAP office). Page 14 Taller San Jose, Support Services Manual gw%— 1 2 Topic: Legal Issues: Resources Approved Presenter(s): Art Guerrero, Taller San Jose Overview: The Legal Issues: Resources workshop is designed to provide Interns with information on Orange County Court services. Trainees will learn to access public information via the internet and become informed about a typical background check a prospective employer might review. Trainees will also learn the benefits of Penal Code 1203.4 and the criteria for filing for the benefits of dismissal and Certificate of Rehabilitation. Life Skills: Problem - solving Learning Objective: After attending this lesson, trainees will be able to: ✓ Access their own public court record ✓ Become familiar with the dismissal process of criminal convictions ✓ Be better prepared to respond to questions related to past convictions when interviewed ✓ Contact the Public Defender's office for criminal conviction dismissal assistance Materials /Resources: • Physical address of the Public Defender's office and information on their New Leaf Program including website address ( http: // www ,pubdef.ocgov.com / newleaf.htm). • Copy of the forms for "Dismissal" to be submitted under Penal Code section 1203.4 (Available at: http: // www .pubdef.ocgov.com /newleaf.htm under "Dismissal" section) Topic: Civic Engagement 101 Approved Presenter(s): ✓ Orange County Registrar of Voters (714) 567 -7600 ✓ Michele Martinez, City of Santa Ana Councilwoman Councilwomanmartinez @gmail.com or (714) 647 -6900 Overview: The Civic Engagement workshop will address the importance of civic engagement and how it is a demonstration of responsible citizenship. Trainees will explore the reasons why people often hesitate to become involved in solving problems and consider ways in which they can be "part of the solution" rather than a "part of the problem." Trainees will also be introduced to the voting process and voting myths. Guest speakers are often invited, including Orange County Registrar of Voters, local political officials or other role models who share reasons why they became involved at addressing problems in their community. Learning Objective: After attending this lesson, Trainees will be able to: ✓ Identify some of the issues and problems evident in their world. Page 15 Taller San Jose, Support Services Manual f'/!r#!@Ir X13 ✓ Determine what it means to be a responsible citizen and identify ways that civic engagement demonstrates it. ✓ Articulate an understanding of why people hesitate to become involved in problem resolution. ✓ Determine what it means, and ways to be, a "part of the solution" rather than "part of the problem." ✓ Know how and where to register to vote. Materials /Resources: Provided by presenter There are no current life skills workshops targeting this goal. This area is primarily covered in job readiness classes and technical skills training. Lesson: Basic Banking Approved Presenter(s): Please reach out to our donors, Citibank and Union Bank 1 -2 times a year) ✓ Rossina Gallegos, Union Bank, rossina.gallegos @unionbank.com; (213) 236 -5865 ✓ Esmeralda Guijarro, Citibank, (Santa Ana Branch) (714) 550 -9137; esmeralda.guilarro @citi.com ✓ Will Warren, Union Bank (Anaheim Hills Branch) William.Warren @unionbanl<.com or (714) 998 -6219 ✓ Ms. Christina Williams, Orange County's Credit Union cwilliams @orangecountVscu.org or 714 - 755 -5900 Overview: The Basics of Banking will introduce trainees to basic banking concepts, such as types of financial institutions — banks, credit unions, and savings institutions, the different accounts they can open to help save money, use money to pay for day -to -day expenses, or even save for long -term goals. Finally, this lesson will teach trainees how to use and manage their accounts. If time permits, the finer details of using an ATM with a debit or ATM card are discussed. Discussion will focus around the following: 1. Financial institutions 2. Savings accounts 3. Checking accounts 4. Using and managing your accounts 5. Automated Teller Machines (ATMs) Life Skills Targeted: Financial Literacy Page 16 Taller San Jose, Support Services Manual f ;�14 Learning Objectives After attending this lesson, Trainees will be able to: ✓ Describe what a checking and savings account is ✓ List the benefits of opening a checking and savings account ✓ Explain the steps for opening a checking and savings account ✓ Explain how to select the best kind of savings account for their needs ✓ Explain how to make purchases with ATM cards, debit cards and checks ✓ Describe how to fill out a check ✓ Describe how to endorse a check ✓ Balance a checkbook ✓ Define what FDIC is ✓ List things they can do at an ATM machine using their ATM or debit card ✓ Understand why using an ATM is safe and convenient ✓ Explain the differences between an ATM, debit and credit card Activities: • Practice Writing a Check and Endorsing a Check • Practice Completing a Check Deposit Slip form • Practice completing a check register • Give a fun Quiz and give prizes for students who answer correctly Materials /Resources: • Banking Institutions will bring materials. If not, make copies of: ■ Blank Checks with Endorsing section • Blank Deposit Sheets • Blank Check Register • Union Banks presentation PowerPoint presentation can be found at Staff Docs /Support Services /Life Skills /Financial Literacy Lesson: ABC's of Credit Approved Presenter(s): ✓ Brenda F. Guerrero, Consumer Credit Counseling Services of Orange County; bguerrero @cccsoc.org; (714)- 547 -2227 ext. 138 ✓ Will Warren, Union Bank (Anaheim Hills Branch) William.Warren @unionbank.com or (714) 998-6219; ✓ Ms. Christina Williams, Orange County's Credit Union cwilliams @orangecountyscu.org or 714 - 755 -5900 Overview: ABC's of Credit Workshop will teach trainees the basics of credit. Participants will learn how to build and maintain good credit, credit scores, credit reports, credit cards, loans and how to manage debt. Page 17 Taller San Jose, Support Services Manual 2&A--41 5 Life Skills Targeted: Financial Literacy Learning Objective: After attending this lesson, Trainees will be able to: ✓ Understand how to establish and maintain a good credit record ✓ Identify difference between good and bad credit ✓ Know where to access a FREE credit report ✓ Understand what a pre- approved loan is ✓ Understand compound interest ✓ Identify resources for managing debt Activities: • Provide a scenario to the class to explain compound interest Materials /Resources: Banking Institutions will bring materials Union Banks presentation Power point presentation can be found at Staff Docs /Support Services /Life Skills /Financial Literacy Page 18 Taller San Jose, Support Services Manual E' A,416 Lesson: Smart Money Management Approved Presenter(s): ✓ Diana Martinez (formerly Pena), Orange County Consumer Credit Counseling, dmartinez@cccsoc.org Overview: The Smart Money Management Workshop will teach trainees how to make the most of their money by saving more, creating a spending plan, and understand some basic money- saving principals. Life Skills Targeted: Financial Literacy Learning Objectives: After attending this lesson, Trainees will be able to: 1. Explain the power of compound interest 2. Use money - saving tips 3. State why saving money is critical to their financial future 4. State the benefits of a Spending Plan S. Define the key concepts of a Spending Plan 6. Create their own Spending Plan 7. Determine what things to pay for first on a monthly basis Materials /Resources: Provided by presenter Lesson: Smart Car Shopping & Renting Approved Presenter(s): Diana Martinez (formerly Pena), Orange County Consumer Credit Counseling, dmartinez@cccsoc.org Overview: Smart Car Shopping & Renting workshop will teach participants how to build a pathway to reliable car buying or leasing and renting. Life Skills Targeted: Financial Literacy Learning Objective: After attending this lesson, trainees will be able to: Smart Car Shopping ✓ Explain how to consider options when buying or leasing a car ✓ Explain the potential impact of buying or leasing a car on their budget ✓ Explain tips and techniques to use during the car buying or leasing process Renting Page 19 Taller San Jose, Support Services Manual Egli% A' 1 7 ✓ Explain the steps involved in renting an apartment ✓ Explain what considerations should be made when selecting an apartment location ✓ Know where to sign -up for affordable housing, if applicable Materials /Resources: Provided by presenter Current offering under Educational Achievement is a college tour coordinated by Support Services Specialist Suggested Life Skills Timeline: Below is a suggested like skills schedule. The Support Services Specialists are charged with coordinating the lessons, including inviting presenters or teaching. In the event of an absence the Support Services Specialist must find coverage. Staff is encouraged to make changes to the life skills schedule to best meet the needs of class; understanding that any new workshops must be approved by the Career & Education Specialist. Week 1: Goal Setting Week 2: Defining a Vision — Moving Toward Goals, Love Notes Lesson 1.2 Knowing Yourself, Love Notes Lesson 2.1 -2.3 Week 3: Enriching, Making Contact & Validating Week 4: Enriching, Becoming Aware Week 5: Enriching, Opening to Greater Understanding & Acceptance Week 6: Diversity In the Workplace & Beyond Week 7: Enriching, Opening to Greater Understanding & Acceptance Week 8: Enriching, Making Conscious Choices & Seeking /Giving Support Weelc 9: Basic Banking Week 10: Love Notes, Is it a Healthy Relationship? & Dangerous Love Lessons 7 & 8 or DV Speaker Week 11: Love Notes, Foundations for Good Communication & Communication Challenges and More Skills Week 12: Civic Engagement Week 13: Substance Abuse Week 14: ABC's of Credit Week 15: Next Steps Week 16: OPEN —some training programs may or may not allot time for a workshop this week. Support Specialists Managers should work with the Instructor to figure out what is best for the class. Page 20 Taller San Jose, Support Services Manual E#ii1 A AT1 v Guidelines for Developing New Life Skills Workshops: When developing new workshops, staff must target life skills aligned with Taller San Jose's Steps to Success goals and that fit the needs of the population served. All new workshops must be approved by the Career & Education Specialist who maintains and oversees the curriculum. All workshops must have the following: ✓ Lesson Plan with key objectives and activities ✓ Be engaging and hands -on and with sufficient time to process and practice skills learned during each workshop. Documenting Life Skills Workshops in the Data Management System: The Support Services Specialists are responsible for documenting workshops provided. The following will be recorded: ✓ Date ✓ Activity (Life Skills) ✓ Time Spent ✓ Notes (topics covered /discussed in session and guest speaker if applicable) To navigate to this section in ETO: 1. Ensure the program selected at the top is your program (i.e. Medical Careers, Office Careers, Taller Tech) 2. At the home page, select "Enter services provided to more than one participant at a time" 3. Select "Group /Family" 4. Select the appropriate group for your session (i.e. ABC #5, CMA #11) 5. Select "Track Group Attendance" and Submit 6. Fill in the date, category and time spent on life skills and check off all the trainees that were present 7. In the notes section, indicate the topics covered and guest speaker, if applicable 8. Click 'Record Effort" at the bottom Bus passes are available to Taller San Jose trainees only. To be eligible, trainees must be enrolled in a Taller San Jose training program for at least 30 days and present with a hardship. In some circumstances, a bus pass may be distributed to a trainee at the start of training at the discretion of the trainee's Support Services Specialist. Staff should request and obtain bus passes from a designated staff member and must track to whom they distribute bus passes by completing the Bus Pass Tracking Lop. Bus Pass Tracking Logs should be submitted to the Enrollment & Support Services Manager on a quarterly basis. Staff must also log distribution of bus passes into ETD. The availability of bus passes is subject to funding. Ongoing eligibility is at the discretion of a trainee's Support Services Specialist. Due to limited funds, interns are not eligible for bus passes. The following bus passes are available: Page 21 Taller San Jose, Support Services Manual E A A 19 • 30 -Day Pass: $69.00 • 7 -Day Pass: $25.00 ✓ 1 -Day Pass: $4.50 rOMINTRITIMM Childcare stipends are available to Taller San Jose trainees who have children cared for by a private or public childcare facility. To be eligible, trainees must complete an application and be enrolled in a Taller San Jose training program for at least 30 days. Applications are reviewed and approved by the primary Support Services Specialist. Staff should consult with the Enrollment & Support Services Manager as needed (Applications are located in Staff Docs /Support Services /TSJ Vouchers). Trainees may receive a stipend for every month of training, up to the following: • $100 for one child • $150 for two children • $200 for three or more children If a trainee is dismissed or quits Taller San Jose prior to completing an entire month, the trainee is not eligible to receive the stipend. If a trainee moves on to the placement phase of the program prior to completing an entire month, the stipend must be prorated for the time the trainee was in training. Completed applications should be kept in the trainee's file. It is the responsibility of the Support Services Specialist to submit a check request by the 28th of each month to obtain the childcare stipend for a trainee. Failure to do so will delay receiving the check(s). Check requests are given to the Enrollment & Support Services Manager for approval. Upon approving the request(s), the Enrollment & Support Services Manager will submit the check(s) to the Director of Finance. Checks will be available on the I" week of the following month. A Support Services Specialist is responsible for distributing the childcare stipends to trainees and must complete the Childcare Stipend Tracking Lop for each stipend that is distributed. The Childcare Stipend Tracking log must be submitted to the Enrollment & Support Services Manager on a quarterly basis. Staff must also log distribution of childcare passes into ETO. Trainees who receive childcare assistance from an outside agency, such as Social Services, CALWORKS or other, may be eligible to receive a stipend from Taller San Jose if the amount they receive from the outside provider does not fully cover their expenses. In this case, the Support Services Specialist must determine: 1. The trainee's childcare expense 2. The amount of assistance the trainee receives from the outside agency 3. If the trainee is eligible for the full stipend from Taller San Jose In some cases, trainees may be granted less than the eligible amount through Taller San Jose. For example, a trainee who has two children may report she receives $250 in monetary assistance from CALWORKS, but pays $300 per month in childcare. If this is the case, this trainee would only be eligible for $50 monthly from Taller San Jose. Page 22 Taller San Jose, Support Services Manual 26A_ A' 2 O The availability of childcare stipends is subject to funding. Ongoing eligibility is at the discretion of a trainee's Support Services Specialist. Interns are not eligible for childcare stipends. Documenting Childcare & Bus Passes in ETO The Support Services Specialist is responsible for documenting childcare vouchers and bus passes provided in ETO. The following will be recorded: ✓ Date ✓ Resource provided (30 day bus pass, 7 day bus pass, monthly stipend for childcare) ✓ Notes To navigate to this section in ETO: 1. In the program at top left, select your program (Medical Careers, Office Careers, Taller Tech) 2. Go to home page below and select "Enter Services provided to more than one participant at a time) 3. If you are entering for several trainees, select "Group /Family ". If you are entering for one trainee, select "Participant." Click Submit. 4. If group, select the appropriate group (i.e. CMA #11). If participant, select the trainee's name. Click Submit. 5. Select "Provide Bus pass" for bus pass / Select "Provide Child Care Stipend" for child care stipend. 6. Put in the value of the bus pass or voucher and put in notes (the specific resource provided like 7 day bus pass, 30 day bus pass). Emergency assistance may be provided to a participant in an amount not to exceed $100.00, funding permitting. "Emergency" is defined as any situation arising that may affect a participant's successful completion of their training program or pose an impediment to employment. Examples may include, but not be limited to: one -time assistance with a utility bill or assistance to pay for a DMV permit test. This special assistance, however, is limited to participants who have an extreme hardship. Staff must make requests to the Director of Programs. Counseling at Taller San Jose is offered through the Social Work /Counseling Intern program or when an eligible staff member is available to conduct counseling. Staff will be notified when services are available in order for referrals to be made. Counseling at Taller San Jose is focused on work with individuals, specifically those enrolled in the agency's program. There is flexibility to include family or a significant other if it is deemed to be in the best interest of the individual. Please seek approval from your supervisor before offering this service. Fees: There is no charge for counseling services at Taller San Jose. Duration /Length of Sessions: Counseling at Taller San Jose is considered short -term. A minimum of 8 sessions should be offered and up to 12 sessions per client. A therapist may go beyond 12 sessions if it is in the client's best interest. Page 23 Taller San Jose, Support Services Manual 2&A-421 Consultation should be sought from a therapist's Clinical Supervisor to decide the appropriate number of sessions. Sessions should last 50 minutes and be conducted weekly or bi- monthly. The therapeutic approach: No one single approach to therapy needs to be used. Therapists instead should focus on an approach that best fits the needs and goals of the client and that is within the therapist's capacity. Taller San Jose encourages therapists to adjust their styles as needed. Case Noting: All sessions should be recorded in the ETO database. Please see pages 38 -39 of this manual for details about how to put in case notes. A therapist should follow the SOAP format as described in the section on case noting. If necessary, create a confidential case note using TSJ's Supplemental Case Note Form (located in Staff Docs /Support Services /Case Management) and file in the participant's file. In such cases, a therapist should reference in ETO that a confidential case note is in client's file. Assessments: Bios psychosocial assessments are created by a therapist for learning purposes and treatment planning only. This should be completed between the third and fourth session and reviewed by the Clinical Supervisor. This document should be filed in the participant's file when completed. A sample psychosocial assessment can be found at Staff Docs /Support Services /Counseling Services. Conducting Your First Session Basics: Before services are rendered, Taller San Jose's therapist are responsible for ensuring a client reads, understands and signs Taller San Jose's Informed Consent for Counseling Services, located in Staff Docs /Support Services /Counseling Services. • A Therapist should explain his /her role and status as an Associate Clinical Social Worker or Master level Intern working under the direction of a Licensed Clinical Social Worker or Marriage Family Therapist. • Read through the client's file to get some basic facts: age, city they reside in, Steps to Success completed, TABE score, work history, etc. • Talk to the referring staff member about the reason for client's referral • Once you meet with the client, your first meeting should focus on building the relationship • Always allow the client to tell you his /her story, reasons for seeking counseling, areas of concern and difficulty • The therapist's role is to actively listen and begin to gather information and "find out who the person really is" (Lukas p.3) (Source: Some information gathered from "Where to Start and What to Ask" by: Susan Lukas 1993) Page 24 Taller San Jose, Support Services Manual E A A' 22 fflfflaxunfl��� The graph below shows the timeframe of evaluation activities that must be conducted. Boldfaced items indicate activities that fall under the responsibility of Support Services Specialists. This manual will provide greater detail about the activities depicted below. • TABE Test (Beg) • Life Skills Class,'' • Intake- • One on One • Data Collection Assessment Meetings Points: 30 day, • Casey Life Skills • Support Groups 60 day, 90 day, 1 Assessment • Casey Life Skills year, 18 months, (Beg) Assessment 2 year (Update • Individual (End) ISP) Services Plan • TABE Test (End) • Encourage (ISP) • Update ISP: participation in Support Groups/ create new Activities goals for • Casey Life Skills placement period (End) Assessment at 1 year and 2 year followup The Casey Life Skills Assessment (Casey) is Taller San Jose's primary tool used to evaluate a participant's progress towards achieving goals within the Steps to Success. It is comprised of 113 questions categorized into 8 areas that correspond to the Steps to Success. For more information about the Casey, staff should review the Casey Life Skills (CLS) Help Guide (Staff docs /Support Services /Case Management /Assessments); this guide is a comprehensive manual on navigating and understanding the functionality of the Casey website. For assistance, Support Services Specialists may also contact Taller San Jose's Evaluation Manager, who will be the administrator of the site and will be available to provide help as needed. Graph 1.1 describes each of the Casey's 8 skill areas and their relationship to Taller San Jose's Steps to Success: Page 25 Taller San Jose, Support Services Manual E-R7-ifBiT� -A423 Graph 1.1 Career and Education Planning lanning for career and postsecondary g education Education Work and Study Life Score Basics of employment, legal issues, Employment study skills and time management Housing and Money Banking and credit, finding and Management Score keeping affordable housing, budgeting Financial Literacy and living within one's means Meal planning and preparation, Dail Living Score cleaning and food storage, home Daily B maintenance and computer and Technological Literacy internet basics Assess a youth's connection to trusted Permanency Score adults, community of support and overall interdependent connections Social and Emotional Literacy Youth's level of confidence and Looking Forward Score internal feelings important to their success Healthy physical and emotional Self -care Score development such as personal' hygiene, taking care of one's health and pregnancy prevention Healthy Behaviors Developing and sustaining healthy Relationships and relationships, cultural competency and Communications Score permanent connections with caring adults Page 26 Taller San Jose, Support Services Manual E7lTl nA A424 When to Conduct the Casey: The Casey must be completed by participants at the following periods: ✓ Orientation (To be completed no later than 1" week of training) ✓ End of training (To be completed no sooner than 3 weeks before end of training) ✓ 1 year after training completion ✓ 2 years after training completion Introducing the Casey: The Support Services Specialist is responsible for introducing the Casey to participants at orientation. It is important to explain what the Casey is and the purpose of it. For example, let trainees know it is a life skills assessment that helps identify their needs and strengths and provides helpful information that will be used to set goals while in the program. Staff should emphasize to participants that their responses will in no way affect their status as a trainee and that honesty is very important so that their Support Service Specialists can assist them with their needs. Conducting the Casey: A Support Services Specialist is responsible for administering the Casey assessment. To do so, they will be provided a login to access and administer the Casey. The Casey takes approximately 30 -40 minutes to complete; however, to provide time for printing or to account for delays, allow at least one hour to conduct the Casey. The Casey can be administered online or by using a paper version. It is highly recommended that the Support Services Specialist arranges for participants to take the Casey assessment online in order to avoid inputting data later. To do so, participants must have an e-mail address. If online computer access is not available, the Support Services Specialist may print out a blank Casey Assessment form and request that the participant complete it by hand using a black or blue pen. Staff must then input the data onto the Casey website in order to obtain the results. Given this situation, another option for Support Services Specialist is to log onto the Casey website using their own login while the participant is present. Instructions follow: 1. Support Services Specialist must log onto to the Casey website using the login provided to you 2. Go to "Youth" on top left corner 3. Search the participant's name and click on their "Youth number' 4. Then click "Start Now" on top right for the youth to complete the Casey. 5. The participant will click the Casey Life Skills Agreement and check "agree" to agree to the terms and conditions of the website. Then click "Start Assessment" 6. Participants will then enter their gender, race /identity and verify birthdate. 7. The participant will complete the Casey 8. Upon completion, the Support Services Specialist must ask the participant to print a copy of the Casey and give to you. (Explain you need a copy to review and that it will be and discussed at the intake meeting. If a Page 27 Taller San Jose, Support Services gorNAT-425 participant insists, it is okay to print a copy for them. Support Services Specialist must have a copy to review and for participant's file). When a participant has an email address, staff should follow these instructions: 1. Support Services Specialist must log onto to the Casey website using the login provided to you 2. Click "Add New Youth ". Add First name, Last name and Birthdate for each participant. 3. Click "Send via email" so the participant can take the Casey. 4. Participant will receive an email with the link to the Casey. 5. The participant will click the Casey Life Skills Assessment and check "agree" to agree to the terms and conditions of the website and click "Start Assessment ". 6. The participant will then enter their email, gender, race /identity and verify birthdate. 7. Participant will complete the Casey. (It is advised that this process take place no later than day two of orientation in order to give staff sufficient time to print and review the Casey for each participant prior to intake) 8. Upon completion, the Support Services Specialist must ask the participant to print a copy of the Casey and give to you. (Explain you need a copy to review and that it will be and discussed at the intake meeting. If a participant insists, it is okay to print a copy for them. Support Services Specialist must have a copy to review and for participant's file). To facilitate the administration of the Casey in the future (end of training, 1 and 2 years after training completion), participants will need to create their own Casey login. This can only be done after they have completed their first Casey assessment at orientation and must be initiated by staff. To do this, staff must follow these instructions: 1. Support Services Specialist must log onto the Casey website 2. Search for the participants name 3. Click "Send Youth email to create their CLS login" 4. Participant will receive an email requesting they create a login 5. Participant should create their own login (The participant will use their email address to log onto the Casey website in the future. Therefore they should use an email they use regularly. If they forget their password, they can reset it). For further reference, the Casey Life Skills Help Guide is available on Staff Docs /Support Services /Case Management /Assessments. Casey Scores /Results: After a participant completes the Casey, a summary of results will be automatically generated. To obtain a copy of the results, staff may either ask the participant to print a copy (per instructions above) or access the results by logging onto the Casey website using their own login. For the latter, staff will then search for the participant's name by clicking on "Youth" in the upper left hand corner. Once they find the name, click on the youth ID and click on the "Casey Life Skills Assessment" to view the results. The results of the Casey will be summarized and include an average score (range from 1 -5) for each of Casey's life skill areas described in Graph 1.1. The responses to each question given by the participant will also be included in the Page 28 Taller San Jose, Support Services Manual E25A —A26 summary. A sample of this summary is located at the appendix section of this manual (Appendix A) and is available on Staff Docs /Support Services /Case Management /Assessments. Upon receiving the results, staff should pay special attention to responses: "No" and "Mostly No ", which could indicate an area of need for the participant. A large number of "Mostly Yes" responses should be reviewed with the participant to ensure the answers are an accurate representation of their knowledge and skills. The scores from the Casey are an important element to goal formulation at intake and throughout the program. While the scores on the Casey are significant to goal formulation, the Support Services Specialist must look at this in combination with the TABE Score, Interview documentation, and intake assessment to form concrete goals at intake. For updates to the ISP goals at subsequent periods, staff should also consider feedback provided by colleagues, i.e. the participant's Training Supervisor or Therapist, if applicable. The Support Services Specialist can provide a copy of the Casey to the participant if it is requested. Every participant is entitled to have staff review the scores with them and help them understand how this fits in with Taller San Jose's overall goals for training. Entering the Casey in ETO: The Evaluation Manager will be responsible for entering the Casey scores into ETO at intake and end of training. Please notify the Evaluation Manager when the scores are available for entry. The Support Specialists will be responsible for entering the Casey scores into ETO for the placement phase (1 and 2 years after training). To enter the Casey scores into ETO follow the instructions below: 1. Go to the home page for your program (Medical Careers, Office Careers, Taller Tech) 2. In the search bar above, enter the name of applicant (Quick Search) 3. Once you seethe name, click the arrow next to the name, and then click "View /Record Assessment" 4. Click "Take New Assessment" 5. Select "Casey Life Skills Assessment" and "Continue" 6. Fill in the time point and appropriate scores for each area 7. Upload the PDF of the summary of scores. To get a pdf, log into the Casey website and choose "print view" of the summary. Then save the summary as a pdf. Im At the end of the training phase, Support Services Specialists are required to complete the Steps to Success Evaluation (SSE) for each trainee. The purpose of the SSE is to provide a fuller picture of the trainee at training completion. The Casey does not cover all the goals of our Steps to Success, so both of these scores (Casey and SSE) will provide a better understanding of how the trainee is doing at the end of the training. As Taller San Jose gathers more data, the relationship between the Casey scores and SSE will be examined to see if there is a correlation between the two results. Page 29 Taller San Jose, Support Services Manual u?vn% -A427 The SSE will evaluate trainees on a scale of 1 to 5 on each of the Steps to Success categories. The evaluation must be completed in ETO and a rubric has been established to guide staff with the evaluation. The SSE rubric can be found in Appendix B of this manual and in Staff dots /Support Services /Case Management /Assessments. Instructions for entering SSE into ETO follow: 1. Go to the home page for your program (Medical Careers, Office Careers, Taller Tech) 2. In the search bar above, enter the name of applicant (Quick Search) 3. Once you seethe name, click the arrow next to the name, and then click "View /Record Assessment" 4. Click "Take New Assessment" 5. Select "Steps to Success Evaluation" and "Continue" 6. Fill in appropriate scores for each area Individual Services Flan (ISP) The Individual Service Plan (ISP) is a road map developed by the Support Services Specialist in conjunction with the participant. It aims to help the participant reach their goals and assist staff in meeting Taller San Jose's outcomes. When to Create and Update the ISP; The ISP must be completed and updated at these points: ✓ Orientation. To be completed for all participants by end of week 1 of training. ✓ End of training. Complete during "Next Steps" meeting and no sooner than 3 weeks before training completion. During the "next steps meeting ", the Support Services Specialists should review the results from the post -TABE test and the Casey Life Skills Assessment and set goals for 90 days, 1 year, 18 month and 2 year after training completion. Staff should also use the time to give feedback to the trainee about their strengths and opportunities for improvement. Education and employment are the priority areas on the ISP at this juncture. ✓ 30, 60, 90 days after training completion. Goals may not necessarily be updated at these intervals however all other questions on the ISP must be completed. ✓ 1 year after training completion ✓ 18 months after training completion ✓ 2 years after training completion A sample of the ISP can be found in in Staff dots /Support Services /Case Management /Assessments. Instructions for entering ISP into ETU: 1. Log onto ETO using your username and password 2. Go to Home page for your program (Medical Careers, Office Careers, Taller Tech) 3. In the search bar above, enter the name of applicant (Quick Search) 4. Once you see the name, click the arrow next to the name, and then click "View /Record Assessment" 5. Click "Take New Assessment" 6. Select "ISP" and "Continue" 7. Fill in the date of the assessment at the very top of the form. Page 30 Taller San Jose, Support Services Manual 2-TI'@IP 428 8. Fill in the time point, barriers, and questions and goals in each section of the Steps to Success. Characteristics of an effective ISP: ✓ Developed goals under the Steps to Success areas (Minimum of 3 goals in different areas must be established and worked on at any given time) ✓ Distills what is learned through initial assessments. Offers an appropriate combination of services for the participant based on TABE and Casey. ✓ Considers each trainee's assets and strengths and is customized to meet their needs ✓ Is developed jointly by participant and the Support Services Specialist ✓ Is flexible and shows progression, not just a one -time document ✓ Serves as a learning contract between participant and Support Services Specialist ✓ Is a written document Creating Goals: When developing goals with a participant, ensure that they are SMART (specific, measurable, achievable, relevant, and time - sensitive), action oriented and achievable within the timeframe of their program enrollment. Since the program includes financial education, an appropriate and specific goal would be: Save money to buy a car If a participant's goal is to achieve her BA degree, it is unlikely to occur during their participation in the program; therefore, an example of an appropriate goal is: Apply for community college. For goals formed at intake, establish goals the participant can reasonably achieve during the training phase. At the "Next Steps" meeting, develop goals for the 2 years of the Placement phase. Further direction on completing the goals are provided under the section titled Components of an ISP and Completion Instructions below. Graph 1.2 Graph 1.2 provides definitions of SMART goals. -Specific: State exactly what you want to accomplish (Who, What, Where, Why) -Measurable: How will you demonstrate and evaluate the extent to which the goal is met? -Achievable: stretch and challenging goals wtihin ability to achieve outcome. What is the action - oriented verb? -Relevant: How does the goal tie into the Steps to Success? -Time-bound: Set a target date, the "by when" to guide your trainee to successful and timely completion. This doesn't need to be entered into ETO, but set a target date for the trainee. Page 31 Taller San Jose, Support Services Manual A' 2" For further guidance, the chart below indicates important goals and areas of priority. Components of an ISP and Completion Instructions: Section A: Time point & Employment Barriers 1. Check the box next to the appropriate time point 2. Check the barriers that exist for the participant (For intake, review the application as a reference. For subsequent updates, this information will be populated in ETC, therefore delete barriers that no longer continue to exist) 3. List additional barrier(s) 4. After reviewing barriers, discuss options to overcome barriers keeping in mind the participant's key strengths. Create relevant goals in Sections B -G. Section B: Education 1. Record responses to the following questions in this section. If they answer no to any of the questions, use to set a goal. • Do you have a high school diploma or GED? • Have you enrolled in college, apprenticeship or post- secondary program? 2. Set Goals a. Help the participant identify an initial career and /or education goal. If they do not have one, you can explain they will be asked to work on establishing one through education planning workshops and their work with you. b. Review TABE scores. For participants with scores below a 9th grade level on either Math or English, establish a goal to improve their reading and math skills (at intake). Examples include: Read newspaper Page 32 Taller San Jose, Support Services Manual EgAPL A43O articles or read a book or meet with a math tutor weekly. Taller San Jose's goal is to have all participants increase TABE scores by at least one grade level. c. Acknowledge the training may not improve their reading and math skills. d. Ensure the participant is aware it could pose a barrier to future employment or education. e. Refer to the Career and Education Planning score from the Casey, which reveals their knowledge of education pathways and attitude towards education in general. Identify any relevant information to help set appropriate goals. 3. Record the date on which the goal is completed. This will occur after the intake, but please update when trainee lets you know their goal completion. Section C. Employment 1. Record responses to the following questions in this section: ✓ Currently employed? 2. If they are currently employed, please add the details into ETO: • Are you currently employed? ■ If yes, hire date? ■ If yes, hourly wage? If yes, hours per week worked? If name of employer? Job title? Have health benefits? • To add employment record into ETO: ■ Go to "Participant History" section on right menu ■ Click on "Add Employment Record" ■ Enter the last name of the trainee ■ Click on their name ■ Add the details into the record (job title, employer, hourly wage, hours per week, benefit type) 3. Set Goals a. Refer to the Work and Study Life score from the Casey and identify any relevant information to help set appropriate goals, i.e. areas /questions they scored high and areas they scored low in. b. Identify a career goal to help establish goals. If the participant does not have one, explain they will be going through career planning during training. c. Establish goal to obtain professional clothing if they do not have any (If they are provided with a referral to professional clothing, record this. More details in the "Other Forms" section). 4. Record the date on which the goal is completed. This will occur after the intake, but please update when trainee lets you know their goal completion. Page 33 Taller San Jose, Support Services Manual gmrM tT' A431 Section D: Financial Literacy 1. Record responses to the following questions in this section. If they answer no, use this answer to set a goal. ✓ Do you use a bank account? 2. Set Goals • Refer to the Housing and Money Management Score from the Casey and identify any relevant information to set appropriate goals. • Ask participant if they have a checking account and how they use it and if they know how to budget and how they are budgeting. This will help you determine whether to set a goal around this. 3. Record the date on which the goal is completed. This will occur after the intake, but please update when trainee lets you know their goal completion. Section E: Technological Literacy 1. Set Goals • Refer to the Daily Living section of the Casey and look at questions concerning computer use and assess their knowledge of computers and emails for job search. Identify and explore responses on their comfort with using computers, i.e. Ask if they have a professional email. What is your professional email? How do you use it? • Ask if they know how to use the internet to conduct a job search. How would you use the internet to apply for a job? Utilize information to help set appropriate goals. 2. Record the date on which the goal is completed. This will occur after the intake, but please update when trainee lets you know their goal completion. Section F. Social and Emotional Wellness 1. Set Goals • Refer to the Permanency Score and Looking Forward scores from the Casey and probe about questions they scored high and areas they scored low in. Utilize information to help set appropriate goals. 2. Record the date on which the goal is completed. This will occur after the intake, but please update when trainee lets you know their goal completion. Section G: Healthy Behaviors 1. Record responses to the following questions in this section. If they answer no to any of the questions, use it to set a goal. Page 34 Taller San Jose, Support Services Manual E' x,432 ✓ Do you have a driver's license? ✓ Were you arrested in last 30 days? ✓ Are you on probation or parole? ✓ Substance Use in last 30 days? ✓ Do you have reliable childcare? ✓ Do you have reliable transportation? ✓ Do you own a car? ✓ Are you registered to vote? ✓ Do you volunteer in the community? 2. Set Goals • Refer to the Self Care Score and Relationship and Communication scores from the Casey and review areas they scored high and areas they scored low in. Utilize information to help set appropriate goals. 3. Record the date on which the goal is completed. This will occur after the intake, but please update when trainee lets you know their goal completion. Section H: Signatures 1. The Support Services Specialist and participant should sign the ISP to show mutual commitment to working on the goals. As Taller San Jose develops into a more data - driven organization, team meetings at the end of every cohort will be convened to examine the trainees' performance and identify improvements that can be made in the services provided. These are the types of reports that will be viewed by cohort: • Goals set and achieved by each trainee • TABE Scores at beginning and at end • Casey Scores at beginning and at end • Steps to Success Evaluation • Satisfaction Surveys Page 35 Taller San Jose, Support Services Manual E A433 Support services meetings are a critical part of Taller San Jose's training program. Support Services Specialists are responsible for offering one -on -one meetings to trainees and interns throughout their participation in the training program. The purpose of these meetings is to: 1. Meet the participant's immediate needs; Assist with trouble- shooting and help them cope with day -to -day program and life demands 2. Provide support and coaching with trouble areas and link to appropriate supportive services and activities 3. Work on Taller San Jose goals: ✓ SOCIAL/ EMOTIONAL WELLNESS: Goal Setting, Resourceful, Self- Awareness, Social Awareness, Self - Management ✓ HEALTHY BEHAVIORS: Healthy Relationships, Drug free and Crime free, Stable Housing, Reliable Childcare & Transportation, Community Engagement ✓ TECHNOLOGICAL LITERACY: Use technology to find a job, Use technology for a job ✓ FINANCIAL LITERACY: Open and use a Bank Account, Learn to Budget ✓ EDUCATIONAL ACHIEVEMENT: Improve Reading & Math Skills, Finish GED /high school diploma, Go to college, apprenticeship or post- secondary program ✓ EMPLOYMENT ATTAINMENT: Professionalism, Get a Job, Keep a Job, Job Advancement, Enroll in Health Benefits Meetings must be provided accordingly and be documented in Taller San Jose's data management system. Refer to Appendix D for a visual of the content below: 0 -8 weeks of training: Individual meetings for all trainees on a weekly basis 9 -16 weeks of training: Continue weekly meetings for trainees with low to mid scores on Casey and /or those who demonstrate an outstanding need for ongoing support Transition to every other week for individuals who present with higher scores on Casey and are meeting the demands of training Length of Meeting: At least 30 minutes per Trainee unless more is warranted Characteristics of an Effective 1:1 Support Meeting during Training Phase An effective meeting has the following characteristics: ✓ Support Services Specialist assesses how the trainee is coping with the demands of training and outside responsibilities ✓ Helps Trainee learn to address any challenges and issues that arise ✓ Reviews progress on ISP goals and updates them if needed ✓ Always provides opportunities for trainee to come up with solutions Page 36 Taller San Jose, Support Services Manual 2XA 434 ✓ Focuses on an individual's strengths Support Services Specialists are responsible for continuing to provide comprehensive support services during placement. This is facilitated through one -on -one meetings with interns. Meetings must be provided accordingly and be documented in Taller San Jose's data management system. Refer to Appendix D for a visual of the content below: Training Completion — 90 days: Weekly meetings for Interns with low to mid scores on Casey, SSE and /or those without jobs at training completion or when a concern exists that the Intern will have difficulty obtaining and retaining a job due to social and emotional issues or criminal background. Approximately 80% of youth who advance to Phase 4 will fall into this category. Length of Meeting: At least 30 minutes per Intern Training Completion — 90 days: Meetings with Interns who score high on Casey, SSE and /or demonstrating greater stability should take place at end of 30, 60, 90 days after training completion Length of Meeting: 45 minutes maximum for all three meetings 90 days —1 Year: Monthly meetings for Interns with low to mid scores on Casey, and /or greater instability based on assessment Length of Meeting: At least 30 minutes per Intern 90 days —1 Year: One meeting every 4 months after training completion for high functioning group Length of Meeting: Approximately 30 minutes per Intern 1 Year -2 Years: Meetings during data collection periods 1 Year, 18 month, 2 Year and every 3 months for all Interns Length of Meeting: Approximately 30 minutes per Intern. During data collection periods, expect to spend closer to 45 minutes. Characteristics of an Effective 1:1 Support Meeting during Placement Phase An effective meeting has the following characteristics: ✓ Drives Interns to accomplish ISP goals ✓ Revises goals when needed ✓ There is a constant assessment of Intern's needs and barriers ✓ Links to appropriate services external and internal (i.e. social and emotional wellness group, educational groups, job clubs, therapy, etc...) ✓ Addresses any issues that need immediate attention Page 37 Taller San Jose, Support Services Manual E ;4435 ✓ Focuses on an individual's strengths or 1 ' To help Support Services Specialists determine the number of 1:1 meetings to offer, graph 1.2 serves as a guide to help prioritize. It is theorized that participants with 1) Low TABE scores, 2) Lack of GED /HS Diploma, 3) Low to Mid scores on the Casey, and 4) Multiple barriers will require greater assistance and thus a greater number of 1:1 meetings. Through performance management, this theory will be studied and adjustments made. Graph 1.2 Well- written case notes provide accountability, corroborate the decisions made to deliver certain services and support decisions a staff member has made. Taller San Jose staff shall use the SOAP format for writing case notes (Please note: The SOAP format has been adapted to fit Taller San lose needs and may not be similar to what agencies outside Taller San Jose traditionally use). There are four components to SOAP. They follow: Subjective (S): What the participant tells you Example: Intern feelings, concerns, goals, thoughts; intensity of problem Objective (0): Factual- What was observed or witnessed by staff; what was seen, counted, smelled, heard or measured Example: Intern's appearance, affect; Test results Action (A): Action /Intervention performed by staff and progress toward goal(s) Example: What you did during your meeting; referral provided, participant progress Page 38 Taller San Jose, Support Services Manual E A36 Plan (P): What you plan on doing on behalf of the participant or plan for participant to do; Date of next meeting or follow up Example: Next meeting date Scenario & Sample SOAP Note: Scenario #1 Cassandra is a 25 year -old trainee who has attended 12 weeks of job training in OCA. She just attended a mock interview and obtains her results, but feels bad about how she did. She comes to your office to discuss. Sample SOAP Note #1 (S) Trainee reported frustration over job prospects due to low score results in mock interviews. (0) Trainee was tearful during meeting. (A) Validated trainee's feelings and provided encouragement. Trainee is meeting expectations in program. (P) Plan is to provide one on one job coaching for trainee daily until graduation starting next Monday November 10, 2008 at 3p.m. Do's and Don'ts — As a general rule, Taller San Jose staff should observe some of the following Do's and Don'ts when writing a case note: Do's • Be brief • Keep quotes to a minimum • Record immediately after meeting • Use proper spelling, grammar, and punctuation • Document all contacts or attempted contacts Don'ts • Avoid value -laden language, opinionated statements • Avoid using names Taller San Jose case notes are to be kept current at all times. Staff should use Taller San Jose's data management system to document case notes. In highly sensitive cases, those situations where staff deems it inappropriate to write a case note in ETO, a Taller San lose Supplemental Case Note may be typed or written, signed by the staff member writing the supplemental case note and placed in the intern's file. Staff must make note in ETO when a supplemental case note has been written. Documenting Case Notes in ETO: The Support Services Specialist is responsible for documenting case notes in ETC. The following will be recorded: Meeting Details ✓ Date dd Page 39 Taller San Jose, Support Services Manual C17F?1T`�A��� ✓ Time Spent (minutes) ✓ Phase (Training or Placement) ✓ Location (office or phone) ✓ Notes To navigate to this in ETD: 1. Make sure that the program selected at the top is your program (i.e., Medical Careers, Office Careers, Taller Tech). 2. At the home page, select "Enter case notes 1:1) 3. Enter the last name of the trainee 4. Select "Track 1:1 Case Notes" and Submit 5. Fill in the location /method, date of contact, time spent, phase and notes. 6. Click 'Save Effort & Close" at the bottom. The Support Services Specialist is also responsible for documenting any referrals provided. The following will be recorded: Referral provided ✓ Date ✓ Referral to (Organization) ✓ Purpose of referral ✓ Notes /Follow -up Page 40 Taller San Jose, Support Services Manual E24 A A38 Incentives Incentives are used during the Placement Phase of Taller San Jose's program to promote retention and encourage interns to participate in activities assigned by the Support Services Specialist including attendance at support and educational groups, completion of ISP and Casey Assessment and as a reward for working with the staff to complete Steps to Success goals. Incentives are managed by the Enrollment and Support Services Manager and distributed by the Support Services Specialist. Incentives come in the form of a gift card; cash rewards are strictly prohibited. Taller San Jose has established specific time periods when gift cards can be used. The participant can earn up to $400.00 during their participation in the Placement Phase. Full participation must be exhibited to receive the incentive. Incentives may not be distributed for activities an intern engages in that are outside of Taller San Jose. The following times have been designated as reward periods (Also described in Appendix E): Year 1: ✓ Data Collection Points (30 day, 60 day, 90 day, 1 year. $25 at each interval) ✓ Group participation ($25 per group. Maximum $100. Goal: 2 groups in year 1) Year 2: ✓ Data Collection Points (18 month, 2 year. $25 at each interval) ✓ Group participation ($25 per group. Maximum $75. Goal: 2 groups in year 2) ✓ Participation in Leadership Symposium ($75) If the Support Services Specialist deems counseling over groups is in the best interest of an intern, an intern attending counseling at Taller San Jose may be eligible for an incentive at the completion of therapy services without ever attending a group. The amount will be determined by the Support Services Specialist in consultation with the Therapist but not to exceed $100 in year 1 and $75 in year 2. I� Beginning at the point of program application, participants are told that they must commit to participating in all aspects of Taller San Jose's 28 -month program. Though participation can become challenging during the placement phase of the program, it is critical to ensuring an intern's success toward completing the Steps to Success goals. In the event an intern is no longer participating in the program, such as no longer responding to staff outreach, attending groups or actively working on their goals to get a job, keep a job, advance in school, etc., then a formal dismissal process should be initiated by the Support Services Specialist. The following steps will be taken as part of the dismissal process: 4. The intern will be provided a warning by the Support Services Specialist. This should be done in the form of e- mail and formal mailed letter. Prior to sending this letter, the Support Services Specialist should check with Page 41 Taller San Jose, Support Services Manual E?m§AI439 other members of the team to ensure they have not heard from the intern. (Sample 1St and 2nd warning letters can be found in Staff Docs /Support Services /Case Management /Phase 4 /Dismissal Process). 5. If the Support Services Specialist does not get a response from the intern, he /she must bring the intern's status to the Phase 4 Programs Staff Meeting for review. Program staff will evaluate the nature of the problem and determine a course of further action, including program dismissal. 6. If dismissed, an intern should be sent a final dismissal letter via mail and e-mail. (Final dismissal letter can be found in Staff Docs /Support Services /Case Management /Phase 4 1Dismissal Process). 7. Support Services Specialist should dismiss intern in ETO. R ,. An intern who is dismissed from the placement phase may be re- admitted. To be considered, individuals must make an appointment with the Support Services Specialist for the training program the individual attended. The following steps will be conducted by the Support Services Specialist: 1. Complete a thorough assessment. In addition: a. Identify reasons the individual withdrew or disengaged from the program. b. Find out the reason the intern would like to be re- admitted. c. Identify if Taller San Jose can meet the individual's current needs and if individual is showing readiness to participate in all program services. If not, refer to appropriate agency. 2. If the Support Services Specialist meets with the individual and determines he /she is eligible to return, the staff must re- enroll participant in ETO and revise the participant's ISP. In cases, when the Support Services Specialist is unsure whether or not to re -admit an individual, he /she must present the case at the Phase 4 Programs Staff Meeting for review or consult with members of the team. Staff is encouraged to work collectively on a decision that fits Taller San Jose's values and that is in the best interest of the individual. 3. Respond to the individual within 30 days of their request to re- enroll with a decision of acceptance or denial. For all denials, staff must provide the individual the reason he /she was denied and referrals to appropriate services; this must be done in writing and a copy of the letter must be placed in the individual's file. The Support Services Specialist must document this process in ETO. 4. If the individual is re- admitted, the Support Services Specialist must update the ISP according to the time period that is closest to their return (30, 60, 90 day, 6 month, 1 year, 18 month, 2 year). Page 42 Taller San Jose, Support Services Manual Eff ` A' 4O RIUMI Casey Life Skills (CLS) Summary Casey Life Skills Assessment 08/15/2013 Sam Fake (Y- 172745) Taller San Jose (P- 29584) t00% 75% 50% 25% 0% Permanency Daily Living Self Care Relationships and Housing and Work and Career and Looking remand Communication Money Management Study Life Education Planning Yes N Mostly Yes 0 Somewhat ; I Mostly NO 0 No Incomplete Page 43 Taller San Jose, Support Services Manual 'H1 �11 -X41 Yes Mostly Yes Somewhat Mostly No No Incomplete Permanency 15% 60% 15% 10% 0% 0% Daily Living 35% 41% 23% 0% 0% 0% Self Care 23% 41% 29% 5% 0% 0% Relationships and Communication 33% 50% 16% 0% 0% 0% Housing and Money Management 0% 52% 34% 13% 0% 0% Work and Study Life 0% 40% 45% 10% 5% 0% Career and Education Planning 0% 11% 33% 33% 22% 0% Looking Forward 25% 62% 12% 0% 0% 0% t00% 75% 50% 25% 0% Permanency Daily Living Self Care Relationships and Housing and Work and Career and Looking remand Communication Money Management Study Life Education Planning Yes N Mostly Yes 0 Somewhat ; I Mostly NO 0 No Incomplete Page 43 Taller San Jose, Support Services Manual 'H1 �11 -X41 I know at least one adult, other than my worker, who would take my call in the middle of the night if I had an emergency. An adult I trust, other than my worker, checks in with me regularly. YES I am a part of a family and we care about each other. I have at least one trusted adult who would visit me if I were in the hospital. There is at least one adult I trust who would be legally allowed to make medical decisions for me and advocate for me if I was unable to speak for myself. I can get in touch with at least one family member when I want to. I have friends or family to spend time with on holidays and special occasions. I know at least one adult I can depend on when I exit care. I know an adult who could be a grandparent, aunt or uncle to my children now or my future children. MOSTLY YES I have information about my family members. I know an adult who would help me if I had a financial emergency. There is at least one adult that I have regular contact with, other than my case manager or other professional, who lives in stable and safe housing. I know an adult I can go to for financial advice. I know an adult who will go with me if I need to change schools. I have an adult in my life who cares about how I am doing at school or work. I know what my legal permanency goal is. I know an adult I could live with for a few days or weeks if I needed to. F SOMEWHAT I have talked about my education plans with an adult who cares about me. I have recently talked to an adult who works in a job I would like to have. MOSTLY NO I know an adult who will help me apply for training or education after high school. I know where to go to get on the Internet I can find what I need on the Internet. I know how to use my email account. I can create, save, print and send computer documents. YES I know at least one adult, other than my worker, who would take my call in the middle of the night if I had an emergency. An adult I trust, other than my worker, checks in with me regularly. I know the risks of meeting someone in person that I met online. I would not post pictures or messages if I thought it would hurt someone's feelings. If someone sent me messages online that made me feel bad or scared, I would know what to do or who to tell. MOSTLY YES I think about what I eat and how it impacts my health. I know how to do my own laundry. I keep my living space clean. Page 44 Taller San Jose, Support Services Manual25AA42 I know the products to use when cleaning the bathroom and kitchen. When I shop for food, I take a list and I compare prices. I can make meals with or without using a recipe. I understand how to read food product labels to see how much fat, sugar, salt, and calories the food SOMEWHAT has. I know how to use a fire extinguisher. I can turn down a sexual advance. I know ways to protect myself from sexually transmitted diseases (STDs). YES I know how to prevent getting pregnant or getting someone else pregnant. I know where to go to get information on sex or pregnancy. I can get medical and dental care when I need it. I know my family medical history. I have at least one trusted adult who would visit me if I were in the hospital. There is at least one adult I trust who would be legally allowed to make medical decisions for me and MOSTLY YES advocate for me if I was unable to speak for myself. I bathe (wash up) daily. I brush my teeth daily. I have a place to go when I feel unsafe. I can take care of my own minor injuries and illnesses. I know how to make my own medical and dental appointments. I know when I should go to the emergency room instead of the doctor's office. I know how to get the benefits I am eligible for, such as Social Security, Medicaid, Temporary SOMEWHAT Assistance for Needy Families (TANF), and Education and Training Vouchers (ETV) . I know how to get myself away from harmful situations. I can take care of my own minor injuries and illnesses. I know how to make my own medical and dental appointments. know how to get health insurance when I am older than 18. 1 MOSTLY NO I can speak up for myself. I know how to act in social or professional situations. I know how to show respect to people with different beliefs, opinions, and cultures. YES I can describe my racial and ethnic identity. I am a part of a family and we care about each other. My relationships are free from hitting, slapping, shoving, being made fun of, or name calling. Page 4S Taller San Jose, Support Services Manua�5Ar 443 I can explain the difference between sexual orientation and gender identity. I have friends I like to be with who help me feel valued and worthwhile. I can get in touch with at least one family member when I want to. I have friends or family to spend time with on holidays and special occasions. I know at least one adult I can depend on when I exit care. MOSTLY YES I know an adult who could be a grandparent, aunt or uncle to my children now or my future children. I have information about my family members. I can deal with anger without hurting others or damaging things. I show others that I care about them. I know the signs of an abusive relationship. I know what my legal permanency goal is. SOMEWHAT I think about how my choices impact others. I know the importance of a good credit score. I know how to balance my bank account. I put money in my savings account when I can. I know an adult who would help me if I had a financial emergency. I know how to find safe and affordable housing. YES I can figure out the costs to move to a new place, such as deposits, rents, utilities, and furniture. I can explain why people need renter's or homeowner's insurance. There is at least one adult that I have regular contact with, other than my case manager or other professional, who lives in stable and safe housing. I know an adult I can go to for financial advice. I plan for the expenses that I must pay each month. MOSTLY YES I can explain how to get and renew a driver's license or state ID card. I know how to use public transportation to get where I need to go. I understand how interest rates work on loans or credit purchases. I understand the disadvantages of making purchases with my credit card. I know the advantages and disadvantages of using a check cashing or payday loan store. I Know how to fill out an apartment rental application. SOMEWHAT I know an adult I could live with for a few days or weeks if I needed to. I keep records of the money I am paid and the bills I pay. I know what happens in my state if I am caught driving without car insurance or a driver's license. I can figure out all the costs of car ownership, such as registration, repairs, insurance, and gas. I use online banking to keep track of my money. I know how to get emergency help to pay for water, electricity, and gas bills. MOSTLY NO I know what can happen if I break my rental lease. Page 46 Taller San Jose, Support Services Manua25N4181444 I know what employee benefits are. I know the reasons why my personal contacts are important for finding a job. I know how to get the documents I need for work, such as my Social Security card and birth certificate. I know an adult who will go with me if I need to change schools. MOSTLY YES I know where I can get help with an income tax form. I have an adult in my life who cares about how I am doing at school or work. I know how to prepare for exams and /or presentations. I know where I can get tutoring or other help with school work. I know how to prepare for a job interview. I know what the information on a pay stub means. I can fill out a W -4 payroll exemption form when I get a job. I know what sexual harassment and discrimination are. I know how and when I can see my child welfare or juvenile justice records. SOMEWHAT I know how to get help from my school's mental health services. I can take criticism and direction at school or work without losing my temper. I get to school or work on time. my work done and turned in on time. I know how to fill out a job application I look over my work for mistakes. MOSTLY NO know how to develop a resume. NO I know how to find financial aid to help pay for my education or training. MOSTLY YES I know what type (college, trade school) education I need for the work I want to do. I know how to get into the school, training, or job I want after high school. I have talked about my SOMEWHAT education plans with an adult who cares about me. I know what type (college, trade school) education I need for the work I want to do. I know where to find information about job training. I have recently talked to an adult who works in ajob I would like to have. MOSTLY NO I know an adult who will help me apply for training or education after high school I know how to find work - related internships. I can explain the benefits of doing volunteer work. NO Page 47 Taller San Jose, Support Services ManuaZW445 I believe I can influence how my life will turn out. YES Most days, I feel I have control of how my life will turn out. I can describe my vision for myself as a successful adult. I have a good relationship with a trusted adult I like and respect. I believe my relationships with others will help me succeed. MOSTLY YES I feel I am ready for the next phase of my life. Most days, I am proud of the way I am living my life. I would like to use my experience to help other youth. I SOMEWHAT Page 48 Taller San Jose, Support Services Manual 6"46 V rr • L O) 2 3 0 J 25A -447 i H m Y W a v up a ba zj P G 0 .4 a h N o m U ° a 'd inn a 3 , ° en R.' $ ° ° o o p "d A ��p3 s7 W " b CJ b°q qq NN p0 O p° N 'A U N t.. �. b ,� Croy CUj ? ,� N W b-0 cell O N 'd °a h �I 1 a s P, ow ° h do — ,� � b o ,M ro o ,� p � .•� nq o w w .� C7 q 3 °R 3 n°n b l o w ° a � b O L1 o o. b 7S rob o w den .G o a�i 'a b Wco b a"i co R' o a� o • a� 8 3 0 0° ,°, o w � co P R, � gg 0 40 v •� � v a"i m R N L Vy � fr U IZ H d C y .ro p vpi W 25A -447 i H m Y W a v up a 25A -448 Gl H m x W 0 v ao a b . o �2 o p°py � 5 > � P? a o c°', � � cu � � � •� o '" �� o � 'Q b ,�^, G o ° 'C o a ° •° a� ate, p a'i a> .° ro q' o °' y 0 P, o 'v o b N q � t�C O N iC N y R � � � cOJ � N � 7 'zJ .°� w° .� p ro a o - � m bA GL CC U : qp q `L���, w OA O .ti •,�• p W . W �j pro❑ rU. '«� R� O ❑� � ... W O V O p AU p W O U U U O U O N 0 b U N N � � v� v� h y ❑� y ti UM CC ..U. 0 " 9 p p q qOq H ''� s'� 1 T 1 i O «U ro y b p +aO' ro GL i T Rw N i ° bb Xo J❑ O to � m T 7 .o fl '.O R3 q .d U V�y 3 ' O q y �� ' 'I °� U N O 'YV°bo o q � N � � w ,� •w a rCC ' � � p I Q.a° °' a b 7'ci - — c ° b to o t m A ro °, >aa �a b mwm U s. us wa Ha 25A -448 Gl H m x W 0 v ao a 25A -449 ro F m 2 X W m a ti •o cu mbo YA.5 ay o ro m � q H � o � ,� .� ° 41. p . ° � O (d 4i � � � � � ry O � � ° ,� � U I A •� � � � � � %i T Fib p m � ro • q gg bq •� a'Gi o a'"i ° o ° ,� .0 U w ° m aaH O F„C m m O� CG H p CL F iYl .a tC bq is �'q .�•� � �� a �m � m v bq U ° � ui �±d� yo .`�� .bL,� abi � � m H wo °,, Smn •+7 � �d a�i �y ,tea ac2� .o � � � api > ,� R1 m Cq q SL b cma .q o ° p .� oo m w •� �ggpa t > o . .a .°� sH. g o ❑ ° m v am, a° bb an c m CgGC cn Au aUH uw 7 x as 25A -449 ro F m 2 X W m a 25A -450 F- [C W N N N a Y _ a Y i"i o PO' 'o ° N 1U1yy pwp p N y0 I ❑�O rrtr��i �. :i .O� O ,� � e, p v.d,�.�° oo •�,�'� � o�F ro °�' ro yob � � El °oo10 �ro'Sb�b°oH°" ro��ro �ro C7 o'b p, � o F P �°a m W � W U d PI • � F 'O ,� x . � a. �❑ °� id •� ,� P3 v, U U N N" abi a� O'd �3 } p pp, ,Q''� b O O o 0 P bA ro ❑y P O' c " v 0. duW UW o 0 � b 25A -450 F- [C W N N N a Appendix C Set-vice Model Who Facilitated by What When All Trainees Support Services • Conduct Casey Assessment • Complete between Crier Specialist • Develop Individual Services Plan (ISP) week 1 of training with goals through training completion (16/20 wks.) Who I Facilitated by What I When All Trainees Support Services • Assist Trainee with ISP goals • 0 -8 weeks: Meet weekly Specialist • Remove barriers to employment trainees • Assist with retention and • 9 -16/20 weeks: Every otl advancement to placement phase (minimum) for those witl and emotional stability a weekly for those with grE f Who Facilitated by What When All Trainees Support Services • Conduct Casey Assessment • Complete no sooner that Specialist • Update ISP with goals for 90 days,1 before training completi year, 2 year Page 53 Taller San Jose, SuZ%v _51nual EXHIBIT A Who Facilitated by What When Incentive Interns without Support Services . `Assist with employment • 'Meet weekly (At $25 at end of 30, jobs and /or low Specialist attainment, education least 30 minutes per ` 60 and 90 days —mid scores on education enrollment enrollment intern) through 90 scores on Casey Casey, low score • Assist with progress on ISP •`Improve social emotional days and SSE on Steps to • Update ISP (End of 30, 60, wellness &life stability (educational and /or Success 90) •.Update ISP (End of 30, 60, social & emotional) Evaluation (SSE) ;'90) Interns showing Post secondary • Assist with post secondary • `TBD. Intern will Target Facilitated by :What When Incentive Interns with Support Services • Assist with Job Retention, • Meet at 30, 60, 90 $25 at end of 30, jobs and /or high Specialist education enrollment days (At least 30 60 and 90 days scores on Casey education • Assist with progress on ISP minutes per Intern) year one and SSE attending at least • Update ISP (End of 30, 60, persistence (educational and /or (2) TSJ groups in 90) stability social & emotional) Interns showing Post secondary • Assist with post secondary • `TBD. Intern will $25 per group readiness and Education Staff school enrollment commit to' ($100 max for year desire to Incentive • Link to tutors or study' attending at least 1) advance to $25 per group groups (2) TSJ groups in wellness & life stability education ($100 max for year •lAssist with college year one •'Assist with progress on ISP attending at least 1) persistence (educational and /or (2) TSJ groups in stability social & emotional) Page 54 Taller San Jose, Support Services ManuaM&452 0 1 • • • 0 Who Facilitated by :What When Incentive Interns with Support Services •'Improve social emotional •TBD. Intern will $25 per group poor social and Staff wellness & life stability commit to ($100 max for year emotional skills •'Assist with progress on ISP attending at least 1) and poor life (2) TSJ groups in stability year one (educational and /or social & emotional) Page 54 Taller San Jose, Support Services ManuaM&452 D 0,41 Page 55 Taller San Jose, Support Services Manua A wM Interns showing Post secondary e Assist with post- secondary • TBD. Intern will $25 per group ($75 readiness and Education Staff 'school enrollment commit to max for year 2) desire to Target • Link to tutors or study, attending at least Who advance to What groups (2) TSJ groups +R Interns with education • Improve social emotional e Assist with college +dear one poor social and Staff' - wellness & life stability persistence (educational and /or emotional skills (Consult with • Assist with progress on ISP attending at least social & emotional) and poor life C� Page 56 Taller San Jose, Support Services Manual A 54 s • a�a Target ' Facilitated by What Who Facilitated by What When Incentive Interns with Support Services • Improve social emotional TBD. Intern will $25 per group ($75 poor social and Staff' - wellness & life stability commit to max foriyear 2) emotional skills (Consult with • Assist with progress on ISP attending at least education enrollment and and poor life Support Services (2) TSJ groups iR persistence stability Manager) yeaK one • Assist with progress on ISP (educational and /or social & emotional) C� Page 56 Taller San Jose, Support Services Manual A 54 s • a�a Target ' Facilitated by What When Incentive Interns Support Services • Assist with keeping & • 1 Year -2 Year: 45 If necessary and Specialist advancing in job minutes every 3 based on budget •'Assist with postsecondary months for (Consult with education enrollment and everybody Support Services persistence Manager) • Assist with progress on ISP C� Page 56 Taller San Jose, Support Services Manual A 54 *Interns attending counseling at Taller San Jose maybe eligible for an incentive at the completion of therapy services if the Support Services Specialists decides individual therapy over group sessions Is in the best interest of the Intern. The amount will be determined by the Support Services Specialist in consultation with the Therapist but not to exceed $100 in year 1 and $75 in year 2. Page 57 Taller San Jose, Support Services Manua2 SIAM ArW55 YSPN MEMBER PERFORMANCE PLAN 2014-2015 PROJECTED ENROLLMENTS & EXPENDITURES (NOTE: 100% OF YOUTH MUST BE ENROLLED BY 2" QUARTER-DECEMBER 31, 2014) fs -..-q gyp"'4 J�'..Ott I #h TIT, &I, REN �' mn _01 M R i R EWA 02�1 A_' L'R ZM !I,, 'Uom_ -Mit N SP �_,,14 jeyNagt�j 511 -or RMFerf e'" 7 $20,933 6. Leadership development opportunities which may 3 $20,933 include community service and peer-centered $20,933 10 x 74% = 7 $17,201 py, 011 T— RRE 10 $80,000 1 1 1-1.1— VP 1— LAIternative PERFORMANCE GOALS/COMMON MEASURES *DISCLAIMER: OUTCOMES ARE SUBJECT TO INCREASE/DECREASE DEPENDING ON YOUTH POPULATION H N 3co Tllq MMM-11 fs -..-q gyp"'4 J�'..Ott I #h W [hip gm ZM N _00 -or RMFerf e'" 1. Tutoring, study skills training, and instruction, X 6. Leadership development opportunities which may eaOing to completion of secondary school, include community service and peer-centered 10 x 74% = 7 activities encouraging responsibility and other positive social behaviors during non-school hours, as LAIternative 10 x 65% 7 ...... . . . . . . . . 77— �jmpv` 10 x 67% X JR appropriate; EXHIBIT B 25A-456 H N 3co Tllq MMM-11 -'mM gF g 'W'mn ?ffiffl— T _00 1. Tutoring, study skills training, and instruction, X 6. Leadership development opportunities which may eaOing to completion of secondary school, include community service and peer-centered including dropout prevention strategies activities encouraging responsibility and other positive social behaviors during non-school hours, as LAIternative appropriate; 2. secondary school services, as X 7. Supportive Services (e.g. tools, books, -clothing, etc appropriate; 3. Summer employment opportunities that are X 8. Adult Mentoring for the period of participation and X directly linked to academic and occupational a subsequent period for a total of not less than 12 learning (this element cannot be offered as a months; stand-alone activity); X 4. As appropriate, paid and unpaid work X 9. Follow-up services for a minimum of 12 months experiences, including internships and job after the completion of participation as appropriate; shadowing; and S. Occupational skill training, as appropriate; X 10. Comprehensive guidance and counseling which X may include drug and alcohol abuse counseling and I I referral, as appropriate, EXHIBIT B 25A-456 COMPLAINT HANDLING UNDER THE WORKFORCE INVESTMENT ACT SANTA ANA WIA Santa Ana Local Workforce Investment Area Revised May 7, 2009 EXHIBIT C 25A -457 Table of Contents I. Information Regarding Complaints 3 A. Nondiscrimination and Equal Opportunity Complaints 3 1. Policy Statement 3 2. Civil Rights 4 3. Nondiscrimination laws under WIA 4 4. How to File Your Complai B. Criminal Complaints II. General Procedures for Handling Non - Criminal Violations of the Act 6 III. Procedures for Handling Complaints at the LWIA Level 8 IV. Procedures for Handling Complaints at the State 12 V. Procedures for Handling Discrimination Complaints by Participants 15 VI. Procedures for Handling Handicap Complaints by Participants 17 GLOSSARY OF WIA TERMS 2 :r5A T4`58 I Information Regarding Complaints A. Nondiscrimination and Equal Opportunity Complaints 1. Policy Statement In carrying out the purpose of the Workforce Investment Act (WIA), the City of Santa Ana Local Workforce Investment Area (LWIA) will establish programs to prepare youth and unskilled adults for entry into the labor force and to afford job training to those individuals facing serious barriers to employment. Every effort will be made to provide services necessary for eligible individuals to obtain productive employment. In implementing WIA, all contractors in the Santa Ana LWIA will foster equal opportunity and non - discrimination, as provided in State and Federal equal opportunity and non - discrimination laws including, but not limited to: • Title VI of the Civil Rights Act of 1964 • Title VII of the Civil Rights Act of 1964 • The Age Discrimination Act of 1975, as amended • Section 503 of the Rehabilitation Act of 1973 • Section 504 of the Rehabilitation Act of 1973 • Title IX of the Education Amendments of 1972 • Section 188 of the Workforce Investment Act of 1998 In keeping with our commitment, no individual shall be excluded from participation in, denied benefits of, subjected to discrimination under, or denied employment, in the administration or of in connection with any WIA funded program because of race, color, religion, sex, national origin, age, handicap, or political affiliation or belief. Participation in programs and activities financially assisted in whole or in part under WIA shall be open to citizens and nationals of the United States, lawfully admitted permanent resident aliens, lawfully admitted refugee, parolees, and other individuals authorized by the Attorney General to work in the United States. No individual will be intimidated, threatened, coerced, or discriminated against because of filing a complaint, furnishing information, or assisting or participating in any manner in an investigation, compliance review, hearing or any other activity related to the administration of WIA. OA-459 Administration responsibility for this Equal Opportunity /Affirmative Action (EO /AA) Program is delegated to the Equal Employment Opportunity (EEO) Officer for the Santa Ana local Workforce Investment Area. Equal opportunity and non- discrimination, however, will only be achieved through leadership and implementation of a viable Affirmative Action Equal opportunity Program. 2. Civil Rights No one applying for or enrolled in the Workforce Investment Act (WIA) programs may be discriminated against because of race, color, creed, handicap, national origin, sex, age, political affiliation, or beliefs. This means that — for any of the characteristics listed above: • You may not be denied the opportunity to enroll in WIA. • No benefits or services may be denied you for discriminatory reasons. • You may not be segregated or treated any differently from other applicants or participants, while you are being registered, interviewed, counseled or tested; or while you are working or attending classes as part of the program. • You must be provided an equal chance to use all facilities available in the program. • Fair employment practices must be provided to all staff with regard to recruiting, hiring, transferring, promotions, training, compensation, benefits, layoff, and termination. You have the right to make a complaint if you feel you have been denied any of the above opportunities. You cannot in any way be penalized for filing a complaint. Your WIA sponsor has established a mechanism for handling complaints and grievances. Your complaint must be filed within 180 days. All complaints will be handled confidentially. 3. Nondiscrimination Laws under WIA Title VI of the Civil Rights Act of 1964 Prohibits discrimination on the basis of race, color, national origin, or religion. The Age Discrimination Act of 1975 Prohibits arbitrary discrimination against persons age 40 -70. The Rehabilitation Act of 1973 4 IM O Prohibits discrimination based on handicap. Title IX of the Education Amendments of 1972 Prohibits discrimination in any education or training program or activity receiving federal financial assistance. OTHER CIVIL RIGHTS LAWS: Title VII of the Civil Rights Acts of 1964 Prohibits discrimination in employment based on race, color, religion, sex, or national origin in all terms and conditions of employment and establishes the Equal Employment Opportunity Commission as the administrative agency. White House Executive Order no. 11246 as Amended by Executive Order No 11375 Creates the office of Federal Contract Compliance and prohibits discrimination based on race, color, sex, religion, or national origin. Department of Labor Secretary's Order no. 4 -73 Prohibits discrimination based on sex. Equal Pay Act of 1963 Prohibits pay differential solely because of sex. Emergency Employment Act of 1971 Prohibits discrimination based on race, creed, national origin, political affiliation, or beliefs. 4. How to File Your Complaint a. Put your complaint in writing. b. Have it sworn to before a notary public, if possible. c. Provides details that tell what happened, where it happened and when it happened. d. Give the name and addresses of all persons who were present or who had anything to do with the matter. ...Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation and citizenship, must be filed within 180 days of the alleged occurrence directly with: s AN 41 Director Civil Rights Center U.S. Department of Labor, Room N -4123 200 Constitution Ave., NW Washington, D.C. 20210 Complaints on the basis of handicap must be filed within 180 days of the alleged occurrence. These complaints must be filed directly with the WIA administrative entity. The WIA administrative entity shall issue a written decision within 30 days of the filing of the complaint. If the complaint is still unresolved, an appeal may be made to the Chief of State Workforce Investment Division Office. The Department of Labor, the Civil Service Commission, the Equal Employment opportunity Commission, and many other offices and agencies are committed to assuring equal employment opportunities for all persons. They will protect you. A case may be taken to court if the other processes do not yield satisfactory results. You may hire your own lawyer, or if you cannot afford one, the court may appoint one for you. It is unlawful for an employer, union, or employment agency to punish you or any witness for attempting to present the facts in a case. YOUR CIVIL RIGHTS UNDER THE WORKFORCE INVESTMENT ACT Santa Ana Local Workforce Investment Area 1000 E. Santa Ana Blvd., Ste 200 Santa Ana, CA 92701 (714)565 -2600 B. Criminal Complaints In accordance with the WIA (P.L. 105 -200) and the implementing code of Federal section 667.600.... Federal handling of criminal complaints and report fraud, abuse and other criminal activity. "All information and complaints involving fraud, abuse or other criminal activity shall be reported directly and immediately to the City of Santa Ana and the Secretary of Labor." II. General Procedures for Handling Non - Criminal Violations of the Act The following procedure is promulgated to meet the requirements of Title 20, of the Code of Federal Regulations, Section 667.600 through 667.640 of the WIA regulations, and Section 181(c) of the Act (Public Law 105.200: 29 U.S. Code Sec. 2931 et seq.) at the State and LWIA IMA2 level for the receipt, investigation, hearing, and resolution of complaints by WIA participants, sub recipients, applicants for participation, or financial assistance, labor unions, community based organizations, or any other persons. These procedures provide for resolution of non - criminal complaints arising from the operation of the Santa Ana LWIA. A complaint is defined here as a written expression by a party alleging a violation of the Act, regulations promulgated under the Act, recipient grants, sub agreements, or other specific agreements under the Act, including terms and conditions of employment of such participants in employment training programs. All complaints, amendments and withdrawals shall be in writing. These procedures are intended to resolve matters which concern policies, procedures or action(s) arising in connection with WIA programs operated by each LWIA grant recipient and sub recipient under the Act. These procedures shall not be construed as affecting any other available legal remedy outside of the WIA complaint process (i.e., disputes regarding terms and conditions of employment of any employee who is not a participant), either separately or simultaneously, that a person may wish to pursue in the resolution of a non -WIA complaint. Also, these procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion Procedures do not restrict the LWIA grant recipient staff in carrying out informal discussion and resolution of any problems outside of and without resort to the formal complaint procedure. A. The following principles and rules apply to all complaints at all steps of the complaint procedures: 1. All complaints must be made in writing within 180 days of the alleged occurrence, except complaints alleging fraud or criminal activity. All persons filing a complaint shall be free from restraint, coercion, reprisal, or discrimination. Good faith efforts shall be made to informally resolve the complaint prior to the scheduled hearing. Complainants have the right to withdraw their complaints (in writing) at any time prior to the hearing. A complainant may amend his /her complaint to correct technical deficiencies but not to add issues. 3. Complainants shall have the right to be represented at their own expense by person(s) of their choosing at all levels of the complaint process. 4. Upon enrollment into employment or training, participants shall be provided with a written description of these procedures, including notification of their right to file complaints and instructions for filing. An employer of participants, including private- for - profit employers of participants, may use this or other complaint resolution procedures so long as the participant is informed of the complaint resolution procedure they are to follow and the time frames governing review of complaints are met. M . A "participant ", within the meaning of these procedures, is an individual who receives employment- training services under a program funded by Santa Ana LWIA. The Complaint Resolution Procedures contained herein (or the alternative procedures which an employer may use) shall be available to participants to resolve disputes regarding items and conditions of employment of such participants in employment training programs. However, such procedures shall not be used to resolve disputes regarding terms and conditions of employment of any employee who is not a participant, as defined herein. 5. If a complaint does not receive a decision at the LWIA grant recipient level within 60 days of filing the complaint or receives an unsatisfactory decision, the complainant then has a right to request a review of the complaint by the Governor. 6. Complainants must initially file and exhaust LWIA grant recipient /hearing procedures prior to appealing to the State except where the State determines that the LWIA grant recipient's procedures are not in compliance with the State's procedures. III. Procedures for Handling Complaints at the LWIA Level A. Receipt Complaints Pursuant to the WIA regulations found at 20 CFR, Section 667.600, the LWIA administrative entities have the responsibility to conduct hearings and resolve complaints made by individuals about the administration of programs in the LWIA. "LWIA level" encompasses LWIA administrative entity and employers to which the administrative entity has delegated the complaint resolution process. The following comprise the guidelines for resolving issues arising in connection with WIA programs operated by the Santa Ana LWIA including resolutions of complaints arising from actions, such as audit disallowances or the imposition of sanctions taken by the Governor with respect to audit findings, investigations or monitoring reports. 1. Form and Filing of Compliant Official filing date of the compliant is the date the written complaint is received. The filing of the complaint with the Santa Ana LWIA Equal Employment Opportunity Officer shall be considered as a request for hearing and a decision must be issued within 60 days. The complaint must be in writing and must be signed and dated. The complaint should also contain the following information: a. Full name, telephone number, if any, and mailing address of the complainant; b. Full name, telephone number, and mailing address of the agency involved (respondent); c. Clear and concise statement of facts including dates constituting alleged violation; 2CXIT4G4 d. What provisions under the Act, regulations, grant or other agreements under the Act, are believed to have been violated; e. Remedy sought by the complainant; and f. If the complainant is a private or public entity or corporation, and not a natural person, the filing of the complaint must be duly authorized by the governing body of such entity or corporation. The absence of any of the requested information shall not be a basis for dismissing the complaint. A copy of the complaint must be sent to the respondent and both parties notified of the opportunity for an informal resolution. At each step of the complaint process, the complainant must be notified in writing of the next procedural step. 2. Informal Conference Informal conferences will be utilized by the Santa Ana LWIA to resolve complaints; however, such informal conferences shall not extend the time within which a decision must be issued after receipt of a complaint. Attempts at informal resolution will commence with two (2) weeks of the date of filing of the complaint. a. The EEO Officer will review the case and ascertain facts prior to the conference so that appropriate resolution can take place at the time of this meeting whenever possible. b. Although the complainant should be encouraged to attend this conference, his /her failure to do so should not preclude his /her right to request a hearing on the matter. c. If mutually satisfactory resolution results and the Santa Ana LWIA concurs, the EEO Officer will write a brief report for the file stating the issues and resolution. The matter shall then be considered closed. If resolution does not result, the complainant shall be provided the necessary information and assistance to request a hearing if he /she so desires. 3. Request for Hearing As in the case of the complaint, the request for a hearing should be put in writing and be filed in person or by mail. A governing board resolution of authorization to appeal should also be submitted when appropriate. The request should be filled with: Anita Queen Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive, M -24 Santa Ana, CA 92701 (714) 647 -5157 OA-4G5 b. A hearing will be scheduled by the EEO Officer within thirty (30) days of the date of filing of the complaint. 4. Notice of Hearing Upon receipt of the request for hearing, the complainant and the respondent will be notified in writing of the hearing ten (10) calendar days prior to the date of the hearing. The ten -day notice may be shortened with the written consent of the parties. A decision will be issued by the Santa Ana LWIA within sixty (60) days of the date of filing of the complaint. The hearing notice shall be in writing and contain the following information: a. The date of notice, name of the complainant, and the name of the party against whom the complaint is filed. b. The date, time and place of hearing before an impartial hearing officer. c. A statement(s) of the alleged violation(s) d. Advise as to where information or assistance may be obtained, and the name, address, and telephone number of the Santa Ana LWIA Equal Employment Opportunities (EEO) Officer who can answer inquiries. B. Conduct of Hearing The hearing shall be conducted in an informal manner with strict rules of evidence not applicable. Unnecessary technicalities should be avoided. It should provide the flexibility to enable adjustment to the circumstances presented. The hearing officer shall have complete independence to obtain facts and make decisions. The hearing officer shall be in a position to render impartial decisions and thus should not be subordinate to the Santa Ana LWIA or its sub recipients. The hearing officer will be selected from a list of names on file with the EEO Officer. 2. Full regard must be given to the requirements of due process to insure a fair and impartial hearing. The hearing office designated by the EEO Officer to function in a quasi - judicial capacity should begin the hearing by summarizing the record and the issue and should explain the manner in which the hearing will be conducted, making sure that everyone involved understands the proceedings. Such explanations should be adapted to the needs of the specific situation. The hearing officer might take testimony under oath or affirmation to give some assurance of veracity to the hearing. so �1OA -4`66 4. The burden of proof should be reasonable and flexible, dependent upon the circumstances of the case involved. The hearing officer determines the order of proof. Generally, the party making the complaint has the obligation of establishing his or her case and should be examined first. 5. The party involved should have the right to be represented (at their own expense) if he /she so desires. Other he /she is limited to his /her own abilities and those to the hearing officer in obtaining testimony in the case. 6. It is important that the hearing officer obtain the fullest information for the record. If the parties involved, or their representatives, do not know how to ask the right or pertinent questions in pursuing their right to due process, it shall be necessary for the hearing officer to step in to have all the materials and relevant facts elicited. 7. The practice in informal hearings is generally not to apply strict rules of evidence in obtaining facts. However, the quantity of evidence required to support a decision on an issue should be sufficiently credible that the state (or other appropriate agency), upon reviewing the decision, would conclude that the decision is supported by substantial evidence. The hearing officer should attempt to negotiate a resolution of the issue at any time prior to the conclusion of the hearing. 9. Within ten (10) days of the conclusion of the hearing, the hearing officer will issue a recommended decision to the LWIA for final determination. The recommended decision shall be in writing and may be accepted, rejected or modified by the Santa Ana Workforce Investment Board. C. Issuance of Decision Within sixty (60) calendar days of filing of the complaint, the Santa Ana LWIA shall issue a written decision to all parties by first class mail. The final decision shall contain the following information: 1. The name of the parties involved. 2. A statement of the alleged violation and issues related to the alleged violation. 3. A statement of the facts. 4. The decision and the reasons for the decision. 5. A statement of corrective action, if any, to be taken. 6. Notice of the right to request, within ten (10) calendar days of receipt of the decision, a review of the decision by the State Review Panel. D. Record of Hearing si 16 =4t7 An administrative file containing support documents on the complaint resolution process hearing conducted will be retained by the Santa Ana LWIA. The purpose of a record is to serve as substantiation of the process followed by the Santa Ana LWIA on the resolution of the issues and the results. This information would then be available for subsequent review in the event the matter is raised with the State. Such records must be retained for a three - year period after the grant has been officially closed out. The Santa Ana LWIA's written decision will be included in the record. Evidence received at the hearing, notes by the hearing officer, stenographer's notes and tape recordings may also be used. E. Establishment of Complaint Procedures In accordance with Section 667.600, each employing agency including private- for - profit employers of participants under the Act is required to establish a complaint procedure for resolving matters relating to the terms and conditions of employment. Employers may operate their own grievance system or may utilize the Santa Ana LWIA's established procedures under Section 667.600. At a minimum these procedures must include: Written notice, upon enrollment into employment training services, of the scope and availability of such procedures. Employer's grievance procedures shall be set forth in a written document and must meet the regulation mandate that a complaint will be resolved with sixty (60) days from the date the complaint was filed. A copy of employer's grievance procedure shall be provided to each participant upon enrollment in employment training. 2. Written notice, at the time the grievance is filed, of the procedures under which the grievance will be processed. Written notification of the disposition of the grievance and a written decision shall be issued within thirty (30) days of the filing of the grievance unless a present and long established grievance specifically provides other limits; and 4. Written notification of the participant's right to request a review of the employer's decision by the Santa Ana LWIA and the State Review Panel in accordance with Section 667.600. IV. Procedures for Handling Complaints at the State Level Section 181 (c) of the Act and the WIA regulations at 20 CFR, Section 667.600 (d) requires the Governor to establish a State Review process of complaints filed at the LWIA grant recipient level and of complaints initially filed at the State level. Appeals of decisions issued at the LWIA level including audit disallowances and sanctions shall be reviewed by the State Review Panel. The State Review Panel shall review the record established at the LWIA level and shall issue a decision based on the information contained therein. 2 1 ANI 8 Complaints which may be initially filed at the State level will be heard by an independent hearing officer designated by the State Workforce Investment Division (WID). The hearing officer shall conduct a hearing and issue a recommended decision to the State Panel. The recommended decision shall be in writing and may be accepted, rejected or modified by the State Review Panel. A. Form and Filing of Complaint. 1. Request for State Review of LWIA Level Decisions On receipt of a complainant's request for review because of an unsatisfactory decision, the State shall provide for an independent state review. 2. Filing of Requests for State Review The State Review Panel shall review all LWIA level decisions when a request for review is filed within 10 days of receipt of the adverse decision. Such requests must be filed in writing with the Chief of the WID Office. The request for review should contain the following information: a. Full name, address, and telephone number of the party requesting the review b. Full name, address, and telephone number of the other party c. A copy of the decision d. Brief statement of reasons for review or the section of the LWIA decision to be reviewed including regulatory and statutory citations e. A statement of the relief sought. 3. Complainant Responsibility It is the responsibility of the complainant to include in the request for review a written statement setting forth the facts presented at the LWIA hearing which support the requested relief. The Chief, WID, shall mail a copy of the request for review to the other party and to the LWIA. It shall be the responsibility of the LWIA to submit the complete record including a typed record of the hearing to the Chief, WID, within ten (10) days. B. Conduct of Hearings. 1. Request for Hearing at the State Level If no decision has been issued at the LWIA level or the State has determined an audit disallowance or imposed sanctions, the complainant may request a hearing. The 13 flXU9 hearing officer will then issue a recommended decision to the State's Review Panel for final determination. 2. Filing for Request for Review The request for a State hearing shall be filed within ten (10) days after LWIA should have issued a decision or ten (10) days after the issuance of the audit disallowance or sanction. The request shall be filed directly with the Chief of the WID in writing and should include the following: a. Full name, address, and telephone number of the LWIA b. Name, address, and telephone number of the LWIA C. Copies of complaints made at LWIA level from which no decisions were issued or sanctions and imposed. d. A statement of basis for the request for hearing. 3. Evidentiary Hearing Upon receipt of the request for a State level hearing, a hearing before a designated hearing officer will be scheduled. The hearing will be recorded mechanically or by court reporter. Both parties concerned will have the opportunity to present oral and written testimony under oath, to call and question witnesses in support of his /her position, to present oral and /or written arguments, to examine records and documents relevant to the issue(s), and to be represented. The hearing officer shall issue a written decision, which shall be forwarded to the State Review Panel for final determination. The State Review Panel may accept, reject or modify this recommendation. The decision of the State Review Panel is final except for audit disallowances, which must be approved by the Secretary of Labor C. State Review Panel The State Review Panel will consist of a panel of three representatives from the Employment Development Department: one from the Legal Offices, one from the WID, and one from the Director's office. The panel will issue a written decision, which will be sent to the appropriate parties within thirty (30) days of receipt of the request for State review. Decisions issued by this panel, under the authority of the Governor, are final. 14 Mllft D. Issuance of State Review Decision. The State review will be limited to violations of the WIA, implementing WIA regulations or the grant agreement. This review shall be limited to the record established at the LWIA hearing. V. Procedures for Handling Discrimination Complaints by Participants. A. Complaints on the basis of race, color, or national origin, age, sex, religion, political affiliation or belief, retaliation, and citizenship, where appropriate, must be filed within 180 days of the alleged occurrence. It is the responsibility of the Santa Ana LWIA's Equal Employment Opportunity (EEO) Officer to determine jurisdiction and to make the complainant aware of and provide assistance in filing a complaint in accordance with the Santa Ana LWIA's procedure under Section II (A). is 011A114`T 1 PROCEDURES FOR HANDLING NON. CRIMINAL COMPLAINTS No later than 180 days of alleged discrimination Within 10 days of receipt of unsatisfactory decision or 10 days from date LWIA decision should have been issued. Handling of complaints filed at LWIA level arising in connection with WIA programs operated by LWIAs Informal Resolution Process Unsatisfactory Decision or LWIA Decision not issued within 60 days Request for State Review Governor's Decision issued by State Review Panel o If no decision issued by State Review Panel Appeal to DOL 16 bA -T4t2 w 0 0 0 w 0 0 O N c c c v 2. In cases where areas of authority overlap, it is the responsibility of the EEO Officer to advise the complainant of the existence of State, Federal and other proper action agencies, which may also have a bearing. 3. Complainants alleging discrimination under this part will be made aware of their right to file directly with the Office of Civil Rights (OCR), U.S. Department of Labor and applicable procedures. 4. Complainants must file their complaint directly with: Anita Queen Sr. Personnel Analyst — EEO Officer 20 Civic Center Drive, M -24 Santa Ana, CA 92701 (714) 647 -5157 VI. Procedures for Handling Handicap Complaints by Participants Complaints alleging discrimination on the basis of handicap will be filed and processed under the Department of Labor regulations implementing Section 504 of the Rehabilitation Act of 1973 at 29 Code of Federal Regulations Section 32. 1. Complaints must exhaust the Santa Ana LWIA's informal resolution procedures before filing their complaint with OCR. 2. Complainants will be made aware of the 180 days requirement in which to file his /her complaint. A. Procedures at the LWIA Level The complainant shall file his /her complaint directly with the Santa Ana LWIA. Upon receipt of the complaint, the EEO Officer shall investigate and gather information concerning the complaint. 2. An informal conference will be held with the parties concerned in an effort to resolve the issue(s). The complainant has the right to be present and may be represented during the conference. 3. The Santa Ana LWIA shall issue in writing its decision to the complainant no later than thirty (30) days after the filing of the complaint. B. Procedures at the State Level The complainant may appeal to the State if he /she is not satisfied with the decision of the Santa Ana LWIA. 17 26W -14`!3 2. The Complainant must file his /her appeal as a request for review directly with the Chief WID within ten (10) calendar days after the receipt of the Santa Ana LWIA's decision. The Chief -WID, shall issue a decision no later than thirty (30) calendar days after receipt of the request for review. 4. After the complainant has received a decision or no decision has been received from the Director of Employment Development Department (on behalf of the Governor), the complainant has the right to appeal his /her complaint within thirty (30) calendar days to the Office of Civil Rights (OCR) with the Department of Labor. 18 IM!14`i4 PROCEDURES FOR HANDLING HANDICAP COMPLAINTS No later than 180 days of alleged discrimination Filed within 30 days of LWIA/State Decision or 90 days from date of initial filing of complaints Filing of complaint on the basis Of Handicap with LWIA k Day Informal Resolution o If no resolution reached o Request for Hearing Notice of Hearing Hearing Conducted I I Day 145 Day LWIA Decision Unsatisfactory Decision or No Decision State Review I Governor's Decision I Appeal to Assistant Secretary Department of Labor 19 f!4`!5 60 Days GLOSSARY OF WIA TERM AGE DISCRIMINATION ACT — A law passed by Congress in 1975 which prohibits discrimination on the basis of age by any program or activity receiving Federal Funds. APPLICANT — An individual who applies to a subrecipient or contract for services provided under WIA and who has not yet transitioned to the status of participant. ASSESSMENT — Services designed to determine each participant's employability, aptitudes, abilities and interests and to develop a plan to achieve the participant's employment and related goals; also to identify the available employment and traning activities appropriate for the participant. Testing and counseling may also be used during assessment process. CHARGING PARTY (CP) COMPLAINANT GRIEVANT OR AGGRIEVED PERSON — The person who charges that he /she has been discriminated against under Department of Justice nondiscrimination and civil rights regulations and /or guidelines. DISCRIMINATION — In general, a failure to treat all equally, whether intentional or unintentional; the effect of an action, policy or practice which selects an individual or class of persons to receive unequal treatment. ELIGIBLE NON - CITIZEN — Lawfully admitted permanent resident, aliens, lawfully admitted refugees, and parolees and other individuals authorized by the Attorney General to work in the United States. EMPLOYER — An employer subject to the provisions of the Civil Rights Act of 1964, as amended, including state and local governments and any Federal agency subjects to the provisions of Section 717 of the Civil Rights Act, as amended; and any Federal contractor or subcontractor covered by executive Order 11246, as amended. GRIEVANCE — An allegation that something imposes an illegal obligation or burden or denies some equitable or legal right, or causes injustice . HANDICAPPED INDIVIDUAL — Any individual who has a physical or mental disability that constitutes or results in a substantial handicap to employment. INTAKE — Includes screening to determine eligibility; to select from eligible applicants those individuals who are most in need and can benefit from program services; to complete procedural requirements necessary to enroll an individual into the program and to refer those not enrolled to other programs. JOINT COMPLAINT — A complaint of employment discrimination covered by Title VII or the Equal Pay Act and by Title VI or Title IX. Individual "joint complaints" are normally investigated by EEOC 20 1 B14�6 unless OCR has a compelling reason to investigate. "Joint complaints" alleging discrimination in employment and other practices and pattern or practice "joint complaints" are normally investigated by OCR. JURISDICTION — Authority to investigate and resolve complaints against an institution subject to a law or statute which has been assigned to OCR for enforcement, i.e., Title VI, Title IX, etc. PARTICIPANT — Any applicant who has: (1) Been determined eligible for participation upon intake; and (2) Who is receiving subsidized employment, training or services (except post- termination services) funded under the Act, following intake, except for an individual who receives only outreach and /or intake and assessment services. 21 M'4`T7 CERTIFICATION REGARDING LOBBYING CERTIFICATION FOR CONTRACTS GRANTS LOANS and COOPERATIVE AGREEMENTS The undersigned certifies, to the best of his or her knowledge and belief, that: 1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement. 2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form -LLL, "Disclosure Form to Report Lobbying." in accordance with its instructions. 3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including agreements) and that all subrecipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. 1352. 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 occurring on or before October 23, 1996, and of not less than $11,000 and not more than $110,000 for each such failure. Taller San Jose Grantee /Contractor rganization Signature Date Shawna Smith- — - - -- -- - - Name of Certifying Official Signature EXHIBIT D 25A -478 Certification Regarding Drug -Free Workplace Requirements The certification set out below is a material representation upon which reliance is placed by the U.S, Department of Housing and Urban Development in awarding the grant. If it is later determined that the contractor knowingly rendered a false certification, or otherwise violates the requirements of the Drug -Free Workplace Act, the U.S. Department of Housing and Urban Development, in addition to any other remedies available to the Federal Government, may take action authorized under the Drug -Free Workplace Act. CERTIFICATION A. The contractor certifies that it will provide a drug -free workplace by: (a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession or use of a controlled substance is prohibited in the contractor's workplace and specifying the actions that will be taken against employees for violation of such prohibition; (b) Establishing a drug -free awareness program to inform employees about — (1) The dangers of drug abuse in the workplace; (2) The contractor's policy of maintaining a drug -free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance program; and (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace; (c) Making it a requirement that each employee who will be engaged in the performance of the grant be given a copy of the statement required by paragraph (a); (d) Notifying the employee in the statement required by paragraph -(a) that, as a condition of employment under the contract, the employee will - (1) Abide by the terms of the statement; and (2) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five days after such conviction. (e) Notifying the U.S. Department of Housing and Urban Development within ten days after receiving notice under subparagraph (d)(2) from an EXHIBIT E 25A -479 employee or otherwise receiving actual notice of such conviction; (f) Taking one of the following actions, within 30 days of receiving notice under subparagraph (d)(2), with respect to any employee who is so convicted - ( 1) Taking appropriate personnel action against such an employee, up to and including termination; or (2) 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; (g) Making a good faith effort to continue to maintain a drug -free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (f). B. The contractor shall insert in the space provided on the attached "Place of Performance" form the site(s) for the performance of work to be carried out with the grant funds (including street address, city, county, state, and zip code) .the contractor further certifies that, if it is subsequently determined that additional sites will be used for the performance of work under the contract, it shall notify the U.S. Department of Housing and Urban Development immediately upon the decision to use such additional sites by submitting a revised "Place of Performance" form. Date Program Operator Signature Taller San Jose EXHIBIT E 25A -480 DIVISION OF EMPLOYMENT SERVICES PLACE OF PERFORMANCE FOR CERTIFICATION REGARDING DRUG -FREE WORKPLACE REQUIREMENTS Name: Taller San Jose Name of Contractor: Taller San Jose Contractor Number: Date: The Contractor shall insert in the space provided below the site(s) expected to be used for the performance of work under the contract covered by the certification: Place of Performance (include street address, city, county, state, zip code for each site): 801 N. Broadway Santa Ana CA 92701 EXHIBIT E 25A -481 Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions This certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 29 CFR Part 98, Section 98.510, Participants' Responsibilities. The regulations were published as Part VII of the May 16, 1988, Federal Register (Pages 19160 - 19211). (Before completing certification, read instructions which are an integral part of certification) 1. The prospective primary participant, (i.e. grantee) certifies to the best of its knowledge and belief, that it and its principals: a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency; b. Have not within a three -year period preceding this proposal been convicted or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state or local) transaction or contract under a public transaction; violation of federal or state antitrust statues or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property. c. Are not presently indicted for or otherwise criminally or civilly charged by a government entity (federal, state or local) with commission of any of the offenses enumerated in paragraph (1)(b) of this certification; and d. Have not within a three -year period preceding this application /proposal had one or more public transactions (federal, state or local) terminated for cause or default. 2. Where the prospective primary participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. Taller San Jose Grantee /Contractor Cyganization Shawna Smith. CEO /Executive Director Name and Title of Official Authorized to Certify On Behalf of the Grantee 3118/14 Date EXHIBIT F 25A -482 Budget Form r1A -: WIA Match /In Kind 44::4 t .erv�t5i�ttBilm�i "¢ti.i . I 1, Karyn Mendoza - Director of Student Services -8% 6,582 6,582 2. Case Manager- Michelle Delaclo -60% 27,000 27,000 3. Enrollment Specialist- Angle Rodriguez -21% 8,419 8,419 4. Meghan Medlin - Employment Services Manager -16% 9,280 9,280 5. Martha Guzman- MCA Program Manager -16% 9,440 6. Armando Gonzales - CTA Instructor - 30% 15,600 7. Elfie Abril - Support Services Manager -20% 10,710 8, Samantha Matillo- Career and Education Manager -20% 10,400 9. Nancy Loughrey- Director of Finance -5% 4,203 411,203 ,air Win is W�rm V; rri Mu 1, Karyn Mendoza -Director of Student Services- 8% 1,580 1,580 2. Case Manager_ Michelle Delaclo- 50% _ _. _ 6,480 6,480 _ 3.Enrollrent Specialist - Angle Rodriguez -21 %_ _ 2,020 2,020 - 4. Meghan Medlin- Employment Services Manager -16% 2,227 2,227 5. Martha Guzman - MCA Program Manager - 16% 2,266 6 Armando Gonzales - CTA Instructor -30% 4744 ] Elfie Aarll - Support Services Manager -20% 2,570 8, Samantha Matillo - Career and Education Manager -20% 2,496 9. Nancy Loughrey -Director of Finance -5% 1,009 1,009 Total Personnel Salaries & Benefits $5,212 .'.$63,588 $68,800 $57,226 OUR L: NEW Rent /Occupancy 14,084 Utilities - Phones Fees /Computer support _ 4,252 Parking Fees Security Maintenance Classroom 5upplles _ 6,237 Insurance - ' -- Equlpmentrentalfees _ Equipment rental fees Vehicle lease Office expenses (consumables) - 1 681 Accounnn Services 1 - 2,349 Legal services _ - -- -- - AudltingServices J Induect Cast* Staff Training Staff Conferences Staff Travel /Mileage - Parbapant Stipends 10 interns at $100 /Wk. for 16 weeks at 70 %retention _ 11,200 _ 11,200 -" Supportive Services* _ 2,438 Participant Incentives* Vouch Conferences Tote10 erating.Expenses . .$11260 $11;200 $31,041 ORANP TOTAL tenannolA OO*renntl $5,212_` , .$74,788 $80,000 SH8.267 r- r1A -: BUDGET NARRATIVE for Taller San Jose 1. Identify the percentage of budget that will go directly to youth (work experience payments, direct training, supportive services, etc.) versus the percentage of overhead and administrative costs. (ex: 50% of budget will be directly spent on youth in the form of work experience and training). 94 %, or $74,788 of the $80,000 requested WIA funds, will be directly spent on youth in the form of participant training stipends and personnel expenses in the provision of direct training and supportive services. Based on past experience with WIA funding, and due to the complex and time - intensive nature of WIA reporting, funds have been primarily allocated towards staff expenses as a way to efficiently reduce administrative costs in program delivery and reporting for the organization. 2. Include a detailed narrative that outlines each line Item listed on the Budget Form. Personnel Expenses Director of Student Services - Karyn Mendoza - 8% Karyn ensures a continuum of service from application to job /education placement for students enrolled in training programs. She oversees all components of Taller San Jose's programs, including technical skills training, case management, employment and education pathways. Case Manager - Michelle Delacio - 60% As the WIA- dedicated case manager, Michelle will provide ongoing one -on -one supportive services and mentoring to students enrolled in the WIA- funded program. She will also be the primary liaison with the WIA staff and handle all reporting requirements. Enrollment Specialist - Angie Rodriguez - 21% Angie interviews each applicant to determine eligibility for admission and assesses youth barriers and motivation for enrolling in the program. Employment Services Manager - Meghan Medlin -16% Meghan provides ongoing employment training and coaching to youth in order to help them transition into employment successfully. She maintains relationships with employers of youth once they have been placed into jobs and works to ensure that youth retain and advance their employment. Medical Careers Academy (MCA) Program Manager - Martha Guzman -16% (in -kind) Martha oversees the Medical Careers Academy program and youth training. Construction and Green Technology Academy (CTA) Program Instructor, Armando Gonzales - 30% (in -kind) EXHIBIT G 25A -484 Armando provides daily instruction to construction academy trainees in construction fundamentals. Support Services Manager - Elfie Abril - 20% (in -kind Elfie manages the case management component of the program and its ongoing development, which address the social and emotional issues that may prevent youth from completing training and finding and keeping employment He oversees counseling services and facilitates social and emotional wellness support groups. Career and Education Manager - Samantha Matillo - 20% (in -kind Samantha manages the Education Pathways component of the program and provides 24 months of support to youth to help them achieve advanced certifications and enroll in and persist through post- secondary degree programs or apprenticeship training programs. Director of Finance - Nancy Loughrey - 5% Nancy oversees all reporting requirements and tracking systems for all income and expenses for the program. Personnel benefits are charged at 24 %, which reflects the agency's historical experience. _Operating Expenses Taller San Jose is requesting $11,200 for student stipends. Taller San Jose pays each student $100 per week of training and funding will support 12 students at a projected 70% retention rate. Taller San Jose is not requesting funding for its other operating expenses, including occupancy, internet fees /computer support, classroom supplies, office expenses, accounting services and supportive services, but is providing them in -kind. 3. At the end of the narrative please explain the program documents, logs, youth timecards, etc. that will be used to track work experience compensation or participant incentives (i.e.: timecards, sign -in sheets, etc.). Please include the program forms as Program documents included are a sample Trainee Handbook (Office Careers Academy) and a Trainee Stipend Timecard (please see Attachment J). The Trainee Handbook is received by youth during orientation and trainees are asked to sign and complete a shared agreement indicating that they will comply with Taller San Jose policies and maintain required attendance during their training. The handbook includes Taller San Jose's Stipend Policy (page 24) that requires youth to submit a timecard that has been completed by their program manager in order to receive their bi- weekly stipend. Daily training attendance is recorded by program instructors and stipends may be reduced if youth are absent. EXHIBIT G 25A -485 Assurances & Certifications Selected providers will be required to sign and submit "actual" assurances and certificates as required by the City of Santa Ana and the Workforce Investment Board on all contracts. I recognize that I must give assurances for each item below. If I cannot, this proposal will be u o- atically rejected. Please initial each box. I am authorized by my Board of Directors, Trustees, other legally qualified officer, or as the A/ owner of this agency or business to submit this proposal. 5 We are not currently on any Federal, State of California, or local Debarment list. We will provide records to show that we are fiscally solvent, if needed. We have, or will have, all of the fiscal control and accounting procedures needed to ensure that WIA funds will be used as required by law and contract. We have additional funding sources and will not be dependent on WIA funds alone. We do or will meet the applicable Federal, State, and local compliance requirements. include, but are not limited to: �g Records that accurately reflect actual performance. Maintain record confidentiality, as required. Reporting financial, participant, and performance data, as required. Comply with State and Federal fiscal and program activity audits. Comply with Federal and State non - discrimination provisions. Meet requirements of Section 504 of the Rehabilitation Act of 1973. Meet requirements of the American's with Disabilities Act of 1990 Meet all applicable labor law, including Child Labor Law standards. Agree to provide a drug free workplace. Agree to insure the City of Santa Ana through General Liability Insurance and Automobile Liability. Coverage in the amount of $1,000,000.00. Agree to provide all participants with Grievance Procedures. Agree to insure proposer's employees through Workers Compensation Insurance (including part -time employees) Procurement policies and procedures are in place and meet federal guidelines. Youth Protection Policy and Sexual Abuse & Molestation insurance of $2,000,000 We will not: Place a youth in a position that will displace a current employee. Use WIA money to assist, promote, or deter union organizing. (� Use funds to employ or train of persons in sectarian activities. Use funds for youth in the construction, operation, or maintenance of any part of a facility to be used for sectarian instruction or religious worship. ' Use WIA funds for activities that would interfere with or replace regular academic requirements for eligible youth who are not dropouts. 1^ Use WIA funds to carry out programs funded under the School -to -Work Opportunities Act of 1994 unless the program(s) are only for youth eligible to participate under WIA '] Use WIA money under this contract to purchase any equipment. I hereby assure that all of the above are true. ,4 f��_ O 2> Name Title EXHIBIT H 25A -486 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 3, 2014 TITLE: FEDERAL WORKFORCE INVESTMENT ACT AGREEMENT WITH WESLEY A. BOSCH FOR CAREER AND VOCATIONAL CONSULTING SERVICES CITY MANAGRA RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For_ CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute the attached Federal Workforce Investment Act consultant agreement with Wesley A. Bosch in the amount of $90,000 annually, for a total not to exceed $180,000 over a two -year term, subject to non - substantive changes approved by the City Manager and City Attorney. DISCUSSION The Federal Workforce Investment Act (WIA) requires that career and vocational assessment be provided to all participants that receive vocational training. The Santa Ana WORK Center has utilized the specialized services of a consultant to meet this requirement. On July 22, 2013, the Santa Ana WORK Center (SAWC) released a Request for Qualifications (RFQ), BID Number 13 -034, to solicit consultants to provide assessment services. The RFQ requested that services provided to participants include not only career and vocational assessment, but also career guidance, goal setting assistance, and counseling to resolve personal and/or family issues interfering with reemployment or training efforts. Five RFQs were mailed to qualified entities with only one response submitted by Mr. Bosch. Staff evaluated the proposal and determined that it met the desired qualifications. Additionally, a cost analysis was conducted to determine that service costs were reasonable. Staff recommends that a contract with Mr. Bosch be approved to provide services to SAWC clients and that the agreement be executed for a two -year period at which time a new service procurement will be required under WIA guidelines. FISCAL IMPACT Funds are available in the One Stop program account (no. 12318751 - 62300), the One Stop Adult account (no. 12318753- 69145), and the One Stop Dislocated Worker account (no. 12318754- 69145). 25B -1 Agreement with Wesley A. Bosch June 3, 2014 Page 2 Economic Development Specialise Community Development Agency DS /CDR/kg Exhibit: 1. Agreement APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency 25B -2 EXHIBIT 1 AGREEMENT WITH WESLEY A. BOSCH, M.A. UNDER THE WORKFORCE INVESTMENT ACT THIS AGREEMENT, made and entered into this 1st day of July, 2014, by and between Wesley A. Bosch, M.A., hereinafter referred to as "CONSULTANT ", and the City of Santa Ana, a charter city and municipal corporation duly organized and existing under the Constitution and laws of the State of California, hereinafter referred to as "CITY ". W- I- T- N- E- S- S -E -T -H Recitals: A. CITY has been designated a Local Workforce Investment Area (LWIA) under the Workforce Investment Act of 1998, Public Law 105 -220 ( "the Act "). B. The State of California has created the LWIA to administer the Act programs operated by the State of California pursuant to the Act. C. As a LWIA, CITY is entitled to receive federal funds to establish programs to prepare economically disadvantaged adults and youth for entry into the labor market and to provide job training to those individuals who are economically disadvantaged or otherwise face serious barriers in obtaining productive employment. One goal of California's Workforce Investment System is to provide individuals with the opportunities to achieve career goals that will allow them to successfully compete in the labor market and prepare them for higher education. D. CONSULTANT is experienced in providing assessment and career counseling for economically disadvantaged adults and youth for entry into the labor market ( "said program "). E. CONSULTANT is willing to operate said program pursuant to the Act and California law. WHEREFORE, for and in consideration of the respective and mutual covenants and promises hereinafter contained and made, and subject to all the terms and conditions hereof, the parties hereto do hereby agree as follows: TIME PERIOD OF AGREEMENT This Agreement shall commence as of July 1, 2014 and all services to be performed pursuant to this Agreement shall be completed on or before June 30, 2016. The term of this Agreement may be extended by a writing executed by the City Manager, or his designee, and the City Attorney. 2. INDEPENDENT CONTRACTOR CONSULTANT agrees that CONSULTANT is an independent contractor and not an employee of CITY and all of CONSULTANT'S personnel shall be employees of CONSULTANT and not employees of 25B -3 the CITY. CONSULTANT shall pay all salaries and wages, employer's Social Security taxes, unemployment insurance and wages, and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. CONSULTANT shall not subcontract any of the services required hereunder without the prior written approval of the CITY. 3. SCOPE OF SERVICES For and in consideration of the hereinafter stated payment by CITY to CONSULTANT, CONSULTANT agrees to perform, at its own cost and expense except for the compensation specified in this Agreement, the services specified in the Scope of Work attached hereto and incorporated herein as Exhibit A to this Agreement. 4. CONSULTANT OBLIGATIONS A. CONSULTANT agrees to maintain such records and submit such reports, data and information, on the form and containing such information, at such times as CITY may request or require regarding the performance of CONSULTANT'S services or activities, costs or other data, including but not limited to, participants' attendance, payroll records and job duty statements. B. CITY, the State of California and the United States government and /or their representatives shall have access for purposes of monitoring, auditing and examining of CONSULTANT'S activities, performance, books, documents, papers, and records of CONSULTANT, subcontractors, bookkeepers and accountants, and employees and participants related to this Agreement. Such agencies or representatives shall also schedule on -site monitoring in their discretion. Monitoring activities may also include, but are not limited to, questioning employees and participants and entering any premises or onto any site in which any of the services or activities funded hereunder are conducted or in which any of the records of CONSULTANT are kept. Nothing herein shall be construed to require access to any privileged or confidential information as set forth in federal or state law. In the event CONSULTANT does not make the above - referenced documents available within the City of Santa Ana, California, CONSULTANT agrees to pay all necessary and reasonable expenses incurred by CITY in conducting any audit at the location where said records and books of account are maintained. All accounting records and evidence pertaining to all costs of CONSULTANT and all documents related to this Agreement shall be kept available at CONSULTANT'S office or place of business for the duration of this Agreement and thereafter for three (3) years after completion of an audit. Records which relate to (a) complaints, claims, administrative proceedings or litigation arising out of the performance of this Agreement, or (b) costs and expenses of this Agreement to which CITY, the State of California or the United States Government take exception, shall be retained beyond the three (3) years until resolution of disposition of such appeals, litigation, claims, or exceptions. C. Without prejudice to any other section of this Agreement, CONSULTANT shall, where applicable, maintain the confidential nature of information provided to it concerning participants in 2 25B -4 accordance with the requirements of federal and state law. Notwithstanding the foregoing, CONSULTANT agrees to submit to CITY, the State of California and/or the United States Government or their representatives, all records requested for administrative purposes, including audits, examinations, monitoring and verification of records submitted by CONSULTANT, costs incurred and services rendered hereunder. D. CONSULTANT agrees to expend all funds in accordance with all applicable federal, state and local laws and regulations. CONSULTANT also agrees to provide at CONSULTANT'S own expense supplies and other costs of said PROGRAM. E. CONSULTANT shall comply with the provisions of 48 CFR, Chapter 1, Parts 1 -31.2, for commercial organizations and all other applicable federal statutes and executive orders and their implementing regulations. F. CONSULTANT shall comply with the provisions of E.O. 12549 and 12689, requiring compliance with the debarment and suspension requirements contained in 29 CFR Part 98, G. CONSULTANT shall comply with the requirements of federal regulations found at 29 CFR 93 which provide that no appropriated funds may be expended by the recipient of a federal contract, grant, loan or cooperative agreement to pay any person for influencing or attempting to influence an officer or employee of any agency, member of Congress or an officer or employee of a member of Congress in connection with awarding of any federal contract, the malting of any federal grant or loan, entering into any cooperative agreement and the extension, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement. CONSULTANT shall sign a certification to that effect in a form as set forth in "Exhibit B," attached hereto and by this reference incorporated herein. CONSULTANT shall submit said signed certification to CITY prior to performing any of its obligations under this Agreement and prior to any obligation arising on the part of CITY to pay any sums to CONSULTANT under the terms and conditions of this Agreement. H. CONSULTANT agrees to provide a drug -free work place and to execute a certification as set forth in "Exhibit C" attached hereto and incorporated herein by this reference. I. CONSULTANT, in accordance with the Child Support Compliance Act, recognizes and acknowledges the importance of child and family support obligations and shall fully comply with all state and federal laws relating to child and family support enforcement, including, but not limited to: disclosure of information and compliance with earnings assignment orders, as provided in Chapter 8 (commencing with Section 5200) of Part 5 of Division 9 of the state Family Code; and, to the best of its ltnowledge is fully complying with the earnings assignment orders of all employees and is providing the names of all new employees to the New Employee Registry maintained by the California Employment Development Department (EDD). J. CONSULTANT agrees to comply with Title VI of the Civil Rights Act of 1964, and provisions of WIA Section 188, as well as Equal Employment Opportunity provisions in Executive Order ( "BO ") 11246, as amended by EO 11375, and supplemented by the requirements of 41 CFR Part 60. Section 188 ensures nondiscrimination and equal opportunity for various categories of persons, including persons with disabilities, who apply for and participate in programs and activities operated by recipients of WIA assistance. EO 11246 specifically prohibits federal contractors and subcontractors and federally assisted 25B -5 construction contractors, subcontractors or subgramees that have contracts that exceed $10,000 from discriminating in employment decisions on the basis of race, color, religion, sex, or national origin. All covered contractors must take affirmative action to ensure that equal opportunity is provided in all aspects of their employment. K. CONSULTANT acknowledges that the official name for the statewide system of providing employment and training through the WIA partnerships and various other local programs is "America's Job Center ". To achieve the goals of this grant, it is important that the public has a quick and easy method to identify that the projects or programs they are taking part in are part of the "America's Job Center ". CONTRACTOR agrees to place the America's Job Center logo, in accordance with the State of California guidelines for such use, on all public materials such as statements, press releases, brochures, advertisements, reports and other documents describing projects or programs funded in whole or in part with WIA funds. When the America's Job Center logo is used, CONTRACTOR may accompany it with the following statement, "The (Program Name) is a proud partner of the America's Job Center network ". CONTRACTOR shall not use the America's Job Center logo in any manner that would imply that the State of California endorses a commercial product, service or activity. 5. APPLICABLE GUIDELINES A. The parties hereto agree that CONSULTANT shall comply with all applicable federal and state laws and regulations, including but not limited to the U.S. Department of Labor guidelines and regulations, including amendments or revisions made during the terms of this Agreement. Said applicable laws are hereby incorporated by reference and made as part of this Agreement as though fully set forth herein. B. CONSULTANT also assures and certifies that: 1. CONSULTANT shall comply with any and all federal laws limiting the political activity of employees hired under this Agreement. 2. CONSULTANT shall provide the U.S. Department of Labor and the Controller General, by and through any authorized representative, as well as the Santa Ana Local Workforce Investment Area's Board, access to and the right to examine all records, books, papers or documents relating to the accounting and use of funds under this Agreement for a three -year period from and after the effective date of this Agreement. 3. No person with responsibilities in the operation of any program under the Workforce Investment Act grant shall discriminate with respect to any program participant or any application for participation in such program because of race, creed, color, national origin, sex, political affiliation or beliefs. 4. CONSULTANT shall maintain appropriate standards for health and safety in work and transportation situations. 5. CONSULTANT shall comply with general provisions, assurances, and certifications attached hereto as "Exhibit D" and incorporated herein. r 6. Any literature distributed by CONSULTANT for the purpose of apprising businesses, participants, or the general public of its programs under this Agreement shall state that its programs are supported by the City of Santa Ana and the Santa Ana Workforce Investment Board, and shall state that the program is an "equal opportunity employer /program" and that "auxiliary aids and services are available upon request to individuals with disabilities." 7. CONSULTANT certifies that all property, finished or unfinished documents, data, studies and reports prepared or purchased by the CONSULTANT under this Agreement, will be disposed of in accordance with the direction of the CITY. In addition, any tools and/or equipment furnished to the CONSULTANT by the CITY and/or purchased by the CONSULTANT with funds pursuant to this Agreement, will be limited to use within the activities outlined in this agreement and will remain the property of the United States Government and/or CITY. Upon termination of this Agreement, CONSULTANT will immediately return such tools and /or equipment to the CITY or dispose of them in accordance with the direction of the CITY. 8. CONSULTANT certifies that this Agreement does not provide for the advancement or aid to any religious sect, church or creed, or sectarian purpose nor does it help to support or sustain any school, college, university, hospital or other institution controlled by any religious creed, church, or sectarian denomination, as specified by Article XVI, Section 5, of the Constitution of the State of California, regarding separation of church and state. 9. If the grant hereunder exceeds $100,000, CONSULTANT shall be in compliance with Section 306 of the Clean Air Act [(42 USC 1875(h)]; Section 508 of the Clean Water Act (33 USC 1368); Executive Order 11738 and Environmental Protection Agency ( "EPA ") regulations (40 CFR Part 15) as any may now exist or be hereafter amended. Under these laws and regulations, the CONSULTANT assures that: (a) No facility to be utilized in the performance of the proposed grant has been listed on the EPA List of Violating Facilities; (b) It will notify CITY prior to award of the receipt of any communication from the Director, Office of Federal Activities, U.S. EPA, indicating that a facility to be utilized for the grant is under consideration to be listed on the EPA List of Violating Facilities; (c) It will notify the CITY and the EPA about any known violation of the above laws and regulations. 10. CONSULTANT may copyright any work that is subject to copyright and was developed, or for which ownership was purchased, under an award. The Federal awarding agency(ies) reserve a royalty -free, nonexclusive and irrevocable right to reproduce, publish, or otherwise use the work for Federal purposes, and to authorize others to do so. 11. CONSULTANT is subject to applicable regulations governing patents and inventions, including government -wide regulations issued by the Department of Commerce at 37 CFR part 401, "Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative Agreements." 12. Based on the population eligible to be served, or likely to be directly affected 25B -7 by the WIA program or activity, the services or information may need to be provided in a language other than English in order to allow such population to be effectively informed about or able to participate in the program or activity. Pursuant to 29 CFR 37.35, the CONSULTANT must take reasonable steps to provide services and information in appropriate languages after considering the scope of the program or activity, and the size and concentration of the population that needs services or information in a language other than English. 6. COMPENSATION CITY agrees to pay, and CONSULTANT agrees to accept for said services, total compensation in the amount not to exceed Ninety Thousand Dollars ($90,000.00) annually, in accordance with Exhibit A. CONSULTANT will submit a detailed monthly invoice evidencing services performed. Payment by the CITY shall be within 30 days following receipt of said invoice, subject to CITY accounting procedures. CONSULTANT acknowledges that approval of and funding for this Agreement is contingent upon State approval, and funds received or obligated from the State of California to CITY. If such approval of funds is not forthcoming, or is otherwise limited, CITY shall immediately notify CONSULTANT. Within twenty (20) days of receipt of such notice, CONTRACTOR shall modify or cease operations as directed by CITY and negotiate necessary modification to this Agreement and/or reimbursement of costs incurred hereunder. 7. MISCELLANEOUS PROVISIONS A. CONSULTANT covenants that it presently has no interest, and shall not have any interest, direct or indirect, which would conflict in any manner with the performance of services required hereunder. B. CONSULTANT certifies that it will not discriminate against any employee or applicant for employment because of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, marital status, sex or age, in compliance with Title VII of the Civil Rights Act of 1964 (P.L. 83 -354) and Govermnent Code 12900, et seq. 8. HOLD HARMLESS CLAUSE CONSULTANT agrees to indemnify, defend and hold harmless CITY, its officers, agents, employees, and volunteers from and against any and all loss or damage, and from any and all suits, actions and claims filed or brought by any person or persons arising out acts or omissions of CONSULTANT or of any approved subcontractor or of the officers, agents, employees of CONSULTANT or of its subcontractors in the performance of this Agreement. 9. INSURANCE CONSULTANT shall obtain and maintain for the entire term of this Agreement comprehensive professional public liability insurance, in companies acceptable to the City, authorized to issue such insurance in the State of California. Said insurance shall consist of the following: r a. Commercial General Liability Insurance. CONSULTANT agrees to obtain and keep in force during the term of this Agreement a policy of commercial general liability insurance insuring the CITY and CONSULTANT against any liability for accident, injury or death arising out of or related to this Agreement. Such insurance shall be in an amount not less than One Million Dollars ($1,000,000.00) for any injury to or death of any person or persons in any single accident or occurrence. Said policy of liability insurance shall be endorsed to provide to CITY at least thirty (30) days written notice prior to cancellation and shall name the CITY as additionally insured with primary coverage. b. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, CONSULTANT, if CONSULTANT has any employees, is required to be insured against liability for worker's compensation or to undertake self - insurance. CONSULTANT agrees to comply with such provisions before commencing the performance of the work under this Agreement. c. Sexual Abuse & Molestation Insurance Coverage. To maintain a safe environment, CONSULTANT must provide proof of Sexual Abuse & Molestation insurance coverage of at least $1,000,000. d. The following requirements apply to the insurance to be provided by CONSULTANT pursuant to paragraph a., above: 1. A certificate of insurance, to be approved in form by the City Attorney, shall be furnished to the City within 30 days of the execution of this Agreement. 2. 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. 3. 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. 10. TERMINATION This Agreement may be terminated by either party at its sole discretion, upon thirty (30) days written notice to the other party. Notice shall be deemed served on the date of mailing. However, CONSULTANT may not terminate this Agreement if undue hardship will result to any participant. 11. DISPUTES Except as otherwise provided in this Agreement, any dispute concerning any question arising under this Agreement shall be decided by CITY. In such a case CITY shall reduce its decision to writing and mail or otherwise furnish a copy thereof to CONSULTANT. The decision of the CITY shall be final and conclusive unless within thirty (30) calendar days from the mailing or delivery of such copy, CITY receives from CONSULTANT written request to appeal said decision. 25B -9 Procedures governing the appeal shall be prescribed by CITY and/or the State of California in accordance with the Act and all corresponding regulations and OMB circulars. Pending final disposition of the appeal, CONSULTANT shall act in accordance with CITY's decision unless the dispute involves a change order. 12. BREACH - SANCTIONS If, through any cause, CONSULTANT violates any of the terms and conditions of this Agreement, and/or prior agreements whereby grant funds were received by CONSULTANT pursuant to this Agreement, or if CONSULTANT reports inaccurately or if any Audit Report makes disallowances, CONSULTANT shall promptly remedy its acts or omissions and/or repay CITY all amounts due CITY as a result of CONSULTANT's violation. For any such failures or violations, CITY shall also have the right at its sole discretion to either: (1) discontinue program support until such time as CONSULTANT fulfills its obligations or remedies all violations of this agreement or prior agreements; and/or (2) collect outstanding amounts as determined by CITY due CITY by offsetting or debiting from current claims or invoices, if after thirty (30) days' written notice CONSULTANT has failed to repay same or a repayment schedule has not been made; and/or (3) terminate this Agreement by giving written notice to CONSULTANT of such termination in accordance the notice provision contained below. 13. NOTICES All notices, reports and correspondence between the parties hereto respecting this Agreement shall be in writing and deposited in the United States Mail, postage prepaid, addressed as follows: To CITY: Clerk of the Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Facsimile (714) 647 -6956 Copy to: Santa Ana Work Center 1000 E. Santa Ana Blvd., 9200 Santa Ana, CA 92701 Facsimile (714) 565 -2602 To CONSULTANT: Wesley A. Bosch 24001 Muirlands Blvd., #331 Lake Forest, CA 92630 Telefacsimile (714) 565 -2602 25B -10 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: Lisa Storck Assistant City Attorney CITY OF SANTA ANA David Cavazos City Manager CONSULTANT: Wesley A. Bosch, M.A. Tax ID # /SS #: 25B -11 Wesley A. Bosch, M.A. May 1, 2014 Fee Schedule and Costs Hourly fee: $45 (except for vocational assessments) Vocational Assessments charge: 15 or more (total) per calendar month: $200 - Pull; $160 - Modified 14 or less (total) per calendar month: $225 - Pull; $7.75 - Modified The fees and charges for all services and costs would not exceed $90,000 in a fiscal year. Potential activities and services for the purpose of or related to counseling and /or assessmcnt and testing qualifying for billed time includes: • Direct customer contact, whether in individual, group, workshop, or Resource Center settings, contact by telephone, casual encounter at the SAWC or at the job site when related to assigned services • Contact with customer family, members of their support system, employer, or other resources or professionals • Researching, contacting, or arranging referrals or resources for outside services or support not provided by myself or that is outside the scope of my license, training, and/or experience • Documentation and other administrative activities • Communication with SAWC staff or outside resource persons • Preparation time for direct client contact, such as review of files, handout development, reviewing and /or obtaining reference or resource material, assessment/ testing material acquisition and organization, material reproduction, and consultation with staff • Onsite standby tune (minimal) providing availability to walk -ins, and new client introduction and scheduling • Visitations to resources and agencies utilized or potentially utilized in the service of the customer Reimbursement at cost would be expected for any material that might be obtained. for customer use, such as vocational assessment instruments, pamphlets, handouts, reference books, videotapes, software, or other related resource material obtained with prior SAWC management approval. 25B -12 Exhibit A REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 3, 2014 TITLE: AGREEMENTS WITH TETRATECH, INC., AND RBF CONSULTING FOR ON -CALL ENGINEERING SERVICES FOR WATER AND SEWER PROJECTS CITY MANA R RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 18' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute agreements with Tetratech, Inc., and RBF Consulting, subject to nonsubstantive changes approved by the City Manager and City Attorney, to provide on -call engineering services for water and sewer projects, for a one -year period expiring June 30, 2015, with provisions for two, one -year renewal options exercisable in writing by the City Manager and City Attorney, in an amount not to exceed $400,000 annually, for a total aggregate amount not to exceed $1,200,000. Approval of this recommended action will allow the City to prepare designs and plans for various water and sewer improvement projects identified in the City's Capital Improvement Plan (CIP) by authorizing "as needed" on -call engineering services with the top -rated firms identified through a recent Request for Proposals (RFP) process. On February 13, 2014, the Public Works Agency issued an RFP for on -call water and sewer engineering design services. Although 60 firms requested the RFP, only eight proposals were received. The proposals were evaluated by a selection committee for content and responsiveness to the RFP. The top rated firms were invited to a City interview to further evaluate their expertise, understanding of the City's needs, and the experience and innovation that they could provide. The final scoring for the top firms is as follows: Firm Score Tetratech, Inc. 94 RBF Consulting 92 Harris and Associates, Inc. 89 Psomas, Inc. 86 AKM Consulting 85 Staff recommends that both Tetratech, Inc., and RBF Consulting be retained for on -call engineering services as the highest- ranking firms. Their proposals contained clear paths toward achieving the City's goals and objectives as required by the RFP. In particular, both firms provide a wealth of knowledge and experience in helping municipal agencies to comply with Orange County Sanitation 25C -1 Agreements with Tetratech, Inc., and RBF Consulting for On -Call Engineering Services June 3, 2014 Page 2 District, Orange County Water District, and Metropolitan Water District requirements, making projects requiring their coordination more efficient. Both firms have excellent reputations for providing professional engineering services and have supported various municipalities well. Both companies have proven track records for their services and would meet the City needs. ENVIRONMENTAL IMPACTS There is no environmental impact associated with this action. FISCAL IMPACT Funds are available in the Water Administration and Engineering Account (Account 06017645- 62300). l Edwin "William" Gal &, P.E. Interim Executive Director Public Works Agency EG /NS /RR Exhibits: 1. Agreement with Tetratech, Inc. 2. Agreement with RBF Consulting APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Aea Finance & Management Services Agency 25C -2 CONSULTANT AGREEMENT FOR ON -CALL WATER RESOURCE ENGINEERING SERVICES WITH TETRATECII, INC. THIS CONSULTANT AGREEMENT made and entered into this 3'u day of June, 2014 by and between Tetratech, Inc., a California corporation (hereinafter "Consultant "), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City "), RECITALS A, The City desires to retain a consultant having special skill and knowledge in the field of water resource engineering design 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 [he mutual and respective promises, and subject to the terms and conditions hereinafter set forth, the parties agree as follows! SCOPE OF SERVICES Consultant shall perform engineering services for City water and sewer improvement projects, on an on -call basis, asset forth in the City's Request for Proposals issued. February 13, 2014, attached hereto as Exhibit A and the Consultant's Proposal, attached hcreto as Exhibit B, All Exhibits to this Agreement are incorporated by this reference, 2. DELIVERY OF WORK PRODUCT Consultant shall deliver to City all work product which results from the services provided, Said work product shall be submitted in a hard copy and produced in a form compatible with the City's computer system, as agreed between the City's Project Manager and Consultant. In regard to material produced as a deliverable under the Agreement, including but not limited to books, reports, plans, photographs, drawings, videotapes, and computer programs, Consultant agrees, for itself and its affected officers, employees, agents, contractors, and volimteer_workers drat the authors of all such material whether copyr ghted or not�aw u,d to tile. City, and to its officers, agents and employees acting within the scope of their official duties, as a condition of payment to the Consultant, a royalty -free, nonexclusive, irrevocable license throughout the world to disclose, publish, translate, reproduce, and use such materials. 25C -3 3. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit C. The total sum to be expended among all contractors providing these services shall not exceed $400,000.00 annually for the initial one - year term of this Agreement. b. The total sum to be expended during each of the subsequent one -year option periods among all contractors providing these services shall not exceed $4.00,000,00 annually, c. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. 4. TERNI This Agreement shall commence on June 3, 2014 and terminate on June 30, 2015, unless terminated earlier in accordance with Section 13, below, The City Manager shall have the option to extend the Term of this Agreement for up to two (2) additional one -year option periods, on the same terms and conditions set forth herein. At the end of the full Term hereof the Agreement may be extended to expend tiny remaining funds to complete ongoing projects, by a writing executed by the City Manager and the City Attorney 5. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer - employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes, 6. INSURANCE Prior to undertaking performance ofwork under this Agreement, Consultant shrill 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 which shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the ...._...... ._...___. Erforrnance of�this�. eementt-inchrdinn tivitlrout lirtritat'rotr* acts involvin vehicles:° lhr; ., -. - .,....- _- ...._, amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $1,000,000 per occurrence, and in the aggregate, Such insnrauce shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) 25C -4 be primary and not contributory with respect to insurance or self- insurance programs maintained by the City; and (e) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less that, $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: (f) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (it) Certificates of insurance shall be furnished to the City upon execution or 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) clays prior written notice to the City. E If Consultant fails or refuses to produce or maintain the insurance requited by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not effect Consul'tant'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. 0,DEMN[PICATIQN To the fidlest extent permitted by law, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all claims (including, without limitation, claims forbodily injury, death or damage to property), demands, obligations, damages, actions, causes of action, suits, losses, judgments, tines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a chum; collectively, "claims "), which may arise from or in any manner related ( erect Y °orin •ircct y) to' anq °vvorlr °perfortreri-orsr;tviccs rovrdcd rnrder this�l neernent °-- - (including, without limitation, defects in workmanship and /or materials) or Consultant's Presence or activities conducted performing the work (including the negligent and /or willful acts, errors and /or omissions of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of them or 25C -5 for whose acts they may be liable for any or all of them), Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnity the indemnified parties from any claim arising from the sole negligence or wiliftil misconduct of the indemnified parties, This indemnity shall apply to all claims and liability regardless of whether any insurance policies are applicable, The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant, S. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and /or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means, Confidential information disclosed to either party by any subsidiary and /or agent of the other party is covered by this Agreement, The foregoing obligations of non -use and nondisclosure shall not apply to any information that (a) has been disclosed in publicly available sources; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightful possession of the Consultant without an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is independently developed by the Consultant without reference to information disclosed by the City, 9. CONFLICT OF INTEREST CLAUSE Consultant covenants that it presently has no interests and shall not have interests, direct or indirect, which world 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 facsimile or other telegrRphic conhrounicatloa in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (NI -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 Facsimile: 714-647-6956 _- _.._.,.._..._._....._ Copies -te ,- _.--- -,.__.- _.P_ubl. c GU.orks.t\gency- Water.Resaurces- _. City of Santa Ana 220 S. Daisy Ave. (M -85) Santa Ana, California 92701 25C -6 and City Attorney City of Santa. Ana 20 Civic Center Plaza (VI -29) P.O. Box 1988 Santa Ana, California 92702 Facsimile: 714- 647 -6515 To Consultant: Tetratech, Inc, Attn: Tom Epperson, Vice President 17885 Von Karman Ave., Suite 500 Irvine, California 92614 Facsimile: 949- 809 -5010 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded, 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 per -formedby -Ctty- personnel or- by- athcreonsulhantsretained •byCtty:_m. ••..__.- _._....._.......,.,,.__ 11 TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. In such event, Consultant shall be entitled to receive and the City shall pay Consultant 25C -7 compensation for all services performed by Consultant prior to receipt of such notice of termination, subject to the following conditions: a. As a condition of such payment, the Executive Director may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of perfonmance 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 ofthe clauses of this Agreement shall be determined and governed by the laws ofthe 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 license$, permits, approvals, waivers, and exemptions necessary for the provision of the services hereunder and required by the laws and regulations ofthe 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, 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 folly, 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. 25C -8 IN WITNESS WHEREOF, the parties hereto have executecl this Agreement the date and year first above written. ATTEST: MARIA D, HUIZAR Cleric of the Council APPROVED AS TO FORM: SONIA R. CARVALHO City Attorney By: L.0 c—, �z-r.. ,C-, Lisa Storck Assistant City Attorney RECOMMENDED FOR APPROVAL: EDWIN `WILLIANC' OALVEZ, P.E. Interim Executive Director - P WA CITY OF SANTA ANA DAVID CAVAZOS City Manager CONSULTANT: Tetr ttech Inc. Tom Epperson Vice President 25C -9 Agreement 17xhibit A U EST FOR PROPOSAL FOR RFP # 14 -009 ON -GALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAID IMPROVEMENTS CITY OF SANTA ANA Santa Ana Public Works Department 20 Civic Center Plaza Santa Ana, CA 92702 Rodolfo Rosas, P.E. Senior Civil Engineer Phone (714) 647 -3320 rrosas@santa-ana.org Issue: February 13, 2014 Proposal Due: March 13, 2014 Presentation and Interview March 31, 2014 — April 4, 2014 Projected Award Date To Be Determined 25C -10 City of Santa Ana, PWA Agreement Exhibit A RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS NOTICE INVITING PROPOSALS NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms to provide engineering services on an as- needed basis for potable water, recycled water and sanitary sewer main improvement projects. Responses to the Request for Proposals (RFP) will be accepted until March 13, 2014. If further information is required, contact Rodolfo Rosas at (714) 647 -3320 or rrosas a santa -ana org All notifications, updates and addenda will be posted on the City's current RFP Bid page at htto: / /www.ci santa -ana,ca.us/bJds-rfps. Proposers shall be responsible for monitoring the site to obtain information regarding this solicitation. MAILED, DELIVERED BY HAND, or COURIERED proposals will be accepted as follows: City of Santa Ana Rodolfo Roses, PE Public Works Agency 41h Floor, Ross Annex 20 Civic Center Plaza Santa Ana, CA 92702 It is the responsibility of the proposer to ensure that any proposals submitted shall have sufficient time to be received by the City of Santa Ana prior to the proposal due date and time. Questions regarding this Request for Proposals shall be made in writing via e -mail to Rodolfo Rosas at rrosaslalsanta -ana org, The receivin time in the Public Works Agency, 20 Civic Center Plaza, Santa Ana, CA 92702 Fourth Floor, Ross Annex, will be the governing time for acceptability of proposals. Late proposals will NOT be considered and will be returned to proposer unopened. Telegraphic, electronic, and facsimile proposals will not be accepted. ONLY SEALED RFP RESPONSES ARE ACCEPTABLE DO NOT E -MAIL RFP RESPONSES, DO NOT FAX RFP RESPONSES. 25C -11 Agreement Exhibit A. City Of Santa Ana, PWA RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS TABLE OF CONTENTS I. INTRODUCTION II. CONTRACT III. FISCAL NONFUNDING CLAUSE IV. SCOPE OF WORK /SERVICES V. GENERAL INFORMATION VI. COORDINATION VIL CONTRACTORICONSULTANT RESPONSIBILITIES VIII. LICENSE REQUIREMENTS IX. INITIATIONIKICK OFF MEETING X. CITY BUSINESS LICENSE XI, ADDENDA X11. RULES FOR PROPOSALS XIII. FILING OF BID PROTESTS (NOT APPLICABLE) XIV. E -MAIL COMMUNICATIONS AND INTERPRETATIONS /CLARIFICATIONS XV. SUBMITTAL INFORMATION AND DEADLINE XVI. SUBMITTAL REQUIREMENTS XVIL CONTRACTOR /CONSULTANT SELECTION - PROPOSAL AND EVALUATION XVIII, NOTIFICATION AND AWARD XIX. PUBLIC RECORDS EXHIBITS EXHIBIT A — SCOPE OF WORK /SERVICES EXHIBIT B — SAMPLE CONTRACT AGREEEMENT EXHIBIT C — CERTIFICATION AND PROPOSAL FEE SCHEDULE EXHIBIT D — REFERENCES EXHIBIT E — STATEMENT OF UNDERSTANDING EXHIBIT F — CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR EXHIBIT G — NON - COLLUSION AFFIDAVIT EXHIBIT H — SAMPLE ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL AND GENERAL LIABILITY INSURANCE 25C -12 PAGE 4 4 4 4 5 6 6 6 7 7 7 7 7 8 8 8 10 12 12 13 21 30 33 35 37 40 42 3 Agreement Exhibit A City of Santa Ana, PWA RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS INTRODUCTION The City of Santa Ana is located in the County of Orange in Southern California. The City encompasses 27.2 square miles and a population of 325,000 people. The City of Santa Ana Public Works Agency — Water Resources Division oversees and maintains the daily operations of the Water System and Sanitary Sewer System, The City of Santa Ana's water system has an average day demand of about 43 million gallons (MG) with 45,000 services, It is comprised of approximately 444 miles of water main, 45 MG of storage at 5 sites, 7 Metropolitan Water District connections, 21 groundwater wells, 7 pump stations, 4 pressure regulating stations and utilizes 2 pressure zones. The City's sanitary sewer system has approximately 8,000 manholes, 390 miles of sewer mains and 2 lift stations. The sewer system collects all sewage and transports it to the Orange County Sanitation District for treatment. The City is soliciting proposals from qualified professional consulting firms to provide engineering services on an as- needed basis. The City shall select two firms to provide these services. The City has budgeted $300,000 a year in design funds for this purpose, This request for proposal (RFP) provides interested qualified firms with the information enabling them to submit a Service Bid Proposal and to provide the services described herein. It. CONTRACT Upon completion of the selection process, the selected consultant(s) will be awarded a contract agreement for a "not to exceed fee," The contract term is anticipated to commence after City Council award of this contract and upon receipt and approval of all required insurance documents. The contract shall also include City options to renew the agreement on a yearly basis for a total potential contract term of 4 years. All services provided, and all payments made for services, shall be in accordance with the executed contract agreement, III. FISCAL NONFUNDING CLAUSE In the event sufficient budgeted funds are not available for a new fiscal period, the City shall retain the right to notify the provider of such occurrence in writing at least thirty (30) days before the end of the current fiscal period and terminate the contract on the last day of the current fiscal period without penalty or expense to the City. The City's fiscal year is from July 1 st to June 30t". IV. SCOPE OF WORK /SERVICES The City of Santa Ana is soliciting proposals from qualified firms for water resource engineering design services on an as- needed basis. The work, in general, consists of general water and sewer main replacement design projects on arterial highways, local roads and public right -of- ways citywide. The projects may include sidewalks, curb and gutter replacement; repair and overlay of asphalt concrete and /or PCC streets; signing, striping, and other related items as required. Environmental study and documentation preparation will be required on each project. In addition, City may need consultant services for construction management, staking and inspection. Occasionally, the City may need mechanical, electrical, structural services and/or 25C -13 Agreement Exhibit A� City of Santa Ana, PWA �-11 RFP - ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS surveying for smaller projects. Also, demonstrate the ability to perform design engineering services for water pump stations, wells, reservoirs, utility vaults and sewer lift stations. The proposal shall be concise, to the point, and sufficient enough to cover all required submittal requirements listed in this RFP and exclude any extraneous materials. Refer to Exhibit "A" for specifics of the Scope of Work. This section of Scope of Services describes all processes and outlines the requirements prescribed in this RFP, It is the proposer's responsibility to address each and every item herein, V. GENERAL INFORMATION A. The term of the contract will begin after the contract award by the City Council, B. When determined appropriate, the City will provide information in its possession relevant to preparation of required information in RFP. The City will provide only the staff assistance and documentation specifically referred to herein. C, The proposer shall be responsible for retaining data, records and documentation for the preparation of the required information. These materials shall be made available to the City as requested by the City, D. This RFP does not commit the City to pay costs incurred in preparation of a response to this RFP. All costs incurred in the preparation of the proposal, the submission of additional information, attendance at pre - proposal conference, negotiations with City, and /or any other aspect of a proposal prior to award of a written contract will be borne by the proposer. The City reserves the right to accept or reject the combined or separate components of this proposal in part or in its entirety or to waive any informality or technical defect in the proposal. E. All data, documents and other products used, developed, or produced during response preparation of the RFP will become property of the City. All responses to the RFP shall become property of the City. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. F. The City reserves the right to reject, replace and approve any and all subcontractors. All subcontractor(s) shall be identified in the response to the RFP and the City reserves the right to reject any subcontractor(s). Subcontractors shall be the responsibility of the prime contractor and the City shall assume no liability of such subcontractors. G. The City reserves the right to delay scheduled dates if it is to the advantage of the City. H. The consultant (awarded proposer), shall submit monthly invoices including the number of hours by labor category to conduct all the work in this RFP billed at the consultant's hourly billing rates included within their proposal. The invoice shall include a detailed breakdown on the services, project title and limits, the tasks, the hours, the unit costs, and the hourly rates. The summation of the invoices shall not exceed the not -to- exceed fee included within the proposal. Any increase in the maximum not -to- exceed fee shall be due to a change in the project scope and must have prior written approval by the City, 25C -14 Agreement Exhibit A� City of Santa Ana, PWA J RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS I. Tentative Schedule Issue Request for Proposal (RFP) February 13, 2014 Submit Proposals to City March 13, 2014 Presentation and Interview, City shall interview March 31, 2014 —April 4, 2014 the top 6 proposers Compensation: City agrees to compensate the consultant, the proposer awarded the project, on an hourly time and material basis, with a not -to- exceed amount. The not -to- exceed amount is inclusive of labor costs and direct costs. Compensation shall be based on the billing rates included within the proposal and the actual services rendered. Reasonable direct costs shall be included within the fee proposal. The City will not pay for extra communication charges, computer charges, or the like, During the proposal period, all questions and requests for additional information must be in writing and emailed (Attention: Rodolfo Rosas at rrosasAsanta -ana orc). No verbal responses will be given. VI, COORDINATION Coordination by the awarded proposer with various City departments and personnel will be required to achieve satisfactory and timely delivery of the required services. The City will decide the manner in which the coordination efforts with be conducted. At the City's option, coordination efforts may be performed by the proposer's direct contact, by the proposer acting through the City or by the City only. When coordination efforts require agreements, such agreements shall be coordinated through the City. VII. CONTRACTOR /CONSULTANT RESPONSIBILITIES The selected contractor /consultant will assume responsibilities for all services in its proposal. The selected contractor /consultant shall identify a sole point of contact with the greatest knowledge in regard to the required service operations and contractual matters, including payment of any and all charges resulting from the Agreement. VIII. LICENSE REQUIREMENTS In accordance with Section 3300 of the California Public Contract Code, the City has determined that the proposer shall possess a license in the classification specified in the Notice Inviting Proposals (If required). 25C -15 Agreement Exhibit A City of Santa Ana, PWA RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS IX. INITIATIONIKICKOFF MEETING The successful proposer will be required to meet with City staff prior to commencement of services or at any time as required by the City. X. CITY BUSINESS LICENSE The selected proposer shall be required to obtain a City of Santa Ana Business license within thirty (30) days of selection and must provide a copy to the City projects manager or designee prior to commencing any work in Santa Ana, XI. ADDENDA Any subsequent changes in RFP from the date of preparation to data of submittal will result in an addendum or amendment by the issuing office. Notification of such addendum or amendment shall be effected by posting on City's website, as set forth in the Notice Inviting Proposals, XII, RULES FOR PROPOSALS The signer of the RFP must declare in writing that the only person, persons, company, or parties interested in the proposal as principals are named therein; that the proposal is made without collusion with any other person, persons, company, or parties submitting a proposal; that it is in all respects fair and in good faith without collusion or fraud, and that the signer of the proposal has full authority to bind the proposer (Exhibit E). XIII. FILING OF BID PROTESTS Bidders may file a Bid "protest" with the City's Purchasing Department. In order for a Bidder's protest to be considered valid, the protest must: 1. Be filed in writing within five (5) business days of after the bid issue date or before 5:00 p.m. of the 5th business day following the posting of Bid Results /Notice of Intent to Award Contract on the City's website; 2. Clearly identify the specific irregularity or accusation; 3. Clearly identify the specific City staff determination or recommendation being protested; 4. Specify, in detail, the grounds of the protest and the facts supporting the protest; and 5. Include all relevant, supporting documentation with the protest at time of filing. If the protest does not comply with each of these requirements, it will be rejected as invalid. If the protest is valid, the City's Purchasing Manager, or other designated City staff member, shall review the basis of the protest and all relevant information. The Purchasing Manager will provide a written decision to the protestor within fourteen (14) calendar days. The protestor may then appeal the decision of the Purchasing Manager to the Assistant Finance Directorwithin five (5) calendar days of the date of the written decision from the Purchasing Manager. The Assistant Finance Director wilt provide a written decision to the protestor's appeal. The decision from the Assistant Finance Director is final and no further appeals will be considered. 25C -16 Agreement Exhibit A City of Santa Ana, PWA RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS XIV. E -MAIL COMMINICATIONS AND INTERPRETATIONS /CLARIFICATIONS To facilitate the RFP process, proposers are required to monitor the City's Bid and RFP page at httl2://www.ci.santa-ana.ca.us/bids-ilps. No oral interpretations will be made by the City to any proposer as to the meaning of requirements identified herein, including the Scope of Services and Terms and Conditions. Every request for such an interpretation must be made in writing via e -mail to the projects manager no fewer than five 5 business da s prior to the date and time set for the RFP bid due date. Significant interpretations or cladfioations will be made by an addendum to this RFP, which will be posted to the website. Addenda may become part of the agreement documents. XV. SUBMITTAL INFORMATION AND DEADLINE Proposals are due to the City of Santa Ana, at the date, time, and location set forth on the Notice Inviting Proposals. Faxed and a -mail proposals will not a accepted. XVI, SUBMITTAL REQUIREMENTS The RFP is intended to assess and evaluate each firm's capabilities as they apply to the proposed project. Submittal of Proposal 1) Six (6) hard copies of the response to the RFP shall be signed by a company official with the power to bind the company. One (1) separate Digital Copy of the written proposal shall be submitted as well. One (1) hard copy of the fee schedule, Exhibit "C" shall be submitted. This fee schedule and hourly rate schedule shall be separately bound sealed and submitted to the City. The fee schedule shall be based upon the sample project as provided in Exhibit "A ". The fee schedule shall include the following: a) Breakdown of labor and direct costs per task summary of the Not -to- Exceed Total Fee Amount. Included in the breakdown should be the total man hours as well as assigned man hours per task. b) Any other direct charges c) Hourly Rate Schedule with hourly rates for each job classification 2) Structure your proposal to include the Scope of Services response, project schedule, summary of deliverables, summary of labor hours per task, and exhibits as specified. Each firm must address each of the following items in its response to the RFP' « Technical Proposal - In order to maintain uniformity, the Technical Proposal must be limited to a MAXIMUM of 20 PAGES (excluding front and back covers, cover letter, section dividers, resumes and exhibits). The page limitation includes all appendices, attachments, and supplemental information. The following information is required (and included in the page limit): 25C -17 ment City of Santa Ana, PWA Agree Exhibit A RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS Cover Letter: A letter signed by a principal or authorized representative who can make legally binding commitments for the entity. The letter should include the complete legal company name (as it should appear in the contract), company address, contact person, telephone number and email address. It shall identify all materials and enclosures being forwarded in response to this solicitation, This letter is not included in the page limit 2. Firm and Personnel Experience: A profile of the firm's experience, including the names and experience of personnel and sub - consultants (if applicable) who will be providing services. At a minimum, this should include the project manage dprincipaI agent (PM), associates in charge when the PM is unavailable, key personnel, and an organization chart identifying only those who will perform work for the proposed project and the percentage of each individual's time devoted to this project. Sub- consultants shall be identified if any are anticipated for projects under contract. Changes in sub - consultants shall be subject to review and approval of the City prior to execution of any task orders under this agreement. Emphasis of experience should be placed on design and construction of: water distribution pipelines, water transmission pipelines, sanitary sewer pipelines, water pump stations, reservoir or storage tank design, repair and rehabilitation practices, construction management and cost estimation practices. Restrict all project experience listings and descriptions to the team members that are a part of this proposal team. In addition, identify which of the team members shall be present for the firm interview, if invited. 3. Project Approach: A description of the firm's general approach to completing projects under this contract, Identifying major issues and recommendations to accomplish the potential tasks. Proposers shall illustrate the manner in which its team members have the capabilities and experience to fulfill the Scope of Services and proposed project approach. 4. Project Management: Provide a description of the firm's project management approach, tools, communication ideas as well as quality assurance and quality control procedures as they apply to domestic water and sanitary sewer design projects. 5. Sample Project Plans: Provide a "to scale" true half size set (12" x 18 ") of plans to demonstrate the firm's plan quality. The sample project plans shall be of a past approved project that is similar in nature to the sample project described in Exhibit "A ". • EXHIBIT C —PROPOSERS STATEMENT AND PROPOSAL FEE SCHEDULE A fee envelope including proposer's cost proposal shall be submitted concurrently but under separate cover with the technical proposal. Costs should be indicated by the respective tasks described in Section XVI of this document. A total not -to- exceed cost for the entire project shall be included. No fee envelopes shall be opened by City until the final ranking of proposals has been completed. 25C -18 City of Santa Ana, PWA I Agreement Exhibit A RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS o EXHIBIT D — REFERENCES —The Proposer shall submit at least three (3) agencies, past and present, for which you have provided work similar to that identified in this RFP (Exhibit A) during the last 10 years. Include the name of the agency, address, contact name, e-mail, telephone number and a description of the work performed for the reference. • EXHIBIT E -PROPOSERS STATEMENT OF UNDERSTANDING • EXHIBIT F —CERTIFICATION OF NONDISC IMI ATION BY CONTRACTOR • EXHIBIT G— NON- COLLUSION AFFIDAVIT • The proposal must be completely responsive to the RFP. Any exceptions to the requirements of this RFP must be included in the proposal. Such exceptions must be included as a separate element of the proposal entitled "Exceptions and Deviations." The Executive Director, in his sole and absolute discretion, may authorize or deny any exceptions. + The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any contract will be awarded pursuant to this RFP or otherwise. The City reserves the right to waive minor inconsistencies in submitted Proposals. XVIL CONTRACTOR /CONSULTANT SELECTION- PROPOSAL AND EVALUATION The criteria for evaluating the proposals submitted will take the following items into consideration: qualifications, abilities, deliverables, approach, references, and responsiveness to the RFP. The proposals will be reviewed by a committee of City staff. The committee will evaluate the proposers based on the written response to the RFP and the City evaluation criteria. The committee will rank the proposers and select the top six (or top tier based on the internal ranking process) for an interview by calculating a final interim score for each written proposal. Technical proposals will be evaluated based on the following criteria: 10 25C -19 Agreement Exhibi t A City of Santa Ana, PWA RFP —ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS Firm experience — Experience of the firm in similar work and record of successful results of that work. Also considered will be the firm's ability to take on additional work, demonstrated understanding of the City's goals and purpose for this project, specific management approach and how the firm proposes to achieve the project's time goals, how well the firm's organizational structure shows sufficient depth for its present workload, and the firm's ability to offer the breadth and quality of services required for the project. (15%) 2. Experience of the personnel assigned to the project team — The City of Santa Ana will give substantial consideration to the individual qualifications of the project team members who will actually do most of the work on the proposed projects. Considerations will include qualifications of key personnel, project team member's individual experience and qualifications, project manager's experience, sub - consultant's individual experience and other qualifications. (20 %) 3. Project Approach — Response to the project objectives outlined in the RFP, including demonstrated understanding of the scope of the sample project, and demonstrated ability to present technical data in a user - friendly format with appropriate use of graphics as necessary. (25 %) 4. Project Management — A firm's plan for communication, approach and quality control and assurance will be a key component towards a successful design project. Special consideration shall be given towards firms that have all communication go through the project manager and their successor should the project manager be unavailable. (10 %) 5. Sample Project Plans — Sample project plans submitted shall be judged based upon clarity, neatness and quality. (10 %) The written response to this Request for Proposal should contain documentation of consultant's and /or consultant's agents' credentials and expertise in this field. Substantial consideration will be given to consultants with demonstrable and documented experience in similar work. Responses will be evaluated on the basis of the qualifications, abilities, and responsiveness of the proposing firms. Interview — The City of Santa Ana will consider results from the interview in the overall evaluation of the proposals. To be considered for an interview, a review of the written proposals shall be done by the review panel. A short list of the top six (6) Proposers will be selected to participate in an interview /presentation based upon the highest total scores of items 1- 5 (80% of total score for final 6 firms). The selected Proposers will be given the opportunity to discuss in more detail their qualifications, past experience, proposed work plan and schedules. The interview must include the project team members expected to complete a majority of work on the project, but no more than four (4) members total. The Interview will consist of a brief presentation of the company by the proposing firm, including the person who will be the project manager on this Contract followed by questions and answers. All individuals present at the interview shall provide a brief self - introduction and explanation of applicable project experience. Audiovisual aids may be used during the oral interviews. (20 %) The committee and or the executive director of Public Works Agency (PWA) will open the fee envelope of the highest two (2) ranking proposers after interviews have been conducted and scored. The committee shall enter into negotiations for pricing and terms of 11 25C -20 City of Santa Ana, PWA Agreement Exhibit A RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS the highest scoring proposers. If negotiations are not successful between the committee and the highest scoring proposers, the committee shall open the fee envelope of the next highest scoring proposers and enter into negotiations. This process shall continue until negotiations are successful. The City Council recommendation will be based upon successful negotiations to mutually agreeable terms between the City and Proposers of the highest rated firms. XVIII, NOTIFCATION AND AWARD The proposal results will not be discussed until after award of contract upon City Council approval. Project manager may, but is not required to, discuss non -award with interested proposer's. XIX. PUBLIC RECORDS Proposals will become public record after award of contract. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. 12 25C -21 City of Santa Ana, PWA Agreement Exhibit A RFP —ON-CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS EXHIBIT "All SCOPE OF WORK /SERVICES 13 25C -22 nt City of Santa Ana, PWA AgreemeExhibit A RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS Description of Services Category 1 — Water Resources Engineering Design Services The Consultant will provide professional engineering for various phases of the design and construction of City potable water main pipe, sanitary sewer main pipe and related facilities, Facilities may include small underground vaults or minor improvements at existing pump stations. Demonstrate the ability to provide design engineering services for pump stations, wells, reservoirs and sewer lift stations. Expertise in rehabilitation methods for the previously mentioned assets shall also be demonstrated. 1. Design: Prepare plans and specifications, design calculations, hydraulic analyses and project design schedules as required by the conditions on the project. Prepare plans and specifications in accordance with City standard plans and specifications. Prepare project cost estimates and perform field reviews as needed, Be able to perform peer review services for general compliance. Tasks may include feasibility studies, design and design services during construction. 2. Bidding; If required, attend a pre -bid conference to address any questions about the project. Assist in the preparation of any necessary addenda that may be required, 3. Construction Engineering Support; Review and respond to contractors Requests for Information as well as review and approve submittals. If required, attend a pre - construction meeting. Review, prepare and approve shop drawings. 4. Permits: Assist the City in obtaining approvals (and environmental permits as may be required) from applicable agencies including County of Orange, Metropolitan Water District, neighboring cities and CALTRANS at the discretion of City Staff. The City will provide preliminary base mapping that will need to be updated and populated for final design purposes. These maps will include the City versions of the water, sewer, centerline, utility and topographic line work. It is expected that the Consultant will need to correct provided base maps as required for the assigned project. Category 2 — Environmental Study and Document Preparation Consultant shall provide, as required, professional engineering services that may include reports and coordination with applicable code enforcing and environmental agencies, site analysis, coordination with applicable local, state and federal jurisdictions, and regulatory permit acquisition for a variety of water and sewer related projects. Services may vary including, but are not limited to, the following types of studies and documents: 1. CEQA/NEPA compliance 2. Initial Study /Negative 3, Environmental Impact Statement /Environmental Impact Report 4. Biological assessment 5. Regulatory agency permitting It is anticipated that an environmental document (negative declaration or categorical exemption will be considered necessary on most pipeline replacement projects. 14 25C -23 City of Santa Ana, PWA Agreement Exhibit A RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS Category 3 — Structural Engineering (As- needed) If required, services may include, but are not limited to, the following types of projects as related to the water and sewer facilities: 1. Retaining walls 2. Footings 3. Building pads 4. Seismic retrofits and rehabilitation 5. Underground Utility Vaults 6. Inspections 7. Reservoir inspections Category 4 — Surveying (As- needed) If required, services may Include, but are not limited to, the following types of projects as related to the water and sewer facilities: 1. Topographic (including aerial and hydrographic) 2. Boundary surveying 3. Horizontal and vertical control establishment 4. Monitoring surveys Category 6 — Hydraulic Analysis (As- needed) If required, services may include hydraulic studies, analysis, modeling, report writing and peer review. These services shall consist of the following tasks: 1. Compile and Review Previous Models and Existing Model - Related Information. 2. For sewer system modeling, conduct a flow monitoring program. 3. Calibrate all Models. 4. Prepare Technical Memorandums, 5. Conduct Hydraulic Analyses. 6. Conduct Transient Analyses. Category 6 — Geotechnical Engineering (As- needed) If required, services may include, but are not limited to the following types of studies and documents: 1. Retaining Walls 2. Trench backfill 3. Site inspections and monitoring 4. Subsurface investigations 5. Feasibility studies 6. Peer review Category 7 — Electrical Engineering and Instrumentation & Controls (As- needed) If required, services may include system design for electrical power, instrumentation, control 15 25C -24 ent City of Santa Ana, PWA Agreem Exhibit A RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS communications, fire alarm, SCADA and security systems. Services shall Include, but are not limited to the following types of documents: 1. Electrical Site Plans 2. Power Plans and Conduit Schedules 3. RTU Input /Output Diagrams 4, RTU Layout and Wiring Diagrams 5. Process and Instrumentation Diagrams If the City uses a separate system integration consultant for the control diagrams of Control Panels, RTU Panels, etc., it is expected that the Consultant shall coordinate any required electrical work with the system integrator. 16 25C -25 Agreement Exhibit A City of Santa Ana, PWA IM P— ON -CALL ENGINEERING pESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS SAMPLE PROJECT PEE Consultant shall use this Sample Project Fee for the Cost and Price Analysis Comparison and include it along with the comprehensive fee schedule in the sealed fee envelope. This comparison is based upon design engineering services required for approximately one plan of water main improvements and sewer main improvements, including specifications and cost estimate for the following sample project: 3,200 L, F. of 8" PVC (AVVWA C -900) water main improvement project for the following limits- 0 Rene Drive — Hemlock Way to Segerstrom Avenue • Rita Way — San Lorenzo to Segerstrom Avenue Spruce — San Lorenzo to Segerstrom Avenue • Pacific Ave — San Lorenzo to Segerstrom Avenue • San Lorenzo — Rene Drive to Pacific Avenue 4,100 L.F. of 8" PVC (SDR -26) sewer main improvement project for the following limits: o Myrtle Street — Bristol Street to Center Street Provide a detailed scope of work for the tasks required to complete this sample project. City Atlas sheets have been provided to assist with sample project area scope. Assume that a gootechnical investigation is required due to a history of high groundwater in the proposed areas. An environmental determination will also be necessary for this sample project. This Sample Project will be used for FEE and man -hours comparison purposes only. The sample plan to be submitted shall be assumed at 20 scale and shall be the Consultant's closest representation for work related to the Sample Project. The submitted sample plan shall be of a Consultant's previously submitted and approved work. TASK N0.1 TYPICAL SCOPE OF WORK 1. Initial Meeting a. Attend project kick -off meeting with City staff to review the project scope, schedule, budget and work plan. Adjust task schedule and work plan as required. b. Review design criteria and parameters. 2. Data Gathering a. Obtain available survey records from the City. b. Review existing street, water, sewer, storm drain and utility plans and maps in the possession of the City. Consultant is responsible for the copying of any documents. c. Field review and take photographs that include any impacted adjacent improvements. 3. Utility Research A detailed utility search along the proposed alignment will be conducted. It will consist of 17 25C -26 ment Exhibit A City of Santa Ana, PWA Agree RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS the following: a. Contact Underground Service Alert (USA) for a computer printout of all utilities registered under the project limits. b. Send /Deliver preliminary notice to each utility advising them of project and requesting utility information. c. Send second utility notice Including preliminary plans requesting that each utility verify locations of its facilities and identify possible utility conflicts, d. Send third utility notice including final plans to each utility for its information and coordination during construction. e. Maintain a complete record of all utility contacts and responses and copy all responses to the City. 4. Potholing a. Determine locations where potholes should be made to accurate locate the depth of existing parallel crossing utilities, including service (sewer /water) laterals, which may impact the alignment of proposed water or sewer main. b. After approval from the City, have potholing performed by a licensed contractor and prepare a record showing the actual locations and depths of the existing utilities including service laterals. 5. Plans and Specifications a. Consultant shall prepare construction Plans and Specifications for the project. All Plans and Specifications shall be prepared in accordance with the applicable provisions of: - Standard Specifications for Public Works Construction (Green Book) - American Water Works Association Standards (AWWA) National Electric Code (NEC) Uniform Building Code (UBC) City of Santa Ana Standard Plans & Specifications California Plumbing Code (CPC) b. The City shall provide sample contract documents, "boilerplate" portion of the Specifications and water /sewer standard specifications. Consultant shall incorporate the specifications, revise as necessary for each specific job and provide a list of BID ITEMS. Specifications shall be prepared in Microsoft Word format. Final submittal to the City shall include a computer disc, as well as a hard copy of the Specifications. c. Plans shall be CADD generated using a format that will properly translate to Microstation V8i Select Series 3. Final submittal to the City shall include a Myler Title sheet and bond Plan sheets as well as electronic copies of the CADD files. Electronic (pdf format) copies shall have the ability to be plotted to stele. Plans shall be clear and legible with all components clearly identified. All plans shall be drawn at a minimum scale of T' = 20' unless otherwise approved by the City. 6. Design Survey a. Provide a field survey, as necessary, to establish horizontal and vertical control. b. Provide topographic survey, as required, for water main design c. "Dip" manholes, vaults, and valves. d. Verify locations of all existing water valves, water meters, fire hydrants, and other appurtenances. e. Locate any survey monuments or ties that may be affected by construction. 0. 25C -27 Agreement Exhibit A City of Santa Ana, PWA RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS Prepare Base Maps a. Base Maps shall be prepared at a scale of 1" =1' using data from Items 2 (Data Gathering) and 6 (Design Survey). b. Plot utilities on base maps. Location of utilities will be based on information obtained form available records, as revised due to USA markings and utility responses. 8. Geotechnical Investigation (Assume 3 borings) a. Prepare a geotechnical investigation to determine bedding and backfill requirements, assist with pipe material selections and determine the elevation of the groundwater table. b. Evaluate geologic and seismic conditions in accordance with applicable state and local requirements. c. Determine maximum stable side slopes to be used for trench excavations. d. Collect geotechnical data as needed to recommend construction methods for new pipeline installations. 9. Alignment Selection a. Evaluate alignment alternatives considering cost of construction, utility locations, citizen impacts, jurisdictional concerns and permit requirements. In addition, consider access to adjacent properties and traffic control during construction. b. Prepare sketches of proposed connections to existing facilities. c. Discuss alignment alternative with the City and obtain input prior to the completion of the 50% plan sheets. d. The Consultant shall prepare a draft technical memorandum documenting (TM) the basis for design of the sewer main replacement. The City's comments on the draft TM will be incorporated into the final TM. e. When required, the Consultant shall prepare a draft technical memorandum documenting TM documenting the basis for design of the water main replacement. The City's comments on the draft TM will be incorporated into the final TM. 10. Prepare Preliminary Plans (50% completion Level) a. Title sheet for each project. b. Plan Sheets. c. Draft of technical specifications, d. All plans shall be prepared in a compatible Microstation V8i Select Series 3 format and shall be on 24" x 36" mylar sheets. Plan and profile sheets are prepared in 1 " =20' horizontal scale and 1"= 2" vertical scale. Sketches may vary. Plans shall conform to City of Santa Ana CADD Standards. 11. Preliminary Plan Submittal a. Submit (4) sets of full -size prints of the preliminary plan and (4) drafts of specifications for City review. b. Perform job walk to identify conflicts and inconsistencies. Meet with City to review plan check comments and obtain input. c. Perform site visit /job walks of all proposed alignments to review corstruotability issues. 19 25C -28 Agreement Exhibit A City of Santa Ana, PWA RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS 12. Prepare CEQA Documentation (Assume a Negative Declaration) a. Prepare necessary documentation as required by the applicable portions of CEQA for environmental clearance. b. Coordinate with City Staff Including the Planning and Building Agency to insure accuracy of documentation. c. Apply for and file all necessary documentation on the City's behalf to the appropriate agencies. TASK NO.2- FINALIZE DESIGN 1. The construction plan set will contain the following drawings; • Title Sheet • Plan Sheets 2. Prepare any necessary supplemental provisions to the City's standard specifications, general provisions and bid documents for each project. Provide a digital copy of standard drawings not issued by the City of Santa Ana or APWA for inclusion on the specifications. 3. Prepare quantity and cost estimate for each design based on the final plans and specifications, Consultant shall contact manufacturers and /or contractors to verify the engineer's estimate prior to submitting to the City. 4. Submit 90% completion level plan and a 100% completion level plans and specifications to the City for review. Each submittal will consist of three (3) sets of full -size prints, Meet with City staff to review plan check and comments and obtain input. 5. Upon final acceptance of the plans and specifications, provide "Bid- Ready" construction drawings on disk and full size mylar. 6. Conduct and attend meetings and review sessions as required during the design phase to keep the City staff informed of the project status. 7. Prepare CADD As - Built drawings (submit in CADD & ESRI arcGIS format and on one (1) set of bond) from field set of As -Built plans. 8. All original plan sheets, calculations, and reports shall be signed and stamped by the Consultant's licensed professional engineer in responsible- charge of the project. These signed originals will then become the property of the City. TASK NO.3- BID PHASE SERVICES (AS NEEDED) (Assume 4 Requests for Information) 1. Respond to requests for clarification from prospective bidders during the bid period. 2. Issue addenda to the bid package as necessary. TASK NOA- CONSTRUCTION MANAGEMENT SUPPORT (AS NEEDED) (Assume 20 Submittals for Review) 1. Attend the Pre & Post - Construction Meeting, 2. Respond to request for information from the Construction Engineer /Inspector, as required. 3. Provide analysis of changed conditions, development of corrective action, review of shop drawings and "peer review" of other submittals at the discretion of City Staff, 4. If required, 0i1 25C -29 March 13, 2014 CITY OF SANTA ANA Santa Ana PUblh! Works Department TETRA'rECH fair Canter Plena Santa Ana, CA 92702 25C -30 Agreement Exhibit B TETRA TECH March l3, 2014 Mr. Rudolfo Roses, RE, City of Santa Ana Public Works Agency 4 °i Floor, Ross Annex 20 Civic Center Plaza Santa Ana, CA 92702 Reference: Proposal to Provide On -Call Engineering Design Services for Water and Sewer Main Improvements, RL'P No. 14 -009 Dear Mr. Rosas: Thank you for the opportunity to submit our proposal to provide On-Call Design Services for Water and Sewer Main Improvements. We value the relationship we have built with the City of Santa Ana (City) through past and currently on -going projects, We desire once again to provide you the same consistent, diligent and faithf it service. We are connnitted to providing the City with the same high quality service that you expect and deserve. Our project team is the "rlght "team to provide these On -Call Engineering Design Services for the following distinct reasots: Extensive City Design Experience — Members of the Project Teams have designed . lard completed munerous successful pipelines, pump stations, lift stations, flow control facilities, and reservoirs for the City. Our Project Manager, Mr. Tom Epperson, has been worldog with the City since 1983. Our Project Team knows the City's design requirements and standards, preferred materials, and operational preferences which will allow us to deliver a complete design in the most cost - effective manner. • .Extensive Design Experience — Members of our team bring a wide breadth of design knowledge. Within the last 10 years members of our team have been involved in the design of over 100 ,,ties of pipeline, 10 • reservoirs, 20 ptunp stations, 12 flow control facilities, and 8 lift station projects. Xn -house Process, Stractural, Electrical and Control Capabilities — We have our owl' in-house process, structural, and electrical and control engineers. • Ability to Yfeet Accelerated,5'chedrrles —Our large talent pool as well as extensive experience allows us to meet accelerated schedules. • Dedication to the City — We believe that our past 15 year relationship with the City shows our commitment to providing the City will, high quality service. We have committed Mr. Tom Epperson, P.E. to this contract. Tetra Tech understands tic privilege it is to be part of an on -call contract and will submit thnely proposals on all requests received as part of this contract, Tetra Tech, Inc. is it Delaware Corporation and this project will be managed and directed from our Irvine Office location: 17885 Von Karman Avenue, Suite 500. The primary contact for this project will be Mr. Tom Epperson, Project Manager; telephone 949 - 809 -5t56; fax 949.809 -5010; e -mail: tomtepper'son @tetratech.canl. We assure you all of the expertise, responsiveness, attention to detail, pond. commitment demonstrated on our previous wale will be fully applied to this assignment. Thank you for the opportunity to submit our proposal. Sincerely, Tots Epperson, E',E. Vice President, Engineering and Consulting Services TLE"L, NLV blank, tinglP loposnls \WTRSTPY20141WT042_3, ntnAna- On -C'all Attachment Tetra Tech, Inc. 17985 Von Karman Avenue, Sinn See, irrna, CA 415146213 Tel 949.8019..500f) Fax 949.801.:i010 .,,ho, Cotrarerl': Cora 25C -31 FIRM Tetra Tech, Inc. is a Delaware Corporation and will provide single -entity responsibility for the work to be performed under the anticipated consultant services contract. Tetra Tech brings to this project an outstanding track record of executing multi -task water and wastewater projects. Staff to be dedicated to this project have related experience with City of Santa Ana (City) and were selected for their technical backgrounds, experience, and track records for meeting and exceeding expectations and performance goals of our clients. Company History Founded in 1966, Tetra Tech Is a natlonally recognized engineering and resource management Firm of more than 14,000 engineers, scientists, construction specialists, and technical support personnel in 350 offices worldwide. Tetra Tech con- sistently ranks among the top engineering firms annually according to the Engineering News - Record. In the 2013 April Issue of the ENR, Tetra Tech Tetra Tech's reputation as a leader ranked No. 1 in in consulting engineering is Ihater jrnls oral the by by Top N ratings annually tfi by Engineenng -Haws Record, 8 among the Top S00 Design Firms nadonwide This project will be managed and directed from our Irvine office location: Primary Office, of Work and Contact Person; 17885 Von Kirman Avenue, Suite 500 Irvine, CA 92614 -6213 Tom Epperson, P.E., Project Manager Telephone(949)809 -5156 Fax (949) 809.5010 E -Mail: tom•epperson @,tetratech.com Client +ocused Service Ott), goal is to provide the necessary expertise and resources to deliver projects an dime, within budget and in compliance with the design and construction standards set by the City and approval agencies. Leveraging our national presence, multi - disciplinary team, and client focused service, we apply lessons learned from our vast experience to each and every challenge. Clients benefit from this approach; they receive consistently high quality service, innovative designs, and fiuletional solutions that are responsive to their needs and often exceed their expectations. We understand that our success is measured by our ability to listen to and collaborate with our clients. A cornerstone of our success is our cheat- focused service, staff qualifications, fain comminuent, and desire to successfidly complete each assignment to the sntisfiction of all clients. It is our goal to exceed our clients' expectations through hard work and attention to detail to achieve professional excellence. NI:` �faLefinF`Pi'oposNs:WTRS`FV201A• WTOA _Sd- OnCallEpfµg - I. Z'E7t3,@ i'ECpi 25C -32 Relevant Experience We believe that our best relevant experience is the more than 20 projects that we have completed for the City of Santa Ana (City) since 1999. We are confident that these past projects with the City will attest to our technical excellence, responsive staff and our complete understanding of the City's water, and sewer Facilities. We are committed to providing the City with the high quality service that we provided on our previous projects. Our previous work for the City included a wide range of engineering services including: pipelines, pump stations, lift stations, flow control facilities, upgrade of facilities, studies, and structural support services. As part of these projects with the City, we have also developed relationships with several regulatory agencies including the Department of Public Health, Orange County Flood Control and Metropolitan Water District, In addition, we have developed in excellent working relationship with the City's Public Works' staff, Parks and Building Departments and Construction Management. Because of Tetra Tech's large pool of talented engineers and scientists we will be able to submit proposals on all request for proposals received as part of this On -Call Contract. We believe that the City of Santa Ana is our best reference for our performance and execution on our previous contracts. Srunmarized below are the projects that we have performed for the City since 1999. Please see our proposal cover sheet identifying the locations of these projects. Water Main Projects • Bristol Street Widening Writer Main Rcplacewent, Phase 7 • Centennial Pcv* PVater Main Replacement Mid Cq+Neighbor•hood Water Mains • Prco- Lowell Mater Main Improvements • Central 0 .1yWatortblalnReplacement Sewer Main Projects • Westminster Averute Server Main Gnpravernenls • lvf eFadderzAveii tteServer•Replcrcnment Pump Station /Well Projects • South Station Boaster Pump blodifrcations • Well No. 34 Modiflcalions • Well No, 39 Lift Station Projects • San Lorenzo Lift Station • Maxine Lit Station EmergencyBypass• Reservoir Projects • John Gnrthe Reservoh• Lrgn^ovemenls Phase 2 • Elevated TctnkSofe[yLnproverrrents• and painting Flow Conh•ol /PRS Facilities • S11-3 Flow Control Facility • Sfl -4 Flow Control Facility • SW- MovvContr•olFacillty Recycled Water Projects • Recycled Water Conversiorn Projects Miscellaneous Building /Facilities Upgrades • Concord.S'treer Retaining Wall flt Cambridge Reservoir Site Studies/Reports /Miscellaneous Support • Well No, 32 Nitrate Migration Study • OCSD Sewer Transfer Consulting Services • Microstailar Support • ParlonSewer NotimofExempliar • Feasibility 8h dy jor ElLnination of Marine Lill Station • Sewer Master Plan Update Support • Water Svstem Canputer Modeling Scrppori Santa Ana Elevated Tank h1:1\ fur. 4ciii�g4' eaposw\ VV 'TR9�FX1AId0.4TOJ3 }d- Onpoll6narg -?- TETRA TECH 25C -33 PROJECT TEAM Key members of die Project Team have ongoing experience with die City of Santa Ana (City). Our Project Manager, Mr. Tom Epperson, has been working with tine City since 1983. Our team is founded on a long term working relationship with tine City and our goal is to strengthen this relationship through a "teamworking and partnering" approach. Iu addition, most of our Project Team has been working on out current projects with the City, as well. Tetra Tech has assembled a Project Team that possesses the knowledge, experience and enthusiasm necessary to successfiilly complete die project. The Project Team is devoted to completing your project within schedule and under budget, and not only meet, but exceed your expectations. The following paragraphs summarize the qualifications of our key staff, Project Manager; Leading our Project Team Is Mr. Torn Epperson, RE. Mr. Epperson will provide the overall project direction and coordination, technical oversight, quality management and provide all day -to -day contact with the City staff. Mr. Epperson has been involved in the majority of the projects that Tetra Tech has completed since 1999 for die City. in addition, Tom ties been involved in the design and /or construction engineering for tine following clients who have continually chosen Tetra Tech for repeat business dining the last 10 years. The following is a list of these clients and the quantity of individual projects that we have done during the last ten years for the client: Moulton Niguel Water District — since 2000 (over 60 projects) West Basin MWD —As-Needed Professional Engineering Services, for 2006 and 2010 (over 30 pr °ojecis) Upper San Gabriel Valley tb16VD — Recycled Water, Pipeline and Retrofit Projects (4projects) Irvine Ranch Water District (over 20 projects) Orange County YYaier Dtslrict (6 projects) City ofParamonnt (8 projects) City ofAnahehn (5 projects) Deputy Project Manager; Mr. Alark Bush, P.E„ will be the Deputy Project Manager and will share project management responsibilities with Tom; similar to how the past As-Needed contracts have been managed. Mr. Bush has been the Project Manager/Project Engineer for the following projects; City of Santa Ana — As- Needed S'emices since 2006 (over 20 projects) 00 ofS'antaAna — JohnGartheReservoir Improvemcnls Phase 11 • West BasinMWO —As- Needed Professional Engineering S'en4ccs,for 2006 and 2010 (over 30 projects) Several Pump Stations for this City of Orange and Santa Margarita Water District Reservoirs for Santa Margarita Water District and the City of Tustin Mn Steve Tedesco, P.E., wilt be responsible for die quality control of the overall project. His participation will help ensure a cost - effective design which minimizes construction conflicts and contractor claims. In addition, Mr. Epperson will draw from Steve's experience st any time to help address any complex challenges that arise during the implementation of the project. Ter.hnical Support Mr. Laurence Esguerra, P.E, will be tie Task Engineer for the potable water main projects. Mr. Esguen•a has been involved on several pipeline Projects with the City, including die Bristol Street Widening, Centennial Park, Mid City Neighborhood, Pico -Lowell and Central City Water Main Replacement projects. He also recently designed approximately 20 miles of recycled water pipeline for El Toro Water District. Over his career, Mr. Esguerra has designed over 70 miles of water and recycled water pipelines. Mr. Les Wong, P.E, will be the Task Engineer for die sewer main projects. Mr. Wong was recently the Task Engineer for the SARI Interceptor Replacement project for Orange County Sanitation District and Orange County Flood Control District which consisted of over 29,000 feet of replacement sewers, including two separate siphons using microtunneling construction. aclbli�4Gne, noro ..,ms•,arras�rvzoi:l�t�t'n.r, sA.aiir•n�u3 „g,g -3_ - 3'E"rt8d1 Y” M 25C -34 Mr. Mitre Tsai, P.E. will be the Task Engineer for the Pump Station and Lift Station Facilities. Mr. Tsoi has been the Project Engineer for several pump stations and well facilities for Irvine Ranch Water District, the City of Lakewood and the City of Orange. Over his career, Mr. Tsoi has designed over 20 pump station, lift station and well facilities. Als. Crisna Estrada, RE, will be the Task Engineer for the permitting of the various projects. Ms. Estrada's previous work on the Foothill Toll Road South Utility Relocations will be invaluable as she was able to coordinate the obtaining of all the necessary permits with tnutti- permitting agencies even though the project and relocation work had very sensitive permitting issues. Mr. Ken Berard, P.E. will be the Task Manager for the Hydraulic Analysis, Mr. Berard has been the Project Manager for over 15 Muster Plans. He has performed numerous studies ranging from complete water /recycled water /sewer master plans to efficiency studies for various Southern California water agencies. M. Victor Ramirez, P.E., S..E, will be the Task Manager supporting die structural design needs for this contract. Mr. Ramirez has provided structural support services for the majority of the past City projects including John Garthe Reservoir Improvements Phase 2. His structural engineering design experience includes the design of water storage and water conveyance related structures as well as seismic rehabilitation of these facilities. Mr. Nfazen Kassm•, P.E. will be the Task Manager for electrical and controls. Mr. Kassar has supported all projects involving electrical and controls designed by our water /wastewater group in Irvine for the last several years. Within die Project Team Chart, we have included the depth of our Irvine Office's Water and Wastewater group. We have a large group of design engineers tliat will be able to support the Technical Leads. This large talent pool to draw, lion, will allow Tetra Tech to rapidly deploy and meet aggressive project schedules. We have included a chart summarizing our Project Team's education acrd years of experience. In addition, we have included an exhibit showing how the project team has worked together ea the majority of the relevant projects. We have included detailed resumes for all of these personnel in the Appendix. Subconsultants In order to provide all of the services we feel will be needed for this project. Tetra Tech has adder[ the following subconsultants to mu project team; Design Survey, Mapping and Legal Description Preparation: Coast Surveying, Inc. Geoiechnical Services: Leighton Consulting, Inc. Painting and Coating /Re- Coating: Harper & Associates Engineering, Inc. Potholing: C -Below or Kantex Industries or Saf -t• -Dig Traffic Control.- PMTS Associates Teter Tech has provided several consultants for the potholing services h7 order to be sure that one of them will be able to meet the City's aggressive schedule,ifnecessary, Tetra Tech has worked with all of the above consultants on various other projects for several years and as a team we have been a part of the successftrl completion of these projects, Interview The following team members are available for the interview: Tom Epperson, Mark Bush, Laurence Esguerra, and Mazen Kassar. nr•.a�n,:Aims,yroro ,.,; wrny�eznia+ura~_s,;.o+,rnne,�a.s -4, TETRA TECH 25C -35 P R 0/ Is C 7 T E A M C H A R T PRO)F:1 MANAGER Tom Epperson, PE a,,Nr rr ,r104 0onlutnle Hzrper & Associates Englnaering.1m. C -Beinw or KaneaK Indonries o - Saf.r.D% YL` dFavkewlp!Pruposnly: \VCRS4YZON1 \VCA12 5d- dnCUIILUer¢ _ j_ 25C -36 TETRA TVO+I t1A;OC - Steye Tedesco, PE nEPUr, Ptio)EU MANAGER - - Murk Bush, PE Potable Sewer Mains pump /Lift HydraLdic Water Mains ,Station /Wells Analysis JAS. DinIN110 N13%[N4011EP fA'+A rsilelEFR IA>k M-OiAUf! Laurence Esguerra, PE Les Wang, PE Mike Tsui, PE Ken Berard, PE 01$11ia FIP:i1NG!i li5 nAtiitl EPfi:NAE:15 pBL(RI FPIliiOlP.EpS rgiF LN6JN:. -9 Molly Jewett, PE Kyle P,ohn, PE Cory Fess, PE Simon Lee. PE Erin Cabanero - Erica Jenkins Cory Heggtvek structural Gnvironmental Stady Electrical & Pormuting Engiacaring And D"ument Preparation Controls TASK fNV`iNFP9 IMU MANV'ER iAlK h14NAO *a - CAiK NIANAC,ER Crisfia Estrada, PE VIC Ralrlirez, PC, SE Emilie Johnson, AICP. REA Mazen Kassar, PE 1A;. jNOW'sd DEaWN'N1i,NEER David Ambal Uurnyao. PE,SE Aaron Czerltialk, PE DESIGN fNC1lNU;' Eric Yuen, PE r3Ane' Oril";Ulllay MA ING;WiAL r.", RlPraN:, :]1'11F[Nrii It INVESTI!A110)1 PMK Assodares Coast Survey'atg. Inc. Leighcon Consulting, Inc. a,,Nr rr ,r104 0onlutnle Hzrper & Associates Englnaering.1m. C -Beinw or KaneaK Indonries o - Saf.r.D% YL` dFavkewlp!Pruposnly: \VCRS4YZON1 \VCA12 5d- dnCUIILUer¢ _ j_ 25C -36 TETRA TVO+I Summary of Experience Tom Epperson Sr. Project Mgr. Irvine Office B.S, Environmental Engineering 33 RCE 836399 AWWA, OCWA, Protect WateReuse, CWEA Manager Mark Bush Sr.. Project Mgr. Irvine Office B.S, Civil Engineering BS Env.:Engineering 78 RCE 0 6D477 ASCE, AWWA, OCWA Deputy J Project Senior Vice - -- " - - WateReuse - -.. Manager Steve Tedesco President B.S Civil Engineering 34 RCE 039261 ASCE, AWWA, OA/QC Irvine Office OCWA, WateReuse Laurence Project Engineer Esguerra Irvine Office B.S, Civil Engineering 10 RCE 073803 - ASCE Task Engineer i Molly Jewett Design Engineer Irvine Office B.S. Civil Engineering - B.S. Env, Engineering - g RCE ASCE Design Engineer Erin Caballero Design Engineer Irvine Office ; B.S. CNII Engineering 4 EIT0131891 -- Design 1 .. .. .... .. .. Engineer Les Wong Project Engineer Irvine Office B,S. Civil Engineering 20 - RCE 058314 - ASCE, AWWA Task :. ...i.. Engineer Kyle Bohn Design Engineer IrVIneOTfice B'S. Civil En lneenn B. g. 7 RCE077984. - g Desl n Engineer ; Erica Jenkins Design Engineer Irvine Office B.S. Civil Engineering 20 EITO Design _ EX102020 -_ Engineer Mike TSOI Project Engineer Irvine Office B.S, Civil Engineering g -27. RCE H 53715 A5CE Task _ Leader Corey Hess Design Engineer Irvine Office Engineering B.S. Civil En ineerin 11 RCE4 68499 ASCE Design Engineer Cory Hegg[veit Design Engineer Irvine Office B,S, Civil Engineering 12 CIT O- .121854 _. Design .. Engineer. [rlsna Estrada Project Engineer Irvine Office B.S. Civil Engineering - R 8 15 RCE 069403 -- Oesign - _ _ Engineer Ken Berard OnProoeOfMen. B.S. Civil Engineering 17 RCE 045499 AWWA, ICWA Task . . . .. Manager Simon Lee Project Engineer San Dimas Office O,S Civil Engineering g g 9 - RCE 0 73040 ASME Task Engineer - Victor Ramirez Project Engineer San Dimas Office B,S. Civil Engineering 21 RCE 058863 AEC, SEA Task . .. RSE 04720 Manager David Ambartsumyan Design Engineer San Dimas Office B.S. Civil Englneei9ng 7 RCE 073918 RSE 4 591U AISC, SEA Task Engineer Eric Yen Design Engineer San Dimas G'S. Civil Engineering B B S RCE it 75983 ANC Oesi n 8 Engineer Mazen Kassar Project Manager Irvine Office BS, Electrical Engineering 22 RCE 015809 IEEE Task Manager Aaron Czerniak Design Engineer Irvine Office B,S. Electrical Engineering 6 RCE020231 IEEE Design Engineer ae,sn�.tipnnc,e,or,sni,�wrns rvzoin� wr042 SA- WCnuea,a -6- TraTEdATECHI 25C -37 V C d n m N I i I o I I I I i I I I 1 I f. f I a;ll a!I ail I I.IIa i III 1'1 all a�l ICI I� ! l III lil "�',I 11111 ICI 'll 1, l!I 1�1 I!1 �:1 I� ,., a a. II I 1'.a ICI III dil I�1��1 �I �'II,I I'.I I�I I;I I;a a: ojl I�I p;l ICI I I 'Ill olo I'�11�.� I�.. II I� I I 1 , I 7 pla (`O -p,o D: O. ❑1❑ oiI I,t ql I -I'll I; : ,.w wiw. -wlw Iw w w wl wl ' , p i pa'pip f.p pi.p p. I I I p 1 1 I:� I I. I It I I ' ❑❑ 1'�:I q,o Ija 7' Ilp A I�I li �I..II I. , I ; 11 og.�a a O' pa a!a a up.a I�'a III 11 .g u ': lu u' :E,2 '°: -e ;n Eli, cf! d d a Vi, fir a a. i lo. p�Qn' m3 v3no�v_.I �C N UI W N C Q: W YMi.. p lif a c a c c �:ry N s �Ip of a c vj ,p.❑ ro �.yt y.N� L"..v o w g:u o p_ o�¢�r' do u'A: m.a'E '9 .g OC�,v p v o N H pp o: y_p °,. o ❑ m -�❑ ❑ o a.p 'p_ `Ga 0 :3 0. I- =' 25C -38 V W h f° PROJECT EXPERIENCE & QUALIFICATIONS Tetra Tech is a nationally recognized engineering and resource management firm of more than 14,000 engineers, scientists, construction specialists, and technical support personnel in 350 offices worldwide. Tetra Tech consistently ranks among the top engineering Finns annually according to the Engineering News- Record, In 2013, Tetra Tech was ranker! No. 1 in the "Water" eategary anti gh among the "Top 500 consulting forms nationivide. Thus, we can provide the necessary resources to rapidly deploy and meet aggressive project schedules. Pipeline Projects During the last 10 years, members of our project team have been involved in the design and /or construction support services of more than 100 miles of water, recycled water, and sewer mains within fully developed areas having extensive traffic control and utility conflicts. Tetra Tech considers these types of projects to be exactly the type and complexity that we excel at executing efficiently and successfully. Sewer Main and Rehabilitation Projects During the last 10 years, members of our project team have been involved in fine design and /or construction support services of more bran '100,000 feet of relining or rehabilitation of existing sewer mains. Tetra Tech has extensive understanding of the temporary handling of the sewage flow during the work as well as the importance of detailing the bypass facilities within the construction plans and specifications. Pump Station Projects During the last 10 years, members of our project team have been involved in the design and/or construction support services of more than 20 water /recycled water purnp stations and 15 water wells. We are atuong a select few who can make that claim. As pat of [lie design efforts, preliminary design reports were prepared for each of the facilities. Lift Station Projects During the last 10 years, members of our project team have been involved in the design and /or construction support services of more than S lift stations. As pat of the design efforts, prelinurlary design reports were prepared for each of the facilities. M:`hfn &eIWg�Pro0oenle \WfASPPEO1t Wr04w JA NOR Uwg -a. Flow Control Facility Projects During the last 10 years, members of our project team have been involved in the design and /or construction support services of more than 1.2 flow control facilities. As part of the design efforts, preliminary design memorandums and /or reports were prepared for each of the facilities. Reservoir Projects During the last 10 years, members of our project team have been involved in the design and/or construction support services of more than 10 water /recycled water reservoirs (steel and concrete). Structural Seismic Retrofits Out in-house structural group has been responsible for the structural analysis and design of too percent of our water projects completed, This work has also included numerous seismic retnfits throughout Southern California, Seismic analysis includes a three- dimensional finite element analysis, member stress analysis, and fomndation stability assessment. Electrical and Controls Our in -house electrical group has extensive experience in utility, industrial, residential, commercial, governmental and rn htary experience. Our electrical expertise covers the areas of: transmission, distribution, programmable logic controller, PID control, SCADA and telecommunications. Planning /Engineering Studies During the last 10 years, members of our Prgject Team have completed over 15 master plans and/or hydraulic modeling, engineering studies within Southern California. 25C -39 John Garthe Regerroir•b'ine TETRA TE:.cm Pipeline Projects by Project Team Potable and Recycled Water (over100 miles in ii) KSD Joint Venture Carlsbad Conveyance 54" 2014 i El Toro WD Recycled Water Expansion r 105,600 i 4"-24" 2013 Irvine Ranch WD Sand Canyon Relocations 7,500 8'-24" 2010 Irvine Ranch WD IDP Conveyance Pipelines 1 —' '12 — 47,000 2�4;; 2005 Moulton Niguel WD La Paz Road RW Extension 4,000 12" 2010 Moulton Niguel WD ;Relocation of 30" ETM 600 I 30" 2009 Moulton Niguel WD 24" Extension to Big Bertha I 2,100 24" -2001 West Basin MWD Marlposa RW Lateral 1;600 I 6" 20()9 1 West Basin MWD Campus RW Lateral 2,400 2009 West Basin MWD American Honda RW Lateral - 5'100 i 61, 2007 West Basin MWD Imperial RW Lateral 4,400 6" 2007 City of Anaheim 36" TM Relocation 2,000 i 861, 2013 ....... City of Anaheim . ...... .. . . ... Santa Ana Canyon TM 4,500 30" 2009 City of Anaheim Anaheim HIIIs1' M 3,500 30" 2008 Orange County WD Miller and Kraemer Pipe RepL 300 42' 2012 Orange County WD I Replacementol'Seawater Pipe i 1,400 30" 2006 Orange County WD GWR Unit III 23,000 60"-66, 2006 Orange County WD Barrier Pipelines 12,000 12"-42" 2002 Yorba Linda WD Ohio &Odente Replacement 4,000 161, 2010 Sewer Main and Rehabilitation Moulton Niguel WD 33" Joint Regional WWTP outraii 300 i 33" 2011 Moulton Niguel WD . .... ... ....... Crown Valley Trunk Sewer Relocation 1 600 Ir 2001 I OCSD . ----- SARI and Y o rha Linda Spur ------ 25,500 15" &54. 2013 OCSD Gisler-Redhill 3,600 21"-33" 2013 OCSD Warner Avenue Relief 9,000 21",3611 2005 Long Beach WD Orange /Der AMO/151h Street S,2()O 80-151, 2 - 013 Long Beach WD Broadway Phase 3 Refining 3,000 1.4" & 18" 2009 Irvine Ranch WD Culver and Harvard Rehab 10,000 12" & 18" 2007 -9- *rr=THA TEClH 25C-40 Pump Station /Lift Stational Facilities by Project Team Pump Stations (over 20 in the Iasi 10 years) Irvine Ranch W D South County Zone 1.3 BPS 2008 Irvine Ranch WD Shady Canyon Zone B BPS 2Q04 Irvine Ranch WD Coastal BPS Modifications 2004 Irvine Ranch WD Tustin Zones BPS 2002 Irvine Ranch WD Shady Canyon BPS 2002 Moulton Niguel WD El Dorado PS Modifications 2011 Moulton Nlguel,WD Sheep Mills PS Upgrades 2008 Moulton Niguel WD Oso PS Pump /Motor Replacement 2006 Moulton Niguel WD PID No. 2 and 3 PS PUMP /Motor Replacement 2005 West Basin MWD Dominguez BPS. 2011 City of Orange New Santiago BPS 2010 City of Orange Reservoir No.4 BPS 2006 Orange County WD Burris Pump Station 2014 Lift Stations (8 in the last 10 years) Moulton Niguel WD Lower Salado LS Upgrade 2008 Moulton Niguel WD Upper Salado LS Upgrade 2007 Moulton Niguel WD Del Avian LS Pump /Motor Replacement 2006 Moulton Niguel WD Regional LS Pump /Motor Replacement 2004 South Coast WD Sewer Lift Station Evaluation 2007 Irvine Ranch WD Coastal Ridge Lift Station 2002 Long Beach WD 5 -25 Lift Station Modifications 2004 Flow Control Facilities (12 in the last 10 years) KSD Joint Venture Carlsbad Conveyance FCF 2014 Irvine Ranch WD Relocation of Zone 1 FCF 2012 Orange County WD Kraemer Basin Valve Vault 2012 Moulton Niguel WD 2011 PRS Relocation 2014 Moulton Niguel WD Interne Vault to ETWD 2011 Moulton Niguel WD PRV at Also Creek FCF 2006 City of Anaheim Sand Canyon PRS - 2009 City of Torrance - Large Meter and Vault Replacement 2003 n�: mc<�:<���e.ov�rm.;.wrns.rrzou' Wrme_a,r- auCAJE,,, - IO- TETRA TECH 25C -41 Well Projects by Project Team Water Qua] itylDisinfection Projects by Project Team Water Quality /Disinfection Irvine Ranch WD Irvine Ranch WD City of Paramount City of Paramount City of Anahelm City of Santa; Ana _ ^ West Basin MWD Santa Margarita WD City of Lakewood City of Lakewood - Membrane Treatment Well 21 and 22 Desalter PDF Ammonia and Chlorine Mods Pump Stations (over 20Ia the last 10 years) Irvine Lake Disinfection facility - .. Irvine Ranch WD Well 115 and 107 Replacement 2013 Irvine Ranch WD Well 78 Replacement 2012 Irvine Ranch WD ;IDP Potable Wells (6) 2005 Irvine Ranch WO :IDP Non - Potable Wells (3) 2005', City of Orange Well 27 - 2014 City of Paramount Well 15 2011' Water Qua] itylDisinfection Projects by Project Team Water Quality /Disinfection Irvine Ranch WD Irvine Ranch WD City of Paramount City of Paramount City of Anahelm City of Santa; Ana _ ^ West Basin MWD Santa Margarita WD City of Lakewood City of Lakewood - Membrane Treatment Irvine Ranch WD Well 21 and 22 Desalter PDF Ammonia and Chlorine Mods I 2013 Irvine Lake Disinfection facility 2002 Well 15 Treatment Plant 2010 Chlorine Replacement at Well 13 & 14 2012 Nohl Tank Disinfection Modifications i 2011 Well No. 39 Disinfection. Facilltles .,. .�__.___ _. .._,.....,.. 2002 ....... Dominguez BPS Chlorination 2011 Talega and Ladera Res Disinfection 2003 - Well 22 Treatment Facility ! 2013 Well 27 Treatment facility 2107 I Irvine Ranch WD Well 21 and 22 Desalter 2013 Irvine Ranch WD Concentrate Treatment System 2006 Irvine Ranch WD '. _._.. ........ Irvine Desalter Project .... _.. 2005 Irvine Ranch WID I. Deep Aquifer Treatment Plant 2001 South Coast WD Groundwater Recovery Desalination 2008 nr•, c, �F; �ri�s` e�np,:, a., swrxs�Fnow�w- roa�_sA- ouc�lls��2re -ll, TETRA TECH 25C -42 Seismic Retrofit/Rehabilitation City of Santa Ara Irvine Ranch WD CRY of Pomona City of Beverly Hills City of La Habra City of Riverside Seismic Retrofits by Project Team Reservoir Seismic Evaluations 11 MG Seismic Strengthening Elevated Tank Seismic Repair Prel.Selsmic Evaluation of Tanks 2,4,8 Reservoir Safety and Seismic Upgrades Pre], Seismic Evaluatlon of Steel Tanks Seismic Retrofit of Puente Hills Res. Evans Reservoir Seismic Analysis ........ ......... ........ —'- --- Technical StudiestRaports/Master Plans by Project Team Irvine Ranch WD Moulton Niguel WD Santlago Hills 11 Zone 5-6 BPS FM Replacement Study ------- ------ 2003 2014 Moulton Niguel WD T : Easement Rehabilitation Program J 2012 City of Paramount Initial Distribution Evaluation Monitoring 2006 City of Paramount -------- ------- Water Standard Plans Update - - 2008 City of Orange -4 .... ... ... ... .. . ..... I Water Standard Plans and Specs Update i 2007 Mesa WD Standard Specifications and Plans 2013 South Coast WD 1 Evaluation of Sewage J.S & Force Mains 2004 City of Oceanside Seawater Desatmation Feasibility Study 2010 City of Oceanside I CMOM/Sewer Management Plan 2006 Master Plans City of Paramount Water Master Plan 2007 City of Hawthorne Sewer Master Plan Update 2013 Moulton Niguel WD 1 2010 RW Hydraulic Analysis 2012 City of Torrance Hydraulic Model Update & Analyses 2007 City of Huntington Beach Water System Hydraulic Modeling 2004 -12- TETRA TECH 25C-43 PROJECT APPROACH Our basic approach to the design services will be to provide the City with an experienced, knowledgeable and enthusiastic staff dedicated to providing the level of service the City desires. Tetra Tech is committing our top senior manager and staff to this assignment in order to ensure that this is accomplished. Our Project Management Team will be able to recognize and anticipate problems and be able to come to the City with options and solutions in a thusly manner. Tetra Tech's experience in design and engineering services covers all facilities in the water, recycled water, and sewer systems including: • Pipelines anel force mains • Sewer Relining or Rehabilitation • Reservoirs • Pump, Lift and Flow Control Stations • YVater Quality and Disinfection Facilities • Recycled Water Retrofits • Building Renovations • Structural Seismic Retrofits • Planning /Engirseerirrg ,Siitdies Our recent project experience in these areas is described in a previous section. To keep the City aware of the status or the project, we will schedule and administrate design meetings and prepare monthly progress reports as appropriate for the assignment. The following are typical Ivey issues which we believe must be addressed to successfully complete design services: • Aleetingschedule • Coordination with the City and reviewing and pervnitting agencies • Utility coordination and cori/liel resolution • Potholing of conflicting 1161ides • Accounting far iraffic control during alignment selection • Anabzing alignment alternatives • Providing constructionphasingifnecessary • Identtfying options for pipeline rehahililation • Hydraulic calcUdcnions • Temporary bypass piping#bedi lies • Facility layout • Operator safety and maintenance friendly • Slrucluee aesthetics match surrounding neighborhood The following summarizes the services we envision that will be required to be performed during the execution of the sample project. In preparation for this project, we have reviewed. the "Typical Scope of Work" (Exhibit A) contained in your Request for Proposal. We have found the scope of work presented it, the RFP to be comprehensive and due to the proposal space limitations, we have included herein only items of the scope with which we have comments on, additions to and /or want to expand. The project consists of designing approximately 3,200 linear feet of 8 -inch diatneter PVC (C -900) water main and 4,100 linear feet of 8 -inch diameter PVC (SDR -26) sewer main improvements SCOPE OF WORK TashNo. I Preliminary Design 1. General Administration and Meetings Tetra Tech and the City of Santa. Ana will meet four (4) times alter the kickoff moethig (Basis of Design Memo, 50 %, 90% and 100 %) during the design phase of the project. 4, Potholing A. Verify location of utilities baser) on USA information obtained andjob walk, B. Review USA markings completed by geotechnical investigation and potholing. C. Identify critical utilities which are recommended to be potholed. D, Tetra Tech will prepare a memorandum summarizing the pothole recommendations for the City review and approval. E, Provide potholing in the field of up to five (5) utilities for the sewer main, similar to what was done for the Westminster Avenue Sewer .Improvements. Please note that during the Westtntinstev Avenue project, the potholes were ultimately performed by City forces. We do not recommend potholing for this size water main and typically recouunend potholing when constructing large pre - fabricated nemra�taimn�c�ove•ommtvrnswvsoia� wrai2.as,o„cnnss�e - 13- TETRA TECH 25C -44 pipe. All permits will be procured to perform the potholing. All potholes will backfriled using native soil and capped with permanent cold patch. If duct banks are potholed, the top and bottom of the duet batik will be field verified 6. Survey and Right -of -Way A, Provide survey control using County GpS points, C, Leighton will complete laboratory testing and perform geoteclmical analysis of the collected data. D. Leighton will prepare a geoteclmical report presenting the findings and recommendations, hicludiug groundwater conditions, ease of excavation, temporary shoring design, and pipe bedding recommendations. B. Provide field survey profile over dee 9. Alignment Selection proposed sewer pipeline at 100 -foot intervals. This is a similar approach to A. Tetra Tech will prepare preliminary what we used for tlee Westminster Avenue drawings (30% milestone) as required to establish agreement on scope, alignment, Sewer Improvement Project. parameters, maintenance concerns, C. Field locate and dip existing sewer constructability, traffic Impacts, and manholes, connection points and storm general disruption to the area. We will drain crossings along the proposed submit the preliminary design to the City alignment for all pipelines. of Santa Ana staff for review and approval. D. Tetra Tech will prepare dre base reaps The basis of design technical memorandum will address the following subjects: using the above survey information, street improvement plans (tire latest, most recent 1) Evaluation of replacement in same improvement plans), and supplemented alignment verses parallel alignment with Google aerial map. Tetra Tech will 2) Water and sewer main alignment, plot utilities on the base maps based on including evaluation of the impact to information obtained from the utility adjacent businesses, residences and information as well as from USA markings traffic In the field, Tetra Tech will perform all 2) Manhole locations and connection to necessary research to obtain the necessary existing manholes right -of-way information, 3) Maintaining existing service 8. Geoteclneical Investigation connections 4) Hydraulics based on slopes A. Leighton Consulting, .Inc. will perform tine 5) Method of construction, especially at geotechnical investigation, The the major street crossings gootechnical exploration will provide the 6) Traffic control concepts design team and Contractor with tine 7) Construction schedule and pleasing expected subsurface and groundwater and construction cost estimate conditions at the project site that will assist 8) Conflicts with other utilities in design and construction of the proposed 9) Potholing recommendations improvements, 10) Abandonment of existing water and B. Leighton will perform subsurface sewers (if select parallel alignment) 11) Areas where construction is exploration consisting of drilling, logging wodc limited or controlled and sampling of three (3) hollow -stcm 12) Permit requirements auger borings to a depth of 15 feet below the existing grade. The borings will be 12, CEQA Dacumentatioti spaced along the length of the project. The borings will be backfilled with soil cuttings A. Tetra Tech will prepare documentation and patched with cold -mix asphalt. Traffic required to fidfill the California Environmental Quality Act (CEQA) control will be provided, as necessary. requirements. We have assumed a Negative Declaration will be required for hL ",4L d; cline \Ihnno,rnloRVTRS PY204F W1hJ _SA Oi,Callcnpvu [4- TETRA TEE" 25C -45 the project as stated in the RFP. On similar Past projects we have found drat a Notice of Exception is the only requirement as the project is replacing an existing facility with no appreciable upsize in capacity, The following services will be performed: 1) Initial Study and Mitigated Negative — Prepare an Initial Study (IS) that will include completion of an IS checklist to identify impacts and possible mitigation measures. a. Prepare and submit a draft Negative Declination (ND) based on the results of the IS to the City for review. Incorporate City comments in to the ND. b. Submit the final draft ND for distribution and commencement of public review. c. Respond to commments received from public review and submit final ND. d. Prepare a Notice of Determination consistent with CDQA Guidelines 15075 and transmit to the City for Tiling. e. Tetra Tech will submit four (4) copies of the draft ND to the City for review, 25 copies of final draft. ND for public review, including 15 copies for submittal to the State Clearinghouse, PDF of draft public review response to comments and 15 copies of the Final ND, Trash No. 2 Final Design 1, Construction Plans A. Tetra Tech will prepare one bid package of detailed drawings and specifications for competitive biddings for the proposed construction work. We will prepare documents, which will include, but not be limited to the following drawings: 1) Title Sheet (including general notes and construction notes, location and vlclllity maps, symbols and abbreviations, construction legend, basis of bearing and bench nnark) 2) Water Main Plan Sheets (at 20 scale) (2 sheets) 3) Sewer Main Plan and Profile Sheets (at 20 scale) including Hydraulic Data (8 sheets) 4) Sewer Abandonment Plan, Sequencing Plan and Typical Lateral Connection Details (1 sheet) 5) Water Detail Sheet Including Trench/Pavement Replacement Detall, Typical Cotmectiou Detail and Valve Anchor (1 sheet) 6) Sewer Detail Sheet including TronclOavemcat Replacement Detail,, Typical Trench Section and Sewer Later Encasement, and Misc. Details (1 sheet) The project schedule for the sample project is shown on tine following page, The schedule assumes 10 day review cycles by the City, Saa Lorenzo Lifi Slation. Rendering �LlMnrk¢dnglPmVOmIx1W11151Py1p Wr WTO.11 5.4 -0n @IIEng¢ _ t� 25C -46 TETRA TECH 25C -47 PROJECT MANAGEMENT Tetra Tech Team's strength lies in the qualifications of our management team and our steadfast comtnidnent to following our propriety written Project Management Policies and Procedures, in order to proactively manage tine project's schedule, resources, budget and deliverables to ensure project metrics are maintained or exceeded, thus ensuring the overall success of the project, Planning the Project Every project, regardless of size and complexity, trust undergo the same planning process. Of course, each step is scalable based on the various components of the project. Planning starts with a thorough understanding of the goals and objectives of the project, items to be provided by others, and all project stakeholders. With this basic information, the project is further developed through the creation of a detailed scope of work, including the deliverables. Next the WBS, or Work Brealcdown Structure, which mirrots the scope of work is developed to assign resources, budget and schedule required to complete each scope of work item. All elements together yield the basis for the Project Work Plan (PWP). This planning performs multiple functions. The obvious function is that it will allow us to identify critical path tasks and staffing needs. We can make sure that certain resources are made available when needed to complete the task along the schedule's critical path so that subsequent dependent tasks can begin as scheduled. In addition, it ensures that our team has properly considered the resources and schedule needed to complete each task, eliminating surprises during project implementation. Another function is that, through the process of creating the plan and distributing it to our team members, it serves as a primary initial communication provided at the internal kick -off meeting to verily that all team members are completing the project in concert with each other, understanding the reliance on various disciplines, outside influences includatg subcousuhants, permitting agencies and the client. The PWP also provides direction on internal and external communication protocol, design and CAD standards, filing systems /document control, project risks, internal schedule to allow for proper quality reviews, and quality review plan to be followed. We create the work plan, and then work the work plan — rigorously — to ensure overall project success for all stakeholders. It is essential to check status and monitor each element of the WBS so that variances can be evaluated and adjustments made if necessary, our project manager and discipline leads perform regular reviews for this exact reason. Review frequencies are dependent upon the project size, and at tines the complexity or critical nature of a given WBS item. Project Management TO accomplish all of the project goals, we will utilize proven project management techniques and tools, clearly described in our organized and detailed work plan. From the many similar projects we have completed in the past, we have developed a methodology and philosophy drat will serve as the basis for this project. Tile Project Manager will be responsible for making certain that the project meets schedule, budget, and quality goals. He will direct and rely on his team of experienced design managers, engineers, technical staff and subconsultants to carry out the technical details of the project. The Project Manager will Provide overall project uranagenuent Including contract administration, and budget, schedule tracking, kick -off and progress mcethrgs and controls, and meeting We project's quality goals. The Project Manager will present and submit the draft PWP at the kick -off meeting and will then include colmueats to Finalize the draft PWP. We rely on systematic management procedures to ensure the project is delivered on time, and within budget. Tetra Tech will implement standard project controls to monitor and evaluate project progress. A detailed critical path schedule with milestone submittal dates and a projected project expenditure curve will be developed. A centralized computer based project accounting system will be used to quickly and accurately monitor the expenditure of Person hours and dollars. Budget status for the entire project, as well as budget status for individual tasks, will be "'Mitered so that comparisons and contingency plans can be developed as needed throughout the life of the project. The accurate ntw��, .�Ceiu,p�e,oposnL,�wrns'FrLa1A Wra _eq- rnrt,,iu:�er% -17- T�TttdS •i'EA: F9 25C -48 accounting of project expenditures, coupled with a detailed critical path schedule incorporating milestone submittals, will enable Tetra Tech to mouitor total project status and therefore modify our project work plan at the earliest indications of deviations from the initial plan. Efficient cormnunication in the form of regular meetings, and progress reports is essential to effective project management. Equally important is careful and accurate documentation of project Progress, in the form of meeting minutes and action items, decision logs and review comnnents. The Project Manager is committed to effective communication and accurate documentation as they are fundamental to the success of titre project. All meeting minutes, schedule, memoranda, mendily progress reports, decision logs, and other information will be made available for the project team and to the City The Project Manager will be proactive in communicating through telephone calls, cmails, and one -ou- one meetings. Communications Our approach to this project includes a "teamwork and partnering" approach with the City. We are hired for our resources, expertise, independent thought, technical background and problem solving abilities. We also recognize that the City possesses these same attributes of past experiences, knowledge and innovative ideas. Therefore, we understated that it is imperative to work closely with your staff to ensure a successful project. following; summary of work performed during the previous two weeks and the proposed work for the upcoming two weeks; status of the action items from the latest meeting or a -mail action Items; and schedule of upcoming events /meetings /tlellveries; and summary of any outstanding issues. In addition, each month we will submit our invoices as well as prepare a project status report containing the following: surmnary of permit status /schedule; description of key issues /coucems which have surfaced along with proposed options and solutions; and a project status summary report showing current schedule, budget and earned value analysis racking system. Schedule Control Tetra Tech will implement standard project controls to monitor and evaluate project progress. We have it long standing commitment with our clients to deliver projects on time. However, throughout the course of any given project, there may be occasions where project schedules slip for it variety of reasons outside of our control, We have successfully mitigated project schedule delays In tine Past by increasing the available staff assigned to a. project and by assisting our Clients with thorough and timely reviews of dehverobtes. The Tetra Tech team will always strive to work with the City to bring any foreseeable delays back on schedule. Communications Keep the City Informed from Day II Progress Reports BI- Weekly Monthly Project Status The Tetra Tech Team's goal is to keep die City's stuff informed from day one of the project. Conuuunication tools include the formal progress reports, meeting agendas and minutes, e -mail and informal give -anti -take approach starting with our Project Manager and extending to every member of the Tetra. Tech project to m. Our Project Manager will be responsible for all day -to -day communications. However, at the project outset, a chain of cornmand and cornrmueication methods will be set -up and agreed upon. We nre proposing to use e -mail to keep you aware of the status of the project. Every other week, we will prepare an c -mail update containing the NL` �LUkmingY'nsVugnls \ \Yfll51k -YIDIA M'OJ _5A- 011CnrE1]gq .Is_ Cost Control The Tetra Tech team is committed to dolivering a project that not only meets or exceeds titre performance criteria established by the City, but to accomplish [Ills within the allocated budgets. Budget and schedule tracking tools will be used to manage the day -to -day activities of a project, and ensure that the project is progressing within schedule and under budget; our Project Manager utilizes Tetra Tech's "PM Portal." The PM Portal is the primary project reporting software system proprietary to Tetra Tech. It provides quick and easy access to it variety of reports for managing projects, in real time, including labor and direct cost per task, subcontr'actor's costs per task, budget remaining, and other Financial inforuaticin. 25C -49 TF-Tta a ,rrcw Risk Management Approach Our risk management approach predicts problems which may negatively impact the project and determines course of action to mitigate the risk should it occur, Our approach embodies a continuous process of identifying, assessing, mitigating, monitoring, managing, and controlling risk in accordance with our corporate risk management policy and best commercial practices. We have refilled this approach over a 46 year history, on a variety of private, state /federal governmental and municipal contracts. Resource Management Tetra Tech employs project management tools that project required labor allocation per project, to the task level, with a three month forecast. When compared to the expected peak work load, Tetra Tech has more than enough staff capacity to bring oil additional resources to meet all of our deadlines, The team members who have been included in this project team were not only selected based on their qualifications that fit with the requirements of the project, but because they are available to commit their time to this project, A tool that Tetra Tech employs to manage available human resources is keeping an updated long term view of key deliverable dates within Microsoft Project or Primavera P6. This allows us to ensure that the intensive last minute subconsultaut coordination, reprographics and shipment of deliverables do not conflict with other cotmnitments, In the event that one or more deadlines coincide, this forward planning allows the team to prepare for surges. Quality Assurance /Quality Control Our team clearly understands the irnportrace of this project and the huportaoce of ensuring quit the City receives the highest quality product. Quality management is an integral pmt of our project management work plan. Tetra Tech has developed an office environment and philosophy, which encourages, and requires, a very high level of quality in which our clients have come to expect from Tetra Tech. Our duality assurance program includes that a detailed QA /QC Plan will be prepared and submitted for review by the City. This plan establishes lines of communications and procedures tot, ensuring quality during all phases of the project. The plan is flexible and can be modified to respond to your specific requirements, as our best efforts are fruitless unless they meet your criteria. In keeping with our open communications policy, all of our Quality Control documents will be made available to the City throughout the project. We believe that it is in our best interest to have our clients fully informed and up to date on our quality control process. Design reviews, field inspections and material testing can be provided to the City in either hard copy or electronically. We recognize that implementation of a QA /QC Plan will be an important element in how the City assesses the success of this project. The QA/QC Plan will be incorporated hire the P WP. QC review forms will be used to document that internal reviews have been conducted, All comments will be identified with the reviewer's name. When catmnems are resolved to flee satisfaction of the reviewers, the reviewers and our Project Manager wilt sign off on the review forms. These forms will be submtted with deliverables as evidence that QC reviews have been performed in accordance with our QA /QC Plan. The QA /QC Plan will ensure technical adequacy and QC of work, along with design parameters are translated into planning and design docmnents. QA /QC will be directed by Mr. Tom Epperson, P.E. and led by Mr. Steve Tedesco, P,E., who has over 30 years of experience. Formal QA /QC reviews are scheduled around project submissions. The review will he completed well ahead of the submission date to allow time to correct potential errors and omissions, complete subconsultant coordination, etc. In every QA /QC review, a checklist form developed by Tetra Tech for the project is utilized for the review. The reviewer completes the checklist by adding text and snakes any additional comments in red on the document. The Project Manager and the QA /QC Manager review the continents for fatal flaws. If none are found, the PrcjectManager oversees the implementation of the comments by closing each comment on the form with a response and by addressing the changes on the plans by high- liglumg the revision. Tl:tim,kefwg�PFOW %Rh�WMTY_YOI I, WTM: s:A- 0ECAE,f -19- TETRA TECIA 25C -50 PROJECT REFERENCES Previous Work with the City We believe the City is one of our best references based on tie work covered earlier within this proposal. We have enjoyed working with die City on these protects and seek to continue to provide die high quality service that the City deserves. West Basin Municipal Water District 17140 S. Avalon Blvd, Suite 2 t0 Carson, CA 90746-1296 Shivrrji Deslrrnnkh, (310) 6604234 6 Pipelines; I Pump Stations Moulton Niguel Water District 26161 Gordon Road Laguna Hills, CA 92653 Mart Collings, (949) 425 -3552 8 Pipelines, 6 Pump Stations, 9 Lift Stations, 3 Reservoirs, 8 FCF Client satisfaction is a major objective for Tetra Tech, This commionent to our clients has earned us the privilege of providing continuous services to all of our below listed references. We believe that our clients will attest to our technical experience and responsive staff. We have provided contact names, phone numbers and a list of projects that we have completed since 2000 for these references below. Vpper San Gabriel Valley Municipal Water District 602 E. Huntington Drive, Suite B Monrovia, CA 91016 Reymando Trejo, (626) 443 -2297 2 Pipelines and 2 Retrofit Packages City of Paramount 16400 Colorado Avenue Paramount, CA 90723 Christopher Cash, (562) 220.2100 3 Well Equipping/Disinfection, Pipeline Upgrade, and 3 Reports including a Water Mister Plan INSURANCE - Tetra Tech has insurance coverage in the limits required in the request for proposal. A sample of our insurance documentation can be provided upon request. 2013 -14 INSURANCE COVERAGE Broker: AON Risk Insurance Services West, Inc, Ann Whisenhinit, Account Manager 707 Wilshire Blvd., Suite 2600 (213) 630 -3270; Fax (847) 953 -0574 Los Angeles, CA 90017 vnl whisenhnnt rr.ars.non,com (866) 283 -7122; Fax (847) 953 -5390 Coverage: See below Coverage Company Policy No, Policy Limits nest's Rating Guide Key Rating Financial /Size Dates Professional, in olled Pollution /E &0 Legal /E& Lexington Insurance 028182375 10/01/13— $5,000,000/ A XV Liability Company 10/01/14 $5,000,000 ($2 Billion+) General Liability National Union Fire GL5142623 10/01/13 — $2,000,000/ A XV Ins, Co, of Pittsburgh 10/01/14 $4,000,000 ($2 Bllllon +) Wcrkers'Comp.; Insurance Co, of the WC15656911 10/01/13— XV Employers' Liability State of PA -12 -17 10/01/14 $1,000,000 A ($2 Billion +) Auto Insurance National Union Fire CA 3175265 10/01/13— $2,000,000 A XV Ins. Co. of Pittsburgh 10/01/14 csl ($2 Bllllon +) Excess /Umbrella AIG Europe Limited 62785232 10/01/13 -- $5,pOQ000/ XV Coverage 10/01/14 $5,000,000 A ($2 Bllllon +) �i :`Madnu,F�nnposuiv \WfItSNY20ii1 WrOI+ S.4OnC�IIEUp,e -20- 25C-51 TiCTRdA TECIFt NOTE: Ralcs subjecl' to ehmlge anuooJJN. 25C -52 Fxlilbi l A -.S"' 100 xhN Agreement Exhibit C ® TETRATECH L -_ EXHIBrr A - SW 2014 HOURLY CLIARGE RA'I'L; AND EXPENSE RCINIBURSENIENT SCHEDULE Project Nhmngemellt Construction - Pro Oct Manager I 4195.00 CcalSUuctiun Projccl Rep 1 $78.00 Project Manngcr 2 $207.00 C0110'u0001) Project Rap 2 $85.00 Sr Project Nlanagar 1 $250.00 Sr Conslr Projccl. Rep I $10400 Sr Project Manager 2 $285.00 SI' Conslr Project ReP 2 $115.00 Program Nfanuger $297.00 Constrnction Nlanagm' 1 $165,00 Pri ncilxl 111 C11a1'ga $310.00 Coostructloa Manager 2 $185,00 Consi'tminn Director $233,00 Engineers Engineering Technician $37.00 General & Administrative Engineer 1 $96,00 Projcct Assislmll 1 $67.00 Engineer: $115.00 Project Assistnnt2 $75.00 Engineer-1 $125.00 ProjectAdministrntor $95.00 Pro cc( Engineer I $135.00 Sr Project Adminisn'ami $110,00 Project Engineer 2 $165.00 Graphic Artist $130.00 Srring11Wer I $170.00 Technical Wrim, I $97.00 Sr Engineer 2 $175.00 Technical Writer 2 $124.00 SrEngincer3 $210.00 Sr Technical Writer $155.00 Principal Eneincer $300.00 Information Technology Planners rnmlrlar 1 $77.00 Plulner 1 $104.00 SpstmnsAnalyst /Piogranlmer2 $115.00 Plan lei 2 $ i 15.00 Sr Sys Malcsl / PI'Ogl'iI111111Cf I $ 130,00 SI' Mallow 1 5125.00 SI'$yslems Anal.vsl / PioEl'ammer 2 $196.00 Sr Planner 2 $151,00 Sr Planner 3 $175.00 Project Accounting Project Analyst I $0400 Desiguet:s & Technicians Project Analyst 2 $1 14.00 CAD'Fcchnicinn1 $65.00 Sr ProjectAnal)'st $155.00 CAD Technician 2 $75.00 CAD Technician 3 $90.00 Reimbursable In -House Costs: CAD Designer $100.00 Pholo Copies (B &W 8.5 "x I I ") $ 415 117-.11ch Sr CAD Designer.l $117.00 Phoro Copies (13 &W II %17 ") $OAO /Each Sr CAD Dcsigncr2 $1 -15.00 CulorCopie.s (up to8.5 %11 "1 $ 2.00 /Each CAD Directm $150,00 Coloi Copies (to I I "x 17") $ 3,00 /Each Survey Tech 1 550.00 Compact Discs $10 /each Large normal copies $0,40 Sat^. Health & safety ComPuter Ustlge: not to excued 53.55 /1'1tltlr I'M,,S Adoli 1iShIC(lr $95,00 Nhlcage- Compally Velllcle $0.80 /111do Sr 1.10 Administrator $1 15.00 Mileage -POV $0.55 /nlila'^ FL &S Manager S145,00 "lcurmnl GSA POV nliUl)'r rue sAbjcet to change All odwr dik "t costs, such As pro(1nC4nn, special photography. puslnlm. doliwl% Set%i�cs. ovcl night snail. priol'ing and any other set l ices performed by xubcontrlmor gill be hillcd in cost Plus 15(4. NOTE: Ralcs subjecl' to ehmlge anuooJJN. 25C -52 Fxlilbi l A -.S"' 100 xhN CONSULTANT AGREEMENT FOR ON -CALL WATER RESOURCE ENGINEERING SERVICES WITH RBF CONSULTING THIS CONSULTANT AGREEMENT made and entered into this 3'd day of June, 2014 by and between RBF Consulting, a company of Michael Baker International, LLC (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 water resource engineering design 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: I. SCOPE OF SERVICES Consultant shall perform engineering services for City water and sewer improvement projects, on an on -call basis, as set forth in the City's Request for Proposals issued February 13, 2014, attached hereto as Exhibit A and the Consultant's Proposal, attached hereto as Exhibit B, All Exhibits to this Agreement are incorporated by this reference. 2, DELIVERY OF WORK PRODUCT" Consultant shall deliver to City all work product which results from the services provided. Said work product shall be submitted in a hard copy and produced in a form compatible with the City's computer system, as agreed between the City's Project Manager and Consultant. In regard to material produced as a deliverable under the Agreement, including but not limited to books, reports, plans, photographs, drawings, videotapes, and computer programs, Consultant agrees, for itself and its affected officers, employees, agents, contractors, and volunteer worker's, that the authors of all such material. whether ennvriehted nr not. nwarrl to rhv City, and to its officers, agents and employees acting within the scope of their official duties, as a condition of payment to the Consultant, a royalty -free, nonexclusive, irrevocable license throughout the world to disclose, publish, translate, reproduce, and use such materials. 25C -53 3, COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Exhibit C. The total sum to be expended among all contractors providing these services shall not exceed $400,000.00 annually for the initial one- year terns of this Agreement. b. The total sum to be expended during each of the subsequent one -year option periods among all contractors providing these services shall not exceed $400,000.00 annually. c. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. 4. TERM This Agreement shall commence on June 3, 2014 and terminate on June 30, 2015, unless terminated earlier in accordance with Section 13, below. The City Manager shall have the option to extend the Term of this Agreement for up to two (2) additional one -year option periods, on the same terns and conditions set forth herein. At the end of the full Term hereof, the Agreement may be extended to expend any remaining funds to complete ongoing projects, by a writing executed by the City Manager and the City Attorney 5. INDEPENDENT CONTRACTOR Consultant shall, during the entire term of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an omployer - employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, unemployment insurance and siuular taxes relating to employees and shall be responsible for all applicable withholding taxes. C. 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 which shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of Consultant's operations in the amounts of insurance shall be not less than the following: single limit coverage applying to bodily and personal injury, including death resulting therefrom, and property damage, in the total amount of $ t,000,000 per occurrence, and in the aggregate. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) 25C -54 be primary and not contributory with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $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 lass 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. (it) Certificates of insurance shall be ftimished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) 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. f If Consultant fails or refreses to produce or maintain the insurance required by this section or fails or refuses to furnish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not effect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 7, INDEMNIFICATI.ON To the fullest extent permitted bylaw, Consultant shall indemnify, defend and hold harmless City, its officers, agents and employees (collectively, the "indemnified parties ") from and against any and all olaims (including, without limitation, claims for bodily injury, death or damage to proporty), demands, obligations, damages, actions, causes of action, suits, losses, judgments, fines, penalties, liabilities, costs and expenses (including, without limitation, attorney's fees, disbursements and court costs) of every kind and nature whatsoever (individually, a claim; collectively, "claims "), which may arise from or in any mariner related , — .- --,-- - -- directl or-irtclrrectl m ,ni work-rm li ent terformedl ar- serviecs-tre lu rend roroicled °under - -- - -- -- - - -- ( y "" y)" 3' g.•g. fy.l o. g.,g. 3,..p this Agreement (including, without limitation, defects in workmanship and /or materials) including the negligent and /or willful acts, errors and /or omissions of Consultant, its principals, officers, agents, employees, vendors, suppliers, contractors, subcontractors, anyone employed directly or indirectly by any of theta or for whose acts they may be liable for any or all of them. 25C -55 Notwithstanding the foregoing, nothing herein shall be construed to require Consultant to indemnify the indemnified parties from any claim arising from the sole negligence or willful misconduct of the indemnified parties. This indemnity shall apply to all claims and liability regardless of whether any insurance policies arc applicable, The policy limits do not act as a limitation upon the amount of indemnification to be provided by the Consultant. 8. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and /or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care, "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also information transferred orally, visually, electronically, or by other means. Confidential information disclosed to either party by any subsidiary and /or agent of the other party is covered by this Agreement. The foregoing obligations of moo -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 facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92'702.1988 Facsimile: 714 -647 -6956 Copies to: Public Works Agency — Water Resources 220 S. Daisy Ave. (M -85) Santa Ana, California 92701 25C -56 and City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 Facsimile: 714.647 -6515 To Consultant: RBF Consulting Attn: Cindy Miller, P,E, 14725 Alton Parkway Irvine, California 92618 Facsimile: 949- 472 -8373 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded. 1I. 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 attaclunents 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 arc 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 assigmnent, 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 -- parlor• mad- byGityporsernnel�otmby�oth ®r- consultants- rccainedbyC:ity, ,----- .— .- _�___.__._.— _,_..... 13. TEWMINATION This Agreement may be terminated by fire City upon thirty (30) days written notice of temunat'ion. hi such event, Consultant shall be entitled to receive and the City shal l pay Consultant 25C -57 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 paytnent, the Executive Director may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City unless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 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 'Thus 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, it, 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. 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 flully, 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. 25C -58 IN WITNESS WHEREOF, the parties hereto have executed this Agreement the dote and year first above written. ATTEST MARIA D. HUIZAR Cleric of the Council APPROVED AS TO FORM: SONIA R, CARVALFIO City Attorney �y By:r'z_w Lisa Storcic Assistant City Attorney RECOMMENDED FOR APPROVAL: EDWIN "WILLIAM" GALVEZ., P.E. Interim Executive Director - PWA CITY OF SANTA ANA DAVID CAVAZOS City Manager CONSULTANT: RBF Consulting Ronald B. Craig Senior Vice President 25C -59 Agreement Exhibit A REQUEST FOR PROPOSAL (RFPi FOR REP # 114 -009 ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS CITY OF SANTA ANA Santa Ana Public Works Department 20 Civic Center Plaza Santa Ana, CA 92702 Rodolfo Rosas, P.E. Senior Civil Engineer Phone (714) 647.3320 rrosas@santa-ana.org Issue: February 13, 2014 Proposal Due: March 13, 2014 Presentation and Interview March 31, 2014 —April 4, 2014 Projected Award Date To Be Determined 25C -60 Agreement Exhibit A City of Santa Ana, PWA RFP —ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS OTICE INVITING PROPOSALS NOTICE IS HEREBY GIVEN that proposals will be received from qualified firms to provide engineering services on an as- needed basis for potable water, recycled water and sanitary sewer main improvement projects. Responses to the Request for Proposals (RFP) will be accepted until March 13, 2014. If further information is required, contact Rodolfo Rosas at (714) 647 -3320 or rrosasra?san1a- ana.ora All notifications, updates and addenda will be posted on the City's current RFP Bid page at htto: / /mvw.ci santa -ana ca us /bids -rips. Proposers shall be responsible for monitoring the site to obtain information regarding this solicitation. MAILED, DELIVERED BY HAND, or COURIERED proposals will be accepted as follows: City of Santa Ana Rodolfo Rosas, PE Public Works Agency 4th Floor, Ross Annex 20 Civic Center Plaza Santa Ana, CA 92702 It is the responsibility of the proposer to ensure that any proposals submitted shall have sufficient time to be received by the City of Santa Ana prior to the proposal due date and time, Questions regarding this Request for Proposals shall be made in writing via e -mail to Rodolfo Rosas at rrosasfa santa -ana org, The receivina time in the Public Works Agency, 20 Civic Center Plaza, Santa Ana, CA 82702 Fourth Floor, Ross Annex, will be the governing time for acceptability of proposals. Late proposals will NOT be considered and will be returned to proposer unopened. Telegraphic, electronic, and facsimile proposals will not be accepted. ONLY SEALED RFP RESPONSES ARE ACCEPTABLE DO NOT E -MAIL RFP RESPONSES. DO NOT FAX RFP RESPONSES, 25C -61 2 ment City of Santa Ana, PWA Agree Exhibit A RFP —ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS TABLE OF CONTENTS 1. INTRODUCTION II. CONTRACT III. FISCAL NONFUNDING CLAUSE IV. SCOPE OF WORK /SERVICES V. GENERAL INFORMATION VI. COORDINATION VII, CONTRACTOR /CONSULTANT RESPONSIBILITIES VIII. LICENSE REQUIREMENTS IX. INITIATION /KICK OFF MEETING X. CITY BUSINESS LICENSE XI. ADDENDA XII. RULES FOR PROPOSALS XIII. FILING OF BID PROTESTS (NOT APPLICABLE) XIV. E -MAIL COMMUNICATIONS AND INTERPRETATIONS /CLARIFICATIONS XV. SUBMITTAL INFORMATION AND DEADLINE XVI. SUBMITTAL REQUIREMENTS XVIi, CONTRACTOR /CONSULTANT SELECTION - PROPOSAL AND EVALUATION XVIIL NOTIFICATION AND AWARD XIX. PUBLIC RECORDS EXHIBITS EXHIBIT A -- SCOPE OF WORK /SERVICES EXHIBIT B — SAMPLE CONTRACT AGREEEMENT EXHIBIT C — CERTIFICATION AND PROPOSAL FEE SCHEDULE EXHIBIT D — REFERENCES EXHIBIT E -- STATEMENT OF UNDERSTANDING EXHIBIT F — CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR EXHIBIT G — NON - COLLUSION AFFIDAVIT EXHIBIT H — SAMPLE ADDITIONAL INSURED ENDORSEMENT FOR COMMERCIAL AND GENERAL LIABILITY INSURANCE 25C -62 PAGE 4 4 4 4 5 6 6 6 7 7 7 7 7 8 8 8 10 12 12 13 21 30 33 35 37 40 42 3 Agreement Exhibit A City of Santa Ana, PWA RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS INTRODUCTION The City of Santa Ana is located in the County of Orange in Southern California. The City encompasses 27.2 square miles and a population of 325,000 people. The City of Santa Ana Public Works Agency — Water Resources Division oversees and maintains the daily operations of the Water System and Sanitary Sewer System. The City of Santa Ana's water system has an average day demand of about 43 million gallons (MG) with 45,000 services. It is comprised of approximately 444 miles of water main, 45 MG of storage at 5 sites, 7 Metropolitan Water District connections, 21 groundwater wells, 7 pump stations, 4 pressure regulating stations and utilizes 2 pressure zones. The City's sanitary sewer system has approximately 8,000 manholes, 390 miles of sewer mains and 2 lift stations. The sewer system collects all sewage and transports it to the Orange County Sanitation District for treatment. The City is soliciting proposals from qualified professional consulting firms to provide engineering services on an as- needed basis. The City shall select two firms to provide these services. The City has budgeted $300,000 a year in design funds for this purpose. This request for proposal (RFP) provides interested qualified firms with the information enabling them to submit a Service Bid Proposal and to provide the services described herein. CONTRACT Upon completion of the selection process, the selected consultant(s) will be awarded a contract agreement for a "not to exceed fee." The contract term is anticipated to commence after City Council award of this contract and upon receipt and approval of all required insurance documents. The contract shall also include City options to renew the agreement on a yearly basis for a total potential contract term of 4 years. All services provided, and all payments made for services, shall be in accordance with the executed contract agreement. 111. FISCAL NONFUNDING CLAUSE In the event sufficient budgeted funds are not available for a new fiscal period, the City shall retain the right to notify the provider of such occurrence in writing at least thirty (30) days before the end of the current fiscal period and terminate the contract on the last day of the current fiscal period without penalty or expense to the City. The City's fiscal year is from July 1st to June 30th. IV. SCOPE OF WORK /SERVICES The City of Santa Ana is soliciting proposals from qualified firms for water resource engineering design services on an as- needed basis. The work, in general, consists of general water and sewer main replacement design projects on arterial highways, local roads and public right -of- ways citywide. The projects may include sidewalks, curb and gutter replacement; repair and overlay of asphalt concrete and /or PCC streets; signing, striping, and other related items as required. Environmental study and documentation preparation will be required on each project. In addition, City may need consultant services for construction management, staking and inspection. Occasionally, the City may need mechanical, electrical, structural services and /or 25C -63 City of Santa Ana, PWA Agreement Exhibit A RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS surveying for smaller projects. Also, demonstrate the ability to perform design engineering services for water pump stations, wells, reservoirs, utility vaults and sewer lift stations. The proposal shall be concise, to the point, and sufficient enough to cover all required submittal requirements listed in this RFP and exclude any extraneous materials, Refer to Exhibit "A" for specifics of the Scope of Work. This section of Scope of Services describes all processes and outlines the requirements prescribed in this RFP. It is the proposer's responsibility to address each and every item herein. V. GENERAL INFORMATION A. The term of the contract will begin after the contract award by the City Council, B. When determined appropriate, the City will provide information In its possession relevant to preparation of required information in RFP. The City will provide only the staff assistance and documentation specifically referred to herein. C. The proposer shall be responsible for retaining data, records and documentation for the preparation of the required information. These materials shall be made available to the City as requested by the City. D. This RFP does not commit the City to pay costs incurred in preparation of a response to this RFP. All costs incurred in the preparation of the proposal, the submission of additional information, attendance at pre - proposal conference, negotiations with City, and/or any other aspect of a proposal prior to award of a written contract will be borne by the proposer. The City reserves the right to accept or reject the combined or separate components of this proposal in part or in its entirety or to waive any informality or technical defect In the proposal, E. All data, documents and other products used, developed, or produced during response preparation of the RFP will become property of the City. All responses to the RFP shall become property of the City. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. F. The City reserves the right to reject, replace and approve any and all subcontractors. All subcontractors) shall be identified in the response to the RFP and the City reserves the right to reject any subcontractor(s). Subcontractors shall be the responsibility of the prime contractor and the City shall assume no liability of such subcontractors. G. The City reserves the right to delay scheduled dates if it is to the advantage of the City. H. The consultant (awarded proposer), shall submit monthly invoices including the number of hours by labor category to conduct all the work in this RFP billed at the consultant's hourly billing rates included within their proposal. The invoice shall include a detailed breakdown on the services, project title and limits, the tasks, the hours, the unit costs, and the hourly rates. The summation of the invoices shall not exceed the not -to- exceed fee included within the proposal. Any increase in the maximum not -te- exceed fee shall be due to a change in the project scope and must have prior written approval by the City. 25C -64 City of Santa Ana, PWA Agreement Exhibit A RFP — ON-CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS I. Tentative Schedule Issue Request for Proposal (RFP) February 13, 2014 Submit Proposals to City March 13, 2014 Presentation and Interview, City shall interview March 31, 2014 — April 4, 2014 the top 6 proposers J. Compensation: City agrees to compensate the consultant, the proposer awarded the project, on an hourly time and material basis, with a not -to- exceed amount. The not -to- exceed amount is inclusive of labor costs and direct costs, Compensation shall be based on the billing rates included within the proposal and the actual services rendered. Reasonable direct costs shall be included within the fee proposal. The City will not pay for extra communication charges, computer charges, or the like. During the proposal period, all questions and requests for additional information must be in writing and emailed (Attention: Rodolfo Rosas at rrosasaasanta -ana orq). No verbal responses will be given. VI. COORDINATION Coordination by the awarded proposer with various City departments and personnel will be required to achieve satisfactory and timely delivery of the required services. The City will decide the manner in which the coordination efforts with be conducted. At the City's option, coordination efforts may be performed by the proposer's direct contact, by the proposer acting through the City or by the City only. When coordination efforts require agreements, such agreements shall be coordinated through the City. VII. CONTRACTOR/CONSULTANT RESPONSIBILITIES The selected contractortconsultant will assume responsibilities for all services in its proposal. The selected contractortconsultant shall identify a sole point of contact with the greatest knowledge in regard to the required service operations and contractual matters, including payment of any and all charges resulting from the Agreement. VIII. LICENSE REQUIREMENTS In accordance with Section 3300 of the California Public Contract Code, the City has determined that the proposer shall possess a license in the classification specified in the Notice Inviting Proposals (If required), 25C -65 City of Santa Ana, PWA Agreement Exhibit fl RFP - ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS IX. INITIATION/KICKOFF MEETING The successful proposer will be required to meet with City staff prior to commencement of services or at any time as required by the City. X, CITY BUSINESS LICENSE The selected proposer shall be required to obtain a City of Santa Ana Business license within thirty (30) days of selection and must provide a copy to the City projects manager or designee prior to commencing any work in Santa Ana. rr W217,1 MI-1 Any subsequent changes in RFP from the date of preparation to date of submittal will result in an addendum or amendment by the issuing office. Notification of such addendum or amendment shall be effected by posting on City's website, as set forth in the Notice Inviting Proposals. X11. RULES FOR PROPOSAL The signer of the RFP must declare in writing that the only person, persons, company, or parties interested in the proposal as principals are named therein; that the proposal is made without collusion with any other person, persons, company, or parties submitting a proposal; that it is in all respects fair and in good faith without collusion or fraud, and that the signer of the proposal has full authority to bind the proposer (Exhibit E). XIII, FILING OF BID PROTESTS Bidders may file a Bid "protest" with the City's Purchasing Department. In order for a Bidder's protest to be considered valid, the protest must; 1. Be filed in writing within five (5) business days of after the bid issue date or before 5;00 p.m. of the 5th business day following the posting of Bid Results /Notice of Intent to Award Contract on the City's website; 2, Clearly identify the specific irregularity or accusation; 3. Clearly identify the specific City staff determination or recommendation being protested; 4. Specify, in detail, the grounds of the protest and the facts supporting the protest; and 5. Include all relevant, supporting documentation with the protest at time of filing. If the protest does not comply with each of these requirements, it will be rejected as invalid. If the protest is valid, the City's Purchasing Manager, or other designated City staff member, shall review the basis of the protest and all relevant information. The Purchasing Manager will provide a written decision to the protestor within fourteen (14) calendar days. The protestor may then appeal the decision of the Purchasing Manager to the Assistant Finance Director within five (5) calendar days of the date of the written decision from the Purchasing Manager, The Assistant Finance Director will provide a written decision to the protestor's appeal. The decision from the Assistant Finance Director is final and no further appeals will be considered. 25C -66 Agreement Exhibit A City of Santa Ana, PWA RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS XIV. E -MAIL COMMINICATIONS AND INTERPRETATIONS /CLARIFICATIONS To facilitate the RFP process, proposers are required to monitor the City's Bid and RFP page at htto: / /www.ci Santa- ana.ca us /bids -rfps. No oral interpretations will be made by the City to any proposer as to the meaning of requirements identified herein, including the Scope of Services and Terms and Conditions, Every request for such an interpretation must be made in writing via e -mail to the projects manager no fewer than five (5) business days prior to the date and time set for the RFP bid due date. Significant interpretations or clarifications will be made by an addendum to this RFP, which will be posted to the website. Addenda may become part of the agreement documents. XV, SUBMITTAL INFORMATION AND DEADLINE Proposals are due to the City of Santa Ana, at the date, time, and location set forth on the Notice Inviting Proposals. Faxed and e-mail Proposals will not be accepted. XVI. SUBMITTAL REQUIREMENTS The RFP is intended to assess and evaluate each firm's capabilities as they apply to the proposed project. Submittal of Proposal 1) Six (6) hard copies of the response to the RFP shall be signed by a company official with the power to bind the company. One (1) separate Digital Copy of the written proposal shall be submitted as well. One (1) hard copy of the fee schedule, Exhibit "C" shall be submitted, submitted to the Citv. The fee schedule shall be based upon the sample project as provided in Exhibit "A ". The fee schedule shall include the following: a) Breakdown of labor and direct costs per task summary of the Not -to- Exceed Total Fee Amount. Included in the breakdown should be the total man hours as well as assigned man hours per task. b) Any other direct charges c) Hourly Rate Schedule with hourly rates for each job classification 2) Structure your proposal to include the Scope of Services response, project schedule, summary of deliverables, summary of labor hours per task, and exhibits as specified. Each firm must address each of the following items in its response to the RFP. Technical Proposal - In order to maintain uniformity, the Technical Proposal must be limited to a MAXIMUM of 20 PAGES (excluding front and back covers, cover letter, section dividers, resumes and exhibits). The page limitation includes all appendices, attachments, and supplemental information. The following Information is required (and Included in the page limit): 25C -67 nt City of Santa Ana, PWA AgreemeExhibit A RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS Cover Letter: A letter signed by a principal or authorized representative who can make legally binding commitments for the entity. The letter should include the complete legal company name (as it should appear in the contract), company address, contact person, telephone number and email address. It shall identify all materials and enclosures being forwarded In response to this solicitation. This letter is not Included in the page limit 2. Firm and Personnel Experience: A profile of the firm's experience, including the names and experience of personnel and sub - consultants (if applicable) who will be providing services. At a minimum, this should include the project manager /principal agent (PM), associates in charge when the PM is unavailable, key personnel, and an organization chart identifying only those who will perform work for the proposed project and the percentage of each individual's time devoted to this project. Sub - consultants shall be identified if any are anticipated for projects under contract. Changes in sub - consultants shall be subject to review and approval of the City prior to execution of any task orders under this agreement. Emphasis of experience should be placed on design and construction of: water distribution pipelines, water transmission pipelines, sanitary sewer pipelines, water pump stations, reservoir or storage tank design, repair and rehabilitation practices, construction management and cost estimation practices. Restrict all project experience listings and descriptions to the team members that are o part of this proposal team. In addition, identify which of the team members shall be present for the firm interview, if invited. 3. Project Approach: A description of the firm's general approach to completing projects under this contract, identifying major issues and recommendations to accomplish the potential tasks. Proposers shall illustrate the manner in which Its team members have the capabilities and experience to fulfill the Scope of Services and proposed project approach. 4. Project Management: Provide a description of the firm's project management approach, tools, communication ideas as well as quality assurance and quality control procedures as they apply to domestic water and sanitary sewer design projects. 5. Sample Project Plans: Provide a "to scale" true half size set (12" x 18 ") of plans to demonstrate the firm's plan quality. The sample project plans shall be of a past approved project that is similar in nature to the sample project described in Exhibit "A ". EXHIBIT C —PROPOSERS STATEMENT AND PROPOSAL FEE SCHEDULE A fee envelope including proposer's cost proposal shall be submitted concurrently but under separate cover with the technical proposal. Costs should be indicated by the respective tasks described in Section XVI of this document. A total not -to- exceed cost for the entire project shall be included. No fee envelopes shall be opened by City until the final ranking of proposals has been completed. 25C -68 Agreement Exhibit A City of Santa Ana, PWA RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS • EXHIBIT D — REFERENCES — The Proposer shall submit at least three (3) agencies, past and present, for which you have provided work similar to that identified in this RFP (Exhibit A) during the last 10 years. Include the name of the agency, address, contact name, a -mail, telephone number and a description of the work performed for the reference. • EXHIBIT E - PROPOSERS STATEMENT OF UNDERSTANDING • EXHIBIT F — CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR • EXHIBIT G— NON - COLLUSION AFFIDAVIT The proposal must be completely responsive to the RFP. Any exceptions to the requirements of this RFP must be included in the proposal. Such exceptions must be included as a separate element of the proposal entitled "Exceptions and Deviations." The Executive Director, in his sole and absolute discretion, may authorize or deny any exceptions, • The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any contract will be awarded pursuant to this RFP or otherwise. The City reserves the right to waive minor inconsistencies in submitted Proposals. XVIL CONTRACTORICONSULTANT SELECTION- PROPOSAL AND EVALUATION The criteria for evaluating the proposals submitted will take the following items into consideration: qualifications, abilities, deliverables, approach, references, and responsiveness to the RFP. The proposals will be reviewed by a committee of City staff. The committee will evaluate the proposers based on the written response to the RFP and the City evaluation criteria. The committee will rank the proposers and select the top six (or top tier based on the internal ranking process) for an interview by calculating a final interim score for each written proposal. Technical proposals will be evaluated based on the following criteria: 11[17 25C -69 Agreement Exhibit A City of Santa Ana, PWA RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS Firm experience — Experience of the firm in similar work and record of successful results of that work. Also considered will be the firm's ability to take on additional werl<, demonstrated understanding of the City's goals and purpose for this project, specific management approach and how the firm proposes to achieve the project's time goals, how well the firm's organizational structure shows sufficient depth for Its present workload, and the firm's ability to offer the breadth and quality of services required for the project. (15 %) Experience of the personnel assigned to the project team — The City of Santa Ana will give substantial consideration to the individual qualifications of the project team members who will actually do most of the work on the proposed projects. Considerations will include qualifications of key personnel, project team member's individual experience and qualifications, project manager's experience, sub - consultant's individual experience and other qualifications, (20 %) 3, Project Approach — Response to the project objectives outlined in the RFP, including demonstrated understanding of the scope of the sample project, and demonstrated ability to present technical data in a user - friendly format with appropriate use of graphics as necessary. (25 %) 4. Project Management —A firm's plan for communication, approach and quality control and assurance will be a key component towards a successful design project, Special consideration shall be given towards firms that have all communication go through the project manager and their successor should the project manager be unavailable. (10 %) 5. Sample Project Plans — Sample project plans submitted shall be judged based upon clarity, neatness and quality. (10 %) The written response to this Request for Proposal should contain documentation of consultant's and /or consultant's agents' credentials and expertise in this field. Substantial consideration will be given to consultants with demonstrable and documented experience in similar worlt. Responses will be evaluated on the basis of the qualifications, abilities, and responsiveness of the proposing firms. Interview — The City of Santa Ana will consider results from the interview in the overall evaluation of the proposals. To be considered for an interview, a review of the written proposals shall be done by the review panel. A short list of the top six (6) Proposers will be selected to participate in an interview /presentation based upon the highest total scores of items 1- 5 (80% of total score for final 6 firms). The selected proposers will be given the opportunity to discuss in more detail their qualifications, past experience, proposed work plan and schedules. The interview must include the project team members expected to complete a majority of work on the project, but no more than four (4) members total. The interview will consist of a brief presentation of the company by the proposing firm, including the person who will be the project manager on this Contract followed by questions and answers. All individuals present at the interview shall provide a brief self- introduction and explanation of applicable project experience. Audiovisual aids may be used during the oral interviews. (2D %) The committee and or the executive director of Public Works Agency (PWA) will open the fee envelope of the highest two (2) ranking proposers after interviews have been conducted and scored. The committee shall enter into negotiations for pricing and terms of 11 25C -70 Agreement Exhibit A City of Santa Ana, PWA RFP —ON-CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS the highest scoring proposers. if negotiations are not successful between the committee and the highest scoring proposers, the committee shall open the fee envelope of the next highest scoring proposers and enter into negotiations. This process shall continue until negotiations are successful. The City Council recommendation will be based upon successful negotiations to mutually agreeable terms between the City and Proposers of the highest rated firms. XVIII. NOTIFCATION AND AWARD The proposal results will not be discussed until after award of contract upon City Council approval. Project manager may, but is not required to, discuss non -award with interested proposer's. XIX. PUBLIC RECORDS Proposals will become public record after award of contract, Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. 12 25C -71 City of Santa Ana, PWA Agreement Exhibit A RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS EXHIBIT "A" SCOPE OF WORK /SERVICES 13 25C -72 City of Santa Ana, PWA Agreement Exhibit A RFP— ON -CALL. ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS Description of Services Category 1 — Water Resources Engineering Design Services The Consultant will provide professional engineering for various phases of the design and construction of City potable water main pipe, sanitary sewer main pipe and related facilities, Facilities may include small underground vaults or minor improvements at existing pump stations. Demonstrate the ability to provide design engineering services for pump stations, wells, reservoirs and sewer lift stations. Expertise in rehabilitation methods for the previously mentioned assets shall also be demonstrated. 1. Design: Prepare plans and specifications, design calculations, hydraulic analyses and project design schedules as required by the conditions on the project. Prepare plans and specifications in accordance with City standard plans and specifications. Prepare project cost estimates and perform field reviews as needed. Be able to perform peer review services for general compliance. Tasks may include feasibility studies, design and design services during construction. 2. Bidding: If required, attend a pre -bld conference to address any questions about the project. Assist in the preparation of any necessary addenda that may be required. 3. Construction Engineering Support: Review and respond to contractors Requests for Information as well as review and approve submittals. If required, attend a pre - construction meeting. Review, prepare and approve shop drawings. 4. Permits: Assist the City in obtaining approvals (and environmental permits as may be required) from applicable agencies including County of orange, Metropolitan Water District, neighboring cities and CALTRANS at the discretion of City Staff, The City will provide preliminary base mapping that will need to be updated and populated for final design purposes. These maps will include the City versions of the water, sewer, centerline, utility and topographic line work. It is expected that the Consultant will need to correct provided base maps as required for the assigned project. Category 2 — Environmental Study and Document Preparation Consultant shall provide, as required, professional engineering services that may include reports and coordination with applicable code enforcing and environmental agencies, site analysis, coordination with applicable local, state and federal jurisdictions, and regulatory permit acquisition for a variety of water and sewer related projects. Services may vary including, but are not limited to, the following types of studies and documents: 1. CEQA/NEPA compliance 1 Initial Study /Negative 3. Environmental Impact Statement /Environmental Impact Report 4. Biological assessment 5, Regulatory agency permitting It is anticipated that an environmental document (negative declaration or categorical exemption will be considered necessary on most pipeline replacement projects, 14 25C -73 ent City of Santa Ana, PWA AgreemExhibit A RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS Category 3 — Structural Engineering (As- needed) If required, services may include, but are not limited to, the following types of projects as related to the water and sewer facilities: 1. Retaining walls 2, Footings 3. Building pads 4, Seismic retrofits and rehabilitation 5. Underground Utility Vaults 6. Inspections 7. Reservoir inspections Category 4 — Surveying (As- needed) If required, services may include, but are not limited to, the following types of projects as related to the water and sewer facilities: 1. Topographic (including aerial and hydrographic) 2. Boundary surveying 3. Horizontal and vertical control establishment 4. Monitoring surveys Category 5 — Hydraulic Analysis (As- needed) If required, services may include hydraulic studies, analysis, modeling, report writing and peer review. These services shall consist of the following tasks: 1. Compile and Review Previous Models and Existing Model - Related Information. 2. For sewer system modeling, conduct a flow monitoring program. 3. Calibrate all Models. 4. Prepare Technical Memorandums. 5. Conduct Hydraulic Analyses. S. Conduct Transient Analyses. Category 6 — Geotechnical Engineering (As- needed) If required, services may include, but are not limited to the following types of studies and documents: 1. Retaining Walls 2. Trench backfill 3. Site inspections and monitoring 4. Subsurface investigations 5. Feasibility studies 6. Peer review Category 7 — Electrical Engineering and Instrumentation & Controls (As- needed) If required, services may include system design for electrical power, instrumentation, control 15 25C -74 Exhibit A City of Santa Ana, PWA I Agreement RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS communications, fire alarm, SCADA and security systems. Services shall include, but are not limited to the following types of documents: 1. Electrical Site Plans 2. Power Plans and Conduit Schedules 3. RTU InpuUOutput Diagrams 4, RTU Layout and Wiring Diagrams 5. Process and Instrumentation Diagrams If the City uses a separate system integration consultant for the control diagrams of Control Panels, RTU Panels, etc., it is expected that the Consultant shall coordinate any required electrical work with the system Integrator. 16 25C -75 City of Santa Ana, PWA Agreement Exhibit A RFP —ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS SAMPLE PROJECT FEE Consultant shall use this Sample Project Fee for the Cost and Price Analysis Comparison and include it along with the comprehensive fee schedule in the sealed fee envelope. This comparison is based upon design engineering services required for approximately one plan of water main improvements and sewer main improvements, including specifications and cost estimate for the following sample project: 3,200 L.F. of 8" PVC (AWWA C -900) water main improvement project for the following limits- • Rene Drive — Hemlock Way to Segerstrom Avenue • Rita Way — San Lorenzo to Segerstrom Avenue • Spruce — San Lorenzo to Segerstrom Avenue • Pacific Ave — San Lorenzo to Segerstrom Avenue • San Lorenzo — Rene Drive to Pacific Avenue 4,100 L.F. of 8" PVC (SDR -26) sewer main Improvement project for the following limits: • Myrtle Street — Bristol Street to Center Street Provide a detailed scope of work for the tasks required to complete this sample project. City Atlas sheets have been provided to assist with sample project area scope. Assume that a geotechnical investigation is required due to a history of high groundwater in the proposed areas. An environmental determination will also be necessary for this sample project. This Sample Project will be used for FEE and man -hours comparison purposes only. The sample plan to be submitted shall be assumed at 20 scale and shall be the Consultant's closest representation for work related to the Sample Project. The submitted sample plan shall be of a Consultant's previously submitted and approved work. TYPICAL SCOPE OF WORK TASK NO.1 1. Initial Meeting a. Attend project kick -off meeting with City staff to review the project scope, schedule, budget and work plan. Adjust task schedule and work plan as required, b. Review design criteria and parameters. 2. Data Gathering a. Obtain available survey records from the City. b. Review existing street, water, sewer, storm drain and utility plans and maps in the possession of the City. Consultant is responsible for the copying of any documents. c. Field review and take photographs that include any impacted adjacent improvements. 3. Utility Research A detailed utility search along the proposed alignment will be conducted. It will consist of 17 25C -76 City of Santa Ana, PWA I Ag ree m ent E xhibit A RFP— ON -CALL ENGINEERING DESIGN SERVICES IMPROVEMENTS FOR WATER AND SEWER MAIN the following: a. Contact Underground Service Alert (USA) for a computer printout of all utilities registered under the project limits. b. Send /Deliver preliminary notice to each utility advising them of project and requesting utility information. C. Send second utility notice including preliminary plans requesting that each utility verify locations of its facilities and identify possible utility conflicts. d. Send third utility notice including final plans to each utility for its information and coordination during construction. e. Maintain a complete record of all utility contacts and responses and copy all responses to the City. 4. Potholing a. Determine locations where potholes should be made to accurate locate the depth of existing parallel crossing utilities, including service (sewer /water) laterals, which may Impact the alignment of proposed water or sewer main. b. After approval from the City, have potholing performed by a licensed contractor and prepare a record showing the actual locations and depths of the existing utilities including service laterals. 5. Plans and Specifications a. Consultant shall prepare construction Plans and Specifications for the project. All Plans and Specifications shall be prepared in accordance with the applicable provisions of: Standard Specifications for Public Works Construction (Green Book) - American Water Works Association Standards (AWWA) - National Electric Code (NEC) - Uniform Building Code (UBC) - City of Santa Ana Standard Plans & Specifications California Plumbing Code (CPC) b. The City shall provide sample contract documents, "boilerplate" portion of the Specifications and water /sewer standard specifications. Consultant shall Incorporate the specifications, revise as necessary for each specific job and provide a list of BID ITEMS. Specifications shall be prepared in Microsoft Word format. Final submittal to the City shall include a computer disc, as well as a hard copy of the Specifications. c. Plans shall be CADD generated using a format that will properly translate to Microstation V8i Select Series 3. Final submittal to the City shall include a Mylar Title sheet and bond Plan sheets as well as electronic copies of the CADD files. Electronic (pdf format) copies shall have the ability to be plotted to scale. Plans shall be clear and legible with all components clearly identified. All plans shall be drawn at a minimum scale of 1" = 20' unless otherwise approved by the City, 6. Design Survey a. Provide a field survey, as necessary, to establish horizontal and vertical control. b. Provide topographic survey, as required, for water main design C. `Dip" manholes, vaults, and valves. d. Verify locations of all existing water valves, water meters, fire hydrants, and other appurtenances. e. Locate any survey monuments or ties that may be affected by construction. M 25C -77 Exhibit A City of Santa Ana, PWA Agreement RFP — ON -CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS Prepare Base Maps a. Base Maps shall be prepared at a scale of 1 " =1' using data from Items 2 (Data Gathering) and 6 (Design Survey). b. Plot utilities on base maps. Location of utilities will be based on information obtained form available records, as revised due to USA markings and utility responses. Geotechnical Investigation (Assume 3 borings) a. Prepare a geotechnical investigation to determine bedding and backfill requirements, assist with pipe material selections and determine the elevation of the groundwater table. b. Evaluate geologic and seismic conditions in accordance with applicable state and local requirements. c. Determine maximum stable side slopes to be used for trench excavations. d. Collect geotechnical data as needed to recommend construction methods for new pipeline installations. 9. Alignment Selection a. Evaluate alignment alternatives considering cost of construction, utility locations, citizen impacts, jurisdictional concerns and permit requirements. In addition, consider access to adjacent properties and traffic control during construction, b. Prepare sketches of proposed connections to existing facilities, c. Discuss alignment alternative with the City and obtain input prior to the completion of the 50% plan sheets. d. The Consultant shall prepare a draft technical memorandum documenting (TM) the basis for design of the sewer main replacement. The City's comments on the draft TM will be incorporated into the final TM. e. When required, the Consultant shall prepare a draft technical memorandum documenting TM documenting the basis for design of the water main replacement. The City's comments on the draft TM will be incorporated into the final TM. 10. Prepare Preliminary Plans (50% completion Level) a. Title sheet for each project. b. Plan Sheets. c. Draft of technical specifications. d. All plans shall be prepared in a compatible Microstation V8i Select Series 3 format and shall be on 24" x 36" mylar sheets, Plan and profile sheets are prepared in 1 " =20' horizontal scale and 1 "= 2" vertical scale. Sketches may vary. Plans shall conform to City of Santa Ana CADD Standards. 11. Preliminary Plan Submittal a. Submit (4) sets of full -size prints of the preliminary plan and (4) drafts of specifications for City review. b. Perform job walk to identify conflicts and inconsistencies. Meet with City to review plan check comments and obtain input. c. Perform site visit /job walks of all proposed alignments to review constructability issues, 19 25C -78 Agreement Exhibit A City of Santa Ana, PWA RFP —ON-CALL ENGINEERING DESIGN SERVICES FOR WATER AND SEWER MAIN IMPROVEMENTS 12, Prepare CEQA Documentation (Assume a Negative Declaration) a. Prepare necessary documentation as required by the applicable portions of CEQA for environmental clearance. b. Coordinate with City Staff including the Planning and Building Agency to insure accuracy of documentation. c. Apply for and file all necessary documentation on the City's behalf to the appropriate agencies, TASK NO.2- FINALIZE DESIGN 1. The construction plan set will contain the following drawings: Title Sheet Plan Sheets 2. Prepare any necessary supplemental provisions to the City's standard specifications, general provisions and bid documents for each project. Provide a digital copy of standard drawings not issued by the City of Santa Ana or APWA for inclusion on the specifications. 3. Prepare quantity and cost estimate for each design based on the final plans and specifications. Consultant shall contact manufacturers and /or contractors to verify the engineer's estimate prior to submitting to the City. 4. Submit 90% completion level plan and a 100% completion level plans and specifications to the City for review. Each submittal will consist of three (3) sets of full -size prints. Meet with City staff to review plan check and comments and obtain input. 5. Upon final acceptance of the plans and specifications, provide "Bid- Ready" construction drawings on disk and full size mylar, 8. Conduct and attend meetings and review sessions as required during the design phase to keep the City staff informed of the project status. 7, Prepare CADD As -Built drawings (submit in CADD & ESRI arcGIS format and on one (1) set of bond) from field set of As -Built plans. 8. All original plan sheets, calculations, and reports shall be signed and stamped by the Consultant's licensed professional engineer in responsible - charge of the project. These signed originals will then become the property of the City. TASK NO.3- BID PHASE SERVICES (AS NEEDED) (Assume 4 Requests for Information) 1. Respond to requests for clarification from prospective bidders during the bid period. 2. Issue addenda to the bid package as necessary. TASK NOA- CONSTRUCTION MANAGEMENT SUPPORT (AS NEEDED) (Assume 20 Submittals for Review) 1. Attend the Pre & Post - Construction Meeting. 2. Respond to request for information from the Construction Engineer /Inspector, as required. 3. Provide analysis of changed conditions, development of corrective action, review of shop drawings and "peer review" of other submittals at the discretion of City Staff, 4. If required, 20 25C -79 1 , �464 i Am rw, by` y RIP uj F r FBF 5 a CONSULTING A EM Company March 13, 2014 City of Santa Ana Public Works Agency 4`h Floor, Ross Annex 20 Civic Center Plaza, Santa Ana, CA 92702 Attn: Mr. Rodolfo Rosas, P.E. Agreement Exhibit B� 14725 Alton Parkway Irvine, CA 92618-2027 949.472.3505 94J 472.8373 Fax www.rbf.com www,mbalcercvrp.com Subject: Proposal to Provide On -Call Design Services for Water and Sewer Main Improvements Dear Mr. Rosas: IN 132228 The City of Santa Ana Is committed to serving Its population of 325,000 people with reliable and hlgh - quallty water and sewer service. As part of this commitment, the City desires to select Primary Contact two consultants to provide engineering services on an as- needed basis. The services In general John Nagle, P.E. will consist of water and sewer main replacement design projects on arterial highways, local Project Manager roads and public right of way citywide, The projects also may Include several other related 949330.4275,inacle®rMcom services. We would Ilke to emphasize the following benefits the RBF team would bring to the City on this Important project: Responsiveness. The work to be performed under the as- needed contract can be variable, bydisclpline, scope, schedule, and budget. No matter the size or duration of the contract, RBF Is committed to providing the highest level of responsiveness to the City. We will respond and submit on, AIj proposal requests by the time specified by the City. We have assigned one primary point of contact for convenience: John Nagle (Project Manager). Resources, RBF's team Is comprised of water and sewer experts with along history and demonstrated track record of successful water and sewer pipeline designs, as well as design expertise in other facilities such as pump stations, wells, reservoirs, and pressure reducing stations. In addition, RBF also has expert multi- disciplined staff typically needed for water resource projects, Including all In -house Irvine office staff to provide the required services. RBF's management team will provide the City with direct access to this resource of experts who also have In -depth knowledge of local Issues and requirements unique to Orange County. QA /qG It is not the City's job to ensure the work of their as- needed consultant is accurate, complete, and free of errors and omissions, otherwise, the consultant Is only adding to the workload of City staff. RBF Is committed to providing the City with high quality designs and services to ensure the City's customers are being provided the highest quality service, and City staff Isn't spending valuable time checking their consultant's work. With our expansive staff resources, and OA /QC program, the deliverables will meet the highest of City expectations. RBF acknowledges receipt of Addendum Nos. 1, 2, and 3. We appreciate the opportunity to be of continued service to the City of Santa Ana and look forward to discussing how we can assist the City, If you have any questions or need additional information, please contact me at 949.855,3616, cimiller @rbf com or John Nagle at 949.330.4275, finagle @rbf.com. Since ay-2 Cindy L. MIIIeIf,,P.E. John Nagle, P.E. Client Services Officer, Water Resources Project Manager, Water Resources Attachments: Proposal (6 copies and 1 CD) Fee Proposal (separately sealed envelope) 25C -81 Table of Contents Cover Letter Table of Contents Firm and Personnel Experience... ................... ....... ............. I Project Management Team .......... ..............................1 Key Personnel ............................. ............................... 2 Summary Table of Team Qualifications .................... 3 Representative Projects ............... ..............................4 ProjectApproach .................................... ............................... Understanding............................. ............................... 9 9 Approach to On -Call Services g .............. SampleProject ............................ .............................10 Project Schedule Sample Project Plans (separately bound) Project Management .............................. .............................16 Management Approach ............... .............................16 Communication Plan ................... .............................17 QA/QC - RBF Quality Management Program........... 18 Exhibits Exhibit D, References Exhibit E, Statement of Understanding Exhibit F, Certification of Nan - Discrimination by Contractor Exhibit G, Non - Collusion Affidavit Appendix Evidence of Insurance (ACORD Certificate) Resumes Fee Proposal (separate envelope) Exhibit C, Certification and Proposal Fee Schedule Hourly Rate Schedule 25C -82 Table of Cnnfenks Agreement Exhibit B 25C -83 3 y a r� n m x L N n T Firm and Personnel Experience Established in Orange County in 1944, RBF Consulting (RBF), a wholly -owned subsicliary of Michael Baker International, is a multi- dlscipll nary planning, engineering, and construction management firm that offers the City of Santa Ana comprehensive professional engineering services for Its On -Call Professional Engineering Design Services for Water and Sewer Main contract, RBF provides the full range of water resources services from analysis, concept through design, and construction support. The firm employs a professional staff of nearly 200 professionals in the Irvine office with expertise for water and sewer projects, and other related services. Track Record of Ort Call Services Successful delivery of task orders under On -Call Service programs has been a particular strength of the RBF Irvine Water /Wastewater group, The following Is a list of our current on -call contracts that are managed and executed by the RBF Water /Wastewater group. i El Toro Water District a Long Beach Water District 4 Castalc Lake Water Agency 6 Golden State Water e Santa Clarita Water Division A Mesa Water District • Orange County Sanitation District s Western Municipal Water District Port of Long Beach s Victor Valley Wastewater 4 American Water 6 City of San Diego ♦ Padre Dam Water District Why Select RBF? RBF provides a unique and superior advantage for the city. Key benefits of selecting the RBF team are: 1. Proven delivery of on -call services to multiple agencies and municipalities throughout the region; 2. Hand - picked team of top engineers and support personnel specializing in water and sewer main design; 3. With the exception of geotechnical engineering, we provide ALL services In -house listed In the RFP PROJECT MANAGEMENT TEAM RBF's dedicated management team Includes key professionals from within the firm specifically selected for their experience in the services requested by the District and proven ability to successfully deliver the design of water and sewer pipelines, and related facilities. • Client Services Officer, Cindy Miller, PE, Is a Vice President at RBF with 20 years of experience • Project Manager, John Nagle, PE, is a Vice President at RBF with 26 years of experience • Task Manager, Tori Yokoyama, PE, Is a Project Manager at RBF with 10 years of experience • QA /QC Manager, Kevin Gustorf, PE, is a Vice President at RBF with 15 years of experience If selected for an interview, the RBF team members to attend will be Cindy Miller, John Nagle, and Kevin Gustorf. ; ME 25C -84 1 .�- CJddyNr.irgr �.�',Ieh�rr�lagte --- =s �9`fQRyo�ama_= Kevin- _GUSiprf If selected for an interview, the RBF team members to attend will be Cindy Miller, John Nagle, and Kevin Gustorf. ; ME 25C -84 1 Organization Chart City d Santa Ana hbkW.lkmenL Radalld Nafdb PE Senorelml Engineer ClndyMlllea PE KOVIA GUSIINP,PE Jon,, Naga, Pe fad VOkoyamu, PE CATAGORVI WAPBR@EAAUNCPS PC m1fla, MIN" PC OfiWGbAERVIQ' &F SlevuGonna4 PC mhn Nmli,.PE mAYOkaymna,PE 0ry2111 MallcnbnAllp PE CATECOW4 AIRVEWNG RIIICov,PL5 Pint P.ulC Pia [An5GORP)- yfFCfltiCAI. ENGINAERINC,AIVFI INSYIn1A+ENYANUNA CONTg00 Ahandu ,110. ,Ok LEFpAP g+Uee CnnkU, P6 Justin Lee, VP. SA1C61 1111'SFNVIpbIIAIP @YACSTVUYAHft AtlIAIMENTPRflp1NAYlbN A6w ASlnmina nlOSll Oe<4,(E11 PWS,CPE54 CATEGOflY5�0V0@AVWCANA14f15 Ind YOlmyama, PE Sam Vatdw, PE CAMORY F.%F414YWAL ENGINF.FAl"Ki S.II SPOW, PE FIN. Sn"'W al"n,Sp, PF, CA iC COAnn.,.OTCCNNICA4ENGlNEFItING IAan[anIDlonv. PEXUafeeLnhuA @m.! All Bastanl,PbD. PE,M,PAACE $00 PmreO10"l and5nppwt➢e1sonnP1AVnffPbk KEY PERSONNEL Cindy Miller, P,E., Client Services Officer Cindy Miller, PE, has been responsible for the large scale planning, design, and program management of major water supply, storage, treatment, and delivery facilities. Her recent projects have included multi- million dollar, state -of -the art treatment facilities Involving upgrades to existing facilities as well design of new water treatment plants. Selected projects Include: IRWD Balker Regional Water Treatment Plant; Chino Basin Desalter Authority Program Management for Phase 3 Expansion, and OCWD Groundwater Storage Program. 25C -85 Registration Civil Engineer, CA, 0058116 FducatI.n, 8.5„ Clvll Engineering Years Of Experloncet 20 2 John Nagle, P,E„ Project Manager John Nagle, PE, has lent his knowledge and expertise to numerous municipal agencies throughout the region, including the Golden State Water, Mesa Water District, Santa Margarita Water District, and others, As such, he Is familiar with the structure, requirements and challenges of local government factions and well versed In meeting those clients' needs. John Is adept at identifying and scraping projects effectively to launch projects quickly and efficiently. He understands the importance of rapidly determining critical Issues and project constraints. Selected projects include: On -Call Engineering for Castaic Lake Water Agency; Mesa Water District, Golden State Water Company; Whittier Pumping Plant No. 2 Replacement; and Santa Margarita Water District - MiddleChiquita Canyon Water Facilities, Tor! Yokoyama, RE., Task Manager Tor! Yokoyama, PE, serves as both Project Manager / Project Engineer at RBF and has extensive experience in the planning and design of water and wastewater Infrastructure. Selected projects include: City of Anaheim Sewer System Improvements (multiple projects), Long Beach Water Department Atlantic Avenue Cast Iron Main Replacement (in construction), and Yorba Linda Water District Waterline Replacements (In construction). Kevin Gustorf, P.E., q/1 /qC Kevin Gustorf, PE, has served as project manager or performed quality control for water and sewer improvements throughout Orange County. As a Vice President at RBF with 15 years of experience, Kevin understands the Importance of quality control to ensuring planning and design documents are free from error. Kevin has a strong technical background In the planning and design of water storage and delivery facilities, and sewerage systems. Selected projects include: On -call Engineering for El Toro Water District, Orange County Sanitation District, Long Beach Water Department, American Water, Port of Long Beach, and Western Municipal Water District. SUMMARY TABLE OF TEAM QUALIFICATIONS Registration Civil Engineer, CA, 46972 Education: M.S., Civil Engineering 8,5., CIVII Engineering Years of Experience: 26 Registration Clvl1 Engineer, CA, 71482 Education; B,S, Civil Engineering Years of Experience; 10 Registration Civil Engineer, CA, 64755 Education: B.S, Civil Engineering Years of Experience: 15 25C -86 Cindy Miller, PE Client 80Nices Officer 20 B.S., Civil Engineering Civil Engineer, CA, C0581 IS Orange County Groundwater storage Program WaterPNastewater Facilities GSWC Water Pipeline Projects Whittier Pum ing Plant No 2 Replacement John Nagle, PE Projer,tManager 20 8.5., Civil Engineering M, S., Civil Enghearing CNiI Enylnee4 CA, 46972 (also registered in NV,AZ, UT) On -Call Services - Multiple Agencies Whittier Water/Wastewater Facilities State Water Right 8uive or, NV 1101 Pumping Plant No, 2 Replacement OCA4 Pipeline RehabllitalilRe lacement Tor! Yokoyama, PE Task Manager 10 B. &„ Civil EngineeringCMiI Engineer, CA, 71482 Long Beach Water Dept, Water Main Replacement WalerlWaslewater Facilities OCSD - Sewer Improvements Kevin Gustorf, PE 15 B.S., Civil Engineering Civil Englneef, CA.64755 Anaheim Citywide Server R &R Program Long Beach Water Dept. Water Main Replacement QA/ QC WaloiNvaslewoler Facilities Civil Engineer, NV, 18880 OCSD- Sewer Improvements Stave Canner, PE 20 B. S., Civil Engineering Civil Engineer, CA, 599 66 On -Call Services - MuIU le Agencies Cily of Bovow Hills'Neter Main Replacements - Waledwastawater Facillnes IRWD Alton Parkway Water, Reclaimed Water, and John Harris, PE 36 M.S., Civil Engineering Civil Engineer, CA, 38217 Sewer Pipeline Design Johnson Avenue Trunk Sewer Replacement Sewer Faoililles B.S., Civil Engineering CNiI Engineer, AZ, 27775 Avalon Sewer Collection System Mlrko Maher,PE 15 B. s., Civil and Environman- Civil Englneer,CA,64645 San Diego Rec clad Water Main Extensions, Group . 2 OCSD Santa Ana Trunk Sewer Re hebililsiion WaterANastewaler Faciflios hl Engineering OCSD Newport Force Main Rehabilitation -- W WRA Interceptor Ntodelin 25C -86 Sam Valdez, PE 7 B.S., 2007, Civil Engineering Civil Engineer, CA, 77660 Laguna Beach County Water District - Domeslic Water Hydraulic Analysis Castalc Lake Water It^�a��7r�7 LLIIIi'1 Master Plan iyim clwa.orx Port of Lon Beach Sewer Mosier Plan Bryan Kallenhaugh, PE 13 B.S., Civil Engineering Civil Engineer, CA, 73619 Orangelhofpe Avenue Transmission Main Water/Wastewater realities GSWC Southwest ""to' Pipeline Re lacemenl Rhonda Tijedna, PE, LEED AP 3o BS., Electrical Engineering Electrical Engineer, CA, 15473 Baksr Regional WalorTreatment Plant Electrical 7 Instrumentation l (also registered in NV) Rio Vista Valve k2 Vault Modifications Controls LEED Accredited Professional Electrical !Controls - multi le um sladons Alan Ashimme 15 B.A., Environmental Analysis Capistrano BlulfslPines Park Sewer Environmental and Desi n Prado Reservoir No. 2 Richard Beck, CEP, PWS, CPESC 15 B.A., Environmental Studies Multiple aerlifcalkms - sea resume County of Orange On -Call Eranonmentaland Environmental Re aletor services Sal Sheikh, PE 39 M.S., Civil Enghearing Civil Engineer, CA, 32677 MNWO Seismic Assessment of Reservalrs Stmctural (structures) (also registered in OH, AZ, NV, UT Baker Regional Water Treatment Plant B.S. Civil Engineering Middle Chl uita Canyon Water Facilities BIII Cox, PLS 35 B,S., Business Atlminisira- Professional Land Surveyor, CA, 6673 Ahon Parkway Constmcllon Surrey Surveying tion Colorado River Aqueduct As-Needed Survey County of Orange On-call Survey Services Ali Bastani, Ph.D, PE, GE 20 Ph.O., and M.S„ Civil and Geotechnical Engineer, CA,245B WNW - Middle Chlquas Canyon Reservoirs GMU Geotechnical Engineering Environmental Engineering Civil Engineer, CA 53924 WWRA Intercepter Phases l &2 8.8, Civil Engineering I Cry oft.os An ales P! aline Breaksin Summer2009 SUBCONSULTANT SERVICES I(m 23241 Arroyo Vista, Rancho Santa Margarita, CA 92688 1 Phone 949.888,6513 J.FOor;'.� GMU Geotechnical Engineering, Inc. (GMU) has more than 40 years of experience evaluating soil and rock conditions for clients before, during and after construction to verify stability, meet performance goals and reduce the potential for unexpected problems. GMU's engineering geologists and geotechnlcal engineers are specialists In evaluating soil, rock and groundwater conditions for proposed and existing projects. REPRESENTATIVE PROJECTS °nrK ra Client Reference: t Mr, Jason Ylm, P.E. Principal Engineer Castalc Lake Water It^�a��7r�7 LLIIIi'1 Agency 661/513 -1277 iyim clwa.orx Key Staff serving this client: John Nagle Cindy Miller Steve Conner Tor! Yokoyama Castaic Lake Water Agency - On -Call Services for Water Facilities WHAT OUR CLIENTS SAY.- "RSF Consulting is a great compony to work with. Wo are pleased with their past and current work performance and look forward to continuing to work with them. John Nagle is a great person to work with and is a proactive project manager...." Jason Ylm, RE., Principal Engineer Castaic Lake WoterAgency Castaic Lake Water Agency (CLWA) Is a public water wholesaler that provides about half of the water that Santa Clarita households and businesses use, RBF provides on call engineering services to CLWA for facilities evaluation and design improvements, Example projects include the following a Rio Vista Valve 42 Vault Modifications - 72 -Inch Valve Replacement Project a Pipeline Inspection Program Planning and Development a Sand Canyon Pump Station Generator Installation - Constructability Review, Construction Management and Inspection Services a Castalc Conduit Bypass Transmission Main - Constructability Review e Castalc Conduit Erosion Protection Analysis 25C -87 R Golden State Iv,e >, comp + +r Client Reference: Mr. $unit Filial, P.E. Engineering Design Manager Golden State Water Company 714/535- 7711 %230 901—E mw Golden State Water Company - On -Call Services REF has provided as-needed engineering and supporting services to Golden State Water Company (GSWC) for more than 20 years. Projects have included upgrade and replacement of existing facilities through Its service areas. The following are selected recent projects completed by REF's Project Manager, Mr. John Nagle, and his team members. Anaheim and Placentia - Orangethorpe Avenue Transmission Main and Concerto Booster Pump Station Improvements. GSWC required that a transmission main be constructed to inter- connect Its Placentia and Yorba Linda service areas. This was a "fast - track" project for GSWC because It is a primary water supply to the Yorba Linda service area, Concerto Well No, 2 was to be removed from service due to water quality Issues, and the pipeline needed to be operational prior to the well shut down. RBF provided engineering design and survey services for and construction of approximately 6,500 LF of 16 -inch DIP pipeline, In the cities of Placentia and Anaheim. This pipeline provides a connection between GSWC's Placentia and Yorba Linda Service Areas, and Includes three pressure regulating stations, The scope of services included extensive utility research, topographic survey and right -of -way verification, preparation of PS &E's, and traffic control plans. The project also required coordination with the Orange County Flood Control District for crossing of the Atwood Channel, and coordination with Orange County Transportation Agency for a future grade separation project at Lakeview Avenue. Norwalk System. This work Included design of water distribution pipeline replacement projects in the Norwalk System. These pipeline projects were necessary to address leaks, hydraulic deficiencies, inaccessibility, and condition of the existing pipelines. The project included the installation of 1,300 LF of 12 -Inch DIP and 10,000 LF of 8 -Inch DIP, as well as the relocation of over 275 domestic water services. The project was divided into two phases, and the Phase 1 design schedule was accelerated to meet the construction deadline of a street re- paving project on Pioneer Boulevard. southwest District Pipeline Replacement Projects - Gardena, Hawthorne and Inglewood. As part of the Implementation of their capital Improvement program, GSWC contracted with RBF- to provide professional engineering services for their Southwest District Pipeline Replacement Project that included pipeline replacements In four separate areas: Project 25003040 - 3,100 LF of 12 -Inch and 8 -Inch DIP In 137th Street, Mariposa Avenue, and Raymond Avenue in the city of Gardena; Project 25003043 - 2,000 LF of 8 -inch DIP in 144th Street in the city of Gardena; Project 25003044 - 3,100 LF of 12 -Inch and 8 -inch DIP In Imperial Highway and Prairie Avenue in the cities of Inglewood and Hawthorne; and Project 25003046 - 1,300 LF of 8 -inch DIP in Compton Boulevard in Los Angeles County. M10 9P VAlep eta a Client Reference: Dennis P. Cafferty, P.E. Director of Operations & Engineering El Toro Water District 949- 837 -7050 X223 dcnfrert @etw .cps Key Staff serving this client: Kevin Gustorf Tor! yokoyama Ei Toro Water District - On -Call Services 'The El 'Toro Water District (District) has been utilizing the professional consulting services of RBF on an on -call and as- needed basis for over ten years. The District has maintained a long-standing professional relationship vvlth R3F for decades. The District has always found the RSF team to be responsive, technically competent provide a high - quality product and a pleasure to won< with... HE continually provides the District with extremely high - quality service, while meeting the project schedules and staying within the allocated budget. The District Will undoubtedly continue to call upon RBF to serve the District in various capacities, and I can confF dently recommend RBF as a reliable engineering consultant firm." Dennis Cafferty, P.E., Director of Engineering and Operations, El Toro Water District 25C -88 The RBF team has been providing prlmarlly hydraulic analysis and design to E Toro Water District as part of our on. call contract. The primary contacts for the District are Kevin Gustorf and Tort Yokoyama, A select Ilsting of projects resulting from our on -call contract are listed below. Water and Sewer Model Update — RBF originally prepared the Water and Sewer Master Plan for ETWD In 2004 which Included hydraulic model development, Master Plan report, and a capital Improvement program. In 2011 as part of our on -call contract, we updated the water and sewer hydraulic models based on recent improvements and private development. Engineering and Design Services for Reduced High Zone Improvements. The District's Reduced High Zone Improvements Project further strengthened the District's ability to provide water to the customers In the Reduced High Zone during an emergency situation. The project Included the demolition of an existing pressure reducing station, the construction of a new pressure reducing station, the construction of a new interconnect with the Moulton Niguel Water District, and the construction of approximately 1200 lineal feet of 8 -Inch water main and 1200 lineal feet of 10 -Inch water main and all of the pipeline appurtenances. El Toro Water District Water Pipeline Interconnection. RBF identified a fire flow deficiency in the District's Reduced High Zone during the system analysis and preparation of the 2004 Water Master Plan. RBF conducted subsequent studies and hydraulic analyses to develop a cost effective solution to mitigate the fire flow deficiency and Improve the system reliability and redundancy. The project Included the design of 1,200 LF of new 10 -Inch water pipe, 1,200 LF of new 8 -inch water pipe, a new Inter - connection with the neighboring Moulton Niguel Water District, and the relocation of an existing pressure reducing station. RBF also provided engineering support during construction. Client Reference: Mr. Raul Cuellar, P.E. CIP Project Manager Orange County Sanitation Disldct 714.503.7828 MmIlartr0ocsd.com Key Staff serving this client: Kevin Gustorf Torl Yolcoyama Orange County Sanitation District - On -Call Services Re. Carbon Canyon Dam Sewer and Pump Station Abandonment Project "I ant pleased to provide a recommendation for RBF Consulting for your team's outstanding efforts on the design of the Corbon Canyon Dam Sewer and Pump Station Abandonment project. Kevin Gustorf, Project Manager, and Torl Yokoyama, Project Engineer, were instrumentalln delivering this complex project which involved the design of approximately 5,000 linear feet of 24 -inch, 33-inch, and 36-inch gravity sewer pipeline, Including two micro- tunnel drives totaling 1,550 linear feet to replace on existing lift station and force main. 7he project required extensive coordination with a private land owner and oil company, the U.S. Army Corps of Engineers, the County of Orange, the City of Brea, and numerous other regulatory agencies. They provided meticulous and timely support to the District which enabled the successful completion of this project under budget. it has been a pleasure working with your staff on this project anal look forward to many more. " Umesh Murthy, P.E., OP Project Manager Orange County. Sanitation District For more than 20 years, RBF has provided a variety of engineering design and related services to Orange County Sanitation District. Projects have included Carbon Canyon Dam Sewer and Pump Station Abandonment, Rehabilitation of College Avenue Pump Station, small to large capital improvements, and on-call services. Carbon Canyon Dam Sewer and Pump Station Abandonment, Orange County, CA. RBF provided design for approximately 5,000 linear feet of 24 -inch, 33 -inch and 36-inch gravity sewer pipeline that replaced an existing lift station and force main. The pipeline begins at the existing pump station in Carbon Canyon Regional Park and ends near the Intersection of Rose and Vesuvius Drives In the City of Brea. For the segment of the 1,500 linear feet of the pipeline constructed via trenchless methods, RBF evaluated 25C -89 three methods; horizontal directional drilling, traditional tunneling and micro - tunneling. The project was installed using the micro - tunnel method under a 100 -foot deep hill adjacent to Carbon Canyon Dam. The remainder of the pipeline was installed using open trench construction. Portions of the project were located behind the Carbon Canyon Darn, which Is owned and operated by the U.S. Army Corps of Engineers and used for flood control purposes. Dense vegetation existed behind the dam, which consisted primarily of ornamental plants, annual grassland, a small amount of riparian habitat, chaparral, and coastal sage scrub. The pipeline alignment was developed to minimize impacts on the heavily vegetated area and environmentally sensitive areas while still achieving the desired facility objectives, The project Included environmental analysis, geotechnical Investigation, the preparation of a preliminary Design Report consisting of wastewater flow projections from all land tributary to the sewer, hydraulic analysis, alignment study, easement research, utility research, odor control analysis, flow monitoring, final design, and traffic control. Alf MesaWater 013TRICT Client Reference: Mr. Phil Lauri, P.E. District Engineer Mesa Water District 949. 6314200 ahilIT2mesawater ore Mesa Water District - On -Call and Related Services RBF has been serving Mesa Water District in multiple capacities out of our Irvine office. We were recently awarded an on -call services contract for supporting Mesa on various water related projects, In which we have recently provided hydraulic modeling support, and mapping /right -of -way support. In addition to water related services, RBF has been providing GIS services (Steve Hein) and permitting / regulatory (Rich Beck) support to Mesa In various capacities, OC -44 Pipeline Rehabilitation /Replacement Project. As a separate project, RBF also provided a preliminary engineering study on the 8.4 mile OC -44 pipeline for Mesa Water District that focused on two major goals; 1) Evaluate rehabilitation and replacement alternatives for the portion of the pipeline crossing the San Diego Creek and recommend the best means of protecting the pipeline from future failures within the creek; 2) Assess the condition of the entire 8,4 miles of transmission main, and evaluate the potential for Installing a cathodic protection system. As part of this study, RBF also evaluated alternative water supply scenarios, developed summaries of the regulatory permitting and CEQA compliance processes, and is preparing a critical path schedule For final design and construction. Tic port of ^. LONG BEACH Client Reference: Mr. John Chun, P.E. Deputy chief Harbor Engineer Engineering Design Division 562/283 -7854 John.chunCfpolb corn Key Staff serving this client: Kevin Gustorf I Tod Yokoyama Port of Long Beach - On -Call and Related Services Re. Port of Long Beach Sever Master Plan and Capital improvement Program "On behalf of the Port of Long Beach (POLB), i am pleased to submit this fetter of support to the 2011 Awards Committee of the Metropolitan Los Angeles Branch of the American Society of Civil Engineers. On behalf of my staff and RBF Consulting, I fully support this nomination for their combined efforts in preparing POLB's sewer Master Plan and developing a Sanitary Sewer Capital improvement Program for the next twenty years and beyond. Since the early 1990's, POLB's has undergone significant expansion and is on a path to invest $4.4 billion In capital improvement projects in the next ten years. With the completion of this project POLE now has a comprehensive assessment and analysis of the existing system, a look ahead to a future system upon completion of Its current capital improvement investment, and provides recommended Improvements to be implemented over the next 20 years and beyond to raise the level Of Its services to its customers. POLB Is proud of the efforts undertaken by this team to prepare a comprehensive Sewer Master Plan, an overall assessment of the existing sewer system, on update of the GIS Sewer database, the development of a comprehensive hydraulic model, and preparation of a comprehensive Capital Improvement Program." .�;. Nell D. Morrison, P.E., Director of Engineering Design, Port of Long Beach 25C -90 RBF was hired to prepare the POLB Sewer Master Plan and CIP In 2011. The project was completed In 2013 to great acclaim by POLB staff, POLB recommended RBF submit the project for several association awards. In part due to the excellent work provided on the Sewer Master Plan, RBF was awarded an on -call contract with POLE, as one of three firms. RBF has been awarded the first two water /sewer related task orders. The first Is a water system interconnect project that provides looping to the water system at three locations on Pier D. The second project Is a sanitary sewer abandonment on Pier C to properly design the abandonment of Inactive sewer lines previously owned by LBWD, Clty of Long Beach, LACSD, and POLE. RBF has been awarded multiple task orders beyond water /sewer disciplines Including designs and studies for traffic control and transportation related dlscipllnes. Emergency Relocation of 20 -Inch Waterline, Lang Beach, CA. RBF was selected by the Port of Long Beach to provide professional engineering services to prepare design plans for the emergency relocation of a 20 -inch domestic water pipeline. RBF reallocated resources so that Icey staff members could dedicate 100% of their time to prepare design plans to build approximately 2,000 LF of new 20 -Inch waterline in Scenic Harbor Drive. The pipeline was drafted In accordance with the Port's drafting standards and designed to meet the Long Beach Water Department's design standards. REF'S responsiveness, dedication and coordination efforts led to the completion of a design package within four weeks. Client Reference: Mr. Dan Ferons, General Manager 949/459 -6590 clanf@smwd.com Santa Margarita Water DlstrIct 26111 Antonio Parkway Rancho Santa Margarita, CA Key Staff serving this client: John Nagle Kevin Gustorf sal sheikh Rhonda Tijerina Bill Cox Rlch Beck Emergency relocation of a 20" water pipeline for the POLE Santa Margarita Water District - Middle Chicjuita Canyon Water Facilities RBF is providing preliminary and final design services for approximately 25,000 IS (combined) of domestic and recycled water transmission mains, 4.0 MG of domestic water storage and 4.0 MG of recycled water storage. The first 12,000 LF of pipeline has an accelerated schedule to meet Immediate water delivery needs. The project also includes alternative pipeline alignment analysis for routes through environmentally sensitive areas, grading phasing analysts, and coordination with the Rancho Mission Viejo Company, Orange County Transportation Corridor Agency, and the California Department of Fish and Wildlife. Middle Chiquita Canyon Water Facilities -Site Photo WHAT OUR CLIENTS SAY, Re. City of Anaheim, Citywide sanitary sewer System Repair and Rehabilitation Program /Projects (ph. 111 -Group 1, West Anaheim" "On behalf of the City of Anaheim, I would like to personally thank the RBF team for their excellent support on the Citywide Sanitary Sewer System Repair and Rehabilitation Program (Phase 11I -Group 1, West Anaheim project). Kevin Gustorf, Project Manager, and Tor! Yokoyama, Project Engineer, were instrumental In delivering a high quality set of construction documents within the project schedule. Their dedication and profes- sionalism helped our project move forward smoothly and efficiently. The solutions provided by RBF will significantly improve the reiiability, of the City's gravity sewer collection system which will mitigate the possibility of future sewer spills. Thank you again far your team's continued service to the City of Anaheim." N Khan Chu, P.E, Principal Civil Engineer, City of Anaheim 25C -91 Fl�reement Exhibitibit h3 25C -92 Itr. qr. f � v ti n D 0 ro Project Approach UNDERSTANDING Tha City of Santa Ana Is committed to serving Its population of 325,000 people with reliable and high- quality water and sewer service. As part of this commitment, the City desires to select two consultants to provide engineering services on an as- needed basis. The services in general wlll consist of water and sewer main replacement design projects on arterial highways, local roads and public right of way citywide. The projects also may Include general street improvements. Environmental studies and documentation In accordance with CEQA will be required on all projects. Other services may also include construction management and inspection, mechanical, electrical, structural, and /or surveying. Other design projects may Include pump stations, wells, reservoirs, utility vaults and sewer lift stations, APPROACH TO ON-CALL SERVICES The on -call consultant must have a proven approach in designing water and sewer main projects in busy arterials and commercial areas. Addressing the concerns of the surrounding community and businesses and minimizing each project's Impact to them are Just as Important as properly designing a pipeline. The RBF team Is eager to establish an excellent working relationship with the City through exemplary service, design expertise, and a smooth design process. We have had great success providing on -call services with several local clients, as well as providing water and sewer main designs for a multitude of clients. Our team's design approach Is founded an the principles of choosing a highly qualified team, encouraging Innovative thinking, embracing the concept of value engineering, performing alternative analyses, and Implementing day-to -day proactive project development. This allows us to develop the best solutions for the City. Our philosophy combined with open communication with the City during all project phases will ensure a successful project. RBF's project approach will ensure the upfront preliminary engineering is completed properly to successfully move forward with final design and construction within the project schedule and budget. RBF's approach to delivering a quality project to the City Incorporates the following key elements: • Understanding the City's concerns, goals, and expectations. • Placing expert personnel In positions to address those concerns and meet the City's goals and expectations. • Proactively communicating analysis results and potential conflicts In order to make Informed decisions In a timely manner, • Identifying and addressing key project Issues. • Implementing a thorough QA /Oc program. RBF will carefully manage each phase of work in accordance with the required elements and major milestones, During the kickoff meeting, these items will be reviewed with the City to ensure the project goals and special concerns are Identified upfront. Careful consideration In the upfront planning and design will be achieved by creating a work plan encompassing all project elements. The successful implementation of the work plan requires early Identification of key Issues that need to he evaluated during field investigation and preliminary design. This upfront planning wlll allow RBF to ensure the project stays on schedule and that the City's goals are met, The success of each project will be the responsibility of RBF's Project Manager — Mr. John Nagle, the City's main point of contact. John's knowledge and experience with providing on -call services to clients, and specifically pipeline design will ensure appropriate resources are allocated for each task order and provide for a focused Implementation of each work plan. in addition to his own experience, John will utilize the experience of RBF's in- house design staff experts In the various fields required for the on -call services Including but not limited to: environmental, survey, structural, electrical, mechanical, transpa•tatlon, traffic, and permitting. The approach allows each member to operate efficiently within their expertise, so each project can be completed correctly, on schedule and within budget, R. 1. 25C -93 RBF also approaches each project with the philosophy that our project team includes the City's staff, The City's Involvement will be integral throughout all phases of the contract and each Individual project. R3F will communicate regularly with the City's Project Manager to provide updates on project progress, and discuss key Issues that have been decided, or are in need of resolution, Efforts will be made to ensure the City's goals are being met throughout each project. SAMPLE PROJECT Please note, the subsequent sections pertain to the sample project as Identified on page 17 of the RFP. The sections include the Project Understanding, Key Issues, and Scope of Work. The project fee for the sample project has been Included in a separately sealed envelope. Although this was Identified as a sample project, we have taken the same approach as If we were proposing to do this work. We thoroughly reviewed the project and conducted a site walk to gain an understanding of the project area and key Issues. The Scope of Work Identifies the required work items to complete the project based on what is listed In the RFP, and based on our understanding of what the project will require to completion. Our Scope of Work clarifies and expands on the existing language in the RFP for this specific project, and Identifies the required deliverables for each task. Project Understanding The project includes the design of water and sewer main Improvements In the City of Santa Ana. The design shall Include all bid documents Including construction plans, specifications, and cost estimate. The limits of the project are described below: 3,200 LF of 8" water main for the following limits: • Rene Drive — Hemlock Way to Segerstrom Avenue • Rita Way— San Lorenzo to Segerstrom Avenue • Spruce — San Lorenzo to Segerstrom Avenue • Pacific Ave— San Lorenzo to Segerstrom Avenue • San Lorenzo — Rene Drive to Pacific Avenue 41100 LF of 8" sewer main for the following limits: • Myrtle Street — Bristol Street to Center Street The following Scope of Work describes in detail the tasks associated with this project, Key Issues Key Issue B1: Field Conditions. Based on our project site visits, there are unique field conditions to be aware of that must be considered in design and for any field work taking place (potholing and geotechnical borings). Along Myrtle street there Is a fire station, low hanging overhead lines, County of Orange Flood Control facilities, a park, and street parking on both sides of the street. For the field work to be conducted, we will coordinate with the City to minimize community impacts. Coordination items for the field work will include temporary parking restrictions along the street, and maintaining access requirements for the fire station. Myrtle Street looking east from end ofcubde -sac Fire Station on Myrtle Street lit rl n• „ There Is also a County Flood Control facility at the western end of Myrtle Street, There � E _l�l -'ll'" Is an open channel that transitions into a box culvert as it passes under the park and under the end of the cul -de -sac, As -bUIRS for the facility will be obtained directly from the County (note — County Flood control Is not In the Dig Alert database), and a _,.____.� _ _ r proper design will be provided based on clearance requirements. A "remove and OC Flood Control Channel replace" approach may, be the only feasible option in the vicinity of the culvert. crossing under Myrtle Street 10 25C -94 Key Issue #2: Agency Coordination. Two agencies we will need to coordinate with are County Flood Control and Orange County Sanitation District (OCSD), We have an excellent working relationship with the permitting staff at the County. We will able to Immediately obtain as- bullts for the channel/bcx culvert - in fact, County staff has such familiarity with us that they allow us to take their mylar as- bullts off site to make copies at any time we need, We are also aware of the County's design requirements for clearances from their facilities. We also have a lot of experience with OCSO. We currently have an on -call contract with them. We have extensive experience In connecting to their facilities and designing facilities in their collection system. We understand the process of obtaining a connection permlk and are famlliarwith their standards. Key Issue #4: Construction Into Segerstrom Avenue, Segerstrom Avenue Is a busy street and each of the four north /south streets of the water main project will require OCSDmanholeatMyrtlestreet replacing the pipeline within the street. This will also require construction through the and Bristol Street easements at the end of the cul -de -sacs for Rene Drive, Rita Way, and Pacific Avenue. There are two basic options for construction. One option is to construct the pipeline via open cut trench, which requires having to replace any trees, hardscape, and walls that are existing. The other option will be to use a trenchless form of construction from the end of the cul -de -sac to the connection point in Segerstrom Avenue. This would eliminate extensive damage and replacement to the existing facilities, and also reduce the Impact in Segerstrom Avenue. The appropriate trenchless method would be a "bore and Jack" or pipe ramming method. Pipe ramming would be appropriate because the drive would be short and �+ straight, and the end of the cul -de -sac would be the optimum place for the drive shaft ^:'r n which has a much larger footprint than the recelving shaft that would be required in _ Segerstrom Avenue. We have designed several pipe ramming installations for small — r diameter pipelines. The final construction method and design would be confirmed with the City, Block Wall and ha(dscape at end Scope of Work or Rita Way Task No. 1 1, Initial Meeting a. Attend kick-off meeting with City staff to review project scope, schedule, budget, work plan, design criteria, and parameters. b, Deliverables: I. Meeting Agenda ii, Meeting IInutes 2. Data Gathering a. Obtain all available records from the City and scan to pdf pertinent documents for the project. b. Perform site walk and take photographs of existing project area. c. Deliverablesr I. PDF scans of City documents ii. Photos 3, Utility Research a. Perform utility research through Dig Alert website. Contact all companies listed within the project limits and request utility Information. There shall bee minimum of 3 requests made to each company In an attempt to obtain their Information. It. Perform utility research with agencies known to not be In Dig Alert website If applicable (le. County storm drains). 25C -95 C. Maintain an updated correspondence log, d. Deliverables: 1. PDFscansofutllltyas- bullts 11, Updated correspondence log 4. Potholing a, Potholing will be conducted at critical utility crossings, It is assumed 10 potholes will be required. Pothole exhibits will be submitted to the City for approval, and then Implemented by a licensed contractor. The contractor will Implement traffic control measures per WATCH, The potholes will be backfllled with a cold patch to the existing street grade. b. After potholing has been conducted, the data will be processed and the utility locations (horizontal and vertical) will be updated based on the pothole results, c. Deliverables: I. Pothole exhibits 11, Pothole results III. Updated utility base files 5. Plans and Specifications a. The design of the facilities will conform to Greenbook, AW WA, NEC, UBC, City Standards, and CPC as is applicable. It. The City shall provide sample specifications, City standard front end specs, and water /sewer standard specs. RBF will Incorporate the City standard specs along with all required project specific specifications to provide a complete set of biddable specifications, c. Plans will be prepared In Morostatlon v81 Select Series 3, All Improvements will be drafted at 1:1 scale, and plotted to an appropriate reduced scale, d, Deliverables: 1. Specifications (pdf, MS Word files, and hard copies - 4) 11. Plans ( pdf, Mlcrostation files, bond copies —4, and mylar original —1) 6. Design Survey a. Project Control: RBF Consulting will establish horizontal and vertical control for the project. The basis of horizontal control will be North American Datum of 1983 (NAD 83), Zone 6, Epoch 2007, as published by the National Geodetic Survey (NGS) and will be expressed as grid values In terms of the U,S, survey foot, The basis of vertical control will be the North American Vertical Datum of 1988 (NAVO 88), as published by the City of Santa Ana. b. Topographic Mapping: Topographic mapping will be provided for design -level detail at a scale of 1 "= 40' with one (1) foot contour Intervals, Topographic mapping will include streets and alleys from ROW to ROW, Mapping will meet the requirements In "ASPRS Accuracy Standards for Large Scale Maps ", dated March 31, 1993, and will be provided in AutoCAD format including a digital terraln model (DTM), CADD files to be provided with standard RBF file specifications In Microstation v81, Topography shall include obtaining locations, elevations and descriptions of: • Contours at one -foot intervals Spot elevations on hardscape features • Existing building footprints. • Curb and gutters, sidewalks and driveways Pavement areas including the roadway surface and flow line of gutter Power poles, streetlights, traffic signals and major signs 25C -96 rt Above ground utilities Including valves, pull - boxes, meters, and vaults, Manhole Rims, and selected Inverts, • All major surface features that define the shape of the terrain, such as tops and toes of slopes, grade breaks and natural ground • Fences and walls Unless otherwise directed by the Client, the basis of horizontal control will be California Coordinate System of 1983 (CCS 83, Zone V, Epoch 2011.00), Coordinates will be expressed as grid values in terms of the U.S, survey foot. Vertical control will be In terms of the North American Vertical Datum of 1988 (NAVD88). c. Miscellaneous Surveys, Pothole Locations, Manhole Dips: Consultant shall perform 16 hours of mist. field surveys as follows: ° Stakeoutand collectas -built Information for potholing surveys, • Detail pipeline dimensions, locations, flaw directions, and Inverts. ° Miscellaneous surveys to collect greater detail to supplement normal cross - section surveys. 7. Prepare Base Maps Base maps will be prepared of the existing surface features obtained from the Design Survey task. A utility base map will be prepared for all existing utilities within the project limits based on the utillty research and pothole task. The base maps will be prepared at 1:1 per City CAD standards. Deliverables: All CAD files 8. Geotechnical Investigation a. A geotechnical Investigation will be conducted for the construction of the sewer lines and water Imes. The field exploration will consist of three (3) borings each to a depth of 15 feet below ground surface (or refusal) whichever is reached first. The locations will be as close to the proposed pipeline improvements as allowable, while avoiding existing utilities. The borings will be patched with Parma Patch if the existing surface is asphalt concrete, or quick set concrete if the existing surface Is concrete. A professional traffic control crew will be provided during the field Investigation to implement traffic control per WATCH. It Is assumed the preparation of traffic control plans are not required, b. The purpose of the investigation will be to determine construction requirements for the pipeline Installations. The Investigation will determine bedding and backfill requirements, groundwater table depth, geologic and seismic conditions, maximum stable side slopes for trench excavations, construction method requirements for new pipeline Installations. The findings and recommendations will be Included in a report. c. Deliverables: 1. Draft Report (pdf and hard coples -4) ii. Final Report (pdf and hard copies — 4) 9, Alignment Selection a. Evaluate alignment alternatives considering construction cost, utilities, community Impacts, permitting, access, connections to existing pipelines, and traffic control. b. Identify the proposed method of connecting to existing pipelines (ie, Hot tap, cut In tee, other), c. Prepare "strip maps" showing proposed alignment, existing utilities, and existing street section. The strip maps will allow the City and RBf- team to easily see the proposed alignments and to facilitate discussions if any alignment changes are needed. RBF will conduct a workshop at the 25C -97 is City to go over the strip maps and get agreement from the City on the proposed alignments. d. Prepare a preliminary design technical memorandum for both the water and sewer lines, Identifying the design crlterla for the pipelines, alignments, and key issues. City to review and provide comments, RBF to address comments and submit final version, Acceptance of the final PDR will Initiate the final design process. e, Deliverables: I. Strip Maps of proposed alignments (hard copy -1) Ii. Draft Preliminary Design Technical Memorandum (pdf and hard copies -4) Ill. Final Preliminary Design Technical Memorandum (pdf and hard copies —4) 10. Prepare Preliminary Plans (50% PS&E) a. The SD% PS &E submittal shall Include plans, specifications, and cost estimate at 50% completion level (horizontal alignment and design, no profile, no details), Traffic control will be Implemented by the contractor per WATCH. If traffic control plans are required, they will be a requirement of the contractor during construction. Plans will be prepared In Microstatlon v8i per City standards, The anticipated plan sheets forthe 50% submittal Includes a total of 14 sheets as listed below: G1.4 Title Sheet and General Sheets (4 sheets) PP1 -5 Water Plan and Profile Sheets (5 sheets) PP6.10 Sewer Plan and Profile Sheets (5 sheets) b, The specification submittal will Include the front end specifications, technical specification table of contents, and some technical specification sections. c. Deliverables; None (Included In next task) 11. 50% PS &E Submittal a. Submit 50% PS &E to the City b. Perform job walk to Identify conflicts and Inconsistencies. Meet with the City to review comments, c. Deliverables; I. 50% P5 &E (pdf and hard copies —4) 12. CEQA Documentation No a. Based on a review of the proposed pipeline Improvements and existing setting, It is anticipated that a CEQA Statutory Exemption Will apply to the project. While It is acknowledged that the City's RFP Identifies a Negative Declaration, the use of a Statutory Exemption appears highly appropriate for the project and would result In substantial time and cost benefits to the City. As such, RBF will prepare two (2) separate Notices of Exemption (one for each pipeline project). Each Notice of Exemption (NOE) will cite the CEQA Statutes, Section 21080.21, Application of Division to Public Right -of -Way Pipeline Projects Less Than One Mile in Length. This Statutory Exemption applies to the construction, maintenance, repair, restoration, reconditioning, relocation, replacement, removal, or demolition of pipeline located entirely within public right -of -way, and less than one mile in length. Each NOE will provide a brief project description, a description of the project site and affected area, and substantiation for the exemption. The NOE will be filed with the County Clerk and State Clearinghouse upon approval by the City. This task specifically excludes the preparation of an Initial Study, Negative Declaration, or Environmental Impact Report. If it Is determined by the City that an alternate form of CEC1A documentation is required, a separate scope and'fee can be provided. 25C -98 Task No, 2 —Finalize Design 1. 90% PS &E a. The 90% PS &E submittal shall include plans, specifications, and cost estimate at 909/. completion level (horizontal alignment and design, profile, details). Plans will be prepared in Microstatlon v81 per city standards. The anticipated plan sheets for the 90% submittal Includes a total of 17 sheets as listed below, No additional sheets are anticipated to be added after the 90% submittal. G1 -4 Title Sheet and General Sheets (4 sheets) PP1-5 Water Plan and Profile Sheets (5 sheets) PPS -10 Sewer Plan and Profile Sheets (5 sheets) DTI -3 Details (3 sheets) b. Specifications and cost estimate will be prepared and updated based on comments received from the City. All documents will be prepared per City standards. c. Deliverables; i. 90% PS &E (pdf and hard copies -- 3) 2. 100% PS &E a. The 100% PS &E submittal will Include all components of the 90% PS &E with the appropriate updates per city comments. b. Deliverables: I. 100% PS &E (pdf and hard copies -3) 3. Final Bid Documents a. The Final Bid Document package will Include all required "bid- ready" construction documents Including plans, specifications, and cost estimate. All documents will be provided In the format requested by the Clty and stamped and signed hythe appropriate Individuals. b. Dellverables: I. Final Bid Documents (pdf, CAD files, MS Word files for specifications, and mylars signed and stamped) Task No. 3 — Bid Phase Services 1. Respond to request for clarification from prospective bidders (assume 4). 2. Issue addenda to the bid package as necessary. 3, Deliverables: a. RFC Responses b, Bid Addenda Task No. 4 — Construction Management Support 1. Attend pre - construction meeting, and one meeting during construction. 2. Provide RPI responses (assume 5). 3. Review shop drawing submittals and provide responses (assume 2o) 4, Prepare CADD As - Built drawings based on contractor mark ups and provide required electronic (CAD and GIS) files to City in the required format. 5. Deliverables: a. RFI Responses b. Shop Drawing responses a CADD As -Built drawings based on contractor mark ups, 25C -99 15 25C -100 zml 4 ml 3 a a o ro I C iz: IN it: iz Z5 63 15 IA Iz ZZ r z t6 0 ZR m t5 E g E C ow & -so so Eo E m p o a 'no 0 -20 4 -C 0 WC 03 M. a o M — — 0 0 v v U) 2 w M E E E .0 rL @ if E -:a LU 'w x 'm L� U J3 U) p 24 IL CL D5 25C -100 Agreement Exhibit B 25C-101 Project Management The City of Santa Ana is committed to serving Its population of 325,000 people with reliable and high - quality water and sewer service. As part of this commitment, the City desires to select two consultants to provide engineering services on an as- needed basis. We have thoroughly reviewed the RFP and have an understanding of what the City needs for the as- needed consultant. The RBF team brings thefollowing components as the selected as- needed consultant; ► Responsiveness; The work to be performed under the as- needed contract can be variable, by discipline, scope, schedule, and budget. Some projects will require a concise proposal to be submitted, some projects will be authorized to begin Immediately. No matter the size or duration of the contract, RBF is committed to providing the highest level of responsiveness to the City. We will respond and submit on _,,,((proposal requests by the time specified by the City. We have assigned one primary point of contact for convenience; John Nagle (Project Manager), and one alternate In the event John is not available: Tor! Yokoyama (Task Manager). Please see our Communication Plan below for more description on this, m Resources: RBF's team Is comprised of water and sewer experts with a long history and demonstrated track record of successful water and sewer pipeline designs, as well as design expertise In other facilities such as pump stations, wells, reservoirs, and pressure reducing stations (described further in the Project Team section). In addition, RBF also has expert multi - disciplined staff typically needed for water resource projects, including all In -house Irvine office staff to provide the required services described above. The only service Identified In the RFP we do not provide In -house capabilities for Is geotechnical services. RBF brings the resources of over 200 staff located in our Irvine office, just minutes away from the City. RBF's management team will provide the City with direct access to this resource of experts who also have In-depth knowledge of local Issues and requirements unique to Orange County, This also relates to our ability to be responsive to the city, With all in- house team members, there Is no lost time to coordinate a subconsultant, or set up a contract. We will simply have an internal kick -off meeting, and get started right away, ► QA/QC; It Is not the City's job to ensure the work of their as- needed consultant is accurate, complete, and free of errors and omissions. Otherwise, the consultant is only adding to the workload of Qty staff, RBF Is committed to providing the City with high quality designs and services to ensure the City's customers are being provided the highest quality service, and City staff Isn't spending valuable time checking their consultants work. With our expansive staff resources, and CIA /QC program (described further below), the deliverables will meet the highest of City expectations, MANAGEMENT APPROACH The specific scope of work, schedule and deliverables will depend on the particular project Identified by the City. Once a project is identified, we see the development of the scope of work and project schedule as a collaborative effort between our Project Manager and the City, If desired, RBF can work with City staff to help identify and prioritize system improvements that will help to meet key objectives. RBF also has the capability of performing condition assessments, hydraulic modeling and analysis, and other preliminary studies that might be necessary to help identify and define Improvement projects. In our experience, preparing a comprehensive scope of work that clearly identifies the various project tasks and the deFverables expected from those tasks, along with the responsibilities for each deliverable, is a critical flrst step in the task order execution process. Development and management of a comprehensive scope of work minimizes the chances of miscommunication or misdirection among all project team members. Prior to the submittal of a proposal for the Task Order, RBF's Project Manager will evaluate the project, technical subject matter, staff experience needs, project schedule and staff requirements to meet the project schedule. He will then meet with staff members who have the appropriate specialty expertise to review the project requirements and delivery CLIO.'. 25C -102 16 commitments to meet City goals and objectives, The Project Manager will review the project requirements with RBF's Client Services Manager, and the plan will be executed to prepare the proposal. Once the Task Order has been approved and a Notice -to- Proceed Is Issued, RBF's Project Manager will be responsible for overseeing the activities of all of the Project Team members. The Project Manager will also be the main point of contact to the Clty for coordination of all day -to -day activities. This approach to initiate a task order Is Illustrated In the flow diagram shown below: Task order Plow Clrart COMMUNICATION PLAN As an as- needed consultant, the RBF team is available and ready to respond to all City requests. We understand the Importance of the avallabllity of a team to meet the City's needs. Some task order requests may have already been Identified and scoped by the City, however some task order requests may arise on a short term basis and will require Immediate attention. An example of this Is quick hydraulic model simulations. often times the City may need someone to run a quick simulation of a fire flow, or modeling a pipe to be abandoned and ensuring service conditions are not negatively affected, We are more than prepared to handle these quick requests. In our Irvine office alone we have 7 engineers with moderate to extensive modeling experience In all the industry model software packages (Innovyze or Bentley) and have active licenses. We perform this service regularly for El Toro Water District, with quick turnaround on fire flow and other model simulations on a regular basis, The table below shows our proposed communication plan to ensure the City always has a direct Ilne to the R BF team, Nagle Direct Ph.: 949.330,4275 Cell Ph.: 949.422,5478 Email; inagle� Torl Yokoyama Direct Ph.: 949.472.9431 Cell Ph.: 949.351.4559 Email: tyolovarna@rbf com Cindy Miller Direct Ph.: 949.855.3516 Cell Ph.: 714,814.4909 Email: clmlllerranrhf rnm The communication plan shows John Nagle as the primary point of contact for the City. As alternate points of contact, we have also listed our Task Manager. Tori Yokoyama, or our Client Services Officer: Cindy Miller. INN 25C -103 17 QAIQC - RBF QUALITY MANAGEMENT PROGRAM RBF's Quality Management Program has four major components: Quality Assurance; Quality Control; Schedule and Cost Control; and Project Wrap Up. This program Is based on Total Quality Management (TOM) principals. Quality Assurance - The Quality Assurance component provides for the early prevention of errors and omisslons, Ensuring quality starts with an assignment of the best qualified team and implementation of a plan that will manage quality throughout the life of the project. The Principal -In- Charge (Client Services officer) and Quality Assurance Manager will work with the Project Manager to: Ensure that our team understands the specific expectations and project objectives and will develop a project plan (budget and schedule) that will realistically meet those expectations and objectives. Review all work performed, ► Ensure on -time delivery of the appropriate planning and design documents at the appropriate milestone. Quality Control - The Quality Control component provides systematic elimination of defects in the planning and final construction documents. This component is broken Into two elements: Project Library and Records Center; and Independent Review. Project Library and Records Center - A necessity for efficient and effective Quality Control Is maintenance of a Library of current reference material, and project records that will define the project, define standards, set Parameters for the scope of work, confirm the scope of work, and establish legal, financial, political, environmental or infrastructure constraints or obligations. Likewise, documentation of all project transactions and local Agency concerns must be In a central file readily accessible to project team. Regular Client Coordination and Communication - We believe that frequent communication and coordination with the Client helps to ensure that projects stay on track and that the goals and objectives of the Client are met, RBF recommends that formal progress meetings between the Project Manager and Client be held a minimum of once monthly, and more frequently if necessary. RBF will prepare written meeting notes to document decisions made and action Items. Independent Review - The primary technique used In quality control Is the independent review of all technical work produced by every Individual on the project. These reviews include: ► Quality Assurance Manager will review project status at quarter points of project to assure continuous application of the original scope of work, and to assure efficient and cost effective functioning of all Team Members. If changes In scope are required, the Quality Assurance Manager will advise the Project Manager to negotiate, document, and Inform Team Members. Schedule and Cost Control -A three -step process will be followed in managing a project's budget and timeliness: Step 1. A plan of action for carrying out the work Involves breaking the work In to manageable tasks and subtasks, I.e., the work breakdown structure (WBS), establishing a sequence and overlap In performing those tasks and subtasks, and determining the time required and cost for each part, and for the project as a whole, 25C -104 18 QUALM CONTCatIQUALITY A391JEANCE PROCESS _ ':,g1u�eAtW,'rc;,s vn rwmu,u .c.lu nnn <n lnY, fli q Fja1d�wb sl nuem CIIIwItl Glx ek •wna cnnrs •OInIIIAp Cbneb t( p � fil�jM axnw rl.vrY • mManLGbw' : TesvYw+ura�wliW�, vnanw,roam duM� slo'a,w •cnau.aamr nlbrlwYww Er: i°b""Y"fi a,nanncnma •cmra wool rr 'ko nyef 'clm lwim, ' cael f'f{YV,llx _ � MnCII Cn nyfl llry �aen'uwll .n'IYe q ����,.: �5.uw bW Cl lam anal uVl II .MOnlardng5ml. Ynar ba.�.Y {�. �p {gpIIN •: Y4If1GY o.un snneam ml rnnla .Cm ixnmmnd'.rr ;y s {dMYy1W�,,,,'+ ���u'Mrt+;f'''; $[ppn �Yntldp nui •pn nnl el SOl"rsol frmranm nlwn {" •51' I. W Ipl4mx COI eII lY11 •1111Y "a •Con lu[II11YC nl •IIIMU -.s �R I Mtl11L1 "^ 'dM•ll $Ixn leM •YOIM1 IIeI $n lrvVnl -i �p��yIRgwljel Q.�, rrdy{1yi4 ntl Cl lx a EIn40m'go•d 'tlamlmellbJilV ii ilM'eMe�y .LOIY `CUInP,114inIVl •gM1e rnallaenY�ag m,alwnnn •m „{, �� JlbbMiliQ .f. F. ► Ensure on -time delivery of the appropriate planning and design documents at the appropriate milestone. Quality Control - The Quality Control component provides systematic elimination of defects in the planning and final construction documents. This component is broken Into two elements: Project Library and Records Center; and Independent Review. Project Library and Records Center - A necessity for efficient and effective Quality Control Is maintenance of a Library of current reference material, and project records that will define the project, define standards, set Parameters for the scope of work, confirm the scope of work, and establish legal, financial, political, environmental or infrastructure constraints or obligations. Likewise, documentation of all project transactions and local Agency concerns must be In a central file readily accessible to project team. Regular Client Coordination and Communication - We believe that frequent communication and coordination with the Client helps to ensure that projects stay on track and that the goals and objectives of the Client are met, RBF recommends that formal progress meetings between the Project Manager and Client be held a minimum of once monthly, and more frequently if necessary. RBF will prepare written meeting notes to document decisions made and action Items. Independent Review - The primary technique used In quality control Is the independent review of all technical work produced by every Individual on the project. These reviews include: ► Quality Assurance Manager will review project status at quarter points of project to assure continuous application of the original scope of work, and to assure efficient and cost effective functioning of all Team Members. If changes In scope are required, the Quality Assurance Manager will advise the Project Manager to negotiate, document, and Inform Team Members. Schedule and Cost Control -A three -step process will be followed in managing a project's budget and timeliness: Step 1. A plan of action for carrying out the work Involves breaking the work In to manageable tasks and subtasks, I.e., the work breakdown structure (WBS), establishing a sequence and overlap In performing those tasks and subtasks, and determining the time required and cost for each part, and for the project as a whole, 25C -104 18 Step 2. Regular monitoring Involves comparing the actual progress of the work to the project plan and determining whether the project Is progressing in accordance with the plan, both In terms of time and cost. A Trey component in this step Is the Drawings and Deliverables Progress Report, which shows the actual percent complete of each drawing or other deliverable In production, This report also identifies and reports on specific critical path tasks essential to production of the Drawings and Deliverables, This report Is completed by the functional leaders. Step 3, Identifying the causes of and corresponding delays and cost overruns involves the Project Manager working with the appropriate functional leader responsible for the job's progress ensuring that corrective action Is taken Immediately to meet the agreed to schedule. Scheduling, monitoring and cost control are integrated by execution of the following activities: m Upon execution of the contract, the Project Manager will designate a Project Control Manager. ► To the extent required for the scope of the task orders, establish the master schedule and re- source requirements in accordance with the WBS, so that cost, schedule, and responsibility are Integrated into discrete work packages for budgeting and monitoring purposes. ► The Project Manager, working with the Project Control Manager, the technical director, and the functional leaders, will complete the final project schedule and budgets for direct labor and overhead, subconsultant costs and other direct costs. ► As warranted by the scope of work, the Project Control Manager will monitor expended costs and actual progress (earned value) against the budget for each task. Forecast cost to complete will be updated monthly, based on actual progress Information provided by the technical director and the functional leaders. ► The detailed project control reports will be produced weekly for review by the Project Manager, Project Wrap Up - To ensure a top quality product and to optimize the quality of future projects, the Quality Assurance Manager will assure that the following activities take place: ► Cr) completion of PS &E, each Quality Control Manager will compare the final PS &E to what was approved In the final Independent check. All plans for work In the same geographic locations will be layered and compared to ensure the Contractor Is not receiving conflicting messages. r The Quality Assurance Manager shall review all certified independent checks to ensure that all final work has been checked, all contract documents and special provisions are non - conflicting, and have appropriate engineer signatures. r Upon completion of the contracted work, the Quality Assurance Manager will assure that all files In the Record Center are updated to include all relevant approved files. ► Upon completion of the contracted work, the Quality Assurance Manager and the Project Manager will review the project files with the client's Project Manager to determine files to be transferred. In summary, the Total Quality Management Program is used to prevent errors and omissions before they occur by giving every Project Team Member the respect, information, and rapid feedback he or she needs to produce an accurate, consistent and complete product. This approach reduces cost and effort required for the quality control phase, which provides for the systematic elimination of all defects from the planning reports and construction documents. Further It provides for continuing future upgradingof quality performance. WF 25C -105 Agreement Exhiblf C� Ewa, CONSULTING A 3-m Company HOURLY RATE SCHEDULE e for nnct a ..... ............................... Princi aIICIIeotServicesOfficer p . • $245.00 $249.00 $253.00 $258.00 1111............ ...•.•.•.. ••....••.•.•..•...,.. Project Director $225.00 $229.00 $233,00 $237.00 ....................................... ............................... Program Manager $220.00 $224.00 $228.00 $232.00 .... .............................. .................1111.......... Senior Project Manager, $215.DO $219.00 $223.00 $227.00 ............ ....... .. --..- Project Manager ..................................... 1,111 $200.00 $204.00 $208.00 $212.00 ............................... Structural Engineer ...............•...... $195.00 $198,00 $201.00 $205.00 ...........................,.,. Technical Manager $195.00 $198.00 $201.00 $205.00 .................................. ............................... Senior EngineedTask manager $180.00 $163.00 $186.00 $189.00 ............. ............................... Senior Plannec . . $163.00 $166.00 $169.00 $172,00 ....................................... ............................... Electrical Engineer-_ $163.00 $166.00 $169.00 $172,00 ......... ............................... �................... Landscape Architect $156.00 $159.00 $162,40 $165.00 ..... ............................... Senior 015Analyst .... .1.. $150.00 $163.00 $166.00 $159.00 .............................. ............................... Project Engineer $150.00 $153,00 $16600 $159.00 ............. ............................... ........................ Project Planner $148.00 $150.00 $153.00 $156.00 ....................................... ............................... Environmental Specialist $148.00 $150.00 $153.00 $156.00 ,,,,,,,,,,,,,,,,,,,,,,,,, ,,,,,,,,,,,,,•,,,,,,,,,,,,,, Design Frigineer /SeniorDesigner/Mapper $138.00 $140.00 $142.00 $144.00 .... ..........................••... CIS Anal st... 1111 $135.00 $137.00 $139,00 $141.00 . ............................... . .............. nar/ Planner $122.00 $124.00 $126.00 $125,00 ................................. ....................... ...... ... Project Coordinator .... ....., $115,00 $117.00 $119.00 $121.00 .................................. ............................... Graphic Artist ............................... $110.00 $112.00 $114.00 $116.00 ............................... Environmental AnalysUStalf Planner_.. 1111..... $97.00 $98.00 $99.00 $100.00 r ... 11-.1.11 Design Technician... $97.00 $98.00 $99.00 $100.00 , ................... ... .............. ...... Assistant Engineer/ Planner �................ $97.00 $98,00 $99,00 $100.00 ....................... ....1..................1.....11 Permit Processor $93,00 $94.00 $95,00 $96.00 ...................... ............................... Engineering Ald /Planning Aid $83.00 $84.00 $85.00 $66.00 ............................. ......... Office Supportf Clerical ... ... ,..... $75.00 $76.00 $77,00 $78.00 ... ... ...... ...... .._.,......... .. ..... ........ $63.00 $64,00 $65,00 $66.00 FIELD PERSONNEL 2- Person Survey Crew "•`""" ..... .............�.�""'�'""'- ......... ............................... 1- Person Survey Crew $245.00 $249.00 $253.00 $258.00 " ...................... Licensed Surveyor .. ............................... Y ............... $165.00 $168.00 $171.00 $174.00 ................ Field Supervisa... ••. •.......... $17500 $178.00 $161.00 $184.00 ... ............................... . ............... $172.00 $176.00 $176.00 $'181.00 CONSTRUCTION MANAGEMENT PERSONNEL Construction manager..,........, ............ ............................... $185,00 $188,00 $191.00 $194.00 Resident Engineer/Project Manager ........... . ............................... $154.00 $157.00 $160.00 $163.00 Senior Construction Inspector ................•... ............................... $123.00 $125.00 $127.00 $129.00 Construction Inspector ......... 1..1.1 .......... 1....... . ... ....... . $118.00 $120.00 $122.00 $124.00 Field Office Engineer ._.. ......... ..........._.............. ........ Construction Technician .......� $11000 $112.00 $114.00 $116.00 ........................... ............................... $95.00 $96.00 $97.00 $98.00 Note. Blueprinting, reproduction, messenger saNlce and other dirvot expenses will be charged as on additional cost plea 15 %. A hub- emisullanl Management Fee el flflaen-Percent (15 %) will a ill be to the direct cost of all sutrconsulrant sonless 10 provide Pot the cost of administration, sub. Consultant consultation and insuranea. Vehicle rnllaago will be charged as an addlllonal cost al the IRS approved rate. 25C -106 Agreement Exhibit C --J GEMCHNICAL. INC. 2014 SCHEDULE OF CHARGES PROFESSIONAL SERVICES Senior Principal Principal/Director $ 300,00/hou1- Associate Engineer or Geologist $ 250.00 /hour Senior Engineer or Geologist $ 220,00 /hour Project Engineer or Geologist S 210,00 /hour Senior' staff Engineer or Geologist $ 190.00 /horn, Stuff Engineer or Geologist $ 165,00 /hour Deposilion/Testimony 125.00 /hour Graphic Illustration /CARD $ 495,00 /hour Document Preparation and Project Services ,$ 110.00 /hour $ 90.00 1hour FIELD INSPECTION ect TESTING SERVICES Senior Engincering'fechnician • Inslreodons for soils /grading, asphalt, concrete, batch plants, p11C5/CflI53Un3, etc, $ 1 10.00 /how•* • Certifications by ACI,'CC, Caltrans, local jurisdictions, etc, Staff Sngineering Technician • Services provided under direct Supervision of a Senior Engineering Technician $ IOU.UO /hour* Registered Special Inspector (No =l hour ortnintunr) • Certifications by ACI, ICC, Caltrans, localjnrisdictl ❑ns, etc, R 1 10.(H1 /hour• • Reinforced concrete, Post-q'ension, Musoory, Welding, Rolling, Fit, prow fang Instrumentation Englncer • Slope inclinometer and Piezometer monitoring 170.00 /rout • Manometer for floor�level surveys • Slormwater Turbidity & pH meter • Pressure transducer, dalaloggor, & water chemist•y meter f'or groundwater monitoring • Pipeline video camera for drains, wells, cle. Engineering Seismological Technician (Includes 3- chnnnelseisn,ograph) $ 150.00 • Blast vllbi -ation & ),Oise monitoring /hour • C0o!nrtlet10I1 vibration & noise monitoring (Pilo driving, thrilling, demolition, etc.) Seismic Refraction Studies (Ine14t cs geologist, technician, & 1241annel seismograph) *Notes: $ 400.00 /11ow• (1) Rates include vehiote, nuclear density gm)go, and equipment . for testing, inspection, and sampling. (2) No 4 -hour minimum dwrges apply. (3) Overtime is chnrgcd al 1,5 times tls base rate. Overifnw is defined as time worked on the project in excess 0[8 heirs per day and all time on Saturdays, Sundays, and holidays. (d) All ruins are Nun - Prevailing Wage, See separule Schedule ❑rCharges for Prevailing Wage. LABORATORY,rESTING SERVICES Laboratory Testing (For .special nmuerials 1e,4019 a)1d labor(imJy costs on a per-resl 15culs, see G:bft" s Laborwooi pee vj; (tlr /e) OTHER CHARGES GUlsl(lC SL'I'4'ICCti Rchobursables (`US( 't 15% Cast 25C -107 25C -108 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 3, 2014 TITLE: AGREEMENT WITH CLINICAL LABORATORY OF SAN BERNARDINO, INC., FOR WATER QUALITY TESTING SERVICES �j J CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: •.• k ❑ As Recommended ❑ As Amended ❑ Ordinance on 18' Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute an agreement with Clinical Laboratory of San Bernardino, Inc., subject to nonsubstantive changes approved by the City Manager and City Attorney, to provide domestic water quality testing services, for a two -year period expiring on June 2, 2016, with provisions for two, two -year renewal options exercisable by the City Manager and City Attorney, in an amount not to exceed $140,000 for each term, for a total aggregate amount not to exceed $420,000. DISCUSSION Approval of this recommended action will allow the City to continue water quality testing, which is a requirement of the California Department of Health Services. Clinical Laboratory of San Bernardino, Inc., is a State- approved provider and the top -rated firm identified through a recent Request for Proposals (RFP) process. The City's Public Works Agency, Water Resources Division, administers and maintains the public water system which provides high - quality drinking water to the residents and businesses of Santa Ana. The California Department of Health Services, in accordance with Title 22 of the California Code of Regulations, enforces the primary and secondary drinking water standards for public water systems. The City, as a public water system, must comply with these drinking water standards which require laboratory testing of the water system by a State- approved laboratory. On March 13, 2014, the Public Works Agency advertised an RFP on the City's website, as well as with the City's bidding service (Planet Bids) to solicit proposals from qualified, State- approved laboratories to perform the required water quality testing. Two proposals were received and evaluated by a selection committee. The composite ratings and fees are as follows: Laboratory 1. Clinical Laboratory of San Bernardino, Inc. 2. E.S.B. Babcock Laboratories, Inc. Rating Fee 94.7 $58,926 86.0 $107,776 2501-1 Agreement with Clinical Laboratory of San Bernardino, Inc., for Water Quality Testing Services June 3, 2014 Page 2 Staff recommends awarding a contract to Clinical Laboratory of San Bernardino, Inc., based on its high rating, competitive pricing, and excellent service record. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT Funds are available in the Water Quality and Measurement Fund (Account 06017644 - 62300) Edwin "William" Gaty , P.E. Interim Executive Director Public Works Agency EWG /NS /RR Exhibit: 1. Agreement APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director N' Finance & Management Services Agency 25D -2 THIS AGREEMENT, made and entered into this 3 x day of June, 2014 by and between Clinical Laboratory of San Bernardino, Inc., a California corporation (hereinafter "Consultant "), and the City of Santa Ana, a charter city and municipal corporation organized and existing under the Constitution and laws of the State of California (hereinafter "City"). A. The City desires to retain a consultant having special skill and knowledge in the field of domestic water quality testing. 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 tinder this Agreement will be performed in compliance with such standards as may reasonably be expected from a professional consulting fine 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 domestic water quality testing in accordance with "Standard Methods ", Title 22 of the California Code of Reguhnions, entitled "California Domestic Water Quality and Monitoring Regulations ", and the Code of Federal Regulations. Such testing shall include bacteriological quality, general physical quality, general mineral, nitrate /nitrite, inorganics, fluoride, haloacetic acids and total triahalomethanes. All work shall be performed in accordance with City's Request for Proposals dated March 13, 2014, attached hereto as Exhibit A, and incorporated by reference. 2. DELIVERY OF WORK PRODUCT- OWNERSHIP Any and all records, papers, drawings, specifications, programs, systems and other materials prepared by CONSULTANT, pursuant to this Agreement shall be the property of CITY. CONSULTANT agrees to provide CITY with any such materials whenever requested to do so. 3. COMPENSATION a. City agrees to pay, and Consultant agrees to accept as total payment for its services, the rates and charges identified in Consultant's Fee Schedule, attached hereto as Exhibit B, and incorporated by reference. The total sum to be expended under this Agreement shall not exceed $140,000.00 during the tern of this Agreement. 25D -3 b. Payment by City shall be made within thirty (30) days following receipt of proper invoice evidencing work performed, subject to City accounting procedures. Payment need not be made for work which fails to meet the standards of performance set forth in the Recitals which may reasonably be expected by City. G� V :7l This Agreement shall commence on June 3, 2014 and terminate on June 2, 2016, unless terminated earlier in accordance with Section 13, below. The City may extend the term for two (2) additional two- year periods for a sum not to exceed $140,000.00 for each of said periods upon the exercise of an option executed by the City Manager and the City Attorney. 5. INDEPENDENT CONTRACTOR Consultant shall, during the entire tern of this Agreement, be construed to be an independent contractor and not an employee of the City. This Agreement is not intended nor shall it be construed to create an employer - employee relationship, a joint venture relationship, or to allow the City to exercise discretion or control over the professional manner in which Consultant performs the services which are the subject matter of this Agreement; however, the services to be provided by Consultant shall be provided in a manner consistent with all applicable standards and regulations governing such services. Consultant shall pay all salaries and wages, employer's social security taxes, umemployment insurance and similar taxes relating to employees and shall be responsible for all applicable withholding taxes. 6. INSURANCE Prior to undertaking performance of work under this Agreement, Consultant shall maintain mid 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 which shall include, but not be limited to protection against claims arising from bodily and personal injury, including death resulting therefrom and damage to property, resulting from any act or occurrence arising out of 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 therefrom, and property damage, in the total amount of $ 1,000,000 per occurrence. Such insurance shall (a) name the City, its officers, employees, agents, volunteers and representatives as additional insured(s); (b) be primary with respect to insurance or self - insurance programs maintained by the City; and (c) contain standard separation of insureds provisions. b. Business automobile liability insurance, or equivalent form, with a combined single limit of not less than $1,000,000 combined single limit. Such insurance shall include coverage for owned, hired and non -owned automobiles. c. Worker's Compensation Insurance. In accordance with the provisions of Section 3300 of the Labor Code, 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 tinder this Agreement, Consultant agrees to obtain and maintain any employer's liability insurance with limits not less than $1,000,000 per accident. 25D -4 d. Professional liability (errors and omissions) insurance, with a combined single limit of not less than $1,000,000 per claim, and $2,000,000 in the aggregate. c. The following requirements apply to the insurance to be provided by Consultant pursuant to this section: (i) Consultant shall maintain all insurance required above in full force and effect for the entire period covered by this Agreement. (ii) Certificates of insurance shall be furnished to the City upon execution of this Agreement and shall be approved in form by the City Attorney. (iii) Certificates and policies shall state that the policies shall not be canceled or reduced in coverage or changed in any other material aspect without thirty (30) days prior written notice to the City. f. If Consultant fails or refuses to produce or maintain the insurance required by this section or fails or refuses to firmish the City with required proof that insurance has been procured and is in force and paid for, the City shall have the right, at the City's election, to forthwith terminate this Agreement. Such termination shall not effect Consultant's right to be paid for its time and materials expended prior to notification of termination. Consultant waives the right to receive compensation and agrees to indemnify the City for any work performed prior to approval of insurance by the City. 7. INDEMNIFICATION Consultant agrees to and shall indemnify and hold harmless the City, its officers, agents, employees, consultants, special counsel, and representatives from liability for personal injury, damages, just compensation, restitution, judicial or equitable relief arising out of claims for personal injury, including death, and claims for property damage, which may arise from the negligence, recklessness or willful misconduct 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. The Consultant further agrees to indemnify, hold harmless, and pay all costs for the defense of the City, including fees and costs for special counsel to be selected by the City, regarding any action by a third party asserting that personal it jury damages, just compensation, restitution, judicial or equitable relief due to personal or property rights vises by reason of the terns of, or effects arising from this Agreement. City may make all reasonable decisions with respect to its representation in any legal proceeding. S. CONFIDENTIALITY If Consultant receives from the City information which due to the nature of such information is reasonably understood to be confidential and/or proprietary, Consultant agrees that it shall not use or disclose such information except in the performance of this Agreement, and further agrees to exercise the same degree of care it uses to protect its own information of like importance, but in no event less than reasonable care. "Confidential Information" shall include all nonpublic information. Confidential information includes not only written information, but also infom>ltion transferred orally, visually, electronically, or by other means. Confidential information disclosed to either panty 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 solaces; (b) is, through no fault of the Consultant disclosed in a publicly available source; (c) is in rightfiil possession of the 25D -5 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 pursnant to this Agreement shall be in writing and shall be deemed to be properly given if delivered in person or mailed by first class or certified mail, postage prepaid, or sent by facsimile or other telegraphic communication in the manner provided in this Section, to the following persons: To City: Clerk of the City Council City of Santa Ana 20 Civic Center Plaza (M -30) P.O. Box 1988 Santa Ana, CA 92702 -1988 facsimile (714) 647 -6956 With courtesy copies to: Public Works— Water Quality Coordinator City of Santa Ana 220 S. Daisy Avenue (M -85) Santa Ana, California 92703 facsimile (714) 647.3345 and City Attorney City of Santa Ana 20 Civic Center Plaza (M -29) P.O. Box 1988 Santa Ana, California 92702 facsimile (714) 647 -6515 To Consultant: Clinical Laboratory of San Bernadino 21881 Barton Road Grand Terrace, California 92313 Facsimile (909) 825 -7693 A party may change its address by giving notice in writing to the other party. Thereafter, any communication shall be addressed and transmitted to the new address. If sent by mail, communication shall be effective or deemed to have been given three (3) days after it has been deposited in the United States mail, duly registered or certified, with postage prepaid, and addressed as set forth above. If sent by facsimile, communication shall be effective or deemed to have been given twenty -four (24) hours after the time set forth on the transmission report issued by the transmitting facsimile machine, addressed as set forth above. For purposes of calculating these time frames, weekends, federal, state, County or City holidays shall be excluded, 25D -6 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 terns of this Agreement and any attachments hereto, the terms of this Agreement shall prevail. This Agreement may not be modified except by written instrument signed by the City and by an authorized representative of Consultant. The parties agree that any terms or conditions of any purchase order or other instrument that are inconsistent with, or in addition to, the terms and conditions hereof, shall not bind or obligate Consultant 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 Stich 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 of this Agreement performed by City personnel or by other consultants retained by City. 13. TERMINATION This Agreement may be terminated by the City upon thirty (30) days written notice of termination. in such event, Consultant shall be entitled to receive and the City shall pay Consultant compensation for all services performed by Consultant prior to receipt of such notice of tenmination, subject to the following conditions: a. Asa condition of such payment, the Executive Director may require Consultant to deliver to the City all work product completed as of such date, and in such case such work product shall be the property of the City mfless prohibited by law, and Consultant consents to the City's use thereof for such purposes as the City deems appropriate. b. Payment need not be made for work which fails to meet the standard of performance specified in the Recitals of this Agreement. 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 and all questions relating to its validity, interpretation, performance, and enforcement shall be government 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 25D -7 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, pewits, 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 her inability to obtain or maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be cause for termination of this Agreement. 17. 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 terns of this Agreement, and shall indemnify City fully, including reasonable costs and attorney's fees, for any injuries or damages to City in the event that such authority or power is not, in fact, held by the signatory or is withdrawn. b. All Exhibits referenced herein and attached hereto shall be incorporated as if fully set forth in the body of this Agreement. IN WITNESS WHEREOF, the parties hereto have executed this Agreement the date and year first above written. ATTEST: MARIA. R. HUIZAR Clerk of the Council APPROVED AS TO FORM: Sonia Carvalho j rney ca City Attorney 25D -8 CITY OF SANTA ANA DAVID CAVAZOS City Manager CLINICAL LABORATORY OF SAN BERNADINO BOB GLAUBIG Laboratory Director Tax ID # Agreement Exhibit A REQUEST FOR PROPOSALS (RFP) M WATER QUALITY SAMPLING & TESTING SERVICES RFP # 14 -017 CITY OF SANTA ANA Santa Ana Public Works Department 20 Civic Center Plaza Santa Ana, CA 92701 Thomas Dix Water Quality Coordinator (714) 647 -3316 Office (714) 647 -3345 Fax tdix(a?santa- ana.oro KEY RFP DATES: Issue Date: March 13. 2014 Proposal Due Date: April 10, 2014, by 4:00 pm. Projected Award Date: May 20, 2014 RFP #14 -017 — Water Quality Sampling & Testing Services Page 1 25D -9 Agreement Exhibit A NOTICE INVITING PROPOSALS NOTICEIS HEREBY GIVEN that proposals will be received from qualified firms to provide Water Quality Sampling & Testing Services. Responses to the Request for Proposals (RFP) will be accepted until Thursday April 10, 2014 by 4:00 p.m. If further information is required, contact Tom Dix at (714)647 -3316 or tdix@santa- ana.ora All notifications, updates and addenda will be posted on the City's current bid management and publication system page at www.r)lanetbids.com/12ortal/lportal-cfm?Comr)anylD=20137. Proposers shall be responsible for monitoring the site to obtain information regarding this solicitation. Failure to respond to required updates may result in a determination of a nonresponsive proposal. The successful proposer must possess or obtain a valid California Department of Health Services approval in accordance with Section 4025 of the Health and Safety Code to operate as an Approved Water Laboratory prior to the scheduled award date of this contract. MAILED, DELIVERED BY HAND, or COURIERED proposals will be accepted as follows: City of Santa Ana Tom Dix Public Works Agency 4thFloor, Ross Annex 20 Civic Center Plaza Santa Ana, CA 92701 It is the responsibility of the proposer to ensure that any proposals submitted shall have sufficient time to be received by the City of Santa Ana prior to the proposal due date and time. Questions regarding this Request for Proposals shall be made in writing via e -mail to Tom Dix at tdix@santa- ana.orq. The receivina time in the Public Works Agency, 20 Civic Center Plaza, Santa Ana, CA 92701 Fourth Floor, Ross Annex, will be the governing time for acceptability of proposals. Late proposals will NOT be considered and will be returned to proposer unopened. Telegraphic, electronic, and facsimile proposals will not be accepted. ONLY SEALED RFP RESPONSES ARE ACCEPTABLE. DO NOT E -MAIL RFP RESPONSES. DO NOT FAX RFP RESPONSES. RFP #14 -017 —Water Quality Sampling & Testing Services Page 2 25D -10 Agreement ExhibitA� r CITY OF SANTA ANA REQUEST FOR PROPOSAL FOR WATER SAMPLING & TESTING SERVICES (RFP14 -017) TABLE OF CONTENTS PAGE 1. INTRODUCTION 4 11. PERIOD OF CONTRACT 4 III. OPTION OF RENEWAL 4 IV. FISCAL NONFUNDING CLAUSE 4 V. SCOPE OF SERVICES 4 VI. GENERAL INFORMATION 5 VII. PROPOSER RESPONSIBILITIES 5 VIII. LICENSE REQUIREMENTS 5 IX. INITIATION /KICK OFF MEETING 5 X. CITY BUSINESS LICENSE 6 XI. ADDENDA 6 XII. RULES FOR PROPOSALS 6 XIII. E -MAIL COMMUNICATIONS AND INTERPRETATIONS /CLARIFICATIONS 6 XIV. SUBMITTAL INFORMATION AND DEADLINE 6 XV. SUBMITTAL REQUIREMENTS 6 XVI. CONTRACTOR SELECTION — PROPOSAL AND EVALUATION 8 XVIL PUBLIC RECORDS 8 XVIII. PROTESTS 8 XIX. INSURANCE REQUIREMENTS g EXHIBIT A — SCOPE OF SERVICES 16 EXHIBIT B — SAMPLE AGREEMENT 14 EXHIBIT C — PROPOSERS CERTIFICATION and PROPOSAL ITEM PRICING 21 EXHIBIT D — OFFERERS REFERENCES 23 EXHIBIT E — PROPOSERS STATEMENT 24 EXHIBIT F — CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR 25 EXHIBIT G— NONCOLLUSION AFFIDAVIT 27 EXHIBIT H — SAMPLE ADDITIONAL INSURED ENDORSEMENT 28 EXHIBIT 1 — CITY'S EMERGENCY NOTIFICAITON PLAN 29 EXHIBIT J — SAMPLE SITE TAP LOCATION INFORMATION 32 RFP #14- 017 —Water Quality Sampling & Testing Services Page 3 25D -11 CITY OF SANTA ANA REQUEST FOR PROPOSAL FOR WATER SAMPLING & TESTING SERVICES (RFP14.017) The City of Santa Ana is issuing this Request for Proposals (RFP) for Water Sampling & Testing Services.The City operates a grade D5 domestic water distribution system with over 45,000 services, 450 miles of water main and a population of nearly 330,000 residents. The City of Santa Ana requests the services of an analytical laboratory to provide timely, high - quality analytical analysis of the City's domestic water system. Analysis shall be in accordance with "Standard Methods ", Title 22 of the California Code of Regulations entitled "California Domestic Water Quality and Monitoring Regulations ", and Code of Federal Regulations, and shall consist of bacteriological quality, general physical quality, general mineral, lead & copper, nitrate /nitrite, inorganics, fluoride, haloacetic acids and total trihalomethanes. II. PERIOD OF CONTRACT Unless earlier terminated as allowed for in the agreement, contract term shall be for a period of two years. The contract term is anticipated to commence after City Council award of this contract and upon receipt and approval of all required insurance documents. The projectedcontract award date is May 20, 2014 and may be adjusted as necessary. III. OPTION OF RENEWAL The term of this agreementmay include provision for renewals as set forth in the Scope of Services, attached as Exhibit A. IV. FISCAL NONFUNDING CLAUSE In the event sufficient budgeted funds are not available for a new fiscal period, the City shall retain the right to notify the provider of such occurrence in writing at least thirty (30) days before the end of the current fiscal period and terminate the contract on the last day of the current fiscal period without penalty or expense to the City. V. SCOPE OF WORKISERVICES The scope of work may include any and all work efforts related to the Water Quality Sampling & Testing Servicesas set forth inEXHIBIT A - SCOPE OF SERVICES. The contractor shall be an independent contractor capable of providing experienced, knowledgeable and professional staff. The contractorshall be responsive and maintain excellent working relationships with city residents, businesses, government officials and City staff. The contractor shall provide adequate staffing levels at all times and adhere to established schedules. RFP #14 -017 -Water Quality Sampling &Testing Services Page 4 2501-12 Agreement Exhibit' I The contractor shall comply with all federal, state and local laws, rules, regulations, ordinances, and statutes, including but not limited to Title 22 of the California Code of Regulations entitled "California Domestic Water Quality and Monitoring Regulations ". VI. GENERAL INFORMATION A. The term of the contract will begin after the contract award by the City Council and approval of required bonds (when required as specified in Exhibit A). B. When determined appropriate, the City will provide information in its possession relevant to preparation of required information in RFP. The City will provide only the staff assistance and documentation specificallyreferred to herein. C. The proposer shall be responsible for retaining data, records and documentation for the preparation of the required information. These materials shall be made available to the City as requested by the City. D. This RFP does not commit the City to pay costs incurred in preparation of a response to this RFP. All costs incurred in the preparation of the proposal, the submission of additional information, attendance at a preproposal conference, negotiations with City, and /or any other aspect of a proposal prior to award of a written contract will be borne by the proposer. The City reserves the right to accept or reject the combined or separate components of this proposal in part or in its entirety or to waive any informality or technical defect in the proposal. E. All data, documents and other products used, developed, or produced during response preparation of the RFP will become property of the City. All responses to the RFP shall become property of the City. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. F. The City reserves the right to reject, replace and approve any and all subcontractors.All subcontractor(s) shall be identified in the response to the RFP and the City reserves the right to reject any subcontractor(s). Subcontractors shall be the responsibility of the prime contractor and the City shall assume no liability of such subcontractors. VII. PROPOSER RESPONSIBILITIES The selected proposer will assume responsibilities for all services in its proposal. The selected proposer shall identify a sole point of contact with the greatest knowledge in regard to the requiredservice operations and contractual matters, including payment of any and all charges resulting from the Agreement. VIII. LICENSE REQUIREMENTS In accordance with Section 3300 of the California Public Contract Code, the City has determined that the proposer shall possess a license in the classification specified in the Notice Inviting Proposals. IX. INITIATIONIKICK OFF MEETING The successful proposer will be required to meet with City staff prior to commencement of services or at any time as required by the City, to discuss and agree on operational issues including transition of services and scheduling. RFP #14 -017 —Water Quality Sampling & Testing Services Page 5 2501-13 Agreement Exhibit A X. CITY BUSINESS LICENSE The selected proposer shall be required to obtain a City of Santa Ana Business license within thirty (30) days of selection and must provide a copy to the City projects manager or designee prior to commencing any work in Santa Ana. XI. ADDENDA Any subsequent changes in RFP from the date of preparation to date of submittal will result in an addendum or amendment by the issuing office. Notification of such addendum or amendment shall be effected by posting on City's website, as set forth in the Notice Inviting Proposals. XII. RULES FOR PROPOSALS The signer of the RFP must declare in writing that the only person, persons, company, or parties interested in the proposal as principals are named therein; that the proposal is made without collusion with any other person, persons, company, or parties submitting a proposal; that it is in all respects fair and in good faith without collusion or fraud, and that the signer of the proposal has full authority to bind the proposer (Exhibits D - G). XIII. E -MAIL COMMUNICATIONSANDINTERPRETATIONS /CLARIFICATIONS To facilitate the RFP process, proposers are required to monitor the City's bid management and publication system page at www.planetbids com /aortal /portal cfm ?Comr)an Iy D- 20137. No oral interpretations will be made by the City to any proposer as to the meaning of requirements identified herein, including the Scope of Services and Terms and Conditions. Every request for such an interpretation must be made in writing via e-mail to the projects managerno fewer than five f5)business daysprior to the date and time set for opening of proposals. Significant interpretations or clarification will be made by an addendum to this RFP, which will be posted to the website. Addenda may become part of the agreement documents. XIV. SUBMITTAL INFORMATION AND DEADLINE Proposals are due to the City of Santa Ana, atthe date, time, and location set forth on the Notice Inviting Proposals. Faxed and e-mail proposals will not be accented. XV. SUBMITTAL REQUIREMENTS The RFP is intended to assess and evaluate each firm's capabilities as they apply to the proposed project. Submittal of Proposal A. Five (5) copies of the response to the RFP shall be signed by a company official with the power to bind the company. B. One (i) copy of the submittal on a compact disc, USB flash drive or equivalent C. Structure your proposal to include the Scope of Services response, general time implementation schedule, fees /contract price, and exhibits. RFP #14-017—Water Quality Sampling & Testing Services Page 6 2501-14 Agreeme� Each firm must address each of the following items in its response to the RFP: A. Statement of Qualifications - In order to maintain uniformity, the Statement of Qualificationsmust be limited to a MAXIMUM of 20 PAGES (excluding front and back covers, section dividers and Exhibits E through G). The page limitation includes all appendices, attachments, and supplemental information. The following information is required: 1. Cover Letter - A letter signed by a principal or authorized representative who can make legally binding commitments for the entity. 2. Firm and Personnel Experience: A profile of the firm's experience, including the names and experience of personnel and subconsultants who will be providing services. At a minimum, this should include the project manager /principal agent, associates in charge when project manager /principal agent is unavailable, key personnel, and an organization chart identifying only those who will perform work for the proposed project and the percentage of each individual's time devoted to this project. The project manager /principal agent shall be the primary contact person to represent your firm and will be the person to conduct the presentation, if invited for an interview. 3. Imolementation Plan: Proposer shall submit a general description of the deliverables and timelines to complete the project. 4. Laboratory Approval: Current approval from the California Department of Health Services in accordance with Section 4025 of the Health and Safety Code to operate as an "Approved Water Laboratory" must be submitted with the proposal. Copies of ELAP certification for all proposed tests shall be provided. B. EXHIBIT C- PROPOSERS STATEMENT AND PROPOSAL ITEM PRICING A separate sealedfee envelope including proposer's cost proposal shall be submitted concurrently but under separate cover with the technical proposal. Costs shall be shown as listed under Exhibit C. No fee envelopes shall be opened by City until the final ranking of proposals has been completed. C. EXHIBIT D - REFERENCES - The Proposer shall submit a list of agencies, past and present, for whom you have provided work similar to that identified in this RFP (Exhibit A) for the last 5 years. D. EXHIBIT E - PROPOSERS STATEMENT E. EXHIBIT F - CERTIFICATION OF NONDISCRIMINATION BY CONTRACTOR F. EXHIBIT G - NONCOLLUSION AFFIDAVIT G. EXHIBIT H_- SAMPLE ADDITIONAL INHURFn FNr)nRRFNnFhIT FnR H. The proposal must be completely responsive to the RFP. Any exceptions to the requirements of this RFP must be included in the proposal. Such exceptions must be included as a separate element of the proposal entitled "Exceptions and Deviations." The Eexecutive Director, in his sole and absolute discretion, may authorize or deny any exceptions. RFP #14 -017 - Water Quality Sampling & Testing Services -� Page 7 2501-15 Agreement Exhibit A� The City reserves the right to reject any or all proposals submitted and no representation is made hereby that any contract will be awarded pursuant to this RFP or otherwise. The City reserves the right to waive minor inconsistencies in submitted Proposals. XVI. CONTRACTOR SELECTION - PROPOSAL AND EVALUATION The criteria for evaluating the proposals submitted will take the following items into consideration: 1. Firm Experience (35 %) 2. Personnel Experience (35 %) 3. Implementation Plan (30 %) The proposals will be reviewed by a committee of City staff members. The committee will evaluate proposers based on the response to the RFPand the City evaluation criteria set forth above. A final score will be calculated for each submitted proposal and used to rank the proposers. The committee mayinterview the top tier of proposers and recommend award of the contract to the proposer who will providethe best quality service at minimum cost to the City. The City reserves the right to negotiate pricing and for additional terms. City reserves the right to begin negotiations and enter into a contract without interview or further discussions. The committee will rank the proposers and select the top three (or top tier based on the natural score break). The committee will open the fee envelopes after selection of top tier. The Council recommendation will be based on the evaluation score and proposed fees of the top tier. XVIL PUBLIC RECORDS Proposals will become public record after award of contract. Proposer information identified as proprietary information shall be maintained confidential, to the extent allowed under the California Public Records Act. XVIII. PROTESTS Any protest must be submitted in writing to Executive Director of Public Works, City of Santa Ana, 20 Civic Center Plaza M -21, Santa Ana, CA 92701. Protests must be received by the City by 5:00 p.m. of the 5th business day following posting of the Request for Proposal or the results or Notice of Intent to Award Contract, on the City's website. Hand delivered protests must be provided to the receptionist in the City Hall Annex/Public Works Counter on the first floor of the City Hall Annex. a. The initial protest document shall contain a complete statement of the basis for the protest. b. The protest shall refer to the specific portion of the RFP or winning proposal, which forms the basis for the protest. c. The protest shall include the name, address and telephone number of the person representing the protesting party. d. The party filing the protest shall concurrently transmit a copy of the initial protest document and any attached documentation to all other parties with a direct financial interest, which may be adversely affected by the outcome of the protest. Such parties shall include all other proposers who appear to have a reasonable prospect of receiving an award depending upon the outcome of the protest. RFP #14-017— Water Quality Sampling & Testing Services Page 8 25D -16 Agreement Exhibit A Should a written protest be filed in a timely fashion, a protest hearing shall be held before the Executive Director of Public Works or designee within 10 business days following the City's receipt of protest, or as soon thereafter as may be scheduled. All interested parties may appear and offer testimony at this protest hearing. Formal rules of evidence shall not apply at this hearing, nor shall testimony under oath be required. The burden of proof shall be on the party submitting the protest to demonstrate that the staff's determination of the best value proposal is arbitrary and capricious, or unsupported by substantial evidence in the record. All proposer are advised that if you challenge the City's award of contract in court, you may be limited to raising only those issues you or someone else raised at the public hearing described above, or in written correspondence delivered to the Executive Director of Public Works at, or prior to, the public hearing. The Executive Director of Public Works or designee will issue a written decision. If the Executive Director of Public Works or designee determines that a protest is frivolous, the party originating the protest may be determined to be irresponsible and that party may be determined to be ineligible for future contract awards. The procedure and time limits set forth in this paragraph are mandatory and are the proposers sole and exclusive remedy in the event of protest and failure to comply with these procedures shall constitute a waiver of any right to further pursue the bid protest, including filing a Government Code Claim or legal proceedings. XIX. INSURANCE REQUIREMENTS As a condition of, and throughout the term of the contract, the vendor shall have and maintain the insurance described below. A certificate of insurance, naming the City of Santa Ana as an additional insured, shall be provided to the Buyer before award: Certificate of Insurance (Acord's 25 -S form no.) to include: • General Liability -- $1,000,000 each occurrence • Worker's Compensation — Within the limits required by the State of California • Automotive Insurance -- $1,000,000 combined single limit A notation in the Cancellation clause (in the bottom right hand corner) of the Certificate must be made that the City will be mailed 30 days written notice of Policy cancellation and the references shall be either removed or X'd If the vendor allows their coverage to expire or their insurance is canceled at any time during the contract, the vendor shall provide the Buyer with an updated, valid insurance certification. No additional work shall be performed and no payments will be made until adequate proof of insurance is provided. RFP #14- 017 —Water Quality Sampling & Testing Services Page 9 2501-17 Agreement Exhibit A EXHIBIT A CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR WATER QUALITY SAMPLING & TESTING SERVICES SCOPE OF SERVICES DESCRIPTION AND SCOPE OF WORK The City of Santa Ana is issuing this Request for Proposals (RFP) for Water Quality Sampling & Testing Services.The City of Santa Ana requests the services of an analytical laboratory to provide timely, high - quality analytical analysis of the City's domestic water system. Analysis shall be in accordance with "Standard Methods ", Title 22 of the California Code of Regulations entitled "California Domestic Water Quality and Monitoring Regulations ", and Code of Federal Regulations, and shall consist of bacteriological quality, general physical quality, general mineral, lead & copper, nitrate /nitrite, inorganics, fluoride, haloacetic acids and total trihalomethanes. The City has 50 designated sample sites. All routine water samples will be drawn from these sites. In addition the City has 10 designated sample sites for Fluoride analysis. Non - routine water samples will be collected by the City in specially prepared bottles provided by the consultant to be collected and tested by the consultant. A. IMPLEMENTATION City staff shall have the right to modify, reduce, or delete the services as needed by City. 2. BACTERIOLOGICAL QUALITY (i) Routine: Samples shall be collected by the Consultant, in appropriate sterilized bottles to which a chlorine reducing agent has been properly added, on a weekly basis at 50 designated sample points. Total coliform analyses are to be conducted using either the multiple tube fermentation method analyzing a minimum of 100 -m1 of water either with using 5- tube 20 -m1 portions or 10 -tube 10 -m1 portions, the membrane filter technique, the presence /absence (P -A) coliform test, or the minimal medium (Coliform) test. Reporting of positive samples shall be based on the presence or absence of coliforms in each sample rather than an estimation of coliform density. Upon detecting that either a routine or repeat sample is either total coliform or fecal coliform positive, or a sample is invalidated due to interference problems, the Consultant shall notify the City within twenty -four hours. To complete the notification, consultant must contact a live individual. Voice mail and faxed notifications will only be a secondary means of notification. The appropriate contact person for the City is the Water Services Quality Inspector at (714) 647- 3341 or the Water Services Quality Coordinator at (714) 647 -3316. When voice mail is used to leave a message, the Consultant shall contact the City's Dispatch Office at (714) 647 -3380 between the hours of 7:00 a.m. and 3:30 p.m. If notification is required during a weekend or holiday, the Water Services Quality Inspector should be contacted at (714) 371 -6779. In addition, a copy of the City's Emergency Notification Plan (Exhibit 1) is attached. RFP #14-017—Water Quality Sampling & Testing Services Page 10 25D -18 Agreement Exhibit A In the event that the Consultant is unable to contact the City within 24 hours, the Consultant shall notify the Department of Public Health, Drinking Water Field Operations Branch, Santa Ana District, at (714) 558 -4410. Upon detecting that a routine or repeat sample is total coliform positive, the Consultant shall perform a fecal coliform test. The Consultant shall, within twenty -four hours after notifying the City that a single routine sample is total coliform positive, collect three repeat samples. One shall be from the same total coliform positive sample point. The other two locations shall be determined by the City, one to be located within five service connections upstream and the other within five service connections downstream of the total coliform positive sample point. If total coliforms are detected in any repeat sample, the Consultant must within twenty -four hours, after notifying the City that a repeat sample is total coliform positive sample, collect another set of repeat samples from the same locations. (ii) Water Mains or System Repairs :Samples shall be collected by the City in appropriate sterilized bottles provided by the Consultant to which a chlorine reducing agent had been properly added. Sampling may consist of two samples per month and shall be picked up by the Consultant at the City Corporate Yard Meter Shop within twelve hours of notification, The Consultant shall notify the City of the results by fax within four hours of the completion of the test. (iii) Wet/s:Samples shall be collected by the City in appropriate sterilized bottles provided by the Consultant to which a chlorine reducing agent has been properly added. Sampling shall consist of twenty samples per month and shall be picked up by the Consultant at the City Corporate Yard Meter Shop within twelve hours of notification. (iv) Customer ComWa7nt Samples shall be collected by the City in appropriate sterilized bottles provided by the Consultant to which a chlorine reducing agent has been properly added. Sampling may consist of four samples per month and shall be picked up by the Consultant at the City Corporate Yard Meter Shop within twelve hours of notification. 3. HETEROTROPHIC PLATE COUNT Routine samples shall be collected by the Consultant in appropriate sterilized bottles to which a chlorine reducing agent has been added on a weekly basis at the same time and at the same 50 designated sample points. Consultant shall use the necessary dilutions to report the results at concentrations up to 500 colony forming units per milliliter. 4. TOTAL CHLORINE RESIDUAL Routinesamples shall be field analyzed by the Consultant on a weekly basis at the same time and at the same 50 designated sample points. DPD method of analysis and the reading shall be made by the means of a colorimeter. Color disc is not acceptable. Results must be reported to 0.1mg /I. Colorimeter must be calibrated per the manufacturer's requirements. Documents showing the calibration shall be provided upon request. RFP #14-017— Water Quality Sampling & Testing Services Page 11 25D -19 Agreement Exhibit A� 5. GENERAL PHYSICAL QUALITY (i) Routine: the Consultant shall collect Samples in appropriate sample bottles on a monthly basis at the 50 designated sample points. The analysis shall consist of turbidity, odor, color, field pH, and temperature. (ii) Customer Coma /aint:Sampies shall be collected by the City in specially prepared sample bottles provided by the Consultant and may consist of four samples per month and shall be picked up by the Consultant at the City Corporate Yard Meter Shop within twelve hours of notification. The analysis shall consist of turbidity, odor, and color. 6. GENERAL MINERAL Samples shall be collected by the City in specially prepared sample bottles provided by the Consultant and may consist of twenty samples on a yearly basis (as needed) and shall be picked up the Consultant at the City Corporate Yard Meter Shop within twenty - four hours of notification. 7. INORGANICS Samples shall be collected by the City in specially prepared sample bottles provided by the Consultant and may consist of twenty samples on a yearly basis (as needed) and shall be picked up by the Consultant at the City Corporate Yard Meter Shop within twenty -four hours of notification. 8. TRIHALOMETHANES The City shall collect samples in specially designed sample vials containing a chlorine reducing agent and sealed with TFE -faced septa and screw caps. It shall consist of twelve samples on aguarterly basis beginning in February and shall be picked up by the Consultant at the City Corporate Yard Meter Shop within twelve hours of notification. 9. HALOACETIC ACIDS The City shall collect samples in specially designed sample vials containing crystalline NH4CI, which converts free chlorine to a combined chlorine residual and sealed with TFE -faced septa and screw caps. It shall consist of twelve samoles on a Quarterly basis beginning in February and shall be picked up by the Consultant at the City Corporate Yard Meter Shop within twelve hours of notification. 10. NITRATE /NITRITE Samples shall be collected by the City in specially prepared sample bottles and shall consist of six nitrate samples on a monthly basis and an additional six samples on a quarterly basis. Nitrite samples shall consist of nine samples on a semi - annual basis. The Consultant shall pick up samples at the City Corporate Yard Meter Shop within twelve hours of notification. Upon detecting nitrate level above the MCL of 45 mg /1 as NO3 is exceeded, the Consultant shall notify the City within twenty -four hours. To complete the notification consultant must contact a live individual. Voice mail and faxed notifications will only be a secondary means of notification. The appropriate contact person for the City is the RFP #14 -017 — Water Quality Sampling & Testing Services Page 12 I; Agreement Exhibit A Water Services Quality Inspector at (714) 647 -3341 or the Water Services Quality Coordinator at (714) 647 -3316. When voice mail is used to leave a message, the Consultant shall contact the City's Dispatch Office at (714) 647 -3380 between the hours of 7:00 a.m. and 3:30 p.m. If notification is required during a weekend of holiday, the Water Services Quality Inspector may be contacted at (714) 371 -6779. In addition, a copy of the City's Emergency Notification Plan (Attachment A) is attached. In the event that the Consultant is unable to contact the City within 24 hours, the Consultant shall notify the Department of Public Health, Drinking Water Field Operations Branch, Santa Ana District, at (714) 558 -4410. 11. FLUORIDE Samples shall be collected by the Consultant, in appropriate sterilized bottles on a monthly basis at 10 designated sample points. The Consultant shall provide the following information within seven days of the completion of each analysis: (i) Name of the laboratory and either the person responsible for performing the analysis or the laboratory director. (ii) Date of report. (iii) The analytical method used. (iv) The name, date, and time of sampling and identification of the person who collected the sample. (v) Identification of the sample as a routine, repeat, replacement, or "other" sample when appropriate 2. Chain of Custody: The Consultant shall provide to the City chain of custody forms for each sample collected by the City when the Consultant provides the necessary sample container. RFP #14-017— Water Quality Sampling & Testing Services Page 13 25D -21 Clinical Laboratory R .tn City of Santa Ana 220 S Daisy Ave, BadingA Santa Ana, CA 92703 Mr. Thomas Dix, For additional related services not listed in the fee schedule, Exhibit C, those services cvill be performed and compensated at an hourly rate of $50.00. Thank you, Robin Glenney Project Manager /Bid Manager Clinical Laboratory of San Bernardino, Inc. Post Office Box 329 San Bernardino, (;9 92 ,402 (909)815.769.3 #tae (909)825 -7696 FLAP .Number 1088 25D -22 Agreement Exhibit B EXHIBIT C CITY OF SANTA ANA REQUEST FOR PROPOSALS FOR WATER QUALITY SAMPLING & TESTING SERVICES PROPOSERS CERTIFICATION and PROPOSAL ITEM PRICING Certification - I certify that I have read, understand andagree to the terms and conditions of this Request for Proposals. I have examined the Scope of Services (Exhibit A) and am familiar with the scope of work locations. I am familiar with all the existing conditions and limitation that may impact work requests. I understand and agree that I am responsible for reporting any errors, omissions or discrepancies to the City for clarification prior to the submission of my proposal. Proposal Item Price - Pricing shall be basedon a(hourly cost, time and materials basis - see narrative) for services described in Exhibit A. Fee must be inclusive of all costs, including but not limited to, direct and Indirect costs for labor, overhead, incidental supplies, travel, mileage, and fuel. Any special materials will be purchased by the contractor only after discussed and authorized by the City projects manager or designee in writing. Proposer shall attach a separate hourly rate schedule with hourly rates for staff time per lob classification. If the City requires additional related services not listed in the fee schedule below, those services will be performed and compensated at time and materials costs as shown on the proposer's hourly rate schedule submitted. Quantities listed below are annual estimates, the City reserves the right to increase or decrease quantities as necessary. LINE DESCRIPTION QUANTITY UNIT UNIT EXTENDED TOTAL PRICE PRICE Routine Weekly Samples collected and tested by Consultant for Bacteriological 1 Quality, Heterotrophic Plate Count and 2,600 Each $12.50 $32,500.00 Chlorine Residuals Routine Monthly Samples collected and 2 tested by consultant for General 600 Each $6.00 $3,600,00 Ph sical Quality 3 Routine Monthly Samples collected and tested by consultant for Fluoride 120 Each $6,00 $060.00 Routine Quarterly Samples collected by 4 City and tested by Consultant for 48 Each $60.00 $2,880.00 Haloacetic Acids Routine Quarterly Samples collected by 5 City and tested by Consultant for 48 Each $30.00 $1,440.00 Trihalomethanes Routine Monthly & Quarterly Samples 6 collected by City and tested by Consultant 96 Each $16.00 $2,496,00 for Nitrates /Nitrites Non - Routine samples collected by City and tested by Consultant for 7 Bacteriological Quality, Heterotrophic 100 Each $9.00 $900.00 Plate Count and Chlorine Residuals As- Needed) Non - Routine samples collected by City 8 and tested by Consultant for General 100 Each $4.00 $400.00 Rh sical Quality As- Needed RFP #14-017— Water Quality Sampling & Testing Services Page 21 25D -23 Agrsement Exhibit �I Clinical Laboratory of San Bernardino, Inc. Phone (909) 825 -7693 Fax (909) 825 -7696 LEGAL NAME OF COMPANY PHONE AND FAX NUMBERS 21881 Barton Road, Grand Terrace, CA 92313 BUSINESS ADDRESS Melinda Furnas Owner PRINTED NAME OF AUTHORIZED AGENT TITLE OF April 8th, 2014 Furnas @Clinical- lab.com UAlt 95- 2504488 1088 FEDERAL ID NUMBER (IF APPLICABLE) ENVIRONMENTAL LABORATORY ACCREDIDATION PROGRAM CERTIFICATE NUMBER (ELAP #) THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP #14.017 — Water Quality Sampling & Testing Services Page 22 25D -24 Non-Routine samples collected by City 9 and tested by Consultant for General 50 Each $75.00 $3,750.00 Minerals As- Needed) Non - Routine samples collected by City 10 and tested by Consultant for Inorganics 100 Each $100.00 $10,000.00 As- Needed Total $58,926.00 Clinical Laboratory of San Bernardino, Inc. Phone (909) 825 -7693 Fax (909) 825 -7696 LEGAL NAME OF COMPANY PHONE AND FAX NUMBERS 21881 Barton Road, Grand Terrace, CA 92313 BUSINESS ADDRESS Melinda Furnas Owner PRINTED NAME OF AUTHORIZED AGENT TITLE OF April 8th, 2014 Furnas @Clinical- lab.com UAlt 95- 2504488 1088 FEDERAL ID NUMBER (IF APPLICABLE) ENVIRONMENTAL LABORATORY ACCREDIDATION PROGRAM CERTIFICATE NUMBER (ELAP #) THIS FORM MUST BE COMPLETED AND INCLUDED WITH THE PROPOSAL. PROPOSALS THAT DO NOT CONTAIN THIS FORM WILL BE CONSIDERED NONRESPONSIVE. RFP #14.017 — Water Quality Sampling & Testing Services Page 22 25D -24 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 3, 2014 TITLE: AMENDMENT TO COOPERATIVE AGREEMENT WITH THE CITY OF COSTA MESA FOR SUNFLOWER AVENUEIMPROVEMENTS CITY MANAGERV RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1s' Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager and Clerk of the Council to execute a first amendment to the cooperative agreement with the City of Costa Mesa, subject to nonsubstantive changes approved by the City Manager and City Attorney, to increase the City's share of construction costs by $16,000, for a total not -to- exceed amount of $51,000. DISCUSSION Approval of this recommended action will cover the cost increases resulting from unforeseen conditions experienced during the construction of the Sunflower Avenue Rehabilitation Project. The cost increase is due to added asphalt thickness to ensure a suitable pavement structural section. The City of Costa Mesa is the lead agency for design, construction, and construction management of this project. On April 1, 2014, the City Council executed a cooperative agreement in the amount of $35,000 to participate in the Sunflower Avenue Rehabilitation Project administered by the City of Costa Mesa. During construction, the contractor encountered existing base material that is not suitable for asphalt overlay. To ensure the integrity of the new pavement, an additional 2 inches of subgrade material needs to be removed to accommodate an additional 2 inches of asphalt. This process also requires additional excavation, replacement asphalt, and pavement fabric. Since the additional work was not included in the original agreement, staff is requesting an additional $16,000 to pay for the work. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. 25E -1 First Amendment to Cooperative Agreement with City of Costa Mesa June 3, 2014 Page 2 FISCAL IMPACT Funding for Sunflower Avenue Improvements is available in the Select Street Construction Fund (Account 05917663 - 66220, Project 14- 6820). Edwin "William" Galvez(P.E. Interim Executive Director Public Works Agency EWG /ML APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director Finance & Management Services Agency Exhibit: 1. Amendment to Cooperative Agreement with City of Costa Mesa 25E -2 EXHIBIT 1 FIRST AMENDMENT TO COOPERATIVE AGREEMENT BETWEEN THE CITY OF SANTA ANA AND THE CITY OF COSTA MESA FOR THE PAVEMENT REHABILITATION OF SUNFLOWER AVENUE FROM AVENUE OF THE ARTS TO MAIN STREET This First Amendment to Cooperative Agreement Is made and entered into this day of 2014, by and between the CITY OF COSTA MESA, a municipal corporation ( "COSTA MESA "), and the CITY OF SANTA ANA, a municipal corporation ( "SANTA ANA "). RECITALS: A. The parties entered into Cooperative Agreement A- 2014 -086 on April 1, 2014 ( "Agreement'), in the maximum amount of $35,000 to resurface the roadway pavement on Sunflower Avenue from Avenue of the Arts to Main Street. B, During construction and while coldmilling the top two (2) inches of asphalt pavement, the contractor encountered poor base material that is not suitable for overlay. To ensure the integrity of the new pavement, an additional two (2) Inches of sub -grade material needs to be removed. This process requires additional excavation, asphalt, and pavement fabric, which is greater than the amount specified in the Agreement. C, In accordance with the terms and conditions of said Agreement, the parties wish to amend the project construction cost and increase the amount of the Agreement in an amount not -to- exceed $16,000, for a total not -to- exceed amount of $51,000, to allow the contractor to continue paving the specified portion of Sunflower Avenue, NOW, THEREFORE, in consideration of the mutual and .respective promises, and subject to the terms and conditions of said Agreement, except as herein modified, the parties agree as follows; Section (13)(3) of the Agreement shall be amended to increase total construction costs for SANTA ANA in an amount not -to- exceed $16,000, for a total not -to- exceed amount of $51,000. Specifically, Exhibit B of the Agreement shall be amended to reflect the new SANTA ANA construction costs that are detailed in Exhibit 1 attached herewith and Incorporated herein by this reference. 2. Except as hereinabove amended, all terms and conditions of said Agreement shall remain in full force and effect. 25E -3 IN WITNESS WHEREOF, COSTA MESA has caused this First Amendment to Cooperative Agreement to be executed by its Mayor and attested by its Clerk, and SANTA ANA has caused this First Amendment to Cooperative Agreement to be executed by its City Manager and attested by its Clerk, all thereunto duly authorized by the COSTA MESA City Council and the SANTA ANA City Council, respectively. CITY OF SANTA ANA, a Municipal corporation of the State of California 0 David Cavazos City Manager ATTEST: Maria D. Huizar Clerk of the Council RECOMMENDED FOR APPROVAL: Edwin "William" Galvez, P.E. Interim Executive Director Public Works Agency CITY OF COSTA MESA, a municipal corporation of the State of California By: James M. Righeimer Mayor ATTEST: Brenda Green City Clerk APPROVED AS TO FORM: Tom Duarte City Attorney RECOMMENDED FOR APPROVAL: Ernesto Munoz, P.E. Public Services Director 25E -4 TITLE: ARTERIAL STREETS REHABILITATION PROJECT -SUN FLOWER, SANTA ANA TOTAL 1 $50,794.53 Rounded 1 $51,000.00 2 ,69-- -s RJ NOBLE ITEM BID QUANTITY DESCRIPTION UNIT PRICE AMOUNT 1 1 LS MOBILIZATION $34,000.00 $890.00 2 37,125 SF COLD MILL (2" DEPTH) $0.15 $5,568.75 2A 10,000 SF Pavement Fabric $0.20 $2,000.00 213 1 LS Time and Material for Repair Grinder $5,177.53 $5,177.53 3 SF COLD MILL (3" DEPTH) $0.15 4 CY Uncl Ex (road only for partial digout up to 8 ") $34.00 5 295 1 TON JASPHALT RUBBER HOT MIX (AHRM) SURFACE COURSE $80.00 $23,617.08 6 127 TON ASPHALT CONCRETE (AC) LEVELING COURSE $78.00 $9,920.14 7 TON 6" THICK A.C. BASE COURSE AT VARIOUS LOCATIONS $67.00 8 1 EA ADJUST MANHOLE FRAME AND COVER TO GRADE $550.00 $550.00 9 EA ADJUST WATER VALVE CAN AND COVER TO GRADE $525.00 10 1 FA PROJECT MANAGEMENT $75,000.00 $2,596.00 11 1 LS TRAFFIC CONTROL $18,000.00 $475.00 12 EA IBLUDE "FIRE HYDRANT' RAISED PAVEMENT MARKERS $11.00 13 1 1 LS STRIPING /MARKING $35,000.00 14 1 1 EA JINSTALL TRAFFIC LOOP DETECTORS $200.00 TOTAL 1 $50,794.53 Rounded 1 $51,000.00 2 ,69-- -s 25E -6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 3, 2014 TITLE: CONDITIONAL USE PERMIT NO. 2014 -06 FOR A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR CHIPOTLE MEXICAN GRILL AT 1313 WEST SEVENTENTH STREET, SUITE A - LIQUOR LICENSE SPECIALIST, APPLICANT 7� e CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: 95T;T*71:TR ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Receive and file the staff report approving Conditional Use Permit No. 2014 -06 as conditioned. PLANNING COMMISSION ACTION On May 12, 2014, the Planning Commission adopted a resolution approving Conditional Use Permit No. 2014 -04 as conditioned by a vote of 7:0 which approved a 47 Alcoholic Beverage Control license to allow the on- premise sale and consumption of beer, wine and distilled spirits at a new Chipotle restaurant at 1313 West Seventeenth Street, Suite A located in the General Commercial (C2) zoning district. The Planning Commission added a condition of approval prohibiting the sale of alcoholic beverages for off - premise consumption to the recommended conditions of approval outlined in the attached staff report (Exhibit A). Chipotle Mexican Grill will be a full - service, sit -down restaurant that will feature an indoor dining area, as well as an outdoor patio. The restaurant will be located in an existing building in the Bristol Marketplace at 1313 West Seventeenth Street, Unit A that is currently vacant. The approval of this CUP would allow for the sale and service of beer, wine and distilled spirits in conjunction with food sales. Full sized site plans are available for public viewing in the Clerk of the Council Office. FISCAL IMPACT There is no fiscal impact associated with this action. Karen Haluza Interim Executive Director Planning & Building Agency MM:rb mm: reportMPC1CUP2014.08 1313W17t1.= Exhibit: A. Planning Commission Staff Report 31A-1 31A-2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: MAY 12, 2014 TITLE: PUBLIC HEARING — FILED BY LIQUOR LICENSE SPECIALIST FOR CONDITIONAL USE PERMIT NO. 2014 -06 FOR A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR CHIPOTLE MEXICAN GRILL AT 1313 WEST SEVENTENTH STREET, SUITE A Prepared by Melanie G. McCann Interim Executi4 Director PLANNING COMMISSION SECRETARY APPROVED • As Recommended • As Amended • Set Public Hearing For DENIED • Applicant's Request • Staff Recommendation CONTINUED TO Acting Fanning anager - - -- Adopt a resolution approving Conditional Use Permit No. 2014 -06 as conditioned. Request of Applicant Valerie Sacks, representing Chipotle Mexican Grill, is requesting approval of a conditional use permit for a Type 47 Alcoholic Beverage Control (ABC) license to allow the on- premise sale and consumption of beer, wine and distilled spirits at a new restaurant. Establishments that sell alcoholic beverages require a conditional use permit pursuant to Section 41 -196 of the Santa Ana Municipal Code (SAMC). Project Location and Site Description Chipotle Mexican Grill has obtained building permits for tenant improvements to locate within the Bristol Marketplace Shopping Center located at the northwest corner of Seventeenth Street and Bristol Street. Substantially remodeled in the 1990s, the shopping center is comprised of commercial space, retail and restaurant services. The overall center is approximately 36.15 acres in size, including multiple underlying parcels, with 500,000 square feet of building area. The Bristol Marketplace commercial area presently includes four large tenants: Target, CVS, Kohl's, and Smart and Final. In addition to these tenants, the site includes seven smaller buildings occupied by commercial and restaurant uses.. The Chipotle Mexican Grill is proposed at 1313 West Seventeenth Street, Unit A, within a 2,263 square foot tenant space. A total of 2,179 on -site shared parking spaces are provided at the Bristol Marketplace shopping center for a prescribed mixture of restaurant and retail uses as approved by Variance No. 93 -2. The project site is surrounded by commercial uses and Mendez Fundamental Intermediate School. Santa Ana College is located across the street to the south of the subject property, with additional commercial and single - family residence uses located to the east (Exhibits 1, 2 and 3). EXHIBIT A 31A-3 Conditional Use Permit No. 2014 -06 May 12, 2014 Page 2 Prolect Descrintion Chipotle Mexican Grill is requesting approval for a new Type 47 ABC license to allow the on- premise sale of beer, wine and distilled spirits at the new eating establishment. The applicant anticipates initially serving only beer at this location; however, is requesting the ability to serve a full line of alcoholic beverages (Type 47 license) in order to give operational flexibility to expand its service to include margaritas in the future. Specializing in a "fast - casual" Mexican -style restaurant, the establishment will have approximately 72 seats within its 2,263 square foot tenant space, as well as 20 outdoor patio seats. The on- premise sale of alcoholic beverages to customers is intended to provide a service ancillary to the primary restaurant use. The proposed hours of operation will be 11:00 a.m. toll 0:00 p.m. daily. The storage and display of alcoholic beverages will be located in two areas; both of which are within an employee -only area. Beverages will be stored in a display cooler located behind the counter and in a small storage area. The total square footage dedicated to alcoholic beverage storage will be approximately 23 square feet, representing one percent of the total gross floor area of the restaurant. This percentage of alcohol storage area is below the Santa Ana Municipal Code's maximum for eating establishments serving alcoholic beverages of five percent of the gross floor area of the restaurant (Exhibits 4 and 5). Project Background A building permit was issued in March 2014 to begin tenant improvements for the Chipotle Mexican Grill restaurant with anticipated grand opening date in summer 2014. The proposed restaurant will be utilizing the tenant space previously home to a Blockbuster retail establishment. Chipotle restaurant is a "fast casual" restaurant that specializes in fresh, healthy Mexican style dining. Established in 1993, there are now Chipotle restaurant locations throughout California, with two existing restaurants in Santa Ana (City Place and East Seventeenth Street), and another proposed at Harbor Boulevard and McFadden Avenue. General Plan and Zoning Consistency The General Plan land use designation for the Bristol Marketplace site is General Commercial (GC), allowing a maximum floor area ratio (FAR) of 0,5. Areas designated as General Commercial are intended to be activity areas in the City with a mixture of community serving commercial to provide shopping, service, business and entertainment opportunities. The GC areas also provide important neighborhood facilities and services, including restaurants. The project site is consistent with this General Plan land use designation. The zoning for the site is General Commercial (C2). The C2 zoning district allows for eating establishments, such as the proposed restaurant, making the use consistent with the zoning code. Further, the zoning allows for the issuance of a conditional use permit for the sale of alcoholic beverages In conjunction with restaurant uses. 31A-4 Conditional Use Permit No. 2014 -06 May 12, 2014 Page 3 Proiect Analysis Conditional Use Permit requests are governed by Section 41 -638 of the Santa Ana Municipal Code (SAMC). Conditional Use Permit requests may be granted when it can be shown that the following can be established: • That the proposed use will provide a service or facility which will contribute to the general well being of the neighborhood or community. • That the proposed use will not, under the circumstances of the particular case, be detrimental to the health, safety, or general welfare of persons residing or working in the vicinity. • That the proposed use will not adversely affect the present economic stability or future economic development of properties surrounding the area. • That the proposed use wilt comply with the regulations and conditions specified in Chapter 41 for such use. • That the proposed use will not adversely affect the General Plan of the city or any specific plan applicable to the area of the proposed use. If these findings can be made, then it is appropriate to grant the conditional use permit. Conversely, the inability to make these findings would result in a denial. Using this information staff has prepared the following analysis, which, in turn forms the basis for the recommendation contained in this report. In analyzing the conditional use permit request, staff believes that the following findings of fact warrant approval of the conditional use permit. The proposed alcohol beverage license will provide an ancillary service to the restaurant customers to purchase beer, wine and distilled spirits with their meals. This will thereby provide a benefit to the surrounding community by providing a restaurant with an additional and complementary food- related amenity. Additionally, conditions have been placed on this alcoholic beverage control license which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. The proposed license for the on -sale consumption of beer, wine, and distilled spirits at this location will not be detrimental to persons residing or working in the vicinity because conditions have been placed on the alcoholic beverage control license that will mitigate any potential negative or adverse impacts created by the use. In addition, the use will occur within the premises and is incidental to the restaurant use. 31A-5 Conditional Use Permit No. 2014 -06 May 12, 2014 Page 4 The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other nearby restaurants that also offer alcoholic beverages for sale to their patrons. Moreover, the offering of alcoholic beverages as an ancillary product to food supports the establishment of a full- service restaurant. The proposed use will serve to re- tenant a previously vacant building, thereby decreasing the number of vacant tenant spaces that may affect the economic stability of the area. As conditioned, the proposed Type 47 ABC license will be in compliance with all applicable regulations and conditions imposed on an eating establishment business selling alcohol pursuant to Chapter 41 of the Santa Ana Municipal Code. The business will be maintained as a bona -fide eating establishment as defined by Section 23038 of the California Business and Professions Code, having suitable kitchen facilities and supplying a variety of foods commonly ordered at various hours of the day. Additionally, the restaurant will utilize only one percent of the gross floor area for the display and storage of alcoholic beverages, which is below the maximum threshold established by the SAMC. The proposed use will not adversely affect the City's General Plan, Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A full - service restaurant with an ancillary alcohol license provides a dining service to the residents of Santa Ana, as well as visitors to the surrounding Santa Ana College and Bristol Marketplace shopping area. Further, restaurant and ancillary uses such as on- premise alcohol sales are permitted within the General Commercial (GC) land use designation, The proposed project is not located in a specific plan area in the City. Policy 2.8 of the Land Use Element promotes the rehabilitation of commercial properties, and encourages increased levels of capital investment. The building interior and exterior is in the process of being improved, representing a large capital investment. Further, Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. The physical improvement to the building will create an enhancement to the existing center and promote commercial activity in the area. Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The Chipotle Mexican Grill restaurant is located in a commercial area and is compatible with the surrounding commercial businesses, schools and nearby residential uses, Police Department Analysis The Police Department reviews conditional use permit applications for the sale and service of alcoholic beverages in order to ensure that the potential crime and nuisance behaviors associated with alcohol consumption are mitigated to the greatest extent possible. For on -sale licenses the Police Department analyzes the crime rate in the area using the standards and definitions contained in the Business and Professions Code Section 23948.4(c)(2), which also are utilized by the State Department of Alcoholic Beverage Control (ABC). This section defines "reported crimes" as criminal homicide, forcible rape, robbery, aggravated assault, burglary, larceny theft, and motor vehicle theft, combined with all arrests for other crimes, both felonies and misdemeanors, except traffic citations. The Police Department then compares the number of such crimes in the reporting district as 31A-6 Conditional Use Permit No. 2014 -06 May 12, 2014 Page 5 compared to the number of crimes in other reporting districts. In keeping with the standard used by ABC [Business and Professions Code Section 23948.4(a)(1)], should the Police Department determine that the reporting district has a 20 percent greater number of reported crimes than the average number found in all reporting districts, the Police Department will consider this information in making its recommendation, which could result in a recommendation of denial. The project site at 1313 West Seventeenth Street is located in Reporting District No. 123. This reporting district is not 20 percent above the average for calls for service for all reporting districts; the threshold established by the State for high crime. Although the site is located in an area of the City that does not have a high crime area, conditions of approval are included as required by the SAMC that are adequate to address any concerns and minimize the potential impacts of the proposed ABC license. Public Notification The project site is located within the boundaries of the Riverview Neighborhood Association, and in the vicinity of Artesia Pilar, West Floral Park, and Washington Square neighborhoods. The chair of each of these respective Neighborhood Associations was mailed a notice 10 days prior to this public hearing. Staff also contacted each Association representative to ensure they were informed of the hearing and to discuss the proposed project. The project site itself was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners and occupants within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Compliance In accordance with the California Environmental Quality Act the recommended action is exempt for further review per Section 15301. The Class 1 exemption allows the operating, permitting and licensing of existing private structures with negligible or no expansion of the existing use. The proposed sale of alcoholic beverages at a new restaurant is to be located within an existing commercial building. Categorical Exemption Environmental Review No. 2014 -32 will be filed for this project. Conclusion Based on the analysis provided within this report, staff recommends that the Planning Commission approve Conditional Use Permit No. 2014 -06 as conditioned. Melanie G. McCann, AICP Associate Planner MM:jm reporlsTMCUP2014 -06 1313W 171h.pc 31A-7 ij � - SerdidKiotz, AICP Principal Planner Conditional Use Permit No. 2014 -06 May 12, 2014 Page 6 Attachments; Exhibit 1 — Vicinity Map Exhibit 2 Location Map Exhibit 3 - Site Photo Exhibit 4 — Site Plan Exhibit 5 — Floor Plan 31A-8 R�a R R1 Rt „no nl R C CI Pr z RI :�] — 0 RI RI RI RI Ill RI III Rl RI y ! 1! RI RI RI HEU= RI Rl RI RI C2 EPROJECrSr�rE Cl cl cl cl 71— cl Rj- Rl � IN RI d", CRI D R2 III RI R I SD- Rl T��; .1 Ai W�LA3130JLTURALf OF CCMMMALREDDaMAL m Z FAWYPSROWAL a mfmNGmwscATioN oc mv MFWOWTM F2 TWEAMILYFESIDENCE GEM OOMMEMAL SOLff H MAIN MI LOWINDUSTRAL m MUOPLEDENSIlYMUOIKE cl COMMUNIWO]MMEROAL M2 HFAWINDUSMAL FAMILYFUDEa cl-mo WAM COMMEFOALIMUSENDISIROT MO MIUTAFYOPER4WNS FA m C�ORALO�MEFGAL 0 OPEN SFACE ME FOOMMLMATE 03 CONTRALMNEM p RMFEMONAL AD �FCOUIOFMENT �A CENTRALMN�ARflSTMLLAGL PO) R.ANNEDOOMMUNIRDPaOMENT SP slamcKAN C4 PLANNED SiOFFINGC134-ER PRO PLANNEDREEDMALVEUOPMENT C5 A5TERALCOMIAffUAL t*400,N CUP 2014-06 n CHIPOTLE MEXICAN GRILL RESTAURANT 1313 WEST SEVENTEENTH STREET, UNIT A 500 FEET INTERMEDIATE: S C H O O 19th ST. S NG E -F MI Y E H DU FLEX w w COMMERCIAL cc 18th ST. (BRISTOL ARKET PLACE) Ln SINGL -FA IL DU FLEX RESI ENCE s 0 COMM E RCAL SEVENTEENTH STREET J - v o 0 V SANTA ANA COLLEGE Ln m O lJ J vt CUP 2014 -06 CHIPOTLE MEXICAN GRILL RESTAURANT r 1313 WEST SEVENTEENTH STREET, UNIT A P L A N N I N G A N D 8 U I L 6 1 N G A G E N C Y LAND USE MAP EXHIBIT 2 31A -10 F 'f� 1 I F � �• -� �xa -fs'+� i[ 1 PP e Y 0. .".•i 'h °'hai� 11(.88 t,. • :: i�a -ryla EXHIBIT 4 31A -12 e I w _ -' etlllr9 99 ease V' ga.Mas vBune7eanswutxcaaa R � s BBellao Buy Blues EXHIBIT 4 31A -12 e I EXHIBIT 4 31A -12 e 4 /""�� "`\ n1�tt BEtHO'msmaaWe6 F /// tl II�p1I� �i pE�- 'M £{6t tlWInBin g k p E 2u `i �� 1 if�9 j� i��is -NW 61RvNaoa O =a �. l 1�iitlli� 9�tI 08ollooRWENa9 1111111111, Jg 8 3 � � 3 INHIg ' lg ' nj ih #8 it ��b tlry e 1 1 1614 00 ..__ 31 "13 5 a —) ED L� - ROH — 05/12/14 RESOLUTION NO. 2014 -14 A RESOLUTION OF THE PLANNING COMMISSION OF THE CITY OF SANTA ANA APPROVING CONDITIONAL USE PERMIT NO. 2014 -06 TO ALLOW A TYPE 47 ALCOHOLIC BEVERAGE CONTROL LICENSE FOR THE PROPERTY LOCATED AT 1313 WEST SEVENTEENTH STREET, SUITE A BE IT RESOLVED BY THE PLANNING COMMISSION OF THE CITY OF SANTA ANA AS FOLLOWS: Section 1. The Planning Commission of the City of Santa Ana hereby finds, determines and declares as follows: A. The applicant is requesting approval of Conditional Use Permit No. 2014- 06 for a Type 47 (on -sale general) Alcoholic Beverage Control (ABC) license to allow the sales of beer, wine and distilled spirits for the property located at 1313 West Seventeenth Street, Suite A. B. Conditional Use Permit No. 2014 -06 came before the Planning Commission of the City of Santa Ana for a duly noticed public hearing on May 12, 2014. C. Santa Ana Municipal Code Section 41 -196 requires a conditional use permit for the sale of alcoholic beverages for on -site consumption. D. Santa Ana Municipal Code Section 41 -638 authorizes the Planning Commission to approve a conditional use permit upon making certain findings: 1. Will the proposed use provide a service or facility which will contribute to the general well being of the neighborhood or community? The proposed alcohol beverage license will provide an ancillary service to the restaurant customers to purchase beer, wine and distilled spirits with their meals. This will thereby provide a benefit to the surrounding community by providing a restaurant with an additional and complementary food - related amenity. Additionally, conditions have been placed on this alcoholic beverage control license which will mitigate any potential impacts created by the use and ensure that the use will not negatively affect the surrounding community. Resolution No. 2014 -14 31A-14 Page 1 of 8 2. Will the proposed use under the circumstances of the particular case be detrimental to the health, safety or general welfare of persons residing or working in the vicinity? The proposed license for the on -sale consumption of beer, wine and distilled spirits at this location will not be detrimental to the health or welfare of persons residing or working in the vicinity because conditions have been placed on the alcoholic beverage control license that will mitigate any potential negative or adverse impacts created by the use. In addition, the use will occur within the premises and is incidental to the restaurant use. 3. Will the proposed use adversely affect the present economic stability or future economic development of properties surrounding the area? The proposed use will not adversely affect the economic stability of the area, but will instead allow the restaurant to compete with other nearby restaurants that also offer alcoholic beverages for sale to their patrons. Moreover, the offering of alcoholic beverages as an ancillary product to food supports the establishment of a full - service restaurant. The proposed use will serve to re- tenant a previously vacant building, thereby decreasing the number of vacant tenant spaces that may affect the economic stability of the area. 4. Will the proposed use comply with the regulations and conditions specified in Chapter 41 for such use? As conditioned, the proposed Type 47 ABC license will be in compliance with all applicable regulations and conditions imposed on a restaurant business selling alcohol pursuant to Chapter 41 of the Santa Ana Municipal Code. The business will be maintained as a bona -fide eating establishment as defined by Section 23038 of the California Business and Professions Code, having suitable kitchen facilities and supplying a variety of foods commonly ordered at various hours of the day. Additionally, the restaurant will utilize only one percent of the gross floor area for the display and storage of alcoholic beverages, which is below the maximum threshold established by the SAMC. 5. Will the proposed use adversely affect the General Plan or any specific plan of the City? Resolution No. 2014 -14 31A-15 Page 2 of 8 The proposed use will not adversely affect but rather support the General Plan. Policy 2.2 of the Land Use Element encourages land uses that accommodate the City's needs for goods and services. A full- service restaurant with an ancillary alcohol license provides a dining service to the residents of Santa Ana, as well as visitors to Bristol Marketplace and the surrounding Santa Ana College and well - traveled Bristol Street corridor. Further, restaurant and ancillary uses such as on- premise alcohol sales are permitted within the General Commercial (GC) general plan land use designation. The proposed project is not located in a specific plan area in the City. The proposed project is not located in a specific plan area in the City. Policy 2.8 of the Land Use Element promotes the rehabilitation of commercial properties, and encourages increased levels of capital investment. The building interior and exterior is in the process of being improved, representing a large capital investment. Further, Policy 2.9 of the Land Use Element supports developments that create a business environment that is safe and attractive. The physical improvement to the building will create an enhancement to the existing center and promote commercial activity in the area. Policy 5.5 of the Land Use Element encourages development that is compatible with and supporting of surrounding land uses. The Chipotle Mexican Grill restaurant is located in a commercial area and is compatible with the surrounding commercial businesses, schools and nearby residential uses. E. In accordance with the California Environmental Quality Act the recommended action is exempt for further review per Section 15301. The Class 1 exemption allows the operating, permitting and licensing of existing private structures with negligible or no expansion of the existing use. The proposed sale of alcoholic beverages at a new restaurant is to be located within an existing commercial building. Categorical Exemption Environmental Review No. 2014 -32 will be filed for this project. Section 2. The Planning Commission of the City of Santa Ana hereby approves Conditional Use Permit No. 2014 -06 as conditioned in Exhibit "A" attached hereto and incorporated herein. This decision is based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Request for Planning Commission Action dated May 12, 2014, and exhibits attached thereto; and the public testimony, all of which are incorporated herein by this reference. Resolution No. 2014 -14 31A -16 Page 3 of 8 ADOPTED this 121h day of May , 2014 by the following vote: AYES: Commissioners: Alderete, Bacerra, Bauer, Gartner, Mill, Nalle, Yrarrazaval (7) NOES: Commissioners: None (0) ABSENT: Commissioners: None (0) ABSTENTIONS: Commissioners: None (0) Eric Alderete Chairman APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Ryan 0. Hodge Assistant City Attorney CERTIFICATE OF ATTESTATION AND ORIGINALITY I, ROSA BARELA, Acting Recording Secretary of the Planning Commission, do hereby attest to and certify the attached Resolution No. 2014 -14 to be the original resolution adopted by the Planning Commission of the City of Santa Ana on May 12, 2014. Date: Acting Recording Secretary of the Planning Commission City of Santa Ana Resolution No, 2014 -14 31A -17 Page 4 of 8 Conditions for Conditional Use Permit No. 2014 -06 Conditional Use Permit No. 2014 -06 is approved subject to compliance, to the reasonable satisfaction of the Planning Manager, with all applicable sections of the Santa Ana Municipal Code, the California Administrative Code, the California Building Standards Code and all other applicable regulations. The applicant must comply in full with each and every condition listed below rip or to exercising the rights conferred by this conditional use permit. The applicant must remain in compliance with all conditions listed below throughout the life of the conditional use permit. Failure to comply with each and every condition may result in the revocation of the conditional use permit. 1. The premises shall at all times be maintained as a bona -fide eating establishment as defined in Section 23038 of the California Business and Professions Code and shall provide a menu containing an assortment of foods normally offered. The premises must have suitable kitchen facilities and supply an assortment of foods commonly ordered at various hours of the day. Full and complete meals must be served whenever the privileges of the on -sale license are being exercised. 2. There shall be no fixed bar or lounge area upon the premises maintained for the sole purpose of sales, service or consumption of alcoholic beverages directly to patrons. A fixed bar or lounge may be permitted if patrons may order food from the same menu being offered to the general patrons of the eating establishment. 3. The sales, service, and consumption of alcoholic beverages shall be permitted only between the hours of 8:00 a.m. and 12:00 a.m. unless otherwise amended by the granting of a conditional use permit for after -hours operations pursuant to Santa Ana Municipal Code Chapter 41. 4. It shall be the applicant's responsibility to ensure that no alcoholic beverages are consumed on any property adjacent to the licensed premises under the control of the applicant, with the exception of any enclosed patio areas. 5. The applicant or an employee of the licensee must be present to monitor all areas of the establishment, including outdoor patios, during all times that alcoholic beverages are being served or consumed. 6. All employees serving alcoholic beverages must complete Responsible Beverage Service Training, or an equivalent approved by the State Department of Alcoholic Beverage Control, prior to being able to serve alcoholic beverages to patrons. Evidence of the completion of such training must be maintained on the premises and available for inspection upon request by the City. Exhibit A Resolution No. 2014 -14 Page 5 of 8 31A -18 MAY 12, 2014 PAGE 2OF4 7. During those times when patrons are restricted to 21 years of age or older, the applicant shall at all times utilize an age verification means or device for all purchases of alcoholic beverages. Verification of age is not intended to discriminate against patrons based on race, ethnicity or legal status, but only to comply with state law restricting the sale of alcohol to those 21 and older. 8. Queuing lines shall be managed in an orderly manner and all disruptive and /or intoxicated patrons shall be denied entry. The business owner, or his designee, shall be responsible for monitoring the queuing lines at all times. 9. The outdoor queuing line shall not block public walkways or obstruct the entry or exit doors of adjacent businesses. Stanchions or barriers must be used to maintain order at all times the queue exceeds 25 patrons. If located on public property those barriers must be approved by the Public Works Agency. 10. Employees and contract security personnel shall not consume any alcoholic beverages during their work shift, except for product sampling for purposes of employee education about new products. Under no circumstances may contract security personnel consume alcoholic beverages during their work shift. 11. There shall be no exterior advertising of any kind or type, including window signs or other signs visible from outside, that promote or indicate the availability of alcoholic beverages on the premises. Interior displays of alcoholic beverages or signs, which are clearly visible to the exterior, shall constitute a violation of this condition. Permissible window displays must be kept to a minimum for maximum visibility and shall not exceed 25 percent of window coverage. Floor displays shall not exceed three feet in height. 12. There shall be no promotions encouraging intoxication or drinking contests or advertisements indicating "buy one drink, get one free ", "two for the price of one ", or "all you can drink for..." or similar language. 13. Any pool tables, amusement machines or video games maintained on the premises at any time must be reviewed and approved in a security plan submitted to the Chief of Police. Resolution No. 2014 -14 Page 6 of 8 31A -19 MAY 12, 2014 PAGE 3 OF 4 14. Live Entertainment, including but not limited to, amplified music, karaoke, performers and dancing, is subject to compliance with Santa Ana Municipal Code ( "SAMC ") Chapter 11 and shall comply with all of the standards contained therein. Notwithstanding this requirement, music /noise shall not be audible beyond 20 feet from the exterior of the premises in any direction. 15. Neither the applicant, nor any person or entity operating the premises with the permission of the applicant, shall violate the City's adult entertainment ordinance contained in SAMC Section 12 -1 and 12 -2. 16. The premises shall not be operated as an adult entertainment business as such term is defined in SAMC Section 41- 1701.6. 17. The applicant(s) shall be responsible for maintaining free of litter the area adjacent to the premises under the control of the licensee. 18. There shall be no public telephones located on the exterior of the premises. All interior pay phones must be designed to allow outgoing calls only. 19. Any graffiti painted or marked upon the premises or on any adjacent area under the control of the licensee(s) shall be removed or painted within 24 hours of being applied. 20. Existing bona fide eating establishment and required parking must conform to the provisions of Chapter 8, Article ll, Division 3 of the Santa Ana Municipal Code (Building Security Ordinance). These code conditions will require that the existing project lighting, door /window locking devices and addressing be upgraded to current code standards. Lighting standards cannot be located in required landscape planters. Prior to issuance of a Letter of Approval to the Alcohol Beverage Control Board, this condition must be complied with. 21. A timed - access cash controller or drop safe must be installed. 22. Install a silent armed robbery alarm. 23. The owner or manager of the licensed premises shall maintain on the premises a written security policy and procedures manual, that has been approved by the police department, addressing at a minimum the following items: (a) Procedures for handling obviously intoxicated persons. Resolution No. 2014 -14 Page 7 of 8 31A-20 MAY 12, 2014 PAGE 4 OF 4 (b) The method for establishing a reasonable ratio of employees to patrons, based upon activity level, in order to ensure adequate staffing levels to monitor beverage sales and patron behavior. (c) Procedures for handling patrons involved in fighting, arguing or loitering about the building, and /or in the immediate adjacent area that is owned, leased, rented or used under agreement by the Licensee(s). (d) Procedures for verifying the age of patrons for purposes of alcohol sales. (e) Procedures for ensuring that servers monitor patrons to ensure that their drinking limit/potential intoxication is not exceeded. This procedure should include a description of the procedure the server would use to warn, or refuse to serve, the patron. (f) Procedures for calling the police regarding observed or reported criminal activity. (g) Procedures for management of queuing lines. (h) The location and description of any video games proposed to be on the premises. 24. The operator shall be responsible for submitting a detailed outdoor fencing and dining plan where outdoor dining is proposed as part of the business operation. If the proposed dining area or fencing is in the public right of way, the applicant must obtain all required permits and approvals from the Public Works Agency. 25. Combined alcohol storage and display areas shall not exceed five percent (5 %) of the gross floor area of the licensed establishment. 2-6-. A!Geh()!'G beverage-c; in Gentainers ef less than 46 A;z Gannet he sold by SiRgle GGntainers, but must be sGId in pre paGkaged I:HU'ti .,•+ GIURRMOPIS (This condition was proposed by staff to relate only to off - premise consumption, but it is no longer necessary due to the addition of condition #27 by the Planning Commission.) 27. The sale of alcoholic beverages for off - premise consumption is prohibited. (Added by the Planning Commission on May 12, 2014.) Resolution No. 2014 -14 Page 8 of 8 31A-21 31A-22 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 3, 2014 TITLE: ORDINANCE REPEALING SANTA ANA MUNICIPAL CODE CHAPTER 10, ARTICLE XII, PERTAINING TO PROXIMITY RESTRICTIONS FOR REGISTERED SEX OFFENDERS TO CHILDREN'S FACILITIES CITY MAN ER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Approve for introduction an Ordinance repealing Chapter 10, Article XII, of the Santa Ana Municipal Code, pertaining to the proximity restrictions of registered sex offenders to children's facilities. DISCUSSION On June 4, 2012, the City of Santa Ana adopted Ordinance No. NS -2832, which amended the City's sex offender regulations to include greater restrictions. This additional language was based largely on a sex offender restriction ordinance passed by the County of Orange in April 2011. (Ordinance 3- 18 -3.) The Santa Ana Ordinance restricted sex offenders from being on or within 300 feet of a "children's facility," park, or school within the city. "Children's facilities" include public and private schools for minors, commercial day care centers, city parks, the Discovery Science Center, the Bowers Kidseum, the McFadden Learning Center, and the Newhope Branch library. "Sex offenders" included those required to register with a government entity when the offense involved children, as well as those required to register as a sex offender pursuant to California Penal Code §§ 290, et seq. At the time the Ordinance was adopted, many other cities in Orange County had either adopted similar ordinances or were in the process of doing so. The validity of local sex offender ordinances similar to those adopted by Santa Ana has been placed in question due to recent decisions issued by the California Court of Appeal. In both 50A -1 Chapter 10, Article XII of the Santa Ana Municipal Code June 3, 2014 Page 2 People v. Godinez (2014) WL 99188 and People v. Nguyen (2014) 222 Cal.AppAth 1168, the Orange County District Attorney had prosecuted individuals for violation of sex offender proximity restrictions. The Godinez case was based on the County of Orange restrictions, while Nguyen arose from an Irvine ordinance. In both decisions, the Court of Appeal ruled that the restrictions were invalid and preempted by California state law because the California Penal Code sets forth a regulatory scheme restricting the activities and movements of sex offenders. On April 23, 2014, the California Supreme Court declined to review either of the Court of Appeal's decisions. As such, the Court of Appeal decisions are final, meaning that similar local sex offender restrictions in other cities are invalid and unenforceable as well. Based on the Court decision, cities throughout Orange County have sought to repeal their respective ordinances. These cities include Costa Mesa, Huntington Beach, Rancho Santa Margarita, Seal Beach, Tustin, Laguna Hills, and Yorba Linda, among others. Additionally, the City of Santa Ana has been sued in United States District Court by a registered sex offender who claims that the Santa Ana restrictions violate his constitutional rights. (Lindsay v. Santa Ana, Case No. 2:14 -cv -710). At this time, it is recommended that the City repeal Chapter 10, Article XII of the Municipal Code as codified by Ordinance No. NS -2832. FISCAL IMPACT There is no fiscal impact associated with this action 4�z- 99, S R. Carvalho ity Attorney Attachments: Proposed Ordinance Repealing SAMC Chapter 10, Article XII 50A -2 ORDINANCE NO. NS -XXX AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REPEALING CHAPTER 10, ARTICLE XII OF THE SANTA ANA MUNICIPAL CODE PERTAINING TO PROXIMITY OF REGISTERED SEX OFFENDERS TO CHILDREN'S FACILITIES THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana hereby finds, determines and declares as follows: A. On June 4, 2012 the City Council of the City of Santa Ana (the "City Council ") adopted Ordinance No. NS -2832, amending Article XII, sections 10 -700 to 10 -706 to the Santa Ana Municipal Code, thereby adding additional regulations which restrict the proximity of registered sex offenders to children's facilities. B. The California Court of Appeal decisions in People v. Godinez (2014) WL 99188 and People v. Nguyen (2014) 222 Cal.AppAth 1168, held that local ordinances regulating and restricting access to parks and other public facilities by registered sex offenders conflict with, and are preempted by, California state law because of the comprehensive regulatory scheme set forth in the California Penal Code (including Penal Code §§ 290 through 294 and Penal Code §§ 626.81, 653b, 653c, 3000.07, 3003.5, 3004, and 3053.8). C. On April 23, 2014, the California Supreme Court denied the petition for review of the Court of Appeal decisions in Godinez and Nguyen. As a result, the Court of Appeal rulings are final. D. Chapter 10, Article XII of the Santa Ana Municipal Code restricts sex offenders from accessing certain public facilities in a manner similar to those ordinances at issue in both the Godinez and Nguyen cases. Because both of these ordinances were invalidated based on preemption grounds, the Santa Ana restrictions are effectively preempted as well. E. The City Council of Santa Ana thus hereby adopts this Ordinance to conform to the California Court of Appeal decisions and to avoid litigation with any person or organization seeking repeal of city Ordinance No. NS -XXX Page 1 of 7 50A-3 ordinances which are not consistent with the rulings of the Godinez and Nguyen cases. Section 2. Chapter 10, Article XII of the Santa Ana Municipal Code is hereby deleted in its entirety to read as follows: ■ 1. ■ ■. Ordinance No. NS -XXX Page 2 of 7 50A -4 ■ - M."Imp.40~101 IN IN 10 RM MIRM r "10111,11 1 . M."Imp.40~101 IN IN ON WE W-111 1 . 11,1111-01 1.0111mi" �_ •■ • - . •_ t _ Milk Ok NO Ordinance No, NS -XXX Page 3 of 7 50A -5 �i IS 1116-1-0111 aw r:r_�ss:rr.�atss:r_rr. _ w�■n.arr. - - - -- - .. INN- - - - - .. M. MMMMI AILI MMlMl �C; . � - a a .. Ordinance No. NS -XXX Page 4 of 7 y 1 M Section 3. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. ADOPTED this day of .12014 Miguel A. Pulido Mayor Ordinance No. NS -XXX Page 5 of 7 50A-7 IN ilff '11 - - - - - -e Section 3. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. ADOPTED this day of .12014 Miguel A. Pulido Mayor Ordinance No. NS -XXX Page 5 of 7 50A-7 APPROVED AS TO FORM: By: Sonia R. Carvalho City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers Ordinance No. NS -XXX Page 6 of 7 y 1 m • CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Ordinance No. NS -XXX to be the original ordinance adopted by the City Council of the City of Santa Ana on , and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana Ordinance No. NS -XXX Page 7 of 7 50A-9 50A -10 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 3, 2014 TITLE: RESOLUTION CALLING FOR SUPPORT OF THE BAY DELTA CONSERVATION PLAN FOR RELIABLE WATER SUPPLY AND ENVIRONMENTAL RESTORATION CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1B1 Reading ❑ Ordinance on 2nd Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution calling for the support of the Bay Delta Conservation Plan for Reliable Water Supply and Environmental Restoration. Support of the Bay Delta Conservation Plan is beneficial to the entire state's water supply. While the plan directly impacts Northern California, it resolves certain water supply issues which would restore water availability to export to other California areas including Southern California. On December 13, 2013, State and federal agencies officially posted the public draft of the Bay Delta Conservation Plan (BDCP), commencing a scheduled 120 -day public comment period. That period was extended to June 13, 2014. The BDCP consists of two documents. The first document is the Draft Environmental Impact Statement (EIS) that reviews 16 potential water conveyance /ecosystem alternatives to improve conditions in the Sacramento -San Joaquin Delta and identifies the preferred alternative. The second is a habitat restoration plan that details 22 conservation measures, and proposes governance and finance strategies. EIS Preferred Alternative Fifteen potential water conveyance /ecosystem alternatives and a no- action alternative were evaluated in the EIS. The preferred alternative is the construction of a new conveyance system with three intakes and twin tunnels for a combined 9,000- cubic - feet -per- second (cfs) capacity. The alternative also includes approximately 153,000 acres of restored and protected habitat with numerous measures to reduce other environmental stressors. Bay Delta Conservation Plan The BDCP details 22 proposed conservation measures, including a conveyance improvements measure. The plan details more than 200 biological goals and objectives that include monitoring and improving the health of the Bay Delta Estuary over time. The plan also details the governance structure of the BDCP, including the proposed role of Metropolitan Water District of Southern 55B -1 BDCP Support- Resolution No. 2014 -xxx June 3, 2014 Page 2 of 2 California (MWD) and other participating water agencies as permittees. Most importantly, for MWD and member agencies like the City of Santa Ana, the BDCP finds that the preferred alternative has benefits exceeding costs, improves the region's water supply reliability, and protects and restores important habitats and ecosystems. Benefits to Santa Ana Any plan which helps to ensure water reliability including water imports to Southern California will help our basin. As a member agency of MWD, the City of Santa Ana supports the BDCP preferred alternative for a conveyance project that will assure the delivery of 9,000 cfs of water to Central and Southern California. The EIS and the BDCP will achieve the following six desired benchmarks, as determined by the MWD and its member agencies: 1. Provide water supply reliability to the region. 2. Improve the quality of drinking water. 3. Allow flexible pumping operations in a dynamic fishery environment. 4. Enhance the Delta ecosystem. 5. Reduce seismic risk. 6. Reduce climate change risks. ENVIRONMENTAL IMPACT There is no environmental impact associated with this action. FISCAL IMPACT There is no fiscal impact associated with this action. Edwin "William" Ghlvez, P.E. Interim Executive Director Public Works Agency EG /NS Exhibit: 1. Resolution No. 2014 -xxx 55B -2 Jxs 6/3/2014 RESOLUTION NO.2014 -XXX RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA CALLING FOR SUPPORT OF THE BAY DELTA CONSERVATION PLAN FOR RELIABLE WATER SUPPLIES AND ENVIRONMENTAL RESTORATION WHEREAS, water supplies from Northern California that move across the Sacramento -San Joaquin Delta are vital to the economy of California, serving 25 million people from the Bay Area to the Mexican border and agriculture throughout the Central Valley; and WHEREAS, the Delta is the 550,000 -acre estuary where the rivers of the Sierra Nevada merge before heading west to San Francisco Bay; and WHEREAS, the Delta is in a state of environmental stress due to the loss of wetlands habitat, invasive species, pesticide runoff, a depletion of native food supplies, pumping operations and other factors; and WHEREAS, the decline in the Delta's health threatens this unique environment and water supplies that are key to the California economy; and WHEREAS, the Delta's levees are not engineered to protect the State's water supply distribution system from a major earthquake, and multiple levee failures could disrupt water deliveries and the state economy for up to three years; and WHEREAS, State and Federal agencies, via the Bay Delta Conservation Plan (BDCP) process, have worked for years towards developing a comprehensive package of ecosystem and water system improvements to address both current conflicts in the Delta and long -term threats to the State's water supplies; and WHEREAS, BDCP represents an effort to comply with State and Federal environmental laws for 50 years through a cooperative effort to reverse the Delta's decline; and WHEREAS, the failure to take decisive actions would be an unacceptable risk to the environment of the Delta and the economy of California; and WHEREAS, on December 13, 2013, the State released a public draft BDCP and its environmental impact statement/report; and Resolution No. 2014 -xxx Page 1 of 3 55B -3 WHEREAS, the State's preferred alternative is the most promising plan developed to date to solve Delta challenges and resolve decades of conflicts between agricultural, urban and environmental water users with a comprehensive solution that achieves California's Co -Equal goals of a reliable water supply and a restored Delta ecosystem; and WHEREAS, the City Council is supportive of the State's preferred Alternative Number 4 which calls for a proposed twin - tunnel conveyance system that isolates and protects drinking water supplies and helps restore natural flow patterns in the Delta for the benefit of native species as well as the complementary habitat restoration, water quality and predator control measures outlined in the BDCP. NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of Santa Ana urges the state to move forward with the draft BDCP, specifically with support for Alternative Number 4, the State's preferred alternative, and focus efforts on resolving those remaining issues needed to provide assurances that the plan will achieve California's co -equal goals of water supply reliability and ecosystem restoration in a cost effective manner. ADOPTED this _day of 2014. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney By: Jose Sandoval Chief Assistant City Attorney Miguel A. Pulido Mayor 55B -4 Resolution No. 2014 -xxx Page 2 of 3 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. 2114 -XXX to be an original resolution adopted by the City Council of the City of Santa Ana on Date: 55B -5 Maria D. Huizar Clerk of Council City of Santa Ana Resolution No. 2014 -xxx Page 3 of 3 55B -6 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 3, 2014 TITLE: SUBMISSION TO THE VOTERS AT THE NOVEMBER 4, 2014 MUNICIPAL ELECTION: PETITION QUALIFIED BY VOTER INITIATIVE ON SANTA ANA MEDICAL CANNABIS RESTRICTION AND LIMITATION INITIATIVE CITY MANAG R RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1$' Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution giving notice of the City's General Municipal Election to be held in the City of Santa Ana on November 4, 2014 for the submission of questions to the voters relating to voter initiative petition on the Santa Ana Medical Cannabis Restriction and Limitation Initiative and requesting the Board of Supervisors of Orange County to consolidate the General Municipal Election of the City of Santa Ana. 2. Adopt a resolution containing ballot question. 3. Adopt a resolution authorizing submittal of written arguments for or against the voter initiative. 4. Approve guidelines for preparation of arguments for or against the proposed voter initiative, fix the date for the submission of Direct Arguments and Rebuttal Arguments, and post the notice for the argument process in accordance with the provisions of the California State Elections Code. 5. Authorize the City Attorney to prepare an Impartial Analysis for each of the proposed Charter Amendments to be submitted to the voter for consideration. 6. Direct staff to process all other documents required to proceed with the voter initiative petition. DISCUSSION On February 19, 2013, the City Council approved the Certificate of Sufficiency regarding the Santa Ana Medical Cannabis Restriction and Limitation Initiative that was proposed by the Committee to Support Medical Marijuana Ballot Initiative. In order to conduct an election for placing the above initiative on the ballot, State law requires the City Council to take an action calling for a consolidated municipal election. The resolution calling for the municipal election provides for the submission of the text of the proposed measure to be considered by the voters. 55C -1 Santa Ana Medical Cannabis Restriction and Limitation Initiative June 3, 2014 Page 2 Pursuant to the provisions of the California Elections Code, the City Council is required to formally request consolidation of the City's general election and/or special election with the State's general election. The subject resolution fulfills this requirement by requesting that the Board of Supervisors of Orange County consolidate the municipal election of November 4, 2014 and authorizes the Board of Supervisors to canvass the election returns. California State Elections code Section 9281 provides that arguments for and against any initiative may be submitted to the qualified voters of the city. The Elections Code specifies that the legislative body, or any member or members of the Legislative body authorized by that body, may submit a written argument for or against the measure. This section further authorizes any individual voter or bona fide association of citizens to write arguments, however, the Elections Code specifies that members of the Council would be given preference and priority, if authorized by the City Council. The subject resolution would give that authorization to any member of the Council desiring to submit an argument. The procedures for filing ballot arguments are detailed in the Elections Code. The Clerk of the Council has set June 17, 2014 as the deadline to submit any arguments in favor or opposition to this voter initiative. The Election Code procedures, as well as general guidelines are attached and will be posted as required by law. In addition, the City Attorney is directed to prepare an Impartial Analysis and forward to the Orange County Registrar of Voter's Office to be printed in the Voter Information Pamphlet preceding the arguments for and against the measure. FISCAL IMPACT The cost to consolidate the General Municipal Election is estimated to be $225,000. Funds for these administrative costs are available in the General Non - Departmental, Contractual Services account no. 01105015 62300, FY 2013 -2015. Maria D. Huizar, Clerk of the Council 1 ew is Carvalho, IN Attorney Attachments 1 -5 APPROVED AS TO FUNDS AND ACCOUNTS: Francisco Gutierrez Executive Director 5� Finance & Management Services Agency 55C -2 (labeled) ATTACHMENT RESOLUTION GIVING NOTICE OF THE CITY'S GENERAL MUNICIPAL ELECTION AND REQUESTING CONSOLIDATION WITH COUNTY OF ORANGE 55C -3 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA GIVING NOTICE OF A GENERAL MUNICIPAL ELECTION TO BE HELD IN THE CITY OF SANTA ANA ON NOVEMBER 4, 2014 FOR THE SUBMISSION TO THE VOTERS OF QUESTIONS RELATING TO VOTER INITIATIVE PETITION ON THE SANTA ANA MEDICAL CANNABIS RESTRICTION AND LIMITATION INITIATVE AND REQUESTING THE BOARD OF SUPERVISORS OF ORANGE COUNTY TO CONSOLIDATE THE GENERAL MUNICIPAL ELECTION WITH THE STATE'S GENERAL ELECTION 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. A general election of the City of Santa Ana will be held on November 4, 2014, for the purpose of voting on voter initiative petition on the Santa Ana Medical Cannabis Restriction and Limitation Initiative shall be submitted to the voters. B. There will be a statewide general election held on November 4, 2014. C. It is desirable that said general election of the City of Santa Ana be consolidated with the statewide general election to be held on the same date and; that within the City of Santa Ana, the precincts, polling places and election officers be the same, and that the Board of Supervisors of the County of Orange canvass the returns of both elections, in all respects as if there were only one election. Section 2. That pursuant to the requirements of Section 10403 of the Elections Code of the State of California, the Board of Supervisors of the County of Orange is hereby requested to consent to and order the consolidation of the November 4, 2014 general election of the City of Santa Ana for the purpose of voting on a ballot measure relating to voter initiative petition with the statewide general election to be held on the same date. Section 3. The Board of Supervisors of the County of Orange is hereby authorized to canvass the returns of said general municipal election pursuant to Section 10411 of the Elections Code of the State of California. Resolution No. 2014 -XXX 55C -4 Page 1 of 2 Section 4. The City of Santa Ana recognizes that additional costs will be incurred by the County by reason of this consolidation and agrees to reimburse the County of Orange for any such costs. Section 5. The Clerk of the Council is hereby directed to file a certified copy of this resolution with the Board of Supervisors of the County of Orange and a certified copy of this resolution with the Registrar of Voters of the County of Orange. Section 6. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this day of , 2014. Miguel A. Pulido Mayor APPROVED AS TO FORM: 0 Sonia R. Carvalho, City Attorney AYES: Councilmembers: NOES: Councilmembers: ABSTAIN: Councilmembers: NOT PRESENT: Councilmembers: CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Resolution No. 2014 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Resolution No. 2014 -XXX Page 2 of 2 55C -5 Date: Maria D. Huizar, Clerk of the Council Resolution No. 2014 -XXX 55C -6 Page 3 of 2 Resolution No. 2014 -XXX Page 4 of 2 PROPOSED ORDINANCE 55C -7 EXHIBIT THE SANTAANAMEDICAL CANNABIS RESTRIMIONAND I IITATIONACT 2012 I!If f S [' ?I 11 19 The People of the City of Santa Ana do hereby enact and ordain as follows CITY n THE SANTAANA MEDICAL CANNABIS RESTRICTION ANDr4 TATIONAM SECTION 1 TITLE This initiative shall be known and may be cited as The Santa Ana Medical Cannabis Restriction and Limitation Act. SECTION 2 FINDINGS AND DECLARATIONS (a) Li 1996 California voters approved Proposition 215, the "Compassionate Use Act of 1996:" The people of the State of California declared that their purpose in enacting the measure was, "to ensure that seriously ill Californians have the right to obtain and use marijuana for medical purposes where that medical use is deemed appropriate and has been recommended by a physician who has determined that the person's health would benefit from the use of marijuana in the treatment of cancer, anorexia, AIDS, chronic pain, spasticity, glaucoma, arthritis, migraine, or any other illness for which marijuana provides relief." (b) Proposition 215 called for plans to implement the "safe and affordable distribution of marijuana to all patients in medical need of marijuana." (c) "Cannabis" is the scientific term for "marijuana" and shall be used in the language of this Ordinance and in all other medical contexts in the City of Santa Ana. (d) We strongly support the right of patients to use medical cannabis in accordance with the recommendation or approval of a licensed physician in good standing with the Medical Board of California. (e) We strongly oppose law enforcement resources being used to arrest, prosecute, and incarcerate qualified patients who use and provide medical cannabis in accordance with the Compassionate Use Act (California Health and Safety Code section 11362,5) and Senate Bill 420 (California Health and Safety Code sections 11362.7 a seq.). (f) Access to medical cannabis should occur in a safe and orderly manner to protect patients and the community. The absence of controlled dispensing organizations results in patients being forced to obtain their medicine in the illicit market, or incurring hardship and expense of traveling great distances to obtain their medicine from outside their community. (g) In the absence of detailed State regulation, local governments must adopt policies and regulations to protect their communities and their resident patients' safe access to their medicine. 55C -8 IM According to the California State Board of Equalization, medical cannabis organizations contribute between $50 and $100 million dollars in sales tax to the State of California annually, and provide employment to thousands of Californians. Local municipalities, including the City of Sacramento, have passed special business tax rates for medical cannabis organizations which provide revenue used to fund much needed services such as public safety, education, and health. (i) The People of the City of Santa Ana further find and declare that we enact this initiative pursuant to the powers reserved to the State of California, the City of Santa Ana, and its People under the Tenth Amendment to the United States Constitution, as well as under the general police power of local government derived from the State's sovereignty. (j) The intent of this Ordinance is to restrict and limit the number of medical cannabis collectives and cooperatives operating or which may operate in the City of Santa Ana, but not to prohibit them. (k) The intent of the two percent gross receipts tax on medical cannabis collectives and cooperatives is for the betterment of the community. (1) The subject of this Ordinance is to determine the appropriate location of medical cannabis collectives and cooperatives. The regulation of such collectives and cooperatives may be accomplished by State law, or by any other Santa Ana voter initiative. This Ordinance cannot be amended by the City Council except as specifically provided below. SECTION 3 AMENDMENTS TO SANTA APIA MUNICIPAL CODE CHAPTER 18 ARTICLE XIII The People of the City of Santa Ana do hereby enact and ordain that Chapter 18 Article XIII of the Santa Ana Municipal Code is hereby amended to read as follows (any underlined language is new and to be inserted, any struck - through language is existing and to be deleted): Article XHI - Medical Cannabis Collective- and Cooperatives Sec 18 610 - Purposes and Directives See 18 -611 - Definitions Sec_ 18.612. - Maximum Number of Collectives or Cooperatives Sec 18 -61 - Ilse District- & Sensifive Use Proximity Prohibitions Sec 18-614, Registration Required and Effect Thereof See 18 -615 - Registration Application Process See, 18 -616 - Regi suatioa Application Form Manner Timing and Priority Order Sec 18 Issuance and Renewal ofRegic ra ion S 18. 18g�_618`Operating Standards 2 55C -9 o• e . MWOWTIMIR 1 1 1 1 i 1 1• 1' 1. 1 1 ' 1 • 1 1- •! •• /" e' 11'1 i ft; toiVIL4111114,11 0 •1' • \• • 1111 -1 ;'f1 f1 -• / 1' r �1 \• 1 M.- I I Lit - 1. 1- • 1 f- 1 1•. 1 T. nowilmomm WMIMMIt ' 1 1 • 1 mrsin IM, MI 1 I' 1 -1 17MM I. mil .11 f . ersTrMS.Ml • R -.1 MGM M-6 Iffn 1 •I i 11; /" 1_' 1 •111 1 1 <.11 111 1• "9 1 11'/ 6 ! - . 1 L 1 .. 1/ 1 /. • 1- 1. - 1 1 •• 1 1 1 • 11 1 I 1 1 L r -. 1 1 1 • 11 1 '� '1 • • If 1' II "111' 11 1 1 (1,1.� eII ' 1/ MIRSIMIro • /- e- 1: 1 11 1 • 1 11 1 .. • RIM, 1 1 ' 1 •/ 1- ■ s . 1 ; L . I . 11 . 1 P.M. .70.911 1 1 I ' 1 . ' • • R I • 11 1 1. 1 ! 1 t . 1 1 1 1 1 55C -14 wit AMIT ell ' Ile !. • 1 1 e 1 -- 1 1 1 1' 1.11 1 1 1" • I I .. I 1 1 a 1- • 1 1.1 1' 1 • 111. • 1/ 11 ' I S 1 Ms • I jTM no I 1 . ! • 1 (ollsollitelp o) lilmiWoMM.MorriMirKil 1. I '1 1 a ! 1 Ile I le, 00to 1 1 • ••I Some I1! of dated -1 11 It'1 • evidence that the collective or 111- had bepn !. 1 1 •_ at the loration prior • Deember 1 1 /. 1• but 1/ autilityreceipi a State Board of Equalization Perinit. or I' ral Emplo Identification Number, 55C -15 is 55C -20 SECTION 4 AMENDMENTS TO SANTA ANA MUNICIPAL CODE SECTION 41 -121 The People of the City of Santa Ana do hereby enact and ordain that Section 41 -121 of the Santa Ana Municipal Code is hereby repealed and deleted in its entirety (all existing language to be deleted is struck - through as follows): €ellewing: 1) Mefe ihan a single qualified patient—, f The teffn "medioal w• 0 .. JLUR SECTION 4 AMENDMENTS TO SANTA ANA MUNICIPAL CODE SECTION 41 -121 The People of the City of Santa Ana do hereby enact and ordain that Section 41 -121 of the Santa Ana Municipal Code is hereby repealed and deleted in its entirety (all existing language to be deleted is struck - through as follows): 14 55C -21 €ellewing: 1) Mefe ihan a single qualified patient—, f The teffn "medioal w• 0 14 55C -21 vssr�s ..... .. -aj-ra sub SECTION 5 AMENDMENTS TO SANTA ANA MUNICIPAL CODE SECTION 41 -144 The People of the City of Santa Ana do hereby enact and ordain that Section 41 -144 of the Santa Ana Municipal Code is hereby amended to read as follows (any underlined language is new and to be inserted, any struck - through language is existing and to be deleted): Sec. 41 -144. - Retail and service uses. Retail and service uses include any use of property for the purpose of offering merchandise or services to the public for compensation, and include banks, savings and loan associations, and similar financial institutions, but do not include the following: (a) Sheet metal shops, body - fender works, automobile paint shops, repair garages, and any activity which includes the processing, treatment, manufacturing, assembling or compounding of 15 55C -22 . _. ... .. . . .. .... -- . -- vssr�s ..... .. -aj-ra sub SECTION 5 AMENDMENTS TO SANTA ANA MUNICIPAL CODE SECTION 41 -144 The People of the City of Santa Ana do hereby enact and ordain that Section 41 -144 of the Santa Ana Municipal Code is hereby amended to read as follows (any underlined language is new and to be inserted, any struck - through language is existing and to be deleted): Sec. 41 -144. - Retail and service uses. Retail and service uses include any use of property for the purpose of offering merchandise or services to the public for compensation, and include banks, savings and loan associations, and similar financial institutions, but do not include the following: (a) Sheet metal shops, body - fender works, automobile paint shops, repair garages, and any activity which includes the processing, treatment, manufacturing, assembling or compounding of 15 55C -22 any product, other than that which is clearly and traditionally incidental and essential to a particular retail activity. (b) A ,. edisal fn ., dispensary as defined is seetieA Al 121 of tkis Code OQL (e) A hookah parlor as defined in section 41 -73.5 of this Code. (d)Any use which is more specifically identified as a permitted use or as a use which may be permitted subject to the issuance of a conditional use permit in one or more use districts pursuant to Article III of this chapter. SECTION 6 AMENDMENTS TO SANTA ANA MUNICIPAL CODE SECTION 21 -119 The People of the City of Santa Ana do hereby enact and ordain that Section 21 -119 of the Santa Ana Municipal Code is hereby amended to read as follows (any underlined language is new and to be inserted, any struck- through language is existing and to be deleted): Sec. 21 -119. - Gross receipts tax rates. Gross receipts tax rates for the different classifications are as follows: (1) Classification "A" —All businesses for which no tax is specified elsewhere in this Article, including, but not limited to: retail businesses and sales at retail, services (including real estate brokers, real estate developers, insurance brokers, life and disability insurance analysts, stock and bond brokers, commission agents, brokers or merchants, building and loans, and recreational services), hotels, motels, theaters, and food establishments: For each separate place of business licensed, a basic rate of $60.00, plus: $0.50 per $1,000.00 to .....$100,000.00 .....$100,000.00 0.30 per 1,000.00 to .....500,000.00 0.20 per 1,000,00 to .....1,000,000.00 0.15 per 1,000.00 over .....1,000,000.00 (2) Classification "13 "— Manufacturing, processing, wholesale businesses and sales at wholesale, sales of gasoline and motor fuels, and telephone services: For each separate place of business licensed, abasic rate of $60.00, plus: $0.30 per $1,000.00 to .....$100,000.00 0.25 per 1,000.00 to ...,.300,000.00 0:20 per 1,000.00 to .....600,000.00 0.15 per 1,000,00 to .....1,000,000.00 16 55C -23 0.10 per 1,000.00 over..... 1,000,000.00 (3) Classification "C "— Rental of commercial real estate: For the first property location licensed, a basic rate of $60.00, plus: $0.50 per $1,000.00 to .....$100,000.00 0.30 per 1,000.00 to .....$500,000.00 0.20 per 1,000.00 to .....1,000,000.00 0.15 per 1,000.00 over .....1,000,000.00 For each additional property location licensed, a basic rate of $10.00, plus: $0.50 per $1,000.00 to .....$100,000.00 0.30 per 1,000.00 to .....$500,000.00 0.20 per 1,000.00 to .....1,000,000.00 0.15 per 1,000.00 over .....1,000,000.00 (4) Classification "D" —Junk yards, automobile wrecking yards and salvage yards, junk dealers, junk collectors, automobile dismantlers, junk salvagers, and junk recyclers: For each separate place of business licensed, a basic rate of $100.00, plus: $0.50 per $1,000.00 to .....$100,000.00 0.30 per 1,000.00 to .....500,000.00 0.20 per 1,000.00 to .....1,000,000.00 0.15 per 1,000.00 over..... 1,000,000.00 (5) Classification "F "— cannabis businesses: 1/ For 1" / 1 1 1 • 1 . I l i l but not limited • • ell! /1 harvesting- compounding • 1 "• 1 processing- preParing 1 1" 1} ea -f s-business activiv 1 1 tran •1• !' manufaclailig. staring, packaging- wholesale, and/or retail sales of mad juana any part of the plant '. I !- . P • •1 • 1 I.1 1 • I. 1 1 1' 1 1 11 • � ! 1 1 1 11 • • - - P • • 1 . • . • by prim= caregivers to their qualified 1/ For 1" / 1 1 1 • 1 . I l i l but not limited • • ell! /1 harvesting- compounding • 1 "• 1 processing- preParing 1 1" 1} ea -f s-business activiv 1 1 tran •1• !' manufaclailig. staring, packaging- wholesale, and/or retail sales of mad juana any part of the plant Cannabis sativa L. or its derivatives. It - specifically 1 / medical ll./ is transfers by collectives and cooperatives and sPecifically excludes medical cannabis ..I by prim= caregivers to their qualified patients as defined in Chapter 18 Article MH of this Codt.. 17 55C -24 IF MR. i •: 1 1 1 11 LI' 1 f! SECTION 7 INITIATIVE NOT TO BE AMENDED OTHER THAN BY VOTERS This initiative ordinance and every part thereof can only be amended by the Voters of the City of Santa Ana and cannot be amended by the Santa Ana City Council except as specifically provided above. SECTION 8 SPECIAL OR REGULAR ELECTION The Voters of the City of Santa Ana hereby expressly request that this initiative ordinance be set for a special or regular election at the earliest time allowable by law. SECTION 9 SEVERABILITY Should any provision of this initiative ordinance, or its application to any person or circumstance, be determined by a court of competent jurisdiction to be unlawful, unenforceable or otherwise void, voidable, or invalid, that determination shall have no effect on any other provision, or the application of this initiative ordinance to any other person or circumstance and, to that end, the provisions hereof are severable. By approving this ordinance the voters intend that each section and sub - section be explictly severable, part -by -part, phrase -by- phrase, and word -by- word, thus that the minimum language held invalid be severed. 18 55C -25 ATTACHMENT RESOLUTION CONTAINING BALLOT QUESTION 55C -26 RESOLUTION NO. 2014 -xxx A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA SETTING FORTH THE LANGUAGE OF A BALLOT TITLE FOR PROPOSED VOTER INITIATIVE PETITION REFERRED TO AS THE SANTA ANA MEDICAL CANNABIS RESTRICTION AND LIMITATION INITIATIVE TO BE INCLUDED ON THE BALLOT FOR THE 2014 GENERAL MUNICIPAL ELECTION BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: SECTION 1. By Resolution No. 2014 -XXX, the City Council of the City of Santa Ana has called for a General Municipal Election to be held on November 4, 2014 and submitted to the voters a proposed voter initiative petition. SECTION 2. The California Elections Code directs that the City Council approve the form of the ballot question to be submitted to the voters at the General Municipal Election to be held on Tuesday, November 4, 2014. SECTION 3. The voter shall consider the following proposal, with identification as determined in accordance with the California Elections Code: Shall an ordinance rescinding the City of Santa Ana's YES prohibition of medical marijuana dispensaries and adopting new regulations providing for an administrative registration approval process, zoning designations for dispensaries and a NO business tax on operating dispensaries, known as the Medical Cannabis Restriction and Limitation Initiative, be adopted? SECTION 4. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. ADOPTED this day of 2014. Miguel A. Pulido Mayor 55C-27 Resolution No. 2014 -XXX Page 1 of 2 APPROVED AS TO FORM: BV: Sonia R. Carvalho, City Attorney AYES: Councilmembers: NOES: Councilmembers: ABSTAIN: Councilmembers NOT PRESENT: Councilmembers: CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Resolution No. 2014 -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. 2014 -XXX Page 2 of 2 55C -28 ATTACHMENT RESOLUTION AUTHORIZING SUBMITTAL OF WRITTEN ARGUMENTS FOR OR AGAINST THE VOTER INITIATIVE; 55C -29 RESOLUTION NO, 2014 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA AUTHORIZING WRITTEN ARGUMENTS FOR OR AGAINST THE PROPOSED VOTER INITIATIVE REGARDING THE SANTA ANA MEDICAL CANNABIS RESTRICTION AND LIMITATION INITIATVE TO BE PLACED ON THE BALLOT OF THE GENERAL MUNICIPAL ELECTION TO BE HELD ON TUESDAY, NOVEMBER 4, 2014 WHEREAS, California Elections Code Section 9282 authorizes the filing of written arguments for or against a voter initiative petition, and Elections Code Section 9287 establishes priorities for filing written arguments in favor of and against initiatives and WHEREAS, on June 3, 2014, the City Council adopted Resolution No. 2014- _- authorizing the calling and placement on the ballot a proposed voter initiative to be submitted to the electors at the November 4, 2014 general municipal election; and WHEREAS, the City Council desires to authorize the filing of written arguments for and/or against the adoption of the following ballot question and in accordance with Elections Code section 9282(b): Shall an ordinance rescinding the City of Santa Ana's YES prohibition of medical marijuana dispensaries and adopting new regulations providing for an administrative registration NO approval process, zoning designations for dispensaries and a business tax on operating dispensaries, known as the Medical Cannabis Restriction and Limitation Initiative, be adopted? NOW, THEREFORE, the City Council of the City of Santa Ana hereby finds, determines and declares as follows that: Section 1. The foregoing recitals are true and correct and are hereby incorporated by reference. Section 2. Authorization to Submit Arguments. Section 9282(b) of the Elections Code of the State of California provides that in a local election, the legislative body may authorize any member(s) of the City Council to write arguments for or against any measure. The City Council hereby authorizes the Mayor and /or City Council Resolution No. 2014 -XXX Page 1 of 3 55C -30 members to prepare and file written arguments in favor of or against the proposed ordinance described above. Section 3. Authors. That, in accordance with Section 9283 of the Elections Code, the printed names and signatures of not more than five authors shall appear with any argument submitted in accordance with this resolution. Section 4. Argument not exceed 300 words. That, in accordance with Section 9282(c) of the Elections Code, any written argument in favor of or against the proposed ordinance described above shall not exceed 300 words. Section 5. City Council Preference and Priority. The City Council hereby authorizes and directs the Clerk of the Council to give preference and priority to any written argument for or against the initiative set forth above that includes a member or members of the City Council (up to five members), and then to other arguments as set forth in California Elections Code section 9287. Section 6. Deadline for Arguments. In accordance with California Elections Code section 9286(b), the deadline for filing with the Clerk of the Council (and changing or withdrawing) arguments for or against the proposed ordinance described above shall be not later than 5:00 p.m. on June 17, 2014. Section 7. Certification. 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 , 2014. APPROVED AS TO FORM: In Sonia R. Carvalho, City Attorney Jose Sandoval, Resolution No. 2014 -XXX Page 2 of 3 55C -31 Miguel A. Pulido Mayor 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 that the attached Resolution No. 2014 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: 55C -32 Maria D. Huizar, Clerk of the Council Resolution No. 2014 -XXX Page 3 of 3 ATTACHMENT 4 GUIDELINES FOR PREPARATION OF ARGUMENTS FOR OR AGAINST THE PROPOSED AMENDMENTS 55C -33 City of Santa Ana is NOTICE OF ELECTION 2014 General Municipal Election November 4, 2014 SANTA ANA MEDICAL CANNABIS RESTRICTION AND LIMITATION INITIATVE VOTER INITIATIVE PETITION TO BE VOTED ON CITY OF SANTA ANA, CALIFORNIA NOTICE IS HEREBY GIVEN that the following proposed voter initiative will be voted on at the General Municipal Election to be held in the City of Santa Ana, California on Tuesday, the fourth (4th) day of November 2014: Shall an ordinance rescinding the City of Santa Ana's prohibition of YES medical marijuana dispensaries and adopting new regulations providing for an administrative registration approval process, zoning designations for dispensaries and a business tax on operating NO dispensaries, known as the Medical Cannabis Restriction and Limitation Initiative, be adopted? TIME LIMIT TO SUBMIT BALLOT ARGUMENTS (California Elections Code §9280 -9287) PLEASE TAKE NOTICE that Arguments with respect to the following ballot measure will be received according to the following procedures: The City Council or any member(s) of the Council authorized by the City Council, or bona fide association of citizens, or any individual voter who is eligible to vote on the Measure, or any combination of voters and associations, may file a written argument for or against the measure on the ballot. No argument shall exceed 300 words in length. 2. A ballot argument shall not be accepted unless accompanied by the name(s) of the person(s) submitting it, or, if submitted on behalf of an organization, the name of the organization and the name of at least one of its principal officers. 55C -34 3. No more than five authors may sign any argument. If an argument is signed by more than five individuals, the names of only the first five persons signing, determined by the order in which their signatures appear, shall be printed on the argument appearing in the Voter Information Pamphlet. 4. The Clerk of the Council shall cause an argument for and an argument against the measure, if submitted, to be printed and shall transmit the arguments to the qualified electors in addition to any necessary ballot materials. Arguments for and against the measure shall be submitted to the Office of the Clerk of the Council, 20 Civic Center Plaza, Santa Ana, California 92701, not later than 14 days after City Council calls for the Election. 5. Arguments may be changed or withdrawn by their authors by specified date. 6. Printed arguments submitted to the voters shall be titled either "Argument In Favor of Measure_" or "Argument Against Measure_ ", accordingly. The blank space will be assigned a number or letter by the Orange County Registrar of Voters. Words used in the title shall not be counted when determining the length of the argument. 7. If more than one argument for or more than one argument against the ballot measure is submitted to the Clerk of the Council within the time prescribed above, the Clerk of the Council shall select one of the arguments for printing and distribution to voters. In such selection, preference and priority shall be given as follows: 1) member(s), of the legislative body authorized by that body, 2) bona fide associations of citizens, and, 3) individual voters who are eligible to vote on the measure. If more than one argument for a measure is received from individuals or groups with the same preference and priority, the first argument submitted to the Clerk of the Council will be selected if no other arguments from an individual or group with a higher priority are received. 8. At the time of filing an argument, a certificate is also required that states that the facts contained in the argument are true and correct. The certificate must be signed by each author of the argument. (A certificate form is available from the Clerk of the Council) 9. Copies of arguments for and against the measure shall be open for public examination at the Clerk of the Council Office, 20 Civic Center Plaza, Santa Ana, California, 92701 during normal business hours (Monday through Thursday and alternate Fridays, 8:00 A.M. to 5:00 P.M.) during the Public Review Period. Any individual may obtain a copy of such materials for use outside of said office. A fee, not to exceed the actual costs incurred in providing such copies, will be charged at the time of provision of such copies. 10. Questions concerning this notice shall be directed to the Clerk of the Council, City of Santa Ana, telephone number (714) 647 -6520. 11. Copies of the text of the Measure to be submitted to the voters of the City of Santa Ana may be obtained from the Clerk of the Council, telephone number (714) 647 -6520. 55C -35 WORD COUNT STANDARDS (Elections Code §9) §9.(a) Counting of words, for purposes of the Elections Code, shall be as follows: (1) Punctuation is not counted. (2) Each word shall be counted as one word except as specified in the Elections Code section. (3) All geographical names shall be considered as one word; for example, "City and County of San Francisco" shall be counted as one word. (4) Each abbreviation for a word, phrase, or expression shall be counted as one word. (5) Hyphenated words that appear in any generally available standard reference dictionary, published in the United States at any time within the 10 calendar years immediately preceding the election for which the words are counted, shall be considered as one word. Each part of all other hyphenated words shall be counted as a separate word. (6) Dates consisting of a combination of words and digits shall be counted as two words. Dates consisting only of a combination of digits shall be counted as one word. All Digits (8/08/07) one word Words and digits (August 8, 2007) two words (7) Any number consisting of a digit or digits shall be considered as one word. Any number which is spelled, such as 'one," shall be considered as a separate word or words. "One" shall be counted as one word whereas 'one hundred" shall be counted as two words. "100" shall be counted as one word. (8) Telephone numbers shall be counted as one word. (9) Internet web site addresses shall be counted as one word. If the text exceeds the word limit, the author must delete or change a sufficient number of words, or a sentence, to put the statement within the required word limit before the statement is filed. The author should correct any misspellings before the statement is filed. 55C -36 ATTACHMENT SUMMARY AND TITLE AND PROPOSED ORDINANCE 55C -37 Title: Medical Cannabis Restriction and Limitation Initiative. Summary: The Medical Cannabis Restriction and Limitation Initiative ( "proposed Ordinance") seeks to delete the City of Santa Ana's prohibition of medical marijuana dispensaries, including collectives and cooperatives, as defined by the City, contained in Chapters 18 (Health and Safety) and 41 (Zoning) of the Santa Ana Municipal Code, and replace it with a ministerial administrative registration process, zoning restrictions, and a business tax requirement for medical cannabis collectives and cooperatives ( "cooperatives and collectives "), as defined by the proposed Ordinance. The law's stated intentions include, but are not limited to, fulfilling the purposes of State law regarding medical marijuana, including the Compassionate Use Act and the Medical Marijuana Program Act ( "MMP "), providing additional revenue for the City, and imposing further limitations on collectives and cooperatives beyond those imposed under the MMP. Specifically, with regard to zoning restrictions, the proposed Ordinance: (1) Prohibits collectives and cooperatives in all zones except the C 1, C4, C5, Ml, P & C -SM zones; (2) Prohibits collectives and cooperatives in all residential zones; and (3) Prohibits collectives and cooperatives within 600 feet of public and private schools, K -12 1t' grade. The proposed Ordinance also requires all collectives and cooperatives to apply for and obtain a Notice of Completed Registration ( "Notice "), which is issued by the City's Director of Planning ( "Director "), and is required of all collectives and cooperatives that meet specified requirements and want to continue to operate within the City. The proposed Ordinance's registration process is a ministerial duty upon the Director, where collectives or cooperatives submit an application within specified timelines and pay the required fees. They are subsequently issued a Notice and, within thirty (30) days of that, a Certificate of Occupancy for operation. In addition, the proposed Ordinance establishes a formula for the number of collectives and cooperatives that shall be registered with the City. The proposed Ordinance provides that at least one cannabis collective or cooperative per 15,000 residents, as determined by the last Federal Census or as determined by the latest population estimate by the Department of Finance of the State of California, whichever is higher, and in no case less than 22, shall he registered by the Director if there are that many eligible applicants. Once operating, the cannabis collective or cooperative is required to meet operating standards, which includes but is not limited to, adequate security (i.e., lighting and alarm requirements), prohibition on possessing or maintaining a license from the State Department of Alcohol Beverage Control, signage and all requirements set out by the 2008 Attorney General Guidelines for the Security and Non - diversion of Marijuana Grown for Medical Use. Finally, the proposed Ordinance makes a "cannabis business," as defined, a classification "F ", which requires those entities to pay business taxes in the amount of $20.00 for each $1,000.00 of gross receipts. A cannabis business is defined to include medical cannabis transfers by collectives or cooperatives. This tax is prospective only. 55C -38 TILE SANTA ANA MEDICAL CANNABIS RESTRICTIONANDyyIl1IITATION ACT A I!g_ 16 PN 4: 19 The People of the City of Santa Ana do hereby enact and ordain as follows CITY , , , THE SANTAANA MEDICAL CANNABIS RESTRICTION ANI%ItIkftATI(WACT SECTION 1 TITLE This initiative shall be known and may be cited as The Santa Ana Medical Cannabis Restriction and Limitation Act. SECTION 2 FINDINGS AND DECLARATIONS (a) In 1996 California voters approved Proposition 215, the "Compassionate Use Act of 1996" The people of the State of California declared that their purpose in enacting the measure was, "to ensure that seriously ill Californians have the right to obtain and use marijuana for medical purposes where that medical use is deemed appropriate and has been recommended by a physician who has determined that the person's health would benefit from the use of marijuana in the treatment of cancer, anorexia, AIDS, chronic pain, spasticity, glaucoma, arthritis, migraine, or any other illness for which marijuana provides relief." (b) Proposition 215 called for plans to implement the "safe and affordable distribution of marijuana to all patients in medical need of marijuana." (c) "Cannabis" is the scientific term for "marijuana" and shall be used in the language of this Ordinance and in all other medical contexts in the City of SantaAna. (d) We strongly support the right of patients to use medical cannabis in accordance with the recommendation or approval of a licensed physician in good standing with the Medical Board of California. (e) We strongly oppose law enforcement resources being used to arrest, prosecute, and incarcerate qualified patients who use and provide medical cannabis in accordance with the Compassionate Use Act (California Health and Safety Code section 11362,5) and Senate Bill 420 (California Health and Safety Code sections 11362.7 et. seq.). (f) Access to medical cannabis should occur in a safe and orderly manner to protect patients and the community. The absence of controlled dispensing organizations results in patients being forced to obtain their medicine in the illicit market, or incurring hardship and expense of traveling great distances to obtain their medicine from outside their community. (g) in the absence of detailed State regulation, local governments must adopt policies and regulations to protect their communities and their resident patients' safe access to their medicine. 55C -39 (h) According to the California State Board of Equalization, medical cannabis organizations contribute between $50 and $100 million dollars in sales tax to the State of California annually, and provide employment to thousands of Californians. Local municipalities, including the City of Sacramento, have passed special business tax rates for medical cannabis organizations which provide revenue used to fund much needed services such as public safety, education, and health. (i) The People of the City of Santa Ana further find and declare that we enact this initiative pursuant to the powers reserved to the State of California, the City of Santa Ana, and its People under the Tenth Amendment to the United States Constitution, as well as under the general police power of local government derived from the State's sovereignty. 0) The intent of this Ordinance is to restrict and limit the number of medical cannabis collectives and cooperatives operating or which may operate in the City of Santa Ana, but not to prohibit them. (k) The intent of the two percent gross receipts tax on medical cannabis collectives and cooperatives is for the betterment of the community. (1) The subject of this Ordinance is to determine the appropriate location of medical cannabis collectives and cooperatives. The regulation of such collectives and cooperatives may be accomplished by State law, or by any other Santa Ana voter initiative. This Ordinance cannot be amended by the City Council except as specifically provided below. SECTION 3 AMENDMENTS TO SANTAANA MUNICIPAL CODE CHAPTER 18 ARTICLE XIII The People of the City of Santa Ana do hereby enact and ordain that Chapter 18 Article X111 of the Santa Ana Municipal Code is hereby amended to read as follows (any underlined language is new and to be inserted, any struck- through language is existing and to be deleted): Article M - Medi al Cannabis Collectives and Cooperatives Scc 18 rpose_s and Directim S _r. 18 -611 - Definitions See- 18 -612. - Maximum Number of Collectives or Cooperatives Sec 18e -614 Registration Required and Effed Thereof Sec 18-615 -Reghqtration Application Process Sec 18-616- Regetra ion Application For nn r Timing and Priority Order gee 18-617 - Issuance nd Renewal ofRegistra ion 55C -40 +1 ►• 1 1• 1 1 : r - 1. 1' 11 1 -1 9 • .1 �t 1;/ .1 ;. L' t 1 1 1' lil 1'1 +1 . /1' 1'1 -111 1: •1 Y .11 • ►♦ -• •QI IN "1 < 1 ;1 ;1 11 1' •!. • .1 q 1 _ 1 :11 Ill 1. 'f 1 11.1 / l' . 1 : 1 U . 1 !. • 1- .: ' t ♦ 1 .e 1/ 1 1 11 / 1 1 1 : r 1 1 1 ♦ e l law. A duty re&tered collective or coMeratiM its members- officers directors mana"rs, I/ • 1 11 1" 1 ! 1111 1 1 111 1. it 11 bas-e".-r the CiV • 1 MT,713MMA 1• • 1- •/ nfft WoMoTMUs Vo7oreRMIR • 11 1 0. 1' 1 1 . r. a l l 1 1 7 55C -45 11 0 VIM* jr4gwrI• RITI ' 1. .. •HI; • 1• II' 1 Two If 1' • •. 1• I • 11 •. /1 •I 1 1• I 1 • •4 • I • �•1 II <.1:: f • } } ' • • 11 • 1 : " 1 1 1 1 ' 1 n • - 1 ' 1 � I , I - • '- ! - f • 1 • ' 1 1 1 • 1 •/ ll' 1' • •I Ile • r'1 /' 9 PT4 11 IT-4161110,161411 oil Itwo USIMIRP i 4 - � 1 i •. 1 • ! ,i • '•11 • -1' 111 e 1 . 1• I ONDTIMIT4M 0 55C -46 • 1 e' 1 • •1' •1 e' 1 \ • 11' 1 : _1!. s ' 1'. ITW Il a,' 1 1 �' • i' 6. 1 1 . I l f 1 1- 1 1 • ! 1 ► 1 • _ 11 ' 1 ww 13 55C -51 . M:t OTP - 13 55C -51 . ...... . ON 0101. 1 ?7. . _ 13 55C -51 SECTION 4 AMENDMENTS TO SANTA ANA MUNICIPAL CODE SECTION 41 -121 The People of the City of Santa Ana do hereby enact and ordain that Section 41 -121 of the Santa Ana Municipal Code is hereby repealed and deleted in its entirety (all existing language to be deleted is struck- through as follows): 14 55C -52 fellevAngi f u +f : fbilewing uses: e shall no; elude the 14 55C -52 SECTION 5 AMENDMENTS TO SANTAANA MUNICIPAL CODE SECTION 41 -144 The People of the City of Santa Ana do hereby enact and ordain that Section 41 -144 of the Santa Ana Municipal Code is hereby amended to read as follows (any underlined language is new and to be inserted, any struck - through language is existing and to be deleted): Sec. 41 -144. - Retail and service uses. Retail and service uses include any use of property for the purpose of offering merchandise or services to the public for compensation, and include banks, savings and loan associations, and similar financial institutions, but do not include the following: (a) Sheet metal shops, body- fender works, automobile paint shops, repair garages, and any activity which includes the processing, treatment, manufacturing, assembling or compounding of 15 55C -53 any product, other than that which is clearly and traditionally incidental and essential to a particular retail activity. (b4 Amedieal fnafijuam dispensary as defined in see-sion 41 121 of uh-18 Cede. W (e) A hookah parlor as defined in section 41 -73.5 of this Code. W (d)Any use which is more specifically identified as a permitted use or as a use which may be permitted subject to the issuance of a conditional use permit in one or more use districts pursuant to Article III of this chapter. SECTION 6 AMENDMENTS TO SANTA ANA MUNICIPAL CODE SECTION 21 -119 The People of the City of Santa Ana do hereby enact and ordain that Section 21 -119 of the Santa Ana Municipal Code is hereby amended to read as follows (any underlined language is new and to be inserted, any struck- through language is existing and to be deleted): Sec. 21 -119. - Gross receipts tax rates. Gross receipts tax rates for the different classifications are as follows: (1) Classification "A" —All businesses for which no tax is specified elsewhere in this Article, including, but not limited to: retail businesses and sales at retail, services (including real estate brokers, real estate developers, insurance brokers, life and disability insurance analysts, stock and bond brokers, commission agents, brokers or merchants, building and loans, and recreational services), hotels, motels, theaters, and food establishments: For each separate place of business licensed, a basic rate of $60.00, plus: $0.50 per $1,000.00 to .....$100,000.00 .....$100,000.00 0.30 per 1,000.00 to .....500,000.00 0.20 per 1,000,00 to ...,.1,000,000.00 0.15 per 1,000.00 over .....1,000,000.00 (2) Classification "B "— Manufacturing, processing, wholesale businesses and sales at wholesale, sales of gasoline and motor fuels, and telephone services: For each separate place of business licensed, a basic rate of $60.00, plus: $0.30 per $1,000.00 to .....$100,000.00 0.25 per 1,000.00 to .....300,000.00 0.20 per 1,000.00 to .....600,000.00 0.15 per 1,000.00 to .....1,000,000.00 16 55C -54 0.10 per 1,000.00 over .....1,000,000.00 (3) Classification "C "— Rental of commercial real estate: For the first property location licensed, a basic rate of $60.00, plus: $0.50 per $1,000.00 to .....$100,000.00 0,30 per 1,000.00 to .....$500,000.00 0.20 per 1,000.00 to .....1,000,000.00 0.15 per 1,000.00 over .....1,000,000.00 For each additional property location licensed, a basic rate of $10.00, plus: $0.50 per $1,000.00 to .....$100,000.00 0.30 per 1,000.00 to .....$500,000.00 0.20 per 1,000.00 to .....1,000,000.00 0.15 per 1,000.00 over .....1,000,000.00 (4) Classification "D" —Junk yards, automobile wrecking yards and salvage yards; junk dealers, junk collectors, automobile dismantlers, junk salvagers, and junk recyclers: For each separate place of business licensed, a basic rate of $100.00, plus: $0.50 per $1,000.00 to .....$100,000.00 0.30 per 1,000.00 to .....500,000.00 0.20 per 1,000.00 to .....1,000,000.00 0.15 per 1,000.00 over..... 1,000,000.00 .,1•r :rr.) ..... 3i - 1• •1 •!!_. p Rr 1 .11.1 1 l' ! • • ! -�. . :. -1 r • 1- M. ; 1 r- . • '. 1 it r r• , • •r 1111 • •• - - • r r.t - r.. r -• r • •r. t.r L • r• . .+ - • r •r ,rrtr tr r:� r r- rr-,r r r- • ,K � r r 1� rr .•nr n,r. ; 1 �r• • r - /. :, r. .r•- ;tr.• r• it .. • ..tt .•plot .ro •r -or r• .- a of MIMMM r • tt /.•o.tr! -1 ;rr,� ;.r MURrMwimns � r r•u..• -! • r- �. -. at 17 55C -55 i .� i _: , , i SECTION 7 INITIATIVE NOT TO BE AMENDED OTHER THAN BY VOTERS This initiative ordinance and every part thereof can only be amended by the Voters of the City of Santa Ana and cannot be amended by the Santa Ana City Council except as specifically provided above. SECTION 8 SPECIAL OR REGULAR ELECTION The Voters of the City of Santa Ana hereby expressly request that this initiative ordinance be set for a special or regular election at the earliest time allowable by law. SECTION 9 SEVERABILITY Should any provision of this initiative ordinance, or its application to any person or circumstance, be determined by a court of competent jurisdiction to be unlawful, unenforceable or otherwise void, voidable, or invalid, that determination shall have no effect on any other provision, or the application of this initiative ordinance to any other person or circumstance and, to that end, the provisions hereof are severable. By approving this ordinance the voters intend that each section and sub - section be explictly severable, part-by -part, phrase -by- phrase, and word -by -word, thus that the minimum language held invalid be severed. m 55C -56 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 3, 2014 TITLE: LEAGUE OF CALIFORNIA CITIES VOTING DELEGATE CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on ls' Reading ❑ Ordinance on 2 "d Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Designate a voting delegate and two alternates for the League of California Cities' Annual Business Meeting scheduled for September 3 -5, 2014. BACKGROUND: This year's League Annual Conference is scheduled for Wednesday, September 3 through 5 in Los Angeles. One very important aspect of the Annual Conference is the annual Business Meeting when the membership takes action on conference resolutions. To expedite the conduct of business, every City is being requested to designate a voting representative and two alternates who will be present the City at the Business Meeting. League bylaws provide that each city is entitled to one vote and to determine a city position in matters affecting municipal or League policy matters. FISCAL IMPACT: There is no fiscal impact associated with this action. Maria D. Huizar Clerk of the Council 60A -1 60A -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 3, 2014 TITLE: REQUEST FOR RELEASE OF ESCROW ACCOUNT FUNDS FROM THE ORANGE COUNTY FIRE AUTHORITY CITY M16MAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Authorize the City Manager to request the release of $2.9M in Risk Management funds held in an escrow account at Grandpoint Bank pursuant to the agreement with the Orange County Fire Authority for fire services and emergency medical services. DISCUSSION On February 21, 2012, the Mayor and City Council voted to partner with the Orange County Fire Authority (OCFA) for the delivery of fire and emergency medical services. The approval of the agreement was preceded by approximately 6 months of negotiations with the OCFA and Santa Ana Fire Services bargaining units during the City's most difficult financial times in recent history. Given the City's fiscal position at that time, the OCFA required a bond or escrow equal to one month's payment as assurance in the case of default. The current value of the escrow account is $2.9 million earning 0.20% interest and held by Grandpoint Bank, a financial institution agreed upon by both agencies. The agreement with OCFA includes a provision which allows the City to reduce, eliminate or modify the bond or escrow account if the City demonstrates an improved financial position. The first opportunity for a review is July 1, 2014. As part of the review, staff will present its current financial forecast that demonstrates continued revenue growth, budget surplus over a 5 -year period, and reserve levels approaching a goal of 20 %. Staff has had preliminary discussions with OCFA's Business Services Department to ensure all information required is presented. In addition, staff has coordinated with OCFA to develop a schedule of events to ensure that OCFA Board of Directors approves the release of the escrow funds on or before July 1. The City is tentatively scheduled to present its much improved financial position to the OCFA Budget and Finance Committee on June 11th followed by a presentation to the OCFA Board of Directors on June 26tH 65A -1 Request for Release of Escrow Account Funds from the Orange County Fire Authority June 3, 2014 Page 2 Approval of the recommended action will direct staff to continue discussions and present the City's much improved financial position to ensure the release of escrow funds occurs on or before July 1, 2014. FISCAL IMPACT There is no fiscal impact associated with this action. 65A -2 REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 3, 2014 TITLE: BALLOT INITIATIVE REGARDING MEDICAL MARIJUANA COLLECTIVES/ COOPERATIVES CITY MANAdItR 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 Discuss options for an initiative on the November 2014 ballot regarding medical marijuana collectives /cooperatives, including a potential action to provide direction to staff. On February 19, 2013 the City Council received the Certificate of Sufficiency indicating the proponents of the Santa Ana Medical Cannabis Restriction and Limitation Initiative obtained the necessary valid signatures to have the initiative placed on the ballot at the next general election in November, 2014. In March, 2013 staff presented a report to the City Council analyzing the proposed initiative to assist the Council in making a decision to either adopt the initiative as submitted or to submit it to the voters at the November 2014 general election. At the March 18, 2013 meeting the City Council moved to receive and file the report, call for the election, and place the measure on the November 2014 ballot. The City Council also directed staff to explore placing a competing initiative on the November 2014 ballot to either affirm the City's ban on storefront medical marijuana collectives /cooperatives or an initiative to further regulate collectives /cooperatives beyond the proposed regulations provided in the collective - backed initiative. BACKGROUND State and Federal Law In 1996, California voters approved Proposition 215, entitled "The Compassionate Use Act" (CUA), which provides seriously ill Californians the right to obtain and use marijuana for medical purposes" once a physician has deemed the use beneficial to the patient's health. The CUA regulates several forms through which marijuana can be distributed, such as "a medical marijuana cooperative, collective, collective, operator, establishment, or provider that is authorized by law to possess, cultivate, or distribute medical marijuana and that has a storefront or mobile retail outlet which ordinarily requires a local business license." By its own terms, nothing in CUA prohibited cites from adopting policies further restricting the location or establishment of such operations. 6513-1 Medical Marijuana Ballot Initiative June 3, 2014 Page 2 In 2003, the State legislature enacted SB 420 to clarify the CUA's scope and to allow cities to adopt and enforce rules and regulations consistent with its provisions. SB 420, also known as the "Medical Marijuana Program Act" (MMPA), provides additional statutory guidance for those involved with medical marijuana use. The CUA and MMPA allow for the use and operation of collectives or cooperatives by qualified medical marijuana patients and primary caregivers, and provides narrow affirmative defenses for criminal prosecutions of persons for drug possession. Notwithstanding the CUA and MMPA, the Federal Controlled Substance Act makes it unlawful to manufacture, process, distribute or dispense marijuana. In fact, the United States Supreme Court, in both 2001 and 2005, held that Federal law continues to apply in California despite the CUA and that no medical necessity exceptions exist. After the initial passage of the CUA, some cities and counties across California began to experience a proliferation of storefront medical marijuana collectives claiming to be legal collectives or cooperatives. Aside from the fact that the use and distribution of marijuana in any form is illegal under federal law, the existence of storefront collectives is usually illegal under California law because it is nearly impossible to comply with the CUA and MMPA while catering to a large membership. Moreover, storefront collectives also create significant crime, health, and safety concerns for the surrounding areas. After studying these concerns, some municipalities chose to adopt comprehensive bans on storefront medical marijuana collectives and collectives, as Santa Ana did in 2007, based upon their knowledge of how these collectives operated at that time. On May 6, 2013, in the case of City of Riverside v. Inland Empire Patients Health and Wellness Center, the California Supreme Court held that local governments can ban medical marijuana collectives because California's marijuana laws do not expressly or impliedly limit a local jurisdiction's land use authority, including the authority to prohibit facilities for the distribution of medical marijuana. In this opinion, the court ruled that the California Constitution grants cities and counties broad power to determine the permitted uses of land within their borders, that the CUA and MMPA do not restrict that power, and that a local ban on medical marijuana collectives does not conflict with these laws because they do no more than exempt certain activities from State criminal and nuisance laws. Given the clarity offered by this decision upholding a municipality's ability to ban medical marijuana collectives, several municipalities have chosen this course of action or have re- visited their existing bans. Further, this decision has opened the door for discussion of a municipality's ability to regulate medical marijuana collectives instead of banning them altogether. Senate Bill 1262 Senate Bill 1262, introduced on February 21, 2014 is sponsored by the California Police Chiefs Association and co- sponsored by the League of California Cities. The policy underlying this bill is the need for reform of California's medical marijuana laws as defined by the CUA (Proposition 215) and MMPA (SB 420). 65B -2 Medical Marijuana Ballot Initiative June 3, 2014 Page 3 The Bill proposes to establish an improved regulatory structure to ensure that the CUA works as originally envisioned to assist patients with legitimate medical needs, in a manner that works for law enforcement, city and county governments, local community organizations, and medical professionals. The five essential principles of the bill are: 1) Protect local control by precluding an operator from obtaining a state license unless the operator has first secured all necessary local permits from a particular jurisdiction; 2) Uphold local governments' ability to ban collectives and all related facilities; 3) Impose tighter regulations on doctors who issue medical marijuana recommendations, including new training and record keeping requirements as well as fines, and a strict regimen for recommendations to minors; 4) Impose uniform quality assurance standards as well as health and safety standards to be administered by counties with oversight by the Department of Public Health; 5) Require a series of detailed security measures to prevent diversion and recreational use at all medical cannabis facilities. Current Citv Regulation and Enforcement Currently the City of Santa prohibits the establishment of medical marijuana collectives citywide under Article XIII of Chapter 18 of the Santa Ana Municipal Code. This section was added in 2007 following a two year moratorium on medical marijuana collectives. Since the City's ban on the establishment of medical marijuana collectives in 2007, the Police Department, Community Preservation Division and City Attorney's Office have continued to experience challenges trying to close illegal collectives in the City. As of May 1, 2014, there were a confirmed 50 existing illegal medical marijuana collectives in the City. This number is up from a low of 16 in early 2013, but down from the high of 68 in 2012. The City has successfully closed 177 collectives and fined illegal collectives for more than $138,000 since enforcement began in 2010. While these and other joint enforcement efforts with the Drug Enforcement Administration (DEA) have proven effective, the transitory nature of these businesses typically result in one closing down and one or more appearing in its place. It is important to note that while the Santa Ana Municipal Code currently prohibits medical marijuana collectives, it specifically precludes State - licensed: clinics, health care facilities, residential care facilities for persons with chronic life- threatening illnesses, residential care facilities for the elderly and residential hospice or home health agencies from these regulations. These licensed medical establishments are permitted to prescribe medical marijuana to its patients under the CUA and MMPA while remaining in compliance with the Santa Ana Municipal Code. L• MW Medical Marijuana Ballot Initiative June 3, 2014 Page 4 Analysis of Collective- backed Initiative In February, 2013, the City Council directed the City Manager to prepare an analysis of the collective- backed Santa Ana Medical Cannabis Restriction and Limitation Initiative. This initiative, if approved, would repeal the City's current prohibition of medical marijuana collectives /cooperatives, and replace it with a ministerial process to authorize collectives /cooperatives to operate in the City. Staff has a number of concerns regarding the proposed regulations contained in this initiative, most notable among these are: 1. No regulations regarding the distribution and/or separation between collectives/ cooperatives. 2. No maximum on the number of collectives /cooperatives permitted (minimum of 22 required). 3. Definitions of collectives and cooperatives results in smaller operations (more than 1 but less than 5) being unregulated. 4. Collectives /cooperatives permitted in all commercial, industrial and professional zones including properties that may be directly adjacent to residential properties. 5. No separation (buffer) requirements from sensitive uses (parks, churches, child care facilities, liquor stores, adult entertainment, etc.). 6. Ministerial approval process requires no public noticing or public hearing. 7. Limited /vague guidance regarding the provision of on -site security. 8. Prohibits the Police Department and Code Enforcement from accepting Federal funding or participating in any task force that accepts Federal funding or revenue sharing, to investigate, cite, arrest, prosecute or seize property based on offenses which would be legal under California medical cannabis laws. 9. Proposed licensing /taxation method is substantially less than what other cities that regulate medical marijuana collectives /cooperatives require and does not consider taxation methods for registered non - profit collectives /cooperatives. 10. Proposed changes to the Business License Tax Code (Chapter 21) for medical marijuana collectives /cooperatives results in possibility of unintended consequences regarding the taxation rates for businesses other than medical marijuana collectives /cooperatives. A complete analysis of the collective- backed initiative was provided in the Report to City Council on March 18, 2013. L. Medical Marijuana Ballot Initiative June 3, 2014 Page 5 Citv Ootions to Proceed Given that the Santa Ana Medical Cannabis Restriction and Limitation Initiative has qualified for the November general election the City has three options to proceed. Option #1 — Take no action (Not Recommended) The first option available to the City is to not place a competing initiative on the ballot and accept the regulations and requirements of the qualified collective- backed initiative should it receive voter approval. This option is not recommended for several reasons. First, given the level of interest from the medical marijuana industry there is a high likelihood that, should the voter initiative fail in November; medical marijuana proponents would immediately begin to secure the necessary signatures to place another voter initiative on a future ballot. Additionally, not placing a competing initiative on the ballot limits the voters' options. Should the voters wish to support medical marijuana collectives /cooperatives, the only regulations and requirements available to them would be those contained in the collective- backed initiative. Should the voters wish to confirm the City's ban on medical marijuana collectives, such an option would not be available. Lastly, by taking no action, it may inadvertently signal to the community that the City accepts the regulations proposed in the collective- backed initiative. Option # 2 — City sponsored ballot initiative to ban medical madivana collectives/cooperatives (Not Recommended) The City Council retains authority under Elections Code Section 9222 to place a competing measure on the November 2014 ballot affirming the City's ban on medical marijuana collectives /cooperatives. A City initiative to prohibit medical marijuana collectives would effectively serve as the "No" alternative to the Santa Ana Medical Cannabis Restriction and Limitation Act Initiative. Were a City initiative to ban medical marijuana collectives be approved by the voters it would serve to solidify the City's current position on storefront medical marijuana collectives /cooperatives and further support the City's existing enforcement strategies. In addition to prohibiting storefront medical marijuana collectives, this initiative would include language clarifying that the ban will also apply to mobile collectives which are addressed in the current regulations, but not explicitly prohibited, and cultivation, which is currently not addressed in current regulations. Similar to the City's current enforcement, the initiative to ban medical marijuana collectives would not prohibit medical marijuana from being prescribed to patients by licensed physicians through State - licensed clinics, health care facilities, residential care facilities for the elderly or residential hospice or home health agencies and would address the issues regarding mobile marijuana collectives and cultivation. L• Medical Marijuana Ballot Initiative June 3, 2014 Page 6 Option # 3 — City sponsored ballot initiative to regulate medical marijuana collectives) cooperatives (Recommended) Another option available to the City is to place a competing measure on the November 2014 ballot that permits medical marijuana collectives, but with additional regulations not contained in the Santa Ana Medical Cannabis Restriction and Limitation Initiative. The regulations proposed in this option were derived from recommendations from the California Police Chiefs Association White Paper on Marijuana Collectives, a review of other cities' and counties' regulations regarding medical marijuana collectives, direct Code Enforcement experience regulating illegal medical marijuana collectives in the City over the last five years and a review of existing Municipal Code regulations regarding regulated uses. Regulations proposed as part of a City initiative to permit, but regulate medical marijuana collectives would generally include: 1. Limit to industrially zoned (M1, M2) properties only. 2. Set a maximum number of eight collectives permitted in the City. 3. Establish distance /separation requirements from sensitive uses (schools, parks and residentially zoned properties). 4. Establish a separation requirement from other medical marijuana collectives to prevent overconcentration. 5. Specify operational requirements including security guards, signage, ventilation, lighting, hours of operation, restricting minors, prohibiting on -site consumption, etc. 6. Update the Business License Tax Code (SAMC Chapter 21) to require a 5% gross receipts cannabis tax, which is commensurate with the other cities surveyed, as well as initial registration fees and annual regulatory fees to account for the costs associated with regulating these businesses. Similar to the City's current enforcement and initiative to ban collectives, this initiative would not prohibit medical marijuana from being prescribed to patients by licensed physicians through State - licensed clinics, health care facilities, residential care facilities for the elderly or residential hospice or home health agencies and would address the issues regarding mobile marijuana collectives and cultivation. Risk of regulationlpermitting medical marijuana collectives In City of Riverside v. Inland Empire Patients Health and Wellness Center, the California Supreme Court upheld the right of local governments to ban medical marijuana collectives, but the question of whether local governments can regulate these collectives was not directly before the court. However, in its holding, the Court opined "localities in California are left free to accommodate such [medical marijuana collective] conduct if they so choose, free of state interference." (City of Riverside, supra, 56 Cal. 4th at 762.) Thus, the Court clearly held that a Medical Marijuana Ballot Initiative June 3, 2014 Page 7 local government may ban medical marijuana collectives, but was less clear on the parameters, if any, for which a municipality can regulate them. Further, the decision in City of Riverside case does not specifically mention local regulation of the cultivation of marijuana. Where and how marijuana is grown may rightly be of great concern to local municipalities. Local governments cannot "permit" or "authorize' any activity that violates federal or state law; in fact, federal and state law pre -empts any such attempt. Accordingly, should a municipality decide to regulate, and not ban, medical marijuana collectives, at least one appellate court (whose opinion has since been de- published due to the City of Long Beach amending its regulations) held in 2011 that a municipality's regulation sanctioning the issuance of "permits" for medical marijuana collectives was not allowed because the scheme crossed the line by authorizing an illegal activity. See Pack v. Superior Court (Cal. App. 2d Dist. 2011) 199 Cal. App. 4th 1070 [de- published]). In other words, a court could find that the City is pre - empted by federal law from regulating medical marijuana collectives because the City cannot "permit" or "authorize" a medical marijuana business and marijuana related activities, which activities are prohibited by federal law (i.e. the Federal Controlled Substance Act). To get around this pre - emption issue, the State of California has merely de- criminalized certain State penalties, but has not, and cannot, permit or authorize any right in violation of federal law. Thus, the law is not clear on the ability of a local government to regulate medical marijuana collectives. Not only will any such regulation need to be crafted in a way so as to avoid any Federal pre - emption issues, it would also require the City to expend resources to ensure that medical marijuana collectives are not operating in violation of the City's regulations and to defend any legal challenges to any such City regulation. Notwithstanding this lack of clarity on whether a municipality can regulate medical marijuana collectives or, if they can, the scope of such power, some local jurisdictions within California have passed such regulations. One example is the City of Los Angeles. Originally, Los Angeles attempted to regulate medical marijuana collectives. However, in 2012 after years of defending numerous lawsuits over the legality of these regulations, the City of Los Angeles repealed its regulations in light of the Pack decision (the City of Long Beach's medical marijuana collective regulations were based on the then - existing regulations from the City of Los Angeles) and instead banned medical marijuana collectives altogether. In doing so, the City of Los Angeles cited the several threats of litigation brought by marijuana advocates should the City of Los Angeles adopt registration provisions for medical marijuana collectives and to the December 2011 opinion of the California Attorney General Kamala Harris that several laws concerning the regulation of medical marijuana were "unclear," particularly the rules for medical marijuana collective operation. Fiscal implications of medical marijuana collectives There are a number of issues regarding the licensing and taxation of medical marijuana collectives /cooperatives that would need to be addressed as part of any ballot initiative proposing to permit, but regulate this type of business. The method proposed as part of the Santa Ana Medical Cannabis Restriction and Limitation Act is to charge collectives a 5 -to -6% gross receipts 65B -7 Medical Marijuana Ballot Initiative June 3, 2014 Page 8 Cannabis Business License Tax and provide quarterly installment payments of the tax, as well as any applicable sales tax. Based on the City's experience with current illegal collectives and relevant research regarding the costs associated with regulating these uses, the tax rate and regulatory fees proposed in the collective- backed initiative are not sufficient to cover the costs to regulate these types of uses. Nothing in Proposition 215 or the MMPA (SB 420) authorizes collectives, cooperatives, or individuals to profit from the sale or distribution of marijuana. Generally, medical marijuana collectives /cooperatives are organized as non - profits. Under Article XIII, Section 26 of the California Constitution, certain non - profit organizations that meet the requirements of Chapter 4 (commencing with Section 23701) of Part 11 of Division 2 of the Revenue and Taxation Code or Subchapter F (commencing with Section 501) of Chapter 1 of Subtitle A of the Internal Revenue Code of 1986 are exempt from local taxes measured by gross receipts or income. Given the taxation issues created by the collective- backed initiative, should the City elect to propose a competing initiative to regulate medical marijuana collectives /cooperatives, the following components would be addressed in an amendment to Chapter 21 (Business License Tax code) of the Santa Ana Municipal Code: 1. Include sufficient definitions to address the multitude of medical marijuana business operations that may wish to open in the city including registered non - profit organizations, limited liability corporations and for - profit organizations. 2. Include a definition and taxation rate for cultivation even though the regulatory component of the proposed ordinance would not allow for cultivation. This will allow the city to impose a tax obligation on any illegal cultivation sites in addition to the regulatory penalties. Including this definition in the tax code will also provide greater flexibility should the State supersede any City regulations regarding cultivation in the future. 3. Include a 5 -to -6% gross receipts tax rate applicable to medical marijuana collectives/ cooperatives which do not meet the requirements for exemption from local taxes measured by gross receipts or income with provisions to allow the City Council by ordinance to increase this rate as needed up to a maximum rate of 10% to offset the costs associated with the secondary and tertiary effects of medical marijuana businesses. 4. Include an alternate tax of up to one hundred dollars ($100) per square foot on all improvements owned, rented, leased or otherwise occupied or used by medical marijuana collectives /cooperatives that meet the requirements for exemption from local taxes measured by gross receipts. The tax shall initially be set at a rate of fifteen dollars ($15) per square foot with provisions to allow the City Council by ordinance to increase this rate as needed up to a maximum rate of one hundred dollars ($100) per square foot to offset the costs associated with the secondary and tertiary effects of medical marijuana businesses. L. W Medical Marijuana Ballot Initiative June 3, 2014 Page 9 5. Apply the alternate tax of up to one hundred dollars ($100) per square foot on all improvements owned, rented, leased or otherwise occupied or used by medical marijuana collectives /cooperatives engaged in the cultivation /growing of marijuana on such improvements whether for retail sale or whether to supply another marijuana business. The tax shall initially be set at a rate of fifteen dollars ($15) per square foot with provisions to allow the City Council by ordinance to increase this rate as needed up to a maximum rate of one hundred dollars ($100) per square foot to offset the costs associated with the secondary and tertiary effects of medical marijuana businesses. 6. Provide that the "initial gross receipts tax rate' and both the "initial square foot tax rate" and "maximum square foot tax rate" be subject to annual CPI adjustment in the same manner as all other regular business license tax rates and charges under the City's Business License Tax Code to mediate the costs associated with the secondary and tertiary effects of medical marijuana businesses. 7. Add provisions requiring a monthly remittance of business tax rather than quarterly. Medical marijuana collectives /cooperatives typically operate as entirely cash -based enterprises because banks will not offer accounts out of fear of violating federal laws. Accordingly, auditing such operations may prove to be extremely difficult. Requiring a monthly remittance will protect the City from losing out on tax revenue if a collective /cooperative goes out of business prior to the remittance period. This method will also allow the city to more closely monitor the revenues generated by these businesses which may indicate illegal transactions. Each of the recommendations above are consistent with the definitions, rates and taxing methods utilized by other cities in California that currently regulate medical marijuana collectives/ cooperatives. Based on the above taxing assumptions as well as the regulatory assumptions outlined in Option #3, the projected annual revenue from medical marijuana collectives/ cooperatives could be approximately $1,000,000 per year (Exhibit 1). Summary and Recommendation Since enacting an ordinance prohibiting medical marijuana collectives /cooperatives in 2007 the Police Department, Community Preservation Division and City Attorney's Office have faced a constant challenge in both tracking new collectives /cooperatives and working through the necessary legal steps to closing them down. Partnerships with Federal agencies and nearby cities on enforcement have proven successful for short periods of time, but have not been shown to be a viable long -term solution. A City- sponsored competing initiative to permit, but regulate and tax medical marijuana collectives /cooperatives will provide an opportunity for a limited number of medical marijuana businesses to responsibly operate within specified areas of the city. Further, it will allow the City to enforce strict operational standards and to collect both a regulatory fee and business tax to offset the costs associated with enforcement while providing qualified patients with safe access to medicinal marijuana. L• Medical Marijuana Ballot Initiative June 3, 2014 Page 10 FISCAL IMPACT There is no fiscal impact associated with this action. Council will discuss options and may provide direction to staff. Kzo -Qivt, cam_ Karen Haluza Interim Executive Director Planning and Building Agency S is CarvaIho i Attorney MF:rb MF:RFCA - Medical Marijuana Initiative Analysis 2014 Carlos Rojas, Chief`of-Police Santa Ana Police Department Exhibit 1: Projected Revenues Calculation Methodology 65B -10 65B -11 N m c Q G! 7 c d c 3 LL A a c a� m c m L Co C u u d i x m LL d fn 0 a@+ N N O CL N r O O N d F ° W n C) Y N O 0 0 0 LA vi m N 0 J 00 X X R r r N V c N Y O N C v CO O O J £ E O N d £ O C •� O N •� g N to to •.1. a 0 X N A LL Ln cu Y N Y C IA u a7f M J C V O m N M d C i •N y 'eo co y Y_ X E �. CL o0 DA C y o N a N 3 c u c c c O O tw c O N 0 +n m a *0000100000 O O O O °°o ° 0 0 0 o o o 00 Vi O Lr O V i O v i O d N m-tr to •.1. m 0 N Ln to 0 cM-I OC X m Y CL V Q) 0 �a°�a e 2E�ea°�3° e-1 N m V Yi l0 I� W m N 65B -12 M M O R O N iM1 m C N CL a d m O d 7 V) It t0 N N M m i? 0 _ m m ` O N r C UJ a a 00 X c 0 0 N O) f0 0 0 to N 7 C C O v 0 R N a, c O a v om r w r x w REQUEST FOR COUNCIL ACTION CITY COUNCIL MEETING DATE: JUNE 3, 2014 TITLE: PUBLIC HEARING — FINAL ENVIRONMENTAL IMPACT REPORT NO. 2010-01, AMENDMENT APPLICATION NO. 2014-01 AND GENERAL PLAN AMENDMENT NO. 2014 -01 FOR PARK VIEW AT TOWN AND COUNTRY MANOR — STEVE LAZARIAN, APPLI ANT CITY MANAGER RECOMMENDED ACTION CLERK OF COUNCIL USE ONLY: APPROVED ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2n° Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution certifying Final Environmental Impact Report No. 2010 -01 and approve the Mitigation Monitoring Program. 2. Adopt a resolution approving General Plan Amendment No. 2014 -01. 3. Adopt an ordinance approving Amendment Application No. 2014 -01 for the Town and Country Manor Specific Development No. 87 (SD -87). PLANNING COMMISSION ACTION On April 14, 2014, the Planning Commission recommended that the City Council adopt a resolution certifying Final Environmental Impact Report No. 2010 -01 and approve the Mitigation Monitoring Program; adopt a resolution approving General Plan Amendment No. 2014 -01; and adopt an ordinance approving Amendment Application No. 2014 -01 for the Town and Country Manor Specific Development No. 87 (SD -87) by a vote of 6:0 (Nalle absent) to allow the construction of Park View at Town and Country Manor senior residential tower at 555 East Memory Lane located in the Suburban Apartment (R4) zoning district. The Planning Commission made no changes to the recommended conditions of approval outlined in the attached staff report (Exhibit A). DISCUSSION The Park View at Town and Country Manor tower will be an eight -story, 174 -unit independent living facility for active seniors. The tower will not contain any "for sale" units and will be a regulated residential care facility for the elderly. Fees will be charged for services such as common dining, cleaning, laundry, and recreational activities provided for each unit. The tower will consist of approximately 348,378 square feet of area, including 230,670 square feet of residential and ancillary/support uses and 117,708 square feet for the three level subterranean parking structure. The parking structure will contain parking for 260 vehicles and have a storage area for each unit. 75A -1 EIR No. 2010 -01, AA No. 2014 -01, GPA No. 2014 -01 June 3, 2014 Page 2 In addition to the tower, the applicant is proposing to construct a one -story, 6,413 square foot aquatics and wellness center that will serve as an additional amenity for the residents of the entire Town and Country Manor campus. Finally, the primary entrance of the existing Town and Country Manor building will be remodeled and expanded by an additional 914 square feet to provide an enhanced entry to the facility. A public hearing on the Park View at Town and Country manor project was held by the City Council on May 6, 2014. At the conclusion of the hearing, which included no comments from the public, the City Council continued the item for 30 days in order to allow the Council additional time to review the project. Full sized site plans are available for public viewing in the Clerk of the Council Office. FISCAL IMPACT There is no fiscal impact associated with this action. Karen Haluza Interim Executive Director Planning & Building Agency VF:rb ATO and CounWEIR2010- 01 &AA2014 -01 &GPA2014- 01.CC080314 Exhibit: A. Planning Commission Staff Report 75A -2 REQUEST FOR Planning Commission Action PLANNING COMMISSION MEETING DATE: APRIL 14, 2014 fpPollak 1 Tt4ucdtx._,r,, PLANNING COMMISSION SECRETARY TITLE: PUBLIC HEARING — FILED BY STEVE LAZARIAN FOR FINAL ENVIRONMENTAL IMPACT REPORT NO. 2010 -01, AMENDMENT APPLICATION NO. 2014-01 AND GENERAL PLAN AMENDMENT NO. 2014-01 FOR PARK VIEW AT TOWN AND COUNTRY MANOR Prepared by Vince Fregoso Interim Executive Nr for Recommend that the City Council: APPROVED • As Recommended • As Amended • Set Public Hearing For 11010►DCIR7 ❑ Applicant's Request 0 Staff Recommendation CONTINUED TO Acting Plan ` anager Adopt a resolution certifying Final Environmental Impact Report No. 2010 -01 and approve the Mitigation Monitoring Program. 2. Adopt a resolution approving General Plan Amendment No. 2014 -01. 3. Adopt an ordinance approving Amendment Application No. 2014 -01 for the Town and Country Manor Specific Development No. 87 (SD -87). Request of Applicant Steve Lazarian, on behalf of The Christian and Missionary Alliance, owners of Town and Country Manor, is requesting approval of various entitlements for the proposed Park View at Town and Country Manor senior residential tower. Specifically, the project entitlements include the certification of an environmental impact report, amendments to the Land Use Element of the General Plan, and changing the current zoning of the site from Suburban Apartment (R -4) to the Specific Development No. 87 (SD -87) zoning designation. Project Location and Site Description The Town and Country Manor campus is located on an 8.29 -acre, irregular shaped parcel of land at the northeast corner of Memory Lane and Lawson Way, just east of the City Place development site and north of Santiago Park. The property contains two buildings that total approximately 219,556 square feet of area that were originally constructed in 1975. The primary building is a 213,107 square foot one to three -story structure that contains the residential care and skilled nursing units for the campus as well as various support and ancillary services. The other building is a 6,449 square foot; one -story chapel at the northwest corner of the site. EXHIBIT A 75A -3 EIR No. 2010 -01, AA No. 2014 -01, GPA No. 2014 -01 April 14, 2014 Page 2 The Park View at Town and Country Manor tower is proposed to be built on a 2.5 acre section of the site that is located at the southwest corner of the campus. This area of the campus is currently vacant and consists of both a parking lot and landscaped area. A total of 210 parking spaces are currently provided for the existing project. The site is surrounded by office development to the north, Santiago Park to the south, office development to the east and multi - family residential (City Place) and office development to the west (Exhibits 1, 2 and 3). Proiect Description The applicant, representing Town and Country Manor, is requesting approval of the Park View at Town and Country Manor tower, an independent living structure for seniors, on its existing campus. The proposed project will add 174 independent living units to the southwest corner of the campus and will be marketed solely to seniors 55 years of age and older The tower will not contain any "for sale" units and will be a regulated residential care facility for the elderly. Fees will be charged for services such as common dining, cleaning, laundry, and recreational activities provided for each unit Park View will contain a total of 348,378 square feet of area, including 230,670 square feet of residential and ancillary/support uses and an additional 117,708 square feet for the three level subterranean parking lot. As proposed, the building will be eight stories and 97 feet in height at its highest point. Within the three -level subterranean parking structure, a total of 260 parking spaces will be provided. Additionally, one storage unit for each residential unit in the tower will be provided within the lowest (63) level of the parking structure. Park View at Town and Country Manor will serve as the cornerstone to the campus with its location at East Memory Lane and Lawson Way, The Park View tower has a contemporary design that has been guided by Renaissance and classical architectural influences. The main residential floors project vertically from the ground level common areas, highlighted by pilasters present at the main building facades. The use of glazing at balcony railings and in storefront windows at the ground floor and penthouse level is a key aspect that speaks to the building's contemporary nature, A prominent cornice, reminiscent of classical architecture, helps to define and characterize the roofline (Exhibits 4, 5 and 6). In addition to the high -rise tower, the applicant is proposing to construct a one -story, 6,413 square foot aquatics and wellness center that will serve as an additional amenity for the residents of the entire Town and Country Manor campus. Finally, the entry to the building will be remodeled and expanded by an additional 914 square feet to provide an enhanced entry to the facility. 75A -4 EIR No. 2010 -01, AA No. 2014 -01, GPA No. 2014 -01 April 14, 2014 Page 3 A comprehensive hardscape and landscape program has been developed for the project. This program will enhance the existing landscape theme of the campus and will further assist in unifying the structures through a consistent landscape program. A decorative plaza and motor court will be situated between the proposed tower and existing building that will provide an upscale entry to the campus as well as provide a public space for residents and visitors to gather and interact. The plaza will include textured paving and a grove of deciduous and evergreen canopy trees. Preliminary designs also include a water element such as a fountain (Exhibit 7). Protect Background In 1972, the City Council approved Variance No. 1972 -38, which allowed The Christian and Missionary Alliance (Town and Country) the ability to construct a new residential care facility for the elderly with a 57 percent reduction in parking in the Single- Family Residence (R -1) zoning district. In June 1972, the City Council approved Amendment Application No. 698 to change the zoning of the property from R -1 to Suburban Apartments (R -4), which would be more compatible with the development proposed for Town and Country Manor. In 1589, Conditional Use Permit No. 1989 -04 and Variance No. 1989 -03 were approved to allow the construction of the one -story skilled nursing wing on the east end of the campus and to allow non- integrated parking on the site. Town and Country Manor is a non - profit organization whose mission is to provide a caring environment based on the Christian faith that is designed to meet the physical; social and spiritual needs of its residents. It is a continuing care retirement center licensed by the State of California's Department of Social Services. Town and Country is equipped to provide independent living, assisted living and skilled nursing care to meet the changing needs of its residents. General Plan and Zoning Analysis The General Plan land use designation for the site is Medium Density Residential (MR -15), which allows single and multi- family development at a maximum density of 15 units per acre. Development in Medium Density Residential areas of the City is characterized primarily by duplexes, apartments or a combination of both. The proposed project is not consistent with this General Plan land use designation. However, a General Plan Amendment is proposed for this project that would change the current MR -15 designation to District Center (DC); which will make the project consistent with the General Plan. The subject site is located in the Suburban Apartment (R -4) zoning district. The R -4 zoning designation allows uses such as bungalow courts, apartment houses and similar uses. The project site is not consistent with the zoning designation. An amendment application (zone change) to change the zoning designation to a Specific Development (SD) is proposed for this project, which will make the project consistent with the new SD zoning designation (Exhibit 8). 75A -5 EIR No. 2010 -01, AA No. 2014 -01, GPA No. 2014 -01 April 14, 2014 Page 4 Proiect Analysis Town and Country Manor is proposing to expand upon the services the facility provides by constructing the Park View tower, an eight -story building that will provide independent living housing on its campus. This building will allow Town and Country the ability to provide an additional independent, active living component of senior living, giving residents the ability to age in place on the campus. Town and Country is proposing a project that is consistent with the development pattern in the area, which includes several tall buildings in the immediate area. The following subsections of this staff' report provided analyses for each of the recommended action items. Environmental Impact Report The California Environmental Quality Act (CEQA) requires the preparation and approval of an environmental impact report (EIR) for this project. The environmental issues analyzed in the EIR include aesthetics; air quality, climate change (greenhouse gas emissions), hydrology and water quality, land use and planning, noise, transportation and traffic, and utilities and service systems. Preparation of the EIR was originally initiated about five years ago for a 12 -story tower on the Town and Country campus. As a result of the economic downturn, the project was placed on a temporary hold due to concerns with the ability to finance the project. During this time, the project was reduced in height to its current proposal of eight stories. Although there are no State mandates that identify how long a draft EIR is valid, staff directed the consultant to revise and update the document when the applicant elected to move forward with the development in 2012. The consultant reviewed all sections of the document, with only the Traffic Section being updated to reflect changes in traffic patterns that occurred after the original document was prepared. The update found that no significant changes had occurred in traffic, with no new mitigation measures added or modified for the project. In accordance with CEQA, a draft EIR was first circulated for review and comment to public, local, regional and state agencies, and interested parties on March 11, 2010 for a 45 -day review period. On April 10, 2010 a public hearing was held on the document to obtain input from interested members of the public. By the close of the 45 -day review period, a total 12 written comment letters on the document were received. The City has evaluated the comments received from persons or agencies that reviewed the EIR. In accordance with CEQA, each public agency and interested party that commented on the draft EIR was provided with a response to its comments at least 10 days prior to the Planning Commission public hearing. The Responses to Comments document, the Mitigation Monitoring Program and the Draft EIR constitute the Final EIR. In addition, the Findings of Fact for the project have been prepared. 75A -6 EIR No. 2010 -01, AA No. 2014 -01, GPA No. 2014 -01 April 14, 2014 Page 5 The EIR has found that, of the eight environmental issues analyzed in the draft EIR, all were determined to be less than significant or could be reduced to less than significant levels with mitigation measures. Further, it was determined that no significant and unavoidable adverse impacts associated with this project would occur after mitigation from proposed project implementation as all potential impacts that were identified for the project can be mitigated to a level of less than significant (Exhibit 9). General Plan Amendment To allow the development of this parcel, a General Plan amendment is required. Currently, the land use designation for this site is Medium Density Residential (MR -15), which allows residential development that does not exceed 15 dwelling units per acre. This project will require amendments to the Land Use Element, including amending the General Plan Land Use designation to DC with a General Plan floor area ratio of 1.27. The floor area ratio was derived from the size of the proposed buildings as well as the square footage of the existing structures on the site (Exhibit 10). The proposed project will be consistent with several goals and policies of the recently adopted Housing Element. First, the project is consistent with Goal 2, which encourages diversity of quality housing, affordability levels, and living experiences that accommodate Santa Ana's residents and workforce of all household types, income levels and age groups to foster an inclusive community, Second, the project supports Goal 4, to provide adequate rental and ownership housing opportunities and supportive services for seniors, people with disabilities and people needing sportive housing. Further, the project is consistent with Policy HE -2.2 to create District Centers with high intensity, mixed -use urban villages and pedestrian oriented experiences; Policy HE -2.4 to facilitate diverse types, prices and sizes of housing; Policy HE -4.1 to support development of affordable senior housing readily accessible to support services; Policy HE -4.4 to support service enriched housing for persons with special need such as seniors and people with medical conditions; and Policy HE -4.7 to exercise appropriate land use, planning and regulatory oversight over the operation, location and impact associated with social needs housing and facilities. As proposed and as shown on Map 1 on the following page, the project is similar in scale and intensity with the densities of residential, commercial and office developments found in the immediate vicinity, including those at Westfield Main Place and City Place to the west, as well as office developments to the west, and additional office developments in the City of Orange to the north and east. Amending the land use designation of the project site to DC from MR -15 would render the land use designation more consistent with the type of development in the proposed project, as well as with existing conditions nearby. Further, the DC land use designation would contribute to the overall area's transition to a segment of the city that increasingly offers a "live, work, play" lifestyle to its residents and visitors. The proposed residential tower and enhanced amenities at the project site are consistent with the residential developments at City Place, the recently - entitled "The 301" project at 301 East Jeanette Lane, and allows the future residents at the project to enjoy the commercial amenities nearby at City Place and the Main Place mall, as well as the ability to "age in place." 75A -7 EIR No. 2010 -01, AA No. 2014 -01, GPA No. 2014 -01 April 14, 2014 Page 6 Map 1 Aerial View of Surrounding Area Amendment Application In 1972, the City Council adopted Amendment Application No. 698, which changed the zoning of the site from Single - Family Residence (R -1) to Suburban Apartments (R -4). At that time, it was determined that the proposed size and density of the project was most consistent with the higher intensity R -4 zone. In depth staff analysis has found that, although the intent of the facility is to provide retirement housing through the various life stages, the project's operational characteristics exceed those of a standard residential project. Various components of the Town and Country Manor facility also operate as a care facility, which is considered to be a commercial and service use. In order to apply a zoning designation that is most appropriate for the campus, a zone change to a specific development designation (SD -87) is proposed. 75A -8 EIR No. 2010 -01, AA No. 2014 -01, GPA No. 2014 -01 April 14, 2014 Page 7 A series of site- specific objectives, policies and development standards will be used to guide the development of the tower and associated aquatic and wellness center. Specifically, the SD -87 would involve the creation of development standards such as setbacks, parking and signage and allow the exclusive entitlement of the eight -story residential tower and affiliated parking garage per the approved plan. The SD has been framed to allow the construction of the project as proposed and prohibits future modifications to enlarge or reduce the size of the project. The SD is also intended to be consistent with the scale and character of the surrounding area (Exhibit 11). Approval of the proposal would allow for the construction of a senior residential tower on a campus that provides a variety of services to the senior population. Further, the proposed tower will provide living facilities for active, independent seniors and will allow residents to age in place. Finally, the proposed project would be consistent with applicable zoning requirements. Public Notification The project site is not located within the boundaries of an established Neighborhood Association but is adjacent to the Park Santiago Neighborhood Association. The president of this Neighborhood Association was both contacted by staff and notified by mail a minimum of 10 days prior to the public hearing to ensure the association was notified of the meeting and to see if there were any areas of concern from the neighborhood. At their request, staff and the applicant attended a quarterly neighborhood meeting on April 2, 2014 to review the scope of the project and receive input. A total of 10 members from the neighborhood were in attendance, with the membership generally favorable to the new project. However, a few members were concerned with the size and massing of the tower and how it related to the campus and surrounding area. And, concerns were expressed regarding the potential for constructing additional towers on the Town and Country site. Staff also spoke with the representative from the adjacent City Place Homeowners Association to inform them of the project. Staff did not receive any calls from the HOA board or residents of City Place regarding the proposed project. The project site itself was posted with a notice advertising this public hearing, a notice was published in the Orange County Reporter and mailed notices were sent to all property owners and occupants within 500 feet of the project site. At the time of this printing, no correspondence, either written or electronic, had been received from any members of the public. CEQA Analysis As part of the City's permitting process, the proposed project is required to undergo an environmental review in accordance with the California Environmental Quality Act (CEQA). In accordance with CEQA, the recommended actions have been reviewed through an environmental impact report, EIR No. 2010 -01. Sections 15080 through 15097 of the State CEQA Guidelines (Article 7) guide the process for the preparation of an environmental impact report. 75A -9 EIR No. 2010 -01, AA No. 2014 -01, GPA No. 2014 -01 April 14, 2014 Page 8 The EIR, as required by CEQA; contains 1) an initial study; 2) a project description; 3) a description of the environmental setting, potential environmental impacts, mitigation measures for any significant effects, and consistency with plans and policies; and 4) names of preparers. The mitigation measures included in this EIR are designed to reduce or eliminate the potentially significant environmental impacts described herein. The scope of the EIR evaluates the proposed project's effects on the following resource topics: aesthetics, air quality, biological resources, cultural resources, geology and soils, greenhouse gas emissions, hazards and hazardous materials, hydrology and water quality, land use and planning, noise, population and housing, public services, recreation, transportation and traffic, and utilities and service systems. The City prepared a draft EIR and published the Notice of Availability (NOA) in the Orange County Register as well as posted the NOA at the Orange County Clerk's office on March 11, 2010. The City circulated the draft EIR for a 45 -day public review between March 1, 2010 and April 15, 2010. The draft EIR was available for public review at the Santa Ana City Hall, the City of Santa Ana Main library, and on the City's website. This EIR is intended to provide a forum to air and address comments pertaining to the analysis contained in the draft EIR and to provide an opportunity for clarification, corrections, or minor revisions to the EIR as needed. Comments were received during the public review period. Pursuant to Section 15088 of the State CEQA Guidelines, the City, as the lead agency for the project, has reviewed all comments received on the document. As a result of the environmental analysis, no significant impacts were found from the construction of the proposed project. Mitigation measures have been provided to address potential environmental impacts, with a list of these mitigation measures found within the attached Mitigation Monitoring and Reporting Program. Mitigation measures have been outlined to address potential impacts on air quality, noise, transportation and traffic, utilities and service systems, and climate change (Exhibit 12). Conclusion Based on the provided analysis, staff recommends that the Planning Commission recommend that the City Council adopt a resolution certifying Final Environmental Impact Report No. 2010 -01 and approve the mitigation monitoring program for the Park View and Town and Country Manor; adopt a resolution approving General Plan Amendment No. 2014 -01; and adopt an ordinance approving Amendment Application No. 2014 -01 for Specific Development No, 87 (SD -87). Vince Fregosoe Fregoso, Al� Acting Planning Manager vAreports\Town and Countryl OR2010- 01& AA2014.- 01 &GPA2014- 01.041414.pc 75A -10 EIR No, 2010 -01, AA No. 2014 -01, GPA No, 2014 -01 April 14, 2014 Page 9 Attachments: Exhibit 1 — Vicinity Map Exhibit 2 — Land Use Map Exhibit 3 — Site Photo Exhibit 4 Site Plan Exhibit 5 — Floor Plan Exhibit 6 — Building Elevations Exhibit 7 — Landscape Plan Exhibit 8 — Zoning Map Exhibit 9 — Environmental Impact Report Exhibit 10 — General Plan Amendment Exhibit 11 — Specific Development No. 87 Exhibit 12 — Mitigation Monitoring Program 75A -11 I Al CEPIERAL AGRICULTURAL C -SM SOUTH MAIN STREET COMMERCIAL 0I5TRIC T PD PLANNEDOEVELOPME'T -B PARKING MODIFICATION F FLOOR AREA RATIO PRO PLANNED RESIDENTIAL OEVEI,OPNIENT CI CDMMUNITY COMMERCIAL GC GOVERNNIENTCENTER RI SINGLEFAMILY RESIDENCE Cl MD COMMUNITYCOMMERCIAL- MUSEUM {DISTRICT Ml LIGHI'INOUSTRIAL R2 TWO - FAMILY RESIDENCE C2 GENERALCONIMERCIAL M2 HEAVY INDUSTRIAL R3 MULTIPLE -MILL' RESIDENCE . CBNTRALBUSINE55 MO MILI'-ARYO1111Al10Dli 11 SUBURBAN APARTMENT t,3=A CENTRAL905INESS- ARTISTS VILLAGE 0 OPEN SPACE RE RESIOENTIALE5TATE C4 PLANNED SHOPPING CENTER -OZ OVERL"ZONE SO SPECIFIC OEVEIDPMENT C9 ARTERIALCONIMERCAL P PROFESSIONAL SP SPECIFIC PLAN CR COMMERCIAL RESIDENTIAL PCO PLANNED COMMUNITY DEVELOPMENT ' El 2010 -1 /G PA 2014 -1 /AA 2014 -1 PARK VIEW ATTOWN & COUNTRY MANOR 1"= 1000 FEET 555 EAST MEMORY LANE - - -500 FEET P L A N N I N G A N D R U I L O I N G A G E N C Y VICINITY MAP EXHIBIT 9 75A -12 i L C O M M E R C I A L OFFICE d AND WIPING O Vl STRUCTURE COMMERCIAL n5AN 0 PAM OE CIT Y llM 11 1 r 9NA CIT Y .(MIT S LIVEWORK UNfrs ^+ p�, CONDOS VACANT �A - PROJECi'S1TE, `- y, G JEANffAT LANE I ' 3 COMMERCIAL CONDOS I" 4 CENTER x J I I PARK Jj PN MEMORY �- SANTIAGO �REfiK OFFICE MP10 VAR II AND SPN SANTIAGO PARKING STRUCTURE RESIDENTIAL J RESIDENTIAL EIR 2010 -1 /GPA 2014 -1 /AA 2014 -1 it (5) PARK VIEW ATTOWN & COUNTRY MANOR +" 555 EAST MEMORY LANE P L A N N I N G A N D B J I L D I N G A G E N C Y LAND USE MAP EXHIBIT 2 75A -13 EIR NO. 2010 -01, GPA NO. 2014 -01 AND AA NO. 2014 -01 PARK VIEW AT TOWN AND COUNTRY MANOR 555 EAST MEMORY LANE EXHIBIT 3 75A -14 3R# #f# E 4 s° a a a a�lt_5 Rip s° Ep s a g�gR�; ➢as�l qp }R8R .� 3R£ 8111119331 o fl R i iE jpti �R @S ' 1 Q'aegja !$g ! 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AT GENERALAGRICULTURAL CSM SOUTH MAIN STREET CCLT:IE PC AT DIS TRICT PD PLANNED DEVELOPMENT 'M)m pplrllmr!A 3orgpE >E -B PARKING MODIFICATION -F FLOOR AREA RATIO PRO PLANNED RESIDENTIAL DEVELOPMENT erxsARYJE,F CI COMNIUNITY COMMERCIAL GC GOVERNMENT CENTER RI SINGLEFAMILY RESIDENCE v -`9mlp C^ppupwwE�arorr CI-MD COMMUNTY COMMERCIAL-MUSEUM DISTRICT MI LIGHT INDUSTRIAL R2 TWPFAMILY RESIDENCE cwpcn SWJnJrINO Yn6). MTEtl rr.r &la, C2 GENERALCUSIMERCIAL M2 MEAVYINOUSTRIAL R4 RESIDENCE �pEVr rnlclrirx G CENTRAL BUSINE35 MO MILITARY OPERATIONS RA SUBURBAN SUBURBAN APARTMENT pmvudawcr CS.A CENTRAL BUSINESSARTISTS' VILLAGE O OPEN SPACE RE RESICENTIALESTATE psae U PLANNED SHOPPING CENTER OZ OVERUYZONE SO SPECIFIC DEVELOPMENT CS ARTERIAL COMMERCIAL P PROFESSIONAL SP SPECIFICPUN = vir ^z °s OR COMMERCIAL COMMERCIAL RESIDENTIAL POD PLANNED COMMUNITY DEVELOPMENT yrs N11 ppEpIFOMiE 9E5 rn xl NJ .lE3.Ap'MXNOI W 1 H 1., aIN6 Aa Ip11u Opp rpE9.p0 NSS]a N6]rp MS1191 .4 _ MJVttOpAIE f161• 31 - -IrMa ]clI] �Itl>iI I3N6 SIW Z'aNIA ECTIC)NAL DISTRICT ♦ I PREPARED BY THE PLANNING DIVISION CITY OF SANTA ANA, CALIFORNIA O The complete Environmental impact Report is a separate document of the staff report. The EIR can also be found at the Planning Division public counter and on the City's webpage at http://www.santa- ana.org /pba/ planning/ Parl <ViewatTownandCountryManor.asp 75A -34 City of Santa Ana General Plan Land Use Element 1998 City of Santa Ana Planning Division 'F t � lw 241 r nR" Adopted February 2, 1998 .(Reformatted January 2010) Tile- following is a chronology of the approved general plan amendments fiat have been incorporated into this document since the comprehensivc updutc of the General. Plan Lund Use Element adopted by the Same Ana City Council February 2, 1993 (GPA 1997 -05): GPA 2014-01loendhW GPA 201103 (March 19, 2012) GPA 2011 -02 (June 6, 2011) GPA 2010 -01. (J arm 7. 2010) GPA 200802 (July 20, 2009) GPA 2007 -03 (May 18, 2009) GPA 200403 (February 2, 2009) GPA 200801 (May 5, 2008) GPA 2007 -02 (June 18, 2007) GPA 2007-01 (March 19, 2007) GPA 1006 01 (October 2, 2006) GPA 200b-01 (December 5, 2005) GPA 2005 02 (October 17, 2005) GPA 2004-01 (April 5, 2005, as passed by the voters of Santa Ana) GPA 200404 (July 19, 2004) GPA 200406 (July 6, 2004) GPA 200302 (June 16, 2003) GPA 2003-01 (February 18, 2003) GPA 2002.01 (September 3, 2002) GPA 2002.03 (August 19, 2002) GPA 2001 -03 (February 19, 2002) GPA 2001 -02 (January 7, 2002) GPA 200009 (May 7, 2001). GPA 2000 -08 (Febmary 5, 2001) GPA 200003 (December 4, 2080) GPA 2000 -02 (November 20,20M) GPA 199902 (October 18, 1999) GPA 1992 01 (August 16r 1999) GPA 199B.04 (October 5, 1998) GPA1996 -05(Septamhar21, 1998) GPA 1998-01 (May 4,1998) N OE Q co 75A -36 LAND USE ELEMENT The City established development intensity standards in 1988, for nonresidential land use designations. The standards measure intensity through the use of floor area ratios. The floor area ratios proposed for the City's major commercial corridors are expected to remain in place over the life of the Land Use Element. The basic character of these corridors is not expected to change significantly during that time. Those areas of the City proposed for the most intensive levels of development include district centers, professional and administrative office districts, and several other commercial centers with a unique character, or special development concerns. Some of these areas correspond to those for which Specific Plans have been prepared. The proposed floor area ratio(s) for most of the City's commercial corridors allows structures of two to three stories with surface parking. The major development areas -the District Centers and Professional/Administrative Office Districts along Tustin Avenue and East First Street -allow mid -rise and high -rise buildings with structured parking. These areas are expected to generate the highest level of development activity in the City as centers of commerce. These areas are listed in Table A -2 and are shown in Exhibit A -4. The floor area ratios indicated in Table A -2 are the maximum building intensity allowed for development. Table A -2 Key Area- Floor Area Ratios Area ProjectlArea MainPlace FAR _ 1 2.1 2 Ci Place 2.54 _ _ 3 North Main Street 1.5 4 North Broadway 1.0 5 Museum District 1.5 6 Hutton Devela ment 1.0 _ 7 Civic Center Specific Development Plan _ 1.0 8 9 10 11 _ 12 13 14 15 16 17 Midtown S ec'rfic Plan Civic Center Downtown Orange County Register _ Xerox Center Develo ment 0.5 -1.0 1.0 3.0 _ _ 1.15 3.29 1.0 1.5 First StreefjrustinAvenue Bentall Center Development 2720 Hotel Terrace Drive 1951 East Carnegie Avenue 4040 West Carriage-Avenue Lake Center Development _ 1.0 0.55 0.47 18 _ 0.72 19 20 South Coast Metro MacArthur Place North 1.0 2.0 _ _ 21 22 MacArthur Place South Pac Tel Office _ _ _ Metro East 1.0 1.5 3.0 23 24 Transit Village Town 8, Counhi anor 5.0 IV A -12 CITY OF SANTA ANA GENERAL PLAN 75A -37 75A-38 /Gm LL -0 cl 1 4516 z cu E 89 8 B.. _j A4 75A-38 LA,4D USE ELEMENT Residential The Land Use Plan provides for three distinct residential hand use designations. Residential development is also permitted in two other designations: District Center and Urban Neighborhood. The Santa Ana Land Use Plan includes the following residential land use designations: • The Low Density Residential (LR -7) designation applies to those areas of the City which are developed with lower density residential land uses. The allowable maximum development intensity is 7 units per acre, Development in this category is characterized primarily by single - family homes. This designation applies to a large proportion of the City (6,466.0 acres) representing 47 percent of the City's total land area, • The Low - Medium Density Residential (LMR -11) designation applies to those sections of the City which are developed with residential uses at permitted densities of up to l I units per acre. The land area included in this designation is approximately 433.7 acres. The great majority of the land designated as Low- Medium Density Residential is located in the westerly portion of the City, north and south of First Street. Properties with this designation are typically characterized by mobile home parks, a mixture of duplexes and single family residences, or small lot subdivisions. • The Medium Density Residential (MR-15) designation applies to those sections of the City which are developed with residential uses at densities of up to 15 units per acre, Development in this designation is characterized by duplexes, apartments, or a combination of both. Atotal of 377.0385.4 acres is designated as Medium Density Residential. The designation applies to areas located in the vicinity of downtown, areas north and south of MacArthur Boulevard, and in other areas where there are established multiple- family development projects. CITY OF SANTA ANA GENERAL PWII A -14 75A -39 LAND LISE ELEMENT Mixed Use The Land Use Plan provides for two distinct mixed use land use designations. These designations allow for both vertical and horizontal mixed use developments, with an emphasis on linkages to a range of transportation options: The District Center (DC) land use designation includes the major activity areas in the City. Seven areas of the City, totaling 5213 54,3 -1— acres, are designated as District Center. The intensity standard for the District Center designation ranges from a Floor ratio of 1.0 to 5.0. District Centers are designed to serve as anchors to the City's commercial corridors, and to accommodate major development activity. District Centers are to be developed with an urban character that includes a mixture of high - rise office, commercial, and residential uses which provide shopping, business, cultural, education, recreation, entertainment, and housing opportunities. Residential developments within some District Centers are allowed at a density of up to 90 units per acre when developed as an integral component of a master planned mixed use project. In Metro East, Downtown, and Transit Village District Centers residential development intensity is based on a combination of floor area ratio and zoning overlay and /or development .standards. Some District Centers serve as major retail and employment centers locally and regionally, and should include development which promotes the City as a regional activity center while creating an environment conducive to business on a regional scale, District Centers in Santa Ana include the following: The Main Place /City Place District Center includes a regional shopping center and office complex, as well as-. Addiriouxd high intensity he using an<t mixed -use development s atreielpxeed fnr this dt ttiet. • The Museum District located between the Downtown and MamPlace /City Place District Centers is proposed as a major office/cultural center which will be developed over the next 15 to 20 years. The area will focus upon the expanded Bowers Museum, the Discovery Science Center and the construction of additional museums and cultural centers. • The Downtown District serves as one of the County's major employment and governmental operations centers complemented with a mix of residential, commercial, and services uses to enhance its urban vibrancy. Emphasis on streets that accommodate all modes of transportation, including mass transit, pedestrian and bicyclist is key in this urban setting. A -22 CITY OF SANTA ANA GENERAL PLAN 75A -40 Exhibit A -5 Major Development Areas LAND USE ELEMENT 1A YET A A, UAY:NCN/AV AV 5ANrA CORA Al . 2 r 1 •�rTIIN 5r. 9i. MssllI.N119 0', 51( 51 SANTAANA cseOeJUT Ar , L AV.: 55 � VVINOM AV, « `fir 6a,1S TT0A1 Oi' AItON AY AIACAATHUX JI", _ �F IIN+tf1V /2�•Al. 1 - MainPlaee /Cily Place 2 - Museum District 3 - Downtown A - One 6roadwoy :Plaza 5 - Southcoost Metro b - MacArthur Place 7 - Tustin Avenue Corridor 0 - Metro East 9 - Transit Village N — ++—• —+ Citydmits a ok 1.2 Miles CRY OF SAN] 'A ANA GENERAL PLAN A -25 75A -41 LAND USE ELEMENT interagency Development Review Committee (DRC) to ensure consistent and comprehensive application of City regulations and policies for all projects, • Redevelopment Plans. The City will apply redevelopment tools associated with the implementation of the adopted redevelopment plans, as appropriate. The City will encourage the further development of industrial, commercial, and residential projects in suitable locations to strengthen the City's tax and employment base. • Special Studies. In certain instances, d special study may be required to address a particular issue. In these cases, a specific etfint to identify staff resources needed to conduct the appropriate investigation and analysis will be identified. • Zoning Code Review. The zoning code serves as a primary tool used by the City to regulate development. The City will develop a program to revise the Zoning Ordinance to ensure that development regulations and standards are consistent with community needs and high quality development. The City will initiate appropriate changes to the ordinance to ensure, where appropriate, conformity between the Land Use Element and "Zoning Map. LAND USE PLAN BUILDOUT As indicated previously, the City of Santa Ana has been almost completely developed for many years. As a result, any new development will necessarily consist of redevelopment and infill development on the remaining vacant and underutilized parcels. Many parcels with nonresidential land use designations will never be developed to the maximum intensity permitted under the General Plan. Table A -4 indicates the development possible under the build -out of the Land Use Plan. The build -out for residential land uses considered Lvvo scenarios. Effective build -out for residential development is calculated by adding the 15,168 -1-1460-units possible in the areas designated as District Center to the existing 74,588 units presently found in the City per Census 2000. Theoretical build -out for residential development considered the development possible ifall of the areas designated as residential were developed according to the permitted Land Use Plan intensities. Since the Land Use Element does not contemplate the elimination of existing housing in the City, the effective build -nut figure represents a more realistic estimate of future residential development. As indicated in TableA -4, three of the non - residential land use designations have a range in FAR intensities. For the non - residential land use designations, effective build-011t considered the development possible under the lower range of FAR intensities while theoretical build -out considered the upper PAR range. Typically, parking and landscaping requirements will result in significantly Less floor area for commercial and industrial developments than that which is permitted under the General Plan. CITY OF SANTA ANA GENERAL PLAN A -33 75A -42 LAND USE ELEMENT As indicated in Table A -4, between 70,,h56,74,46�3to €19 /55 81):i48- housing units are allowed by the Land Use Plan. The additional units which presently exist in the City beyond the maximum number permitted under the theoretical buildorn scenario are a reflection of the higher density multiple- family developments constructed in the 1970's and 1980's. However, the purpose ofthe Land Use Plan as it applies to the residential areas is to preserve and maintain the stability of existing neighborhoods, regardless of the character of development. The intent of the Plan is not to create any displacement, nor decrease existing development densities. Rather, it is to ensure a safe, healthy, and livable environment for City residents. Existing residential development entitlements are protected through this Land Use Element, applicable Zoning regulations, and sections of the City code pertaining to legal nonconforming uses. The Land Use Element's implementation may result in an increase in the amount of commercial, office, and industrial development in the City. As indicated in Table A -4 up to 37,678,572 square .feet of commercial and office development, and 42,892,704 square feet of industrial development are possible under the effective capacity parameters of Land Use Plan. A -8e CITY OF SANTA ANA GENERAL PLAN 75A -43 LAND USE ELEMENT Table A -4 Land Use Plan Build -out Capacities___ _ Intensity/ Effective Buildout'Theoretical Land Use Acres nensity Ruildmd Low Density Residential 1 6,466.0 7 dulac Open Space OS 1,017.8 FAR 02 8,867,509 sf 45,262 du Low Medium Density Residential LMR -11 433.7 11 dulao :. 4,771 du Medium Density Residential MR -15 15 du /ac 388&,3 5-7 Subtotal 7,276. 7 - 89 755 55 668 x -2A4 -8 99-446 dui 554-42 du ,,tt pp zau District Center Downtown DC 62.5 FAR 3.0 : 2,057,824 sf 1,661 dui 2,057,824 sf: du Metro East DC 98,3 FAR 3.0 : 3,245,185 at 5,551 du I 3,245,165 sf, 5,551 du Transit Village DO 514 FAR 510 402,864 sf 2,761 du 402,864 sf 2,761 tlu Other' DD 309. —� 90 du ac 11 955 583 30E 237, 64.534 3017 1 -2 FAR 1 0 2 0 14 -.808 -950 sf 2-49 d S3-G17 -941 sf, 2-749 du Urban Neighborhood UN 148.1 FAR 0 5-1 5 724249s I 2177 dui 724249 sP 2,177 du Subtotal 6667 + 1831} 15]69} 30194656 151fi9 6594 x&239 -fF72 sf 44,869 dd ;}9- 94A- 923t -sf, du - Professional & Admin. Office PAD 633.0 FAR 0.5.1.0 13.787,219 at: 27,574,438 of General Commercial GC : 1,071.6 FAR 0.5.1.0 23,338,795 of'. 46,677,589 at One Broadway Plaza District Ctrl 08PDC 4.3 FAR 2 9 543,193 at 543,193 at -- Subtotal__- __ -- - - -�� -� 1,709.9 - - - -- 37,669,207 at 74,795,221 sf, - -__ -- Industrial IND 2,188.21, FAR 0.45 42,892,704 at 42,892,704 at Institutional° INS 796.31 FAR 0.2-0.5 6,937,758 at 17,344,394 s' Open Space OS 1,017.8 FAR 02 8,867,509 sf 8,867,509 or Subtotal ':, 1,8142 15.805.267 at 26,214,903 sf t Effective capacity for non - residential development assumes development possible underthe lower range of FAR Intensity standards with the exception of the Metro East District Center, Transit Village District Center, Downtown District Center, and Urban Neighborhood areas. The Metre East District Center, Transit Village District Center, Downtown District Center, and Urban Neighborhood areas allow a range or intensity for mixture of residential and non - residential development based on the zoning development standards. Residential affective capacity was calculated by adding the 15 16814;860 -units poselblb in the District Center and Urban Neighborhood with the existing 74,888 (Census 2000) housing units. t Land use designation permits both residential and non - residential development. Build -nut assumes 90% of land area will be developed as commercial and IM will be developed as msldrrmIHI' with the exception of Town and Country Manor protect intended for continuum of care and houl no seniors I Land use designation permits high intensity office development with ancillary retail use. This table has been revised to correspond with the CIS Land Use Map illustrated in Exhibit 2.. CI "rY OF SANTA ANA GENERAL PLAN A -35 75A -44 SPECIFIC DEVELOPMENT PLAN NO. 87 'Town and Country Manor SECTION I — APPLICABILITY OF ORDINANCE The Specific Development zoning district No. 87 for the Town and Country Manor project site is authorized by Chapter 41, Division 26 Section 41 -593 et seq. of the Santa Ana Municipal Code: SD No. 87 contains the specific standards and regulations contained in the residential and commercial districts, as herein amended, for the purpose of establishing land use regulations and standards. All other applicable chapters, articles, and sections of the Santa Ana Municipal Code are in effect iulless superseded by regulations contained in this ordinance. SECTION 2 — PURPOSE The Specific Development Plan No. 87 for the Town and Country Manor campus consists of standards and regulations established for the purpose of protecting the health, safety, and general welfare of the people of the City of Santa Ana by promoting and enhancing the value of property and encouraging the orderly development of the property. SECTION 3 — Uses permitted in Specific Development No. 87 The following uses are permitted in the SD -87 district: (a) Continuing care residential facilities for seniors including: (1) Independent living facilities (2) Congregate care facilities (3) Assisted living quarters (4) Skilled nursing facilities (b) Churches and chapels (c) Child care facilities SECTION 4 — Uses subject to a conditional use permit in Specific. Development No. 87 (a) Continuing care residential facilities for persons other than senior citizen (b) Wireless communication facilities EXFIIBIT 1.1 Page 1 of 4 75A -45 SECTION 5 — Minimum lot area in Specific Development No. 87 Lots shall have a minimum lot area of 8 acres. SECTION 6— Minimum street frontage in Specific Development No. 87 Lots shall have a to nimutn street frontage of at least 250 feet. SECTION 7 — Building height in Specific Development No. 87 No structure shall exceed 125 feet in height, as treasured from the lowest adjacent grade of the structure to the top of the structure. SECTION 8 — Lot coverage in Specific Development No. 87 No snore than 60 percent of the lot shall be covered by structures. SECTION 9 — Front yards (Lawson Way) in Specific Development No. 87 There shall be a front yard of not less than 17 feet from the street. SECTION 10 — Side yards (Memory Lane) in Specific Development No. 87 There are no side yard requirements, except that on corner lots the side yard adjacent to the street shall have a side yard of not less than 20 feet. SECTION 11 —Rear yards in Specific Development No. 87 There are no rear yard requirements, except that rear yards adjacent to a residential use shall . have a landscaped setback of at least 5 feet. SECTION 12 — Development standards in Specific Development No. 87 Lots in the SD No. 87 zoning district shall comply with the following standards: (a) Front and street oriented side yards shall be landscaped with the exception of approved driveways and sidewalks. (b) A landscaped planter not less than 10 feet in width is required along any property line that abuts any property which is neither zoned or has a general plan land use designation. (c) All storage shall be conducted within a completely enclosed building. Page 2 of 4 75A -46 SECTION 13 — Parking standards in Specific Development No. 87 Off - street parking in the SD -87 zoning district shall comply with the standards set forth in Article XV (Off - Street Parking) of the Santa Ana Municipal Code except for the following: (a) The minimum off- street parking requirement for senior citizen establishments, pertaining to spaces reserved for residents who are 55 years of age or older, are as follows: (1) One space for each one bedroom unit and one and a half (1.5) spaces for each two bedroom unit, (2) Of the spaces required by subsection (a), at least one space shall be in a garage or under a carport. (3) In addition to subsection (a), guest parking spaces shall be provided in an amount not less than 15 percent of t'he required parking under subsection (a). SECTION 14 — Sianage standards in Specific Development No. 87 Lots in the SD No. 87 zoning district shall comply with the following standards: (a) Signage shall comply with the standards set forth in sections 41 -850 through 41 -1000 of the SAMC, with the exception of the standards identified below. (b) One freestanding sign identifying the facility can be located on. Lawson Way and may be a maximum of 18 linear feet (height plus length of sign). SECTION 15 — Landscape standards for Specific Development No. 87 In the SD Now 87 zoning district, all yards shall be landscaped. The site shall comply with the following rninimurn requirements: (a) Front /side yard facing a street: (1) Two 24 -inch box canopy trees. (2) All trees shall be double- staked. (3) Six five - gallon size shrubs and 10 onc- gallon size herbaceous perennials /shrubs as a foundation planting. Page 3 of 4 75A -47 (4) Turf or acceptable dry climate ground cover: i. Turf shall be drought tolerant variety and planted as sod or hydroseed, ii. Ground cover shall be well- rooted cuttings from flats and planted at appropriate spacing for that particular plant material. (b) Irrigation systems: (1) A pop -up sprinkler type irrigation system shall be provided for all yards (2) The use of "xcriphytic" or dry climate type plant materials is encouraged. Irrigation systems may require special fittings to properly water dry climate plantings. (c) Screening: (1) All meters shall be appropriately screened from public view with trellis work and vines or a hedge type shrub or they shall be incorporated into the structure. (2) Any enclosed structure for utilities must not encroach into any required setback. (d) Maintenance: (1) All plant material shall be maintained per section 41 -609 of the Santa Ana Municipal Code. Rage 4 of 4 75A -48 Mitigation Monitoring and Reporting Program for the Environmental Impact Report Park View at Town and Country Manor Project Santa Ana, California Prepared for: City of Santa Ana Planning and Building Agency 20 Civic Center Plaza /M -20 Santa Ana, CA 92702 714.744.7220 Contact: Vince C. Fregoso, AICP, Principal Planner Prepared by: Michael Brandman Associates 220 Commerce, Suite 200 Irvine, CA 92602 714.508,4100 Contact: Tom Holm, AICP, Director April 8, 2014 EXHIBIT 12 75A -49 d, C a d IL 0, O. d N N d Ix Q ro dW rob G � � O p w C� T ❑ U OF9 C R•b O iVbC O L 'd N ro O N ro O y F 'T' roCN 00 O O 'T' b6 O O O vw6 u Ua d U a` bFq I � U W fro• b c mG Vi bq U � Q ! 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N O Pr u 0 75A -61 a Ng Gr m ,§ E& b -y ro` Na V3 to v, E N I C N d N • N N O C 4464 o b bD O b E do U ni °N' .. ail tn s V E � o v w N❑ '� E❑ d m u.. to b 09 m P O N ,P. 0 0 u d U b 75A -61 a Ng Gr m ,§ E& b -y ro` Na V3 i m E' c 0'I !m I p -a G I T I ( v -a o I ( v O v �a .N m E m 0 m o c .9 N c � � k � � m p, e U v P „ �N 5 o 0 I I FC � V I j b N 75A -62 ROH - 06/03/14 RESOLUTION NO. 2014- A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING GENERAL PLAN AMENDMENT NO. 2014 -01 AND CERTIFYING FINAL ENVIRONMENTAL IMPACT REPORT NO. 2010 -01 AND APPROVING THE MITIGATION MONITORING PROGRAM FOR THE PROPERTY LOCATED AT 555 EAST MEMORY LANE 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. Applicant is requesting General Plan Amendment No. 2014 -01 to amend the General Plan to change the land use designation from Medium Density Residential (MR -15) to District Center (DC) to allow construction of the Park View at Town and Country Manor tower to be built on a 2.5 acre section of the site that is located at the southwest corner of the campus located at 555 East Memory Lane. B. On April 14, 2014, the Planning Commission held a duly noticed public hearing and voted to recommend that the City Council adopt a resolution approving General Plan Amendment No. 2014 -01 and Certifying Final Environmental Impact Report No. 2010 -01 and approving the Mitigation Monitoring Program. C. On May 6, 2014, the City Council of the City of Santa Ana opened a duly noticed public hearing and at that time continued the matter to a future meeting. On June 3, 2014, the City Council considered all testimony, written and oral, related to General Plan Amendment No. 2014 -01 and Final Environmental Impact Report No. 2010 -01. D. Currently, the land use designation for this site is Medium Density Residential (MR -15), which allows residential development that does not exceed 15 dwelling units per acre. This project will require amendments to the Land Use Element, including amending the General Plan Land Use designation to District Center (DC) with a General Plan floor area ratio of 1.27. The floor area ratio was derived from the size of the proposed buildings as well as the square footage of the existing structures on the site. Resolution No. 2014 -XXX 75A-63 Page 1 of 5 E. The proposed project will be consistent with several goals and policies of the recently adopted Housing Element. First, the project is consistent with Goal 2, which encourages diversity of quality housing, affordability levels, and living experiences that accommodate Santa Ana's residents and workforce of all household types, income levels and age groups to foster an inclusive community. Second, the project supports Goal 4, to provide adequate rental and ownership housing opportunities and supportive services for seniors, people with disabilities and people needing sportive housing. Further, the project is consistent with Policy HE -2.2 to create District Centers with high intensity, mixed -use urban villages and pedestrian oriented experiences; Policy HE -2.4 to facilitate diverse types, prices and sizes of housing; Policy HE -4.1 to support development of affordable senior housing readily accessible to support services; Policy HE -4.4 to support service enriched housing for persons with special need such as seniors and people with medical conditions; and Policy HE -4.7 to exercise appropriate land use, planning and regulatory oversight over the operation, location and impact associated with social needs housing and facilities. F. The City Council has weighed and balanced the general plan's policies, both new and old, and has determined that based upon this balancing that General Plan Amendment No. 2014 -01 is consistent with the purpose of the general plan. G. As part of the City's permitting process, the proposed project is required to undergo an environmental review in accordance with the California Environmental Quality Act (CEQA). In accordance with CEQA, the recommended actions have been reviewed through an environmental impact report, EIR No. 2010 -01. Sections 15080 through 15097 of the State CEQA Guidelines (Article 7) guide the process for the preparation of an environmental impact report. H. The EIR, as required by CEQA, contains 1) an initial study; 2) a project description; 3) a description of the environmental setting, potential environmental impacts, mitigation measures for any significant effects, and consistency with plans and policies; and 4) names of preparers. The mitigation measures included in this EIR are designed to reduce or eliminate the potentially significant environmental impacts described herein. The scope of the EIR evaluates the proposed project's effects on the following resource topics: aesthetics, air quality, biological resources, cultural resources, geology and soils, greenhouse gas emissions, hazards and hazardous materials, hydrology and water quality, land use and planning, noise, population and housing, public services, recreation, transportation and traffic, and utilities and service systems. The City prepared a draft EIR and published the Notice of Availability (NOA) in the Orange County Register as well as posted the NOA at the Resolution No. 2014 -XXX Page 2 of 5 75A -64 Orange County Clerk's office on March 11, 2010. The City circulated the draft EIR for a 45 -day public review between March 1, 2010 and April 15, 2010. The draft EIR was available for public review at the Santa Ana City Hall, the City of Santa Ana Main Library, and on the City's website. J. Comments were received during the public review period. Pursuant to Section 15088 of the State CEQA Guidelines, the City, as the lead agency for the project, has reviewed all comments received on the document. K. As a result of the environmental analysis, no significant impacts were found from the construction of the proposed project. Mitigation measures have been provided to address potential environmental impacts, with a list of these mitigation measures found within the attached Mitigation Monitoring and Reporting Program. Mitigation measures have been outlined to address potential impacts on air quality, noise, transportation and traffic, utilities and service systems, and climate change. L. The applicant agrees to indemnify, hold harmless, and defend the City of Santa Ana, its officials, officers, agents, and employees, from any and all liability, claims, actions or proceedings that may be brought arising out of its approval of this project, and any approvals associated with the project, including, without limitation, any CEQA review or approval, except to the extent caused by the negligence of the City of Santa Ana. Section 2. The City Council has reviewed and considered the information contained in Final Environmental Impact Report No. 2010 -01 prepared with respect to this project. The City Council has, as a result of its consideration of the record as a whole and the evidence presented at the hearings on this matter, determined that, as required pursuant to the California Environmental Quality Act (CEQA) and the State CEQA Guidelines, Final Environmental Impact Report No. 2010 -01 meets all requirements of CEQA. The City Council hereby certifies and approves Final Environmental Impact Report No. 2010 -01 and the Mitigation Monitoring Program attached herewith and incorporated herein by this reference, and directs that a Notice of Determination be prepared and filed with the County Clerk of the County of Orange in the manner required by law. Section 3. Pursuant to Title XIV, California Code of Regulations ( "CCR ") §735.5(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 §711.2 and Title XIV, CCR §735.5(a)(3), the payment of Fish and Game Department filing fees is not required in conjunction with this project. Section 4. The City Council hereby approves General Plan Amendment No. 2014 -01 and certifies Final Environmental Impact Report No. 2010 -01 and approves the Resolution No. 2014 -XXX 75A-65 Page 3 of 5 Mitigation Monitoring Program. The amendments to the General Plan are attached hereto as Exhibit A and incorporated herein by this reference as though fully set forth herein. Final Environmental Impact Report No. 2010 -01 is attached hereto as Exhibit B and incorporated herein by this reference as though fully set forth herein. The Mitigation Monitoring Program is attached hereto as Exhibit C and incorporated herein by this reference as though fully set forth herein. These decisions are based upon the evidence submitted at the above said hearing, which includes, but is not limited to: the Request for Council Action dated May 6, 2014, and exhibits attached thereto; the Request for Council Action dated June 3, 2014, and exhibits attached thereto; and the public testimony, written and oral, all of which are incorporated herein by this reference. Section 5. These decisions rendered by the City Council of the City of Santa Ana are final and are subject to judicial review pursuant to California Code of Civil Procedure section 1094.6. The Planning and Building Agency shall give direct notice to the applicant of the Council's decisions and these findings. ADOPTED this day of 2014. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Ryan O. Hodge Assistant City Attorney AYES: NOES: MEN ► Councilmembers Councilmembers Councilmembers NOT PRESENT: Councilmembers Resolution No. 2014 -XXX 75A -66 Page 4 of 5 CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Resolution No. 2014 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: Clerk of the Council City of Santa Ana Resolution No. 2014 -XXX 75A-67 Page 5 of 5 75A -68 ORDINANCE NO. NS- AN ORDINANCE OF THE CITY COUNCIL OF THE CITY OF SANTA ANA REZONING THE TOWN AND COUNTRY MANOR PROPERTY LOCATED AT 555 EAST MEMORY LANE FROM SUBURBAN APARTMENT (R -4) TO SPECIFIC DEVELOPMENT NO. 87 (SD -87) (AA NO. 2014 -01) AND ADOPTING SPECIFIC DEVELOPMENT NO. 87 (SD -87) FOR SAID PROPERTY THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS FOLLOWS: Section 1. The City Council of the City of Santa Ana does hereby find, determine and declare as follows: A. Amendment Application No. 2014 -01 has been filed with the City of Santa Ana to change the zoning district designation of certain real property located at 555 East Memory Lane from Suburban Apartment (R -4) to Specific Development No. 87 (SD -87). The Specific Development No. 87 zoning district (SD -87) would allow the Park View at Town and Country Manor tower to be built on a 2.5 acre section of the site that is located at the southwest corner of the campus. B. The Planning Commission of the City of Santa Ana held a duly noticed public hearing on April 14, 2014, on Amendment Application No. 2014 -01 and decided to recommend that the City Council adopt an ordinance approving Amendment Application No. 2014 -01, which is consistent with the General Plan. C. This Council, prior to taking action on this ordinance, opened a duly noticed public hearing on May 6, 2014, and at that time continued the matter to a future meeting. On June 3, 2014, the City Council considered all testimony, written and oral, related to this ordinance. D. The City Council also adopts as findings all facts presented in the Request for Council Action dated May 6, 2014, and the Request for Council Action dated June 3, 2014, accompanying this matter. E. For these reasons, and each of them, Amendment Application No. 2014 -01 is hereby found and determined to be consistent with the General Plan of the City of Santa Ana and otherwise justified by the public necessity, convenience, and general welfare. 75A -69 Section 2. The City Council has reviewed and considered the information contained in Final Environmental Impact Report No. 2010 -01 prepared with respect to this project. The City Council has, as a result of its consideration of the record as a whole and the evidence presented at the hearings on this matter, determined that, as required pursuant to the California Environmental Quality Act (CEQA) and the State CEQA Guidelines, Final Environmental Impact Report No. 2010 -01 meets all requirements of CEQA. Pursuant to Title XIV, California Code of Regulations ( "CCR ") §735.5(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 §711.2 and Title XIV, CCR §735.5(a)(3), the payment of Fish and Game Department filing fees is not required in conjunction with this project. Section 3. The real property located at 555 East Memory Lane in Santa Ana is hereby reclassified from Suburban Apartment (R -4) to Specific Development No. 87 (SD -87). An amended Sectional District Map, showing the above described change in use district designation, is hereby approved and attached hereto as Exhibit "A" and incorporated by this reference as though fully set forth herein. Section 4. Specific Development No. 87 (SD -87), attached hereto as Exhibit "B" and incorporated by this reference as though fully set forth herein, is approved and adopted in its entirety. Section 5. If any section, subsection, sentence, clause, phrase or portion of this ordinance is for any reason held to be invalid or unconstitutional by the decision of any court of competent jurisdiction, such decision shall not affect the validity of the remaining portions of this ordinance. The City Council of the City of Santa Ana hereby declares that it would have adopted this ordinance and each section, subsection, sentence, clause, phrase or portion thereof irrespective of the fact that any one or more sections, subsections, sentences, clauses, phrases, or portions be declared invalid or unconstitutional. ADOPTED this _ day of , 2014. Miguel A. Pulido Mayor 75A -70 APPROVED AS TO FORM: Sonia R. Carvalho City Attorney Ryan O. Hodge Assistant City Attorney AYES: Councilmembers NOES: Councilmembers ABSTAIN: Councilmembers NOT PRESENT: Councilmembers CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify the attached Ordinance No. NS- to be the original ordinance adopted by the City Council of the City of Santa Ana on , and that said ordinance was published in accordance with the Charter of the City of Santa Ana. Date: Clerk of the Council City of Santa Ana 75A -71 75A -72 REQUEST FOR COUNCIL /SANTA ANA FINANCING AUTHORITY ACTION CITY COUNCIL MEETING DATE: JUNE 03, 2014 TITLE: RESOLUTIONS EXECUTING AGREEMENTS AND FINANCING DOCUMENTS RELATED TO DEFEASE, REFUND, AND AMENDING BOND SERIES 1994A, 2004A, 1998, AND 2007 LEASE AGREEMENT CITY MANAG R RECOMMENDED ACTION CITY COUNCIL ACTION CLERK OF COUNCIL USE ONLY: p••:• ❑ As Recommended ❑ As Amended ❑ Ordinance on 1" Reading ❑ Ordinance on 2ntl Reading ❑ Implementing Resolution ❑ Set Public Hearing For CONTINUED TO FILE NUMBER Adopt a resolution authorizing the execution of certain lease financing documents in connection with the defeasance (retiring) of a portion of the Police Administration and Holding Facility Lease Revenue Bonds, Series 1994A, and the defeasance and refunding of the outstanding City of Santa Ana Certificates of Participation (1998 City Hall Expansion Project) and authorize the City Manager and Executive Director of Finance to execute all related documents and actions to complete the transaction as reference in Exhibit A. 2. Adopt a resolution approving an amendment of the City Hall Parking Structure Lease Agreement to reduce the interest rate to 3.60% SANTA ANA FINANCING AUTHORITY ACTION Adopt a resolution authorizing the execution of certain lease financing documents in connection with the defeasance of a portion of the Santa Ana Financing Authority Police Administration and Holding Facility Lease Revenue Bonds, Series 1994A, and the defeasance and refunding of the outstanding City of Santa Ana Certificates of Participation (1998 City Hall Expansion Project) and authorizing and directing certain actions to complete transactions. 2. Adopt a resolution approving an amendment of the City Hall Parking Structure Lease Agreement to reduce the interest rate to 3.60% 80A -1 Reso to Defease, Refund and Amend Bond Series 1994A, 2004A, 1998, & 2007 June 03, 2014 Page 2 DISCUSSION The City of Santa Ana Mayor and City Council unanimously adopted the City's 5 -year Strategic Plan which includes a goal to ensure financial stability. Under goal number four, two strategies are outlined; 2d) Conduct an assessment of the City's debt and refinancing options to achieve savings and 3c) Implement a plan to achieve a General Fund balance of 20% of expenditures. In an effort to implement these strategies, on January 21, 2014, the City Council approved the use of four firms to assist staff in reviewing existing debt and identify opportunities for potential savings. On April 1, 2014, two teams were selected. The first team is comprised of Fieldman, Rolapp, & Associates (financial advisor) and Quint & Thimmig (bond counsel), which were selected to review the 1994A and 2004A Police Administration Lease Revenue Bonds and other associated general fund debt. The second team is comprised of Urban Futures, Inc. (financial advisor) and Best, Best & Krieger LLP (bond counsel), which were selected to review the 2004 Water Revenue Bonds. With interest rates on US Treasury Bonds having decreased from 3.0% to 2.5 %, since the beginning of the year, the municipal bonds market has followed suit. This has correlated into increased attention in the municipal bond market by investors. In order to benefit from this opportunity, staff is recommending several actions. The items before the City Council relate specifically to General Fund debt and expands beyond the Police Administration Lease Revenue Bonds (1994A Bonds) to include the 1998 City Hall Expansion Project Certificates of Participation ( COP's), and a lease rate change on the City Hall Parking Structure Lease Agreement. The 1994A Bonds were issued in March of 1994 to finance the construction and equipping of a police administrative and holding facility. The 1994A Bonds were partially refunded in 2004. These bond series 2004A mature on July 1, 2014. The City will defease the 2004A bonds by depositing with the Bank of New York Mellon (trustee) the necessary amount that corresponds to the upcoming July 2014 debt service payment. The 1994A Bonds are currently outstanding in the par amount of $67.1 million, comprised of serial bonds maturing on July 1, of 2015 through 2019 and a term bond maturing on July 1, of 2024. As part of the bond covenants agreed to upon issuance of the original 1994A Bonds, a debt service reserve was established which is currently comprised of approximately $4.6 million of cash and $4.6 million of a reserve fund surety. Since 50% of the bonds are technically secured by a surety, the remaining 50% of the bonds relating to the cash reserve will be used to complete the refunding transaction. Defeasing all the bonds creates no annual savings and is not recommended. The 1998 COP's were delivered in January of 1998 to finance the expansion of City Hall (Ross Annex). The 1998 COP's are currently outstanding in the par amount of $8,015,000. All of the outstanding COP'S are being recommended for refunding. After evaluating different alternatives to increase efficiency and cost savings associated with the debt transactions, a private placement methodology was selected. A private placement is more in alignment with a direct bank loan, is more expeditious, allows the City to take immediate advantage of attractive interest rates, saves on issuance costs and eliminates the need on funding of a debt service reserve fund. Because of these attributes, the private placement, unlike a publicly sold bond issue, results in substantial savings for the City. 80A -2 Reso to Defease, Refund and Amend Bond Series 1994A, 2004A, 1998, & 2007 June 03, 2014 Page 3 Following the selection of a private placement strategy, a request for proposal to refund a portion of the 1994A Bonds and all of the 1998 COP's (together, the "Bonds ") was issued by Fieldman, Rolapp, & Associates (financial advisor). A joint proposal from Western Alliance, Compass Bank, Capital One and additional investors if warranted (together the "Private Placement Providers ") provided the best interest rate and terms for the 1994 component of the transaction. In addition, the proposal from Capital One included the best interest rate and terms for the refunding of the 1998 COP's. The Private Placement Providers have issued a commitment to provide the City with the funds to retire the outstanding Bonds and issue a new lease at an interest rate of 3.75% for the refunding of the 1998 COPs and 3.36% for the 1994A Bonds. The 3.75% is guaranteed or locked for 30 days through June 15, 2014, whereas the 3.36% rate reflects current market conditions as of May 21, 2014, and is subject to fluctuation until final Council approval is obtained and the rate is locked. In addition, by selecting Capital One as the provider for the 1998 COPS, Capital One has offered to reduce the interest rate for the current lease structure (City Hall Parking Structure Lease Agreement) from 4.78% to 3.6 %. As a private placement refinancing, the covenants to which the City agreed to upon the original financing are no longer in effect. Since the Private Placement Providers do not require a debt service reserve, the funds encumbered under the original reserve account in effect will be unencumbered and available to pay down the principal. Furthermore, the private placement offering has inherent lower issuance costs, since it does not require that the City obtain a rating or prepare and distribute an offering document. To "right- size" the leased properties with the par amount of the refunding, the City is proposing to secure the 2014 Lease with the City Hall and the Ross Annex buildings. The undefeased portion of the 1994A Bonds will continue to be secured by the Police Jail Facility. The remainder of the originally pledged assets (the Police Administration Building, the parking garage and the tunnel) will be released and no longer considered pledged assets. In addition, following the completion of this transaction, the Corporation Yard will also be released and no longer considered a pledged asset to the 1998 COP's. The substitution of leased properties does not impact the overall transaction, nor does it change in any way the ongoing operations of the City. However, the released or unpledged assets will now be available to use in the future for other lease financings. FISCAL IMPACT Total savings are estimated at over $2 million during the term of all three transactions. Savings will be used to accelerate reaching the established goal of a 20% General Fund reserve. Francisco Gutierrez Executive Director Finance and Management Services Agency Exhibit A — Listing of documents to be executed • I . F ' 1 I Exhibit A DOCUMENTS TO BE EXECUTED EXHIBIT 1 SAFA RESOLUTION APPROVING THE FORM AND AUTHORIZING THE EXECUTION OF CERTAIN LEASE FINANCING DOCUMENTS IN CONNECTION POLICE ADMINISTRATION AND HOLDING FACILITY LEASE AND REFUNDING OF THE OUTSTANDING CITY OF SANTA ANA CERTIFICATES OF PARTICIPATION (1998 CITY HALL EXPANSION PROJECT) EXHIBIT 2 CITY RESOLUTION APPROVING THE FORM AND AUTHORIZING THE EXECUTION OF CERTAIN LEASE FINANCING DOCUMENTS IN CONNECTION WITH POLICE ADMINISTRATION AND HOLDING FACILITY LEASE AND THE DEFEASANCE AND REFUNDING OF THE OUTSTANDING CITY OF SANTA ANA CERTIFICATES OF PARTICIPATION (1998 CITY HALL EXPANSION PROJECT) EXHIBIT 3 LEASE TERMINATION AGREEMENT EXHIBIT 4 SITE AND FACILITY LEASE EXHIBIT 5 LEASE AGREEMENT EXHIBIT 6 MEMORANDUM OF LEASE AGREEMENT EXHIBIT 7 ASSIGNMENT AGREEMENTS EXHIBIT 8 LETTER AGREEMENT FOR PURCHASE EXHIBIT 9 1994 BONDS ESCROW AGREEMENT EXHIBIT 10 1998 CERTIFICATES REDEMPTION REQUEST EXHIBIT 11 1998 CERTIFICATES ESCROW AGREEMENT EXHIBIT 12 1998 CERTIFICATES TERMINATION AGREEMENT EXHIBIT 13 FORM OF OPINION OF SPECIAL COUNSEL EXHIBIT 14 3RD MODIFICATION TO 1994 GROUND LEASE EXHIBIT 15 3RD MODIFICATION TO 1994 LEASE AGREEMENT • l . EXHIBIT 16 CONSENT OF 1994 BOND INSURER EXHIBIT 17 SAFA RESOLUTION APPROVING AN AMENDMENT TO THE LEASE AGREEMENT RELATING TO THE FINANCING AND REFINANCING OF THE PARKING STRUCTURE ADJACENT TO THE STATE APPELLATE COURT BUILDING EXHIBIT 18 CITY RESOLUTION APPROVING AN AMENDMENT TO THE LEASE AGREEMENT RELATING TO THE FINANCING AND REFINANCING OF THE PARKING STRUCTURE ADJACENT TO THE STATE APPELLATE COURT BUILDING . 1 m ., EXHIBIT 1 SAFA RESOLUTION APPROVING THE FORM AND AUTHORIZING THE EXECUTION OF CERTAIN LEASE FINANCING DOCUMENTS IN CONNECTION POLICE ADMINISTRATION AND HOLDING FACILITY LEASE AND REFUNDING OF THE OUTSTANDING CITY OF SANTA ANA CERTIFICATES OF PARTICIPATION (1998 CITY HALL EXPANSION PROJECT) 80A -7 FORM RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE SANTA ANA FINANCING AUTHORITY APPROVING THE FORM AND AUTHORIZING THE EXECUTION OF CERTAIN LEASE FINANCING DOCUMENTS IN CONNECTION WITH THE DEFEASANCE OF A PORTION OF THE SANTA ANA FINANCING AUTHORITY POLICE ADMINISTRATION AND HOLDING FACILITY LEASE REVENUE BONDS, SERIES 1994A, AND THE DEFEASANCE AND REFUNDING OF THE OUTSTANDING CITY OF SANTA ANA CERTIFICATES OF PARTICIPATION (1998 CITY HALL EXPANSION PROJECT) AND AUTHORIZING AND DIRECTING CERTAIN ACTIONS WITH RESPECT THERETO BE IT RESOLVED BY THE BOARD OF DIRECTORS (THE "BOARD ") OF THE SANTA ANA FINANCING AUTHORITY (THE "AUTHORITY "), AS FOLLOWS: WHEREAS, the Authority has heretofore issued its Santa Ana Financing Authority Police Administration and Holding Facility Lease Revenue Bonds, Series 1994A (the "1994 Bonds "); WHEREAS, the proceeds of the 1994 Bonds were used to finance the costs of the construction and equipping of a police administration and holding facility (the "1994 Project "); WHEREAS, the payment of debt service on the 1994 Bonds is derived from lease payments made by the City of Santa Ana (the "City ") to the Authority under a lease agreement, subsequently amended in connection with certain refunding bonds issued in 2004, payable from the City's General Fund (the "1994 Lease Agreement "); WHEREAS, the 1994 Bonds are currently outstanding in the principal amount of $67,100,000; WHEREAS, the City has previously caused the execution and delivery of its Certificates of Participation (1998 City Hall Expansion Project) (the "1998 Certificates "); WHEREAS, the proceeds of the 1998 Certificates were used to finance the costs of the construction of an expansion to the City of Santa Ana City Hall (the "1998 Project "); WHEREAS, the payment of debt service on the 1998 Certificates is derived from lease payments made by the City to the Authority under a lease agreement payable from the City's General Fund (the "1998 Lease Agreement "); Resolution No. 2014 -XXX 80A-9 Page 1 of 4 WHEREAS, the 1998 Certificates are currently outstanding in the principal amount of $8,015,000; WHEREAS, the City has determined at this time, due to prevailing interest rates in the municipal bond market and for other reasons, to refinance its obligations under the 1994 Lease Agreement and with respect to the 1994 Bonds and to refinance its obligations under the 1998 Lease Agreement and with respect to the 1998 Certificates; WHEREAS, the City proposes to provide for the legal defeasance to maturity of $33,550,000 (50 %) of the 1994 Bonds (the "Defeased 1994 Bonds ") and to provide for the legal defeasance and redemption of the 1998 Certificates; WHEREAS, it is in the public interest and for the public benefit that the Authority authorize and direct execution of certain financing documents in connection therewith; and WHEREAS, the documents below specified have been filed with the Authority and the members of the Board, with the aid of its staff, have reviewed said documents; NOW, THEREFORE, it is hereby ORDERED and DETERMINED, as follows: Section 1. The below- enumerated documents, substantially in the forms on file with the Secretary, be and are hereby approved, and the Chair, the Executive Director or the Treasurer, or any designee thereof, is hereby authorized and directed to execute said documents, with such changes, insertions and omissions as may be approved by such official, the execution thereof to be conclusive evidence of such approval, and the Secretary is hereby authorized and directed to attest to such official's signature [A detailed list of documents to be executed is attached hereto as Exhibit A]. (a) a letter agreement for purchase among Western Alliance Public Finance ( "WAPF "), Compass Bank, an Alabama banking corporation ( "CB "), Capital One Public Funding, LLC ( "COPF ") and one or more additional investors to be selected (collectively, the "Purchasers "), the City and the Authority, whereby the Purchasers agree to acquire certain rights of the Authority, including but limited to the lease payments to be made by the City under the Lease Agreement (hereinafter defined) and the rights of the Authority under the Site and Facility Lease (hereinafter defined); (b) a site and facility lease, by and between the City, as lessor, and the Authority, as lessee (the "Site and Facility Lease "), pursuant to which the City will lease certain existing real property and the improvements thereon (the "Property ") to the Authority; (c) a lease agreement, by and between the Authority, as lessor, and the City, as lessee (the "Lease Agreement "), pursuant to which the Authority will lease the Property back to the City and pursuant to which the City will agree to make semi - annual lease payments (the "Lease Payments "); (d) an assignment agreement, by and between the Authority and WAPF, as assignee, pursuant to which the Authority will assign to WAPF certain of its rights under Resolution No. 2014 -XXX 80A-1 0 Page 2 of 4 the Site and Facility Lease and the Lease Agreement, including its right to receive a portion of the Lease Payments thereunder; (e) an assignment agreement, by and between the Authority and CB, as assignee, pursuant to which the Authority will assign to CB certain of its rights under the Site and Facility Lease and the Lease Agreement, including its right to receive a portion of the Lease Payments thereunder; (f) an assignment agreement, by and between the Authority and COPF, as assignee, pursuant to which the Authority will assign to COPF certain of its rights under the Site and Facility Lease and the Lease Agreement, including its right to receive a portion of the Lease Payments thereunder; (g) an escrow deposit and trust agreement, by and among the Authority, the City and The Bank of New York Mellon Trust Company, N.A., as successor trustee for the 1994 Bonds and as escrow bank, providing for the defeasance of the Defeased 1994 Bonds; (h) a termination agreement, by and among the City, the Authority and The Bank of New York Mellon Trust Company, N.A., as successor trustee for the 1998 Certificates (the "1998 Trustee "), whereby the City, the Authority and the 1998 Trustee agree to terminate the documents relating to the 1998 Certificates; (i) a modification to the ground lease, by and between the City and the Authority, executed in connection with the 1994 Bonds, subsequently modified and amended, to provide for the substitution of the property that is the subject thereof; and (j) a modification to the 1994 Lease Agreement, by and between the Authority and the City, subsequently modified and amended, to provide for the substitution of the property that is the subject thereof. Section 2. The Chair, the Executive Director, the Treasurer, the Secretary and other officials of the Authority are hereby authorized and directed to execute such other agreements, documents and certificates and to take such other actions as may be necessary to effect the purposes of this resolution and the lease financing herein authorized. Section 3. This Resolution shall take effect upon its adoption by the Board. PASSED AND ADOPTED by the Board of Directors of the Santa Ana Financing Authority this 3rd day of June, 2014. SANTA ANA FINANCING AUTHORITY M Chair Resolution No. 2014 -XXX 80A-1 1 Page 3 of 4 APPROVED AS TO FORM: Sonia R. Carvalho, General Counsel Bv: Jose Sandoval, Assistant General Counsel AYES: Boardmembers: NOES: Boardmembers: ABSTAIN: Boardmembers: NOT PRESENT: Boardmembers: CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Secretary to the Board, do hereby attest to and certify that the attached Resolution No. 2014 -XXX to be the original resolution adopted by the Santa Ana Financing Authority on Date: Maria D. Huizar, Secretary to the Board Resolution No. 2014 -XXX 80A-1 2 Page 4 of 4 EXHIBIT 2 CITY RESOLUTION APPROVING THE FORM AND AUTHORIZING THE EXECUTION OF CERTAIN LEASE FINANCING DOCUMENTS IN CONNECTION WITH POLICE ADMINISTRATION AND HOLDING FACILITY LEASE AND THE DEFEASANCE AND REFUNDING OF THE OUTSTANDING CITY OF SANTA ANA CERTIFICATES OF PARTICIPATION (1998 CITY HALL EXPANSION PROJECT) ' 1 I L� RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING THE FORM AND AUTHORIZING THE EXECUTION OF CERTAIN LEASE FINANCING DOCUMENTS IN CONNECTION WITH THE DEFEASANCE OF A PORTION OF THE SANTA ANA FINANCING AUTHORITY POLICE ADMINISTRATION AND HOLDING FACILITY LEASE REVENUE BONDS, SERIES 1994A, AND THE DEFEASANCE AND REFUNDING OF THE OUTSTANDING CITY OF SANTA ANA CERTIFICATES OF PARTICIPATION (1998 CITY HALL EXPANSION PROJECT) AND AUTHORIZING AND DIRECTING CERTAIN ACTIONS WITH RESPECT THERETO BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: WHEREAS, the Santa Ana Financing Authority (the "Authority ") has heretofore issued its Santa Ana Financing Authority Police Administration and Holding Facility Lease Revenue Bonds, Series 1994A (the "1994 Bonds "); WHEREAS, the proceeds of the 1994 Bonds were used to finance the costs of the construction and equipping of a police administration and holding facility (the "1994 Project "); WHEREAS, the payment of debt service on the 1994 Bonds is derived from lease payments made by the City to the Authority under a lease agreement, subsequently amended in connection with certain refunding bonds issued in 2004, payable from the City's General Fund (the 1994 Lease Agreement "); WHEREAS, the 1994 Bonds are currently outstanding in the principal amount of $67,100,000; WHEREAS, the City has previously caused the execution and delivery of its Certificates of Participation (1998 City Hall Expansion Project) (the "1998 Certificates "); WHEREAS, the proceeds of the 1998 Certificates were used to finance the costs of the construction of an expansion to the City of Santa Ana City Hall (the "1998 Project "); Resolution No, 2014 -XXX Page 1 of 4 WHEREAS, the payment of debt service on the 1998 Certificates is derived from lease payments made by the City to the Authority under a lease agreement payable from the City's General Fund (the 1998 Lease Agreement "); WHEREAS, the 1998 Certificates are currently outstanding in the principal amount of $8,015,000; WHEREAS, the City has determined at this time, due to prevailing interest rates in the municipal bond market and for other reasons, to refinance its obligations under the 1994 Lease Agreement and with respect to the 1994 Bonds and to refinance its obligations under the 1998 Lease Agreement and with respect to the 1998 Certificates; WHEREAS, the City proposes to provide for the legal defeasance to maturity of $33,550,000 (50 %) of the 1994 Bonds (the "Defeased 1994 Bonds ") and to provide for the legal defeasance and redemption of the 1998 Certificates, and; WHEREAS, it is in the public interest and for the public benefit that the Council authorize and direct execution of certain financing documents in connection therewith; and NOW, THEREFORE, it is hereby DECLARED and ORDERED, as follows: Section 1. The Council hereby approves the refinancing of the 1998 Lease Agreement and the refunding of the 1998 Bonds. Section 2. The below- enumerated documents be and are hereby approved, and the Mayor, the City Manager, the Executive Director of Finance, or any designee thereof, is hereby authorized and directed to execute said documents, with such changes, insertions and omissions as may be approved by such official, the execution thereof to be conclusive evidence of such approval, and the City Clerk is hereby authorized and directed to attest to such official's signature [A detailed list of documents to be executed is attached hereto as Exhibit A]. (a) a letter agreement for purchase among Western Alliance Public Finance, Compass Bank, an Alabama banking corporation, Capital One Public Funding, LLC and one or more additional investors to be selected (collectively, the "Purchasers "), the City and the Authority, whereby the Purchaser agrees to acquire certain rights of the Authority, including but limited to the lease payments to be made by the City under the Lease Agreement (hereinafter defined) and the rights of the Authority under the Site and Facility Lease (hereinafter defined); Resolution No. 2014 -XXX Page 2 of 4 .O X•. (b) a site and facility lease, by and between the City, as lessor, and the Authority, as lessee (the "Site and Facility Lease "), pursuant to which the City will lease certain existing real property and the improvements thereon (the `Property ") to the Authority; (c) a lease agreement, by and between the Authority, as lessor, and the City, as lessee (the "Lease Agreement "), pursuant to which the Authority will lease back to the City and pursuant to which the City will agree to make semi - annual lease payments (the "Lease Payments "); (d) an escrow deposit and trust agreement, by and among the Authority, the City and The Bank of New York Mellon Trust Company, N.A., as successor trustee for the 1994 Bonds and as escrow bank, providing for the defeasance of the Defeased 1994 Bonds; (e) an escrow deposit and trust agreement, by and between the City and The Bank of New York Mellon Trust Company, N.A., as successor trustee for the 1998 Certificates and as escrow bank (the "1998 Trustee "), providing for the defeasance of the 1998 Certificates; (f) a termination agreement, by and among the City, the Authority and the 1998 Trustee, whereby the City, the Authority and the 1998 Trustee agree to terminate the documents relating to the 1998 Certificates; (g) a modification to the ground lease, by and between the City and the Authority, executed in connection with the 1994 Bonds, subsequently modified and amended, to provide for the substitution of the property that is the subject thereof; and (h) a modification to the 1994 Lease Agreement, by and between the Authority and the City, subsequently modified and amended; to provide for the substitution of the property that is the subject thereof. Section 3. The Mayor, the City Manager, the Executive Director of Finance, the City Clerk, and all other appropriate officials of the City, are hereby authorized and directed to execute such other agreements, documents and certificates and to take such other actions as may be necessary to effect the purposes of this resolution and the financing herein authorized. Section 4. This Resolution shall take effect immediately upon its adoption by the City Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution. Resolution No. 2014 -XXX Page 3 of 4 80A -17 ADOPTED this day of June, 2014. Miguel A. Pulido Mayor APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Bv: Jose Sandoval, Chief Assistant City Attorney AYES: Councilmembers: NOES: Councilmembers: ABSTAIN: Councilmembers: NOT PRESENT: Councilmembers: CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Resolution No. 2014 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: FOODINFOO Maria D. Huizar, Clerk of the Council Resolution No. 2014 -XXX Page 4 of 4 EXHIBIT 3 LEASE TERMINATION AGREEMENT .l, 1m1 Quint & Thimmig LLP AFTER RECORDATION RETURN TO: Quint & Thhurnig LLP 900 Larkspur Landing Circle, Suite 270 Larkspur, CA 94939 -1726 Attention: Brian D. Quint, Esq. 04/30/14 THIS TRANSACTION IS EXEMPT FROM CALIFORNIA DOCUMENTARY TRANSFER TAX PURSUANT TO SECTION 11929 OF THE CALIFORNIA REVENUE AND TAXATION CODE. THIS DOCUMENT IS EXEMPT FROM RECORDING FEES PURSUANT TO SECTION 27383 OF THE CALIFORNIA GOVERNMENT CODE. TERMINATION AGREEMENT Dated as of June 1, 2014 by and among the SANTA ANA FINANCING AUTHORITY, the CITY OF SANTA ANA, CALIFORNIA and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee Relating to the Refunding of the $12,450,000 City of Santa Ana Certificates of Participation (1998 City Hall Expansion Project) 19014.10 80A -21 TERMINATION AGREEMENT This TERMINATION AGREEMENT is dated as of June 1, 2014, and is by and among the SANTA ANA FINANCING AUTHORITY (the "Authority'), the CITY OF SANTA ANA, CALIFORNIA (the "City "), and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. (as successor trustee to Harris Trust Company of California, N.A.), as trustee (the "1998 Trustee "). WITNESSETH: WHEREAS, the City and the Authority have heretofore entered into a Lease Agreement, dated as of January 1, 1998 (the "1998 Lease "), pursuant to which the Authority and the City entered into a transaction for the lease financing of certain facilities (the "1998 Project "), and the City agreed to make certain lease payments (the "1998 Lease Payments ") to the Authority; WHEREAS, pursuant to an Assignment Agreement, dated as of January 1, 1998 (the "1998 Assignment Agreement "), by and between the Authority and the 1998 Trustee, the Authority assigned to the 1998 Trustee, among other things, its rights to receive 1998 Lease Payments from the City under the 1998 Lease and the right to exercise such rights and remedies conferred on the Authority under the 1998 Lease to enforce payment of the 1998 Lease Payments; WHEREAS, pursuant to a Trust Agreement, dated as of January 1, 1998, by and among the City, the Authority and the 1998 Trustee, the 1998 Trustee agreed, among other matters, to execute and deliver certificates of participation (the "1998 Certificates ") representing undivided fractional interests of the owners thereof to receive 1998 Lease Payments made by the City; WHEREAS, the 1998 Lease Agreement provides that in the event that the City deposits, or causes the deposit on its behalf of moneys for the prepayment of the 1998 Lease Payments, then all of the obligations of the City under the 1998 Lease Agreement and all of the security provided by the City for such obligations, excepting only the obligation of the City to make the 1998 Lease Payments from said deposit, shall cease and terminate, and unencumbered title to the 1998 Project shall be vested in the City without further action by the City or the Authority; WHEREAS, the City has determined that, as a result of favorable financial market conditions and for other reasons, it is in the best interests of the City at this time to refinance the City's obligation to make the 1998 Lease Payments under the 1998 Lease Agreement and, as a result thereof, to provide for the redemption of the 1998 Certificates to and including 2014, and to that end and for other purposes, the Authority proposes to lease certain real property and improvements from the Authority pursuant to that certain Lease Agreement, dated as of June 1, 2014 (the "Lease Agreement "), a memorandum of which has been recorded concurrently herewith; WHEREAS, to obtain moneys to make such deposit, the Authority proposes to assign and transfer certain of its rights under the Lease Agreement to Western Alliance Public Finance, Compass Bank, an Alabama banking corporation and Capital One Public Funding, LLC (collectively, the "Assignees "), pursuant to those certain assignment agreements, each dated as of June 1, 2014, by and between the Authority and the Assignees, whereby the Assignees will make a payment of $ to or to the order of the City; WHEREAS, upon deposit of a portion of such amounts for prepayment of the 1998 Lease Payments, the 1998 Lease Agreement and the agreements related thereto need not be 80A -22 maintained (except as otherwise provided below), and the parties hereto now desire to provide for the termination of such documents as provided herein. NOW, THEREFORE, in consideration of the foregoing and for other consideration the receipt and sufficiency of which are hereby acknowledged, the parties hereto do hereby agree with respect to the document to which it is a party or an assignee: Section 1. Termination. (a) By virtue of the deposit of amounts for prepayment of the 1998 Lease Payments, all obligations of the City under the 1998 Lease Agreement shall cease and terminate, excepting only the obligation of the City to make, or cause to be made, all payments from such deposit and title to the 1998 Project shall vest in the City on the date of said deposit automatically and without further action by the City or the Authority. Said deposit and interest earnings thereon shall be deemed to be and shall constitute a special fund for the prepayment of the 1998 Lease Payments. (b) In accordance with the foregoing, the following agreements (including any option to purchase contained therein), are hereby terminated and are of no further force or effect (except that the hereinafter defined Site and facility Lease shall terminate 10 days after the termination date hereof): (i) Site and Facility Lease, dated as of January 1, 1998, by and between the City and the Authority, recorded on January 21, 1998, as Instrument No. 19980031193, Orange County Records (the "Site and Facility Lease "); (ii) 1998 Lease Agreement, recorded on January 21, 1998, as Instrument No. 19980031194, Orange County Records; and (iii) 1998 Assignment Agreement, recorded on January 21, 1998, as Instrument No. 19980031195, Orange County Records. (c) From and after the date hereof, none of the parties shall have any further rights or obligations thereunder. Section 2. Execution in Counterparts. This Termination Agreement may be executed in several counterparts, each of which shall be an original and all of which shall constitute but one and the same instrument. -2- FOODYMW IN WITNESS WHEREOF, the parties hereto have duly executed this Termination Agreement. Attest: Name Attest: Name Secretary City Clerk SANTA ANA FINANCING AUTHORITY By— Name Title CITY OF SANTA ANA By— Name Title THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Escrow Bank By— Name Title -3- 80A-24 NOTARY ACKNOWLEDGMENTS TO BE INSERTED EXHIBIT A DESCRIPTION OF THE SITE All that certain real property situated in Orange County, State of California, described as follows PARCEL A: LOTS 41 TO 51 INCLUSIVE OF TRACT NO. 2752, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS SHOWN ON A MAP RECORDED IN BOOK 79, PAGES 30 AND 31 OF MISCELLANEOUS MAPS, RECORDS OF SAID COUNTY. PARCEL B: THAT PORTION OF LOT 56 OF TRACT NO. 2752, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS SHOWN ON A MAP RECORDED IN BOOK 79, PAGES 30 AND 31 OF MISCELLANEOUS MAPS, RECORDS OF SAID COUNTY, DESCRIBED AS FOLLOWS: BEGINNING AT THE SOUTHWEST CORNER OF LOT 50 OF SAID TRACT NO. 2752; THENCE NORTH 000 06'36" WEST ALONG THE WESTERLY LINES OF LOTS 50 AND 51 OF SAID TRACT, A DISTANCE OF 170.00 FEET; THENCE SOUTH 89° 53'24" WEST 225.769 FEET; THENCE SOUTH 00° 22' 06" EAST 171.016 FEET TO THE NORTHWEST CORNER OF LOT 46 OF SAID TRACT NO. 2752; THENCE NORTH 890 3754" EAST ALONG THE NORTHERLY LINES OF LOTS 46 AND 47 OF SAID TRACT, A DISTANCE OF 225.00 FEET TO THE POINT OF BEGINNING. PARCEL C: THAT PORTION OF LOT 56 OF TRACT NO. 2752, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS SHOWN ON A MAP RECORDED IN BOOK 79, PAGES 30 AND 31 OF MISCELLANEOUS MAPS, RECORDS OF SAID COUNTY, DESCRIBED AS FOLLOWS: BEGINNING AT THE NORTHWEST CORNER OF LOT 46 OF SAID TRACT NO. 2752; THENCE NORTH 000 22'06" WEST 171.016 FEET; THENCE SOUTH 89° 53' 24" WEST 223.244 FEET; THENCE SOUTH 000 13'03" WEST 172.032 FEET TO THE NORTHWEST CORNER OF LOT 44 OF SAID TRACT NO. 2752; THENCE NORTH 89° 37' 54" EAST ALONG THE NORTHERLY LINES OF LOTS 44 AND 45 OF SAID TRACT, A DISTANCE OF 225.00 FEET TO THE POINT OF BEGINNING. PARCEL D: THAT PORTION OF LOT 56 OF TRACT NO. 2752, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS SHOWN ON A MAP RECORDED IN BOOK 79 PAGES 30 AND 31 OF MISCELLANEOUS MAPS, RECORDS OF SAID COUNTY, DESCRIBED AS FOLLOWS: BEGINNING AT THE NORTHWEST CORNER OF LOT 44 OF SAID TRACT NO. 2752; THENCE NORTH 000 13' 03" EAST 172.032 FEET; THENCE SOUTH 89° 53' 24" WEST 299.99 FEET TO THE WESTERLY LINE OF SAID LOT 56; THENCE SOUTH 00'04'39" EAST ALONG THE WESTERLY LINE OF SAID LOT 56, A DISTANCE OF 173.377 FEET TO THE SOUTHWEST CORNER OF SAID LOT 56; THENCE NORTH 890 37'54" EAST ALONG THE SOUTHERLY LINE OF SAID LOT 56, A DISTANCE OF 299.11 FEET TO THE POINT OF BEGINNING. PARCEL E: THAT PORTION OF LOT 56 OF TRACT NO. 2752, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS SHOWN ON A MAP RECORDED IN BOOK 79, PAGES 30 AND 31 OF MISCELLANEOUS MAPS RECORDS OF SAID COUNTY, DESCRIBED AS FOLLOWS: Exhibit A Page 1 80A -26 BEGINNING AT A POINT ON THE WESTERLY LINE OF SAID LOT 56, DISTANT NORTH 00° 04,39" WEST 299.69 FEET FROM THE SOUTHWESTERLY CORNER OF SAID LOT 56; THENCE NORTH 890 29'24" EAST 300.00 FEET; THENCE SOUTH 000 04'39" EAST 128.403 FEET; THENCE SOUTH 890 53,24" WEST 299.99 FEET TO THE WESTERLY LINE OF SAID LOT 56; THENCE NORTH 00° 04' 39" WEST ALONG SAID WESTERLY LINE, A DISTANCE OF 126.31 FEET TO THE POINT OF BEGINNING. PARCEL F: THAT PORTION OF LOT 56 OF TRACT NO. 2752, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS SHOWN ON A MAP RECORDED IN BOOK 79, PAGES 30 AND 31 OF MISCELLANEOUS MAPS, RECORDS OF SAID COUNTY, DESCRIBED AS FOLLOWS: BEGINNING AT A POINT ON THE WESTERLY LINE OF SAID LOT 56, DISTANT NORTH 00° 04'39" WEST 299.69 FEET FROM THE SOUTHWESTERLY CORNER OF SAID LOT 56; THENCE NORTH 00° 04' 39" WEST ALONG SAID WESTERLY LINE 275.19 FEET TO THE BEGINNING OF A TANGENT CURVE CONCAVE SOUTHEASTERLY AND HAVING A RADIUS OF 25.00 FEET; THENCE NORTHERLY AND EASTERLY ALONG SAID CURVE THROUGH A CENTRAL ANGLE OF 890 34,03" A DISTANCE OF 39.08 FEET; THENCE TANGENT TO SAID CURVE AND ALONG THE NORTHERLY LINE OF SAID LOT 56, NORTH 890 29' 24" EAST 275.19 FEET; THENCE SOUTH 00° 04,39" EAST 300.00 FEET; THENCE SOUTH 89'29'24" WEST 300.00 FEET TO THE POINT OF BEGINNING. Exhibit A Page 2 80A -27 FOODYAWOO EXHIBIT 4 SITE AND FACILITY LEASE .l, 1M1 Quint & Thimmig LLP AFTER RECORDATION PLEASE RETURN TO: Quint & Thimmig LLP 900 Larkspur Landing Circle, Suite 270 Larkspur, CA 94939 -1726 Attention: Brian D. Quint, Esq. 04/30/14 05/28/14 THIS TRANSACTION IS EXEMPT FROM CALIFORNIA DOCUMENTARY TRANSFER TAX PURSUANT TO SECTION 11929 OF THE CALIFORNIA REVENUE AND TAXATION CODE. THIS DOCUMENT IS EXEMPT FROM RECORDING FEES PURSUANT TO SECTION 27383 OF THE CALIFORNIA GOVERNMENT CODE. SITE AND FACILITY LEASE Dated as of June 1, 2014 by and between the CITY OF SANTA ANA, as Lessor, . and the SANTA ANA FINANCING AUTHORITY, as Lessee 1901.4.10 80A -31 SITE AND FACILITY LEASE THIS SITE AND FACILITY LEASE (this "Site and Facility Lease "), dated as of June 1, 2014, is by and between the CITY OF SANTA ANA, a municipal corporation and chartered city organized and existing under and by virtue of the laws of the State of California (the "City "), as lessor, and the SANTA ANA FINANCING AUTHORITY, a joint exercise of powers authority organized and existing under and by virtue of the laws of the State of California (the "Authority "), as lessee; WITNESSETH: WHEREAS, pursuant to this Site and Facility Lease, the City proposes to lease those certain parcels of real property situated in Orange County, State of California, more particularly described in Exhibit A attached hereto and made a part hereof (the "Site "), and those certain improvements thereon, more particularly described in Exhibit B hereto (the "Facility" and, with the Site, the "Property'), to the Authority, all for the purpose of assisting the City in undertaking (a) the defeasance of $33,550,000 (50 %) of the outstanding Santa Ana Financing Authority Police Administration and Holding Facility Lease Revenue Bonds, Series 1994A, issued to finance the costs of the construction and equipping of a police administration building and holding facility, and (b) the current refunding of the outstanding City of Santa Ana Certificates of Participation (1998 City Hall Expansion Project), delivered to finance the costs of the construction and equipping of an expansion of the Santa Ana City Hall; WHEREAS, the Authority proposes to lease the Property back to the City pursuant to that certain Lease Agreement, dated as of June 1, 2014, a memorandum of which is recorded concurrently herewith (the "Lease Agreement ") and to assign all of its rights, title and interest in, to and under this Site and Facility Lease and the Lease Agreement, including its right to receive lease payments under the Lease Agreement (the "Lease Payments "), its right to enforce payment of the Lease Payments and otherwise to enforce its interest and rights under the Lease Agreement in the event of a default thereunder by the City, to Western Alliance Public Finance (collectively, the "Assignees "), pursuant to those certain assignment agreements, each dated as of June 1, 2014, by and between the Authority and the AssigneeL(collectively. the "Assignment Agreements "), and recorded concurrently herewith; NOW, THEREFORE, IT IS HEREBY MUTUALLY AGREED, as follows: Section 1. Definitions. Capitalized terms used, but not otherwise defined, in this Site and Facility Lease shall have the meanings ascribed to them in the Lease Agreement. Section 2. Site and Facility Lease. The City hereby leases to the Authority and the Authority hereby leases from the City, on the terms and conditions hereinafter set forth, the Property. Section 3. Term. The term of this Site and Facility Lease shall commence on the date of recordation of this Site and Facility Lease in the Office of the County Recorder of the County of Orange, State of California, and shall end on July 1, 2028, unless such term is extended or sooner terminated as hereinafter provided. If, on July 1, 2028, the aggregate amount of Lease Payments (as defined in and as payable under the Lease Agreement) shall not have been paid by reason of abatement, default or otherwise, or provision shall not have been made for their payment in accordance with the Lease Agreement, then the term of this Site and Facility Lease shall be extended until such Lease Payments shall be fully paid or provision made for such payment, but in no event later than July 1, 2038. If, prior to July 1, 2028, all Lease Payments shall be fully 80A -32 paid or provision made for such payment in accordance with the Lease Agreement, the term of this Site and Facility Lease shall end. Section 4. Advance Rental Payment. The City agrees to lease the Property to the Authority in consideration of the payment by the Authority of an advance rental payment of $ . The City and the Authority agree that by reason of the assignment of the Lease Payments to the Assignees under and pursuant to the Assignment Agreements, the advance rental payment referenced in the preceding sentence shall be deemed to have been paid. Section 5. Purpose. The Authority shall use the Property solely for the purpose of leasing the Property to the City pursuant to the Lease Agreement and for such purposes as may be incidental thereto; provided, however, that in the event of default by the City under the Lease Agreement, the Authority and its assigns may exercise the remedies provided in the Lease Agreement. Section 6. City's Interest in the Property. The City covenants that it is the owner in fee of the Property. Section 7. Assignments and Subleases. Unless the City shall be in default under the Lease Agreement, the Authority may not assign its rights under this Site and Facility Lease or sublet the Property, except as provided in the Lease Agreement and the Assignment Agreements, without the written consent of the City and the Assignees. If the City is in default under the Lease Agreement, the Assignees (including their successors and assigns under the Lease Agreement) may fully and freely assign and sublease the Property or any portion thereof, subject to this Site and Facility Lease. Section 8. Right of Entry. The City reserves the right for any of its duly authorized representatives to enter upon the Property at any reasonable time to inspect the same or to make any repairs, improvements or changes necessary for the preservation thereof. Section 9. Termination. The Authority agrees, upon the termination of this Site and Facility Lease, to quit and surrender the Property in the same good order and condition as the same were in at the time of commencement of the term hereunder, reasonable wear and tear excepted, and agrees that any permanent improvements and structures existing upon the Site at the time of the termination of this Site and Facility Lease shall remain thereon and title thereto shall vest in the City. Section 10. Default. In the event the Authority shall be in default in the performance of any obligation on its part to be performed under the terms of this Site and Facility Lease, which default continues for thirty (30) days following notice and demand for correction thereof to the Authority, the City may exercise any and all remedies granted by law, except that no merger of this Site and Facility Lease and of the Lease Agreement shall be deemed to occur as a result thereof and the City shall have no right to terminate this Site and Facility Lease as a remedy for such default. Notwithstanding the foregoing, so long as the Lease Agreement remains in effect, the City will continue to pay the Lease Payments to the Assignees. In the event of the occurrence of an Event of Default under the Lease Agreement, the Authority and /or the Assignees may (i) exercise the remedies provided in the Lease Agreement, (ii) use the Property for any lawful purpose, subject to any applicable legal limitations or restrictions, and (iii) exercise all options provided herein. Section 11. Ouiet Enjoyment. The Authority, at all times during the term of this Site and Facility Lease, shall peaceably and quietly have, hold and enjoy all of the Property subject to the provisions of the Lease Agreement. -2- 80A-33 Section 12. Waiver of Personal Liability. All liabilities under this Site and Facility Lease on the part of the Authority are solely liabilities of the Authority and the City hereby releases each and every Boardmember, director, officer, employee and agent of the Authority of and from any personal or individual liability under this Site and Facility Lease. No Boardmember, director, officer, employee or agent of the Authority shall at any time or under any circumstances be individually or personally liable under this Site and Facility Lease for anything done or omitted to be done by the Authority hereunder. Section 13. Taxes. All assessments of any kind or character and all taxes, including possessory interest taxes, levied or assessed upon the Property or the Authority's interest in the Property created by this Site and Facility Lease(including both land and improvements) will be paid by the City in accordance with the Lease Agreement. Section 14. Eminent Domain. In the event the whole or any part of the Property is taken by eminent domain proceedings, the interest of the Authority shall be recognized and is hereby determined to be the amount of the then unpaid principal component of the Lease Payments, any then unpaid interest component of the Lease Payments and any premium due with respect to the prepayment of Lease Payments to the date such amounts are remitted to the Authority or its assignee, and, subject to the provisions of the Lease Agreement, the balance of the award, if any, shall be paid to the City. The City hereby waives, to the extent permitted by law, any and all rights that it has or may hereafter have to acquire the interest of the Authority in and to the Property through the eminent domain powers of the City. However, the City hereby agrees, to the extent permitted by law, that the compensation to be paid in any condemnation proceedings brought by or on behalf of the City with respect to the Property shall be in an amount not less than the total unpaid principal component of Lease Payments, the interest component of Lease Payments accrued to the date of payment of all Lease Payments and any premium due with respect to the prepayment of Lease Payments under the Lease Agreement. Section 15. Use of the Proceeds. The City and the Authority hereby agree that the lease to the Authority of the City's right and interest in the Property pursuant to Section 2 serves the public purposes of the City. Section 16. Partial Invalidity. If any one or more of the terms, provisions, covenants or conditions of this Site and Site Lease shall, to any extent, be declared invalid, unenforceable, void or voidable for any reason whatsoever by a court of competent jurisdiction, the finding, order or decree of which becomes final, none of the remaining terms, provisions, covenants and conditions of this Site and Facility Lease shall be affected thereby, and each provision of this Site and Facility Lease shall be valid and enforceable to the fullest extent permitted by law. Section 17. Notices. All notices, statements, demands, consents, approvals, authorizations, offers, designations, requests or other communications hereunder by either party to the other shall be in writing and shall be sufficiently given and served upon the other party if delivered personally or if mailed by United States registered mail, return receipt requested, postage prepaid, at the addresses set forth in the Lease Agreement, or to such other addresses as the respective parties may from time to time designate by notice in writing. Section 18. Binding Effect. This Site and Facility Lease shall inure to the benefit of and shall be binding upon the City and the Authority and their respective successors and assigns. The Assignees are hereby made a -third party beneficiaries hereunder with all rights of a third party beneficiary. Section 19. Amendment. This Site and Facility Lease may not be amended except as permitted under the Lease Agreement. -3- 80A-34 Section 20. Section Headings. All section headings contained herein are for convenience of reference only and are not intended to define or limit the scope of any provision of this Site and Facility Lease. Section 21. Applicable Law. This Site and Facility Lease shall be governed by and construed in accordance with the laws of the State of California applicable to contracts made and performed in California. Section 22. No Merger. Neither this Site and Facility Lease, the Lease Agreement nor any provisions hereof or thereof shall be construed to effect a merger of the title of the City to the Property under this Site and Facility Lease and the City's leasehold interest therein under the Lease Agreement. Section 23. Execution in Counterparts. This Site and Facility Lease may be executed in any number of counterparts, each of which shall be deemed to be an original but all together shall constitute but one and the same instrument. -4- FOR IN WITNESS WHEREOF, the City and the Authority have caused this Site and Facility Lease to be executed by their respective officers thereunto duly authorized, all as of the day and year first above written. Attest: Name Attest: Name City Clerk Secretary CITY OF SANTA ANA By Name Title SANTA ANA FINANCING AUTHORITY By Name Title -5- .O R 1, [NOTARY ACKNOWLEDGMENTS TO BE ATTACHED] 80A -37 EXHIBIT A DESCRIPTION OF THE SITE All that certain real property situated in Orange County, State of California, described as follows: Exhibit A Page 1 80A -38 The Facility consists of EXHIBIT B DESCRIPTION OF THE FACILITY Exhibit B OO O DI 1 I ' L� EXHIBIT 5 LEASE AGREEMENT •l. DI 1 I L� Quint & Thimmig LLP 04/30/14 05/28/14 LEASE AGREEMENT Dated as of June 1, 2014 by and between the SANTA ANA FINANCING AUTHORITY, as Sublessor and the CITY OF SANTA ANA, as Sublessee 1901.4.10 • m i TABLE OF CONTENTS ARTICLE I DEFINITIONS; RULES OF INTERPRETATION Section1.1. Definitions .................................................................................................................. ..............................2 Section1.2. Interpretation ............................................................................................................. ..............................5 ARTICLE II COVENANTS, REPRESENTATIONS AND WARRANTIES Section 2.1. Covenants, Representations and Warranties of the City ..................................... ..............................6 Section 2.2. Covenants, Representations and Warranties of the Authority .......................... ..............................8 ARTICLE III DEPOSIT AND APPLICATION OF FUNDS Section 3.1. Deposit of and Application of Funds .................................................................... .............................10 ARTICLE IV LEASE OF PROPERTY; LEASE PAYMENTS Section 4.1. Sublease of Property by the Authority Back to the City ..................................... .............................11 Section4.2. Term ........................................................................................................................... .............................11 Section4.3. Lease Payments ........................................................................................................ .............................11 Section4.4. Quiet Enjoyment ....................................................................................................... .............................14 Section4.5. Title ............................................................................................................................. .............................14 Section 4.6. Release of Excess Property ...................................................................................... .............................14 Section 4.7. Substitution of Property .......................................................................................... .............................15 ARTICLE V MAINTENANCE; TAXES; INSURANCE; AND OTHER MATTERS Section 5.1. Maintenance, Utilities, Taxes and Assessments .................................................. .............................16 Section 5.2. Modification of Property ......................................................................................... .............................16 Section 5.3. Public Liability Insurance ....................................................................................... .............................16 Section 5.4. Casualty Insurance ................................................................................................... .............................17 Section 5.5. Rental Interruption Insurance ................................................................................ .............................17 Section 5.6. Worker's Compensation Insurance ....................................................................... .............................17 Section 5.7. Recordation Hereof; Title Insurance ...................................................................... .............................17 Section 5.8. Insurance Net Proceeds; Form of Policies ............................................................ .............................18 Section 5.9. Installation of City's Personal Property ................................................................ .............................18 Section5.10. Liens ......................................................................................................................... .............................18 Section5.11. Advances ................................................................................................................. .............................18 Section 5.12. Environmental Covenants .................................................................................... .............................18 Section 5.13. City Consents to Assignment Agreements ......................................................... .............................19 ARTICLE VI EMINENT DOMAIN; USE OF NET PROCEEDS Section6.1. Eminent Domain ...................................................................................................... .............................20 Section 6.2. Application of Net Proceeds ................................................................................... .............................20 Section 6.3. Abatement of Lease Payments in the Event of Damage or Destruction .......... .............................21 ARTICLE VII OTHER COVENANTS OF THE CITY Section 7.1. Disclaimer of Warranties ......................................................................................... .............................23 Section 7.2. Access to the Property; Grant and Conveyance of Right of Entry .................... .............................23 -i- •' A i i .� Section 7.3. Release and Indemnification Covenants .............. Section 7.4. Assignment by the Authority . ............................... Section 7.5. Assignment and Subleasing by the City .............. Section 7.6. Amendment of Lease Agreement ......................... Section 7.7. Tax Covenants .......................... ............................... Section 7.8. Financial Statements; Budgets ............................... Section 7.9. Records and Accounts ............. ............................... Section 7.10. Observance or Laws and Regulations ................ Rartinn 7.11. Nn+irPs ARTICLE VIII EVENTS OF DEFAULT AND REMEDIES Section 8.1. Events of Default Defined ....................................................................................... .............................27 Section8.2. Remedies on Default ................................................................................................ .............................27 Section 8.3. No Remedy Exclusive .............................................................................................. .............................29 Section 8.4. Agreement to Pay Attorneys' Fees and Expenses ............................................... .............................29 Section 8.5. No Additional Waiver Implied by One Waiver .................................................. .............................29 Section 8.6. Assignees to Exercise Rights ................................................................................... .............................29 ARTICLE IX PREPAYMENT OF LEASE PAYMENTS Section9.1. Security Deposit ....................................................................................................... .............................30 Section9.2. No Optional Prepayment ........................................................................................ .............................30 Section 9.3. Mandatory Prepayment From Net Proceeds of Insurance or Eminent Domain .........................30 ARTICLE X MISCELLANEOUS Section10.1. Notices ................................................ ............................... Section 10.2. Binding Eff ect ..................................... ............................... Section 10.3. Severability ......................................... ............................... Section 10.4. Net - net -net Lease .............................. ............................... Section 10.5. Further Assurances and Corrective Instruments ........ Section 10.6. Execution in Counterparts ............... ............................... Section 10.7. Applicable Law .................................. ............................... Section10.8. Captions .............................................. ............................... EXHIBIT A DESCRIPTION OF THE SITE EXHIBIT B DESCRIPTION OF THE FACILITY EXHIBIT C SCHEDULE OF LEASE PAYMENTS -ii- 80A-45 LEASE AGREEMENT THIS LEASE AGREEMENT (this "Lease Agreement'), dated as of June 1, 2014, is by and between the SANTA ANA FINANCING AUTHORITY, a joint exercise of powers authority organized and existing under the laws of the State of California, as lessor (the "Authority "), and the CITY OF SANTA ANA, a municipal corporation and chartered city organized and existing under and by virtue of the laws of the State of California, as lessee (the "City "); WITNESSETH: WHEREAS, pursuant to that certain Site and Facility Lease, dated as of June 1, 2014 (the "Site and Facility Lease "), the City has leased those certain parcels of real property situated in Orange County, State of California, more particularly described in Exhibit A attached hereto and made a part hereof (the "Site "), and those certain improvements thereon, more particularly described in Exhibit B hereto (the "Facility" and, with the Site, the "Property "), to the Authority, all for the purpose of enabling the City to undertake (a) the defeasance of $33,550,000 (50 %) of the outstanding Santa Ana Financing Authority Police Administration and Holding Facility Lease Revenue Bonds, Series 1994A, issued to finance the costs of the construction and equipping of a police administration building and holding facility, and (b) the current refunding of the outstanding City of Santa Ana Certificates of Participation (1998 City Hall Expansion Project), delivered to finance the costs of the construction and equipping of an expansion of the Santa Ana City Hall; WHEREAS, the Authority proposes to lease the Property back to the City pursuant to this Lease Agreement and to assign all of its rights, title and interest in, to and under this Lease Agreement, including its right to receive lease payments under this Lease Agreement (the "Lease Payments "), its right to enforce payment of the Lease Payments and otherwise to enforce its interest and rights under this Lease Agreement in the event of a default hereunder by the City and its rights under the Site and Facility Lease, to Western Alliance Public Finance Compass Bank an Alabama banking corporation and Capital One Public Funding LLC (collectively, the "Assignees "), pursuant to those certain assizment agreements, each dated as of June 1, 2014, by and between the Authority and the Assignees; and WHEREAS, the City and the Authority have agreed to enter into this Lease Agreement providing for Lease Payments with an aggregate principal component in the amount of $ for the purpose of implementing the financing transactions described above. AGREEMENT: NOW, THEREFORE, for and in consideration of the premises and the covenants hereinafter contained, the parties hereto hereby formally covenant, agree and bind themselves as follows: .O � ' •. ARTICLE I DEFINITIONS; RULES OF INTERPRETATION Section 1.1. Definitions. All terms defined in this Section 1.1 have the meanings herein specified for all purposes of this Lease Agreement. "Additional Payments" means the amounts specified as such in Section 43(b) of this Lease Agreement. "Applicable Environmental Laws" means and shall include, but shall not be limited to, the Comprehensive Environmental Response, Compensation, and Liability Act ( "CERCLA "), 42 USC Sections 9601 et seq.; the Resource Conservation and Recovery Act ( "RCRA "), 42 USC Sections 6901 et seq.; the Federal Water Pollution Control Act, 33 USC Sections 1251 et seq.; the Clean Air Act, 42 USC Sections 7401 et seq.; the California Hazardous Waste Control Law ( "HWCL "), California Health & Safety Code Sections 25100 et seq.; the Hazardous Substance Account Act ( "HSAA "), California Health & Safety Code Sections 25300 et seq.; the Porter - Cologne Water Quality Control Act (the "Porter - Cologne Act "), California Water Code Sections 1300 et seq.; the Air Resources Act, California Health & Safety Code Sections 3900 et seq.; the Safe Drinking Water & Toxic Enforcement Act, California Health & Safety Code Sections 25249.5 et seq.; and the regulations under each thereof; and any other local, state, and /or federal laws or regulations, whether currently in existence or hereafter enacted, that govern: (a) the existence, cleanup, and /or remedy of contamination on property; (b) the protection of the environment from spilled, deposited, or otherwise emplaced contamination; (c) the control of hazardous wastes; or (d) the use, generation, transport, treatment, removal, or recovery of Hazardous Substances, including building materials. "Assignees" means (a) initially, WAPF. CB and COPF,_as assignees of all rights, title and interests of the Authority hereunder, and (b) any other entity to whom the rights of the Authority hereunder are assigned, including subsequent assignees of the Assignees. "Assignment Agreements" means, collectively, the WAPF Assignment Agreement the CB Assignment Agreement and the COPF Assignment Agreement "Authority" means Santa Ana Financing Authority, a joint exercise of powers authority, organized and existing under the laws of the State. "Authority Representative" means the Chair, the Executive Director or the Treasurer or the designee of any such official, or any other person authorized by resolution of the Authority delivered to the ssi pees to act on behalf of the Authority under or with respect to the Site and Facility Lease, the Lease Agreement and the Assignment Agreements. 'Bond Counsel' means (a) Quint & Thimmig LLP, or (b) any other attorney or firm of attorneys of nationally recognized expertise with respect to legal matters relating to obligations the interest on which is excludable from gross income under Section 103 of the Tax Code. "Business Day" means a day other than a Saturday, Sunday or legal holiday, on which banking institutions are not closed in the State. -2- 80A-47 "City" means the City of Santa Ana, a municipal corporation and chartered city organized and existing under the laws of the State. "City Representative" means the Mayor, the City Manager, the Executive Director of Finance, or the designee of any such official, or any other person authorized by resolution delivered to the Authority and the Assignees to act on behalf of the City under or with respect to the Site and Facility Lease and this Lease Agreement. "Closing Date" means the date this Lease Agreement or a memorandum thereof is recorded in the office of the County Recorder of the County of Orange. "Contract" means any indenture, trust agreement, contract, agreement (other than this Lease Agreement), other contractual restriction, lease, mortgage or instrument. "Escrozo Bank" means The Bank of New York Mellon Trust Company, N.A., as escrow bank under the Escrow Agreement. "Event of Default" means any of the events of default as defined in Section 8.1. "Facility" means those certain existing facilities more particularly described in Exhibit B to the Site and Facility Lease and in Exhibit B to the Lease Agreement. "Federal Securities" means any direct general non - callable obligations of the United States of America (including obligations issued or held in book entry form on the books of the Department of the Treasury of the United States of America), or obligations the timely payment of principal of and interest on which are directly guaranteed by the United States of America. "Fiscal Year" means each twelve -month period during the Term of this Lease Agreement commencing on July 1 in any calendar year and ending on June 30 in the next succeeding calendar year, or any other twelve -month period selected by the City as its fiscal year period. "Governmental Authority" means any governmental or quasi- governmental entity, including any court, department, commission, board, bureau, agency, administration, central bank, service, City or other instrumentality of any governmental entity or other entity exercising executive, legislative, judicial, taxing, regulatory, fiscal, monetary or administrative powers or functions of or pertaining to government, or any arbitrator, mediator or other person with authority to bind a party at law. "Hazardous Substance" means any substance that shall, at any time, be listed as "hazardous" or "toxic" in any Applicable Environmental Law or that has been or shall be determined at any time by any agency or court to be a hazardous or toxic substance regulated under Applicable Environmental Laws; and also means, without limitation, raw materials, building components, the products of any manufacturing, or other activities on the Property, ,•I' ' • wastes, petroleum, and source, special nuclear, or by- product material as defined by the Atomic Energy Act of 1954, as amended (42 USC Sections 3011 et seq.). "Lease Agreement " means this Lease Agreement, dated as of June 1, 2014, between the Authority and the City. "Lease Payment Date" means January 1 and July 1 in each year, commencing January 1, 2015, and continuing to and including the date on which the Lease Payments are paid in full. "Lease Payments" means all payments required to be paid by the City under Section 4.3, including any prepayment thereof under Sections 9.2 or 9.3. "Material Adverse Effect" means an event or occurrence which adversely affects in a material manner (a) the assets, liabilities, condition (financial or otherwise), business, facilities or operations of the City, (b) the ability of the City to carry out its business in the manner conducted as of the date of this Lease Agreement or to meet or perform its obligations under this Lease Agreement on a timely basis, (c) the validity or enforceability of this Lease Agreement, or (d) the exclusion of the interest component of the Lease Payments from gross income for federal income tax purposes or the exemption of such interest for state income tax purposes. "Material Litigation" means any action, suit, proceeding, inquiry or investigation against the City in any court or before any arbitrator of any kind or before or by any Governmental Authority, (i) if determined adversely to the City, may have a Material Adverse Effect, (ii) seek to restrain or enjoin any of the transactions contemplated by this Lease Agreement, or (iii) may adversely affect (A) the exclusion of the interest component of the Lease Payments from gross income for federal income tax purposes or the exemption of such interest for state income tax purposes or (B) the ability of the City to perform its obligations under this Lease Agreement. "Net Proceeds" means any insurance or eminent domain award (including any proceeds of sale to a governmental entity under threat of the exercise of eminent domain powers), paid with respect to the Property, to the extent remaining after payment therefrom of all expenses incurred in the collection thereof. "1994 Bonds" means the Santa Ana Financing Authority Police Administration and Holding Facility Lease Revenue Bonds, Series 1994A, outstanding in the principal amount of $67,100,000. "1994 Bonds Escrow Agreement" means that certain escrow deposit and trust agreement, dated June 12, 2014, by and between the City and the Escrow Bank, relating to the defeasance of a portion of the 1994 Bonds. "1994 Bonds Escrow Fund" means the escrow fund established by and held by the Escrow Bank under the 1994 Bonds Escrow Agreement. "1998 Certificates " means the City of Santa Ana Certificates of Participation (1998 City Hall Expansion Project), outstanding in the principal amount of $8,015,000. "1998 Certificates Escrow Agreement" means that certain escrow deposit and trust agreement, dated June 12, 2014, by and between the City and the Escrow Bank, relating to the defeasance of the 1998 Certificates. "1998 Certificates Escrow Fund" means the escrow fund established by and held by the Escrow Bank under the 1998 Certificates Escrow Agreement. "Permitted Encumbrances" means, as of any time: (a) liens for general ad valorem taxes and assessments, if any, not then delinquent, or which the City may permit to remain unpaid under Article VI of this Lease Agreement; (b) the Site and Facility Lease, this Lease Agreement and the Assignment Agreements; (c) any right or claim of any mechanic, laborer, materialman, supplier or vendor not filed or perfected in the manner prescribed by law; (d) the exceptions disclosed in the title insurance policy issued with respect to the Property issued as of the Closing Date; and (e) any easements, rights of way, mineral rights, drilling rights and other rights, reservations, covenants, conditions or restrictions which exist of record and which the City certifies in writing will not materially impair the use of the Property for its intended purposes. "Property" means, collectively, the Site and the Facility. "Rental Period" means each period during the Term of the Lease commencing on and including July 2 in each year and extending to and including the next succeeding July 1. The first Rental Period begins on the Closing Date and ends on July 1, 2015. 1 "Site" means that certain real property more particularly described in Exhibit A to the Site and Facility Lease and in Exhibit A to the Lease Agreement. "Site and Facility Lease" means the Site and Facility Lease, dated as of June 1, 2014, by and between the City, as lessor, and the Authority, as lessee, together with any duly authorized and executed amendments thereto. "State" means the State of California. "Tax Code" means the Internal Revenue Code of 1986 as in effect on the Closing Date or (except as otherwise referenced herein) as it may be amended to apply to obligations issued on the Closing Date, together with applicable proposed, temporary and final regulations promulgated, and applicable official public guidance published, under the Tax Code. "Term of this Lease Agreement" or "Term" means the time during which this Lease Agreement is in effect, as provided in Section 4.2. Section 1.2. Interpretation. (a) Unless the context otherwise indicates, words expressed in the singular include the plural and vice versa and the use of the neuter, masculine, or feminine gender is for convenience only and include the neuter, masculine or feminine gender, as appropriate. (b) Headings of articles and sections herein and the table of contents hereof are solely for convenience of reference, do not constitute a part hereof and do not affect the meaning, construction or effect hereof. (c) All references herein to "Articles," "Sections" and other subdivisions are to the corresponding Articles, Sections or subdivisions of this Lease Agreement; the words "herein," "hereof," "hereby," "hereunder" and other words of similar import refer to this Lease Agreement as a whole and not to any particular Article, Section or subdivision hereof. -5- 80A-50 ARTICLE II COVENANTS, REPRESENTATIONS AND WARRANTIES Section 2.1. Covenants, Representations and Warranties of the Citv. The City makes the following covenants, representations and warranties to the Authority as of the date of the execution and delivery of this Lease Agreement: (a) Due Organization and Existence. The City is a municipal corporation and chartered city, organized and existing under and by virtue of the laws of the State, has full legal right, power and authority under the laws of the State to enter into the Escrow Agreement, the Site and Facility Lease and this Lease Agreement and to carry out and consummate all transactions on its part contemplated hereby and thereby, and by proper action the City has duly authorized the execution and delivery by the City of the Escrow Agreement, the Site and Facility Lease and this Lease Agreement. (b) Due Execution. The representative of the City executing the Escrow Agreement, the Site and Facility Lease and this Lease Agreement has been fully authorized to execute the same by a resolution duly adopted by the City Council of the City. (c) Valid, Binding and Enforceable Obligations. The Escrow Agreement, the Site and Facility Lease and this Lease Agreement have been duly authorized, executed and delivered by the City and constitute the legal, valid and binding agreements of the City enforceable against the City in accordance with their respective terms. (d) No Conflicts. The execution and delivery of the Escrow Agreement, the Site and Facility Lease and this Lease Agreement, the consummation of the transactions therein and herein contemplated and the fulfillment of or compliance with the terms and conditions thereof and hereof, do not and will not conflict with or constitute a violation or breach of or default (with due notice or the passage of time or both) under any applicable law or administrative rule or regulation, or any applicable court or administrative decree or order, or any indenture, mortgage, deed of trust, lease, contract or other agreement or instrument to which the City is a party or by which it or its properties are otherwise subject or bound, or result in the creation or imposition of any prohibited lien, charge or encumbrance of any nature whatsoever upon any of the property or assets of the City, which conflict, violation, breach, default, lien, charge or encumbrance would have consequences that would materially and adversely affect the consummation of the transactions contemplated by the Escrow Agreement, the Site and Facility Lease or this Lease Agreement or the financial condition, assets, properties or operations of the City. (e) Consents and Approvals. No consent or approval of any trustee or holder of any indebtedness of the City or of the voters of the City, and no consent, permission, authorization, order or license of, or filing or registration with, any Governmental Authority is necessary in connection with the execution and delivery of the Escrow Agreement, the Site and Facility Lease and this Lease Agreement, or the consummation of any transaction therein and herein contemplated, except as have been obtained or made and as are in full force and effect. (f) No Litigation. There is no action, suit, proceeding, inquiry or investigation before or by any court or federal, state, municipal or other Governmental Authority pending and notice of which has been served on the City or, to the knowledge of the City after reasonable investigation, threatened against or affecting the City or the assets, properties or operations of the City which, if determined adversely to the City or its interests, would have a material and adverse effect upon the consummation of the transactions contemplated by or the validity of the Escrow Agreement, the Site and Facility Lease and this Lease Agreement or upon the financial -6- 80A-51 condition, assets, properties or operations of the City, and the City is not in default with respect to any order or decree of any court or any order, regulation or demand of any federal, state, municipal or other Governmental Authority, which default might have consequences that would materially and adversely affect the consummation of the transactions contemplated by this Lease Agreement, or the financial condition, assets, properties or operations of the City. (g) Sufficient Funds. The City reasonably believes that sufficient funds can be obtained to make all Lease Payments and all other amounts required to be paid pursuant to this Lease Agreement. (h) No Defaults. The City has never non - appropriated or defaulted under any of its payment or performance obligations or covenants, either under any financing lease of the same general nature as this Lease Agreement, or under any of its bonds, notes, or other debt obligations. (i) Fee Title. The City is the owner in fee of title to the Property. No lien or encumbrance on the Property materially impairs the City's use of the Property for the purposes for which it is, or may reasonably be expected to be, held. (j) Use of the Property. During the term of this Lease Agreement, the Property will be used by the City only for the purpose of performing one or more governmental or proprietary functions of the City consistent with the permissible scope of the City's authority. (k) Change in Financial Condition. The City has experienced no material change in its financial condition since June 30, 2013. (1) Hazardous Substances. The Property is free of all Hazardous Substances, and the City is in full compliance with all Applicable Environmental Laws. (m) Flooding Risk. The Property is not located in a Iffl-year flood zone and has never been subject to material damage from flooding. (n) Value of Property. The value of the Property (real property replacement cost) is not less than $ (o) Essential to City Operations. The Property is essential to the City's efficient and economic operations and the lease thereof for use by the City is in the best interest of the City. (p) Financial Statements. The statement of financial position of the City as of June 30, 2013, and the related statement of activities and statement of cash flows and changes in financial position for the year then ended and the auditors' reports with respect thereto, copies of which have heretofore been furnished to the Assignees, are complete and correct and fairly present the financial condition, changes in financial position and results of operations of the City at such date and for such period, and were prepared in accordance with generally accepted accounting principles. Since the period of such statements, there has been no (i) change which would have a Material Adverse Effect and (ii) no material increase in the indebtedness of the City. (q) No Material Adverse Change. Since the most current date of the information, financial or otherwise, supplied by the City to the Assignees: (i) There has been no change in the assets, liabilities, financial position or results of operations of the City which might reasonably be anticipated to cause a Material Adverse Effect. -7- 80A-52 (ii) The City has not incurred any obligations or liabilities which might reasonably be anticipated to cause a Material Adverse Effect. (iii) The City has not (A) incurred any material indebtedness, other than the Lease Payments, and trade accounts payable arising in the ordinary course of the City's business and not past due, or (B) guaranteed the indebtedness of any other person. (r) Accuracy of Information. All information, reports and other papers and data furnished by the City to the Assignees were, at the time the same were so furnished, complete and accurate in all material respects and insofar as necessary to give the Assignees a true and accurate knowledge of the subject matter and were provided in expectation of the Assignees' reliance thereon in entering into the transactions contemplated by this Lease Agreement. No fact is known to the City which has had or, so far as the City can now reasonably foresee, may in the future have a Material Adverse Effect, which has not been set forth in the financial statements previously furnished to the Assignees or in other such information, reports, papers and data or otherwise disclosed in writing to the Assignees prior to the Closing Date. Any financial, budget and other projections furnished to the Assignees by the City or its or their agents were prepared in good faith on the basis of the assumptions stated therein, which assumptions were fair and reasonable in light of the conditions existing at the time of delivery of such financial, budget or other projections, and represented, and as of the date of this representation, represent the City's best estimate of its future financial performance. No document furnished nor any representation, warranty or other written statement made to the Assignees in connection with the negotiation, preparation or execution of this Lease Agreement contains or will contain any untrue statement of a material fact or omits or will omit to state (as of the date made or furnished) any material fact necessary in order to make the statements contained herein or therein, in light of the circumstances under which they were or will be made, not misleading. Section 2.2. Covenants, Representations and Warranties of the Authority. The Authority makes the following covenants, representations and warranties to the City as of the date of the execution and delivery of this Lease Agreement: (a) Due Organization and Existence. The Authority is a joint exercise of powers authority, duly organized and existing under the laws of the State, has full legal right, power and authority to enter into the Site and Facility Lease, this Lease Agreement and the Assignment Agreements and to carry out and consummate all transactions on its part contemplated hereby and thereby, and by proper action the Authority has duly authorized the execution and delivery by the Authority of the Escrow Agreement, the Site and Facility Lease, this Lease Agreement and the Assignment Agreements. (b) Due Execution. The representative of the Authority executing the Escrow Agreement, the Site and Facility Lease, this Lease Agreement and the Assignment Agreements is fully authorized to execute the same under official action taken by the Board of Directors of the Authority. (c) Valid, Binding and Enforceable Obligations. The Escrow Agreement, the Site and Facility Lease, this Lease Agreement and the Assignment Agreements have been duly authorized, executed and delivered by the Authority and constitute the legal, valid and binding agreements of the Authority, enforceable against the Authority in accordance with their respective terms. (d) No Conflicts. The execution and delivery of the Escrow Agreement, the Site and Facility Lease, this Lease Agreement and the Assignment Agreements, the consummation of the transactions herein and therein contemplated and the fulfillment of or compliance with the terms and conditions hereof and thereof, do not and will not conflict with or constitute a violation or breach of or default (with due notice or the passage of time or both) under any applicable law or administrative rule or regulation, or any applicable court or administrative decree or order, or any indenture, mortgage, deed of trust, lease, contract or other agreement or instrument to which the Authority is a party or by which it or its properties are otherwise subject or bound, or result in the creation or imposition of any prohibited lien, charge or encumbrance of any nature whatsoever upon any of the property or assets of the Authority, which conflict, violation, breach, default, lien, charge or encumbrance would have consequences that would materially and adversely affect the consummation of the transactions contemplated by the Escrow Agreement, the Site and Facility Lease, this Lease Agreement and the Assignment Agreements or the financial condition, assets, properties or operations of the Authority. (e) Consents and Approvals. No consent or approval of any trustee or holder of any indebtedness of the Authority, and no consent, permission, authorization, order or license of, or filing or registration with, any Governmental Authority is necessary in connection with the execution and delivery of the Escrow Agreement, the Site and Facility Lease, this Lease Agreement or the Assignment Agreements, or the consummation of any transaction herein or therein contemplated, except as have been obtained or made and as are in full force and effect. (f) No Litigation. There is no action, suit, proceeding, inquiry or investigation before or by any court or federal, state, municipal or other Governmental Authority pending and notice of which has been served on the Authority or, to the knowledge of the Authority after reasonable investigation, threatened against or affecting the Authority or the assets, properties or operations of the Authority which, if determined adversely to the Authority or its interests, would have a material and adverse effect upon the consummation of the transactions contemplated by or the validity of the Escrow Agreement, the Site and Facility Lease, this Lease Agreement or the Assignment Agreements, or upon the financial condition, assets, properties or operations of the Authority, and the Authority is not in default with respect to any order or decree of any court or any order, regulation or demand of any federal, state, municipal or other Governmental Authority, which default might have consequences that would materially and adversely affect the consummation of the transactions contemplated by the Escrow Agreement, the Site and Facility Lease, this Lease Agreement or the Assignment Agreements or the financial condition, assets, properties or operations of the Authority. -9- 80A-54 ARTICLE III DEPOSIT AND APPLICATION OF FUNDS Section 3.1. Deposit of and Application of Funds. On the Closing Date, the Authority shall cause (a) the amount of $ to be transferred to the Escrow Bank for deposit in the 1994 Bonds Escrow Fund and applied to the defeasance of $33,550,000 (50 %) of the outstanding 1994 Bonds, and (b) the amount of $ to be transferred to the Escrow Bank for deposit in the 1998 Certificates Escrow Fund and applied to the defeasance of the outstanding 1998 Certificates. Such amounts shall be derived from amounts paid by the Assignees under the Assignment Agreements. In addition, a portion of the amounts paid by the Assignees under the Assignment Agreements (including amounts retained by the nees for its fees) shall be applied by the Assignees to pay financing costs of the transaction in the amount of $ -10- ARTICLE IV LEASE OF PROPERTY; LEASE PAYMENTS Section 4.1. Sublease of Property by the Authority Back to the City. (a) The Authority hereby subleases the Property to the City, and the City hereby subleases the Property from the Authority, upon the terms and conditions set forth in this Lease Agreement. (b) The leasing of the Property by the City to the Authority pursuant to the Site and Facility Lease shall not affect or result in a merger of the City's subleasehold estate pursuant to this Lease Agreement and its fee estate as lessor under the Site and Facility Lease. Section 4.2. Term. The Term of this Lease Agreement commences on the date of recordation of this Lease Agreement or a memorandum hereof and ends on lanuary 1. 20281. 2028, or the date on which all of the Lease Payments have been paid in full pursuant to the terms of this Lease Agreement. If on Ianuary 1 2028, the Lease Payments payable hereunder shall have been abated at any time and for any reason and not otherwise paid from rental interruption insurance or other sources, or the City shall have defaulted in its payment of Lease Payments hereunder or any Event of Default has occurred and continues without cure by the City, then the term of this Lease Agreement shall be extended for the actual period of abatement or for so long as the default remains uncured, as necessary to accommodate the final payment of all Lease Payments due hereunder, not to exceed ten (10) years. The provisions of this Section 4.2 are subject to the provisions of Section 6.1 relating to the taking in eminent domain of the Property or any portion thereof. Section 4.3. Lease Payments. (a) Obligation to Pay. Subject to the provisions of Sections 6.1 and 6.3 and the provisions of Article IX, the City agrees to pay to the Authority, its successors and assigns, the Lease Payments (denominated into components of principal and interest) in the amounts specified in Exhibits C -1 C -2 and C -3 attached hereto (with the total of all Lease Payments shown in Exhibit C -4 attached hereto) (including any supplements thereto) and by this reference ncorporated herein, to be due and payable in immediately available funds on each of the respective Lease Payment Dates specified in Exhibits C -1, C -2 and C -3; provided, however, that if any Lease Payment Date is not a Business Day, such Lease Payment shall be due on the next succeeding Business Day and shall continue to accrue interest to the next succeeding Business Day. The Lease Payments payable in any Rental Period with respect to the Property shall be for the use of the Property during such Rental Period. The interest component of the portion of the Lease Payments specified in Exhibits C -1 and-C-2-has been calculated based on an interest rate of % per annum, on the basis of a 360 -day year of twelve 30 -day months. The interest months. The City understands that each Assignee will send an invoice to the City in advance of each Lease Payment Date. If, for any reason, the interest component of the Lease Payments becomes includable in the gross income of the for federal income tax purposes under the Code based upon a final determination thereof by the Internal Revenue Service, the City, at the option of the Assignees, shall pay to the Assignees within thirty days of such determination, the amount which, with respect to Lease Payments previously paid and taking into account all penalties, fines, interest and additions to tax (including all federal, state and local taxes imposed on the interest component of the Lease Payments due through the date of such determination) that are imposed on the Assignees as a result of the loss of the exclusion, will restore the Assignees to the same after -tax yield on the transaction evidenced by this Lease Agreement -11- 80A-56 (assuming tax at the actual marginal corporate rate) that it would have realized had the tax exemption not been lost. Furthermore, the City agrees that upon the occurrence of such an event, it shall pay additional amounts to the Assignees on each succeeding Lease Payment Date as will maintain such after -tax yield to the Assignees. (b) Additional Payments. In addition to the Lease Payments set forth herein, the City agrees to pay as Additional Payments all of the following: (i) all taxes and assessments of any nature whatsoever, including but not limited to excise taxes, ad valorem taxes, ad valorem and specific lien special assessments and gross receipts taxes, if any, levied upon the Property or upon any interest of the Authority therein or in this Lease Agreement; provided, however, the City may, at the City's expense and in its name, in good faith contest any such taxes and assessments and, in the event of such contest, may permit such taxes and assessments to remain unpaid during the period of such contest and appeal therefrom unless the Authority shall notify the City that, in the opinion of Bond Counsel, by nonpayment of any such items, the interest of the Authority in the Property will be materially endangered or the Property, or any portion thereof, will be subject to loss or forfeiture, in which event the City shall promptly pay such taxes and assessments or provide the Authority with full security against any loss which may result from nonpayment, in form satisfactory to the Authority; (ii) insurance premiums, if any, on all insurance required under the provisions of Article V hereof; (iii) any other reasonable fees, costs or expenses incurred by the Authority in connection with the execution, performance or enforcement of this Lease Agreement or any of the transactions contemplated hereby or related to the Property, including, without limitation, any amounts which may become due; provided, however, the City shall not be responsible for any costs incurred by the Authority associated with any assignment made by the Assignees; and (iv) any amounts required to be paid as rebate to the United States pursuant to the Tax Certificate. Amounts constituting Additional Payments payable hereunder shall be paid by the City directly to the person or persons to whom such amounts shall be payable. The City shall pay all such amounts when due or at such later time as such amounts may be paid without penalty or, in any other case, within 60 days after notice in writing from the Authority to the City stating the amount of Additional Payments then due and payable and the purpose thereof. (c) Effect of Prepayment. If the City prepays all Lease Payments in full under Sections 9.2 or 9.3, the City's obligations under this Section will thereupon cease and terminate. If the City prepays the Lease Payments in part but not in whole under Section 9.3, the principal components of the remaining Lease Payments will be reduced on a pro rata basis; and the interest component of each remaining Lease Payment will be reduced on a pro rata basis. (d) Rate on Overdue Payments. If the City fails to make any of the payments required in this Section 4.3 for more than ten days after the due date for payment, the payment in default will continue as an obligation of the City until the amount in default has been fully paid, and the City agrees to pay a-rate equal to the rates specified in paragraph (a) above plus 5° from the date of default to the date of payment. -12- 80A-57 (e) Fair Rental Value. The Lease Payments coming due and payable during each Rental Period constitute the total rental for the Property for such Rental Period, and will be paid by the City in each Rental Period for and in consideration of the right of the use and occupancy of, and the continued quiet use and enjoyment of the Property during each Rental Period. The parties hereto have agreed and determined that the total Lease Payments due during each Rental Period are not in excess of the fair rental value of the Property during such Rental Periods. In making this determination, consideration has been given to the estimated fair market value of the Property, the estimated replacement cost of the Property, the uses and purposes which may be served by the Property and the benefits therefrom which will accrue to the City and the general public. (f) Source of Payments, Budget and Appropriation. The Lease Payments are payable from any source of legally available funds of the City, subject to the provisions of Sections 6.1, 6.3 and 9.1. The City covenants to take such action as may be necessary to include all Lease Payments in each of its annual budgets during the Term of this Lease Agreement and to make the necessary annual appropriations for all such Lease Payments. The covenants on the part of the City herein contained constitute duties imposed by law and it is the duty of each and every public official of the City to take such action and do such things as are required by law in the performance of the official duty of such officials to enable the City to carry out and perform the covenants and agreements in this Lease Agreement agreed to be carried out and performed by the City. (g) Allocation of Lease Payments. All Lease Payments received shall be applied first to the interest components of the Lease Payments due hereunder, then to the principal components of the Lease Payments due hereunder, but no such application of any payments that are less than the total rental due and owing shall be deemed a waiver of any default hereunder. (h) No Offsets. Notwithstanding any dispute between the Authority, or Agnees as the Authority's assignee, and the City, the City shall make all Lease Payments when due without deduction or offset of any kind and shall not withhold any Lease Payments pending the final resolution of such dispute. (i) Assignment Agreements. The City understands and agrees that all Lease Payments have been assigned by the Authority to the ssi es under the Assignment Agreements executed concurrently herewith, and the City hereby assents to such assignment. The Authority hereby directs the City, and the City hereby agrees, to pay to the Assignees (or to its assignees as directed pursuant to Section 7.4 hereof) all payments payable by the City under this Section 4.3 and all amounts payable by the City under Article IX. Lease Payments shall be paid to the Assignees as follows: Payments to WAPF by check (by overnight delivery only to this address): Payments to WAPF by wire: Payments to CB by check (by overnight delivery only toto this -13- .O • Payments to CB bh wire: Payments to COPE by check (by overnight delivery only to this address ; Payments to COPF by wire• Section 4.4. Ouiet Enjoyment. Throughout the Term of this Lease Agreement, the Authority will provide the City with quiet use and enjoyment of the Property and the City will peaceably and quietly have and hold and enjoy the Property, without suit, trouble or hindrance from the Authority, except as expressly set forth in this Lease Agreement. The Authority will, at the request of the City and at the City's cost, join in any legal action in which the City asserts its right to such possession and enjoyment to the extent the Authority may lawfully do so. Notwithstanding the foregoing, the Authority and the ssi nees have the right to inspect the Property as provided in Sections 5.12(c) and 7.2. Section 4.5. Title. At all times during the Term of this Lease Agreement, the City shall hold title to the Property, including all additions which comprise fixtures, repairs, replacements or modifications thereto, subject to Permitted Encumbrances and subject to the provisions of Section 7.2. Upon the termination of this Lease Agreement (other than under Section 8.2(b) hereof), all right, title and interest of the Authority in and to the Property shall be transferred to and vested in the City. Upon the payment in full of all Lease Payments allocable to the Property, or upon the deposit by the City of security for such Lease Payments as provided in Section 9.1, all right, title and interest of the Authority in and to the Property shall be transferred to and vested in the City. The Authority agrees to take any and all steps and execute and record any and all documents reasonably required by the City to consummate any such transfer. Section 4.6. Release of Excess Property. The City may, at any time and from time to time, release any portion of the Property (the "Released Property') from the Lease, with the prior written consent of the Assignees, which consent shall be at the Asi I sole discretion, and upon satisfaction of all of the following requirements which are conditions precedent to such release: (a) The City shall certify to the Authority and the Assignees that no Event of Default has occurred and is continuing, and no event giving rise to an abatement of Lease Payments under Section 6.3 has occurred or is continuing with respect to the Property to be remaining following release of the Released Property; (b) The City shall file with the Authority and the ssi nees and cause to be recorded in the office of the Orange County Recorder, an amendment to this Lease Agreement which deletes the Released Property from the description of the Property; (c) The City shall file with the Authority and the Assigr�ee . a written certificate of the City stating the City's determination that the estimated value of the real property which will remain leased under this Lease Agreement following such release is at least equal to the original -14- 80A-59 principal components of the Lease Payments and upon request of the Assignees, the City shall provide to the Assignees additional information and documents to evidence the value of the remaining portion of the Property; (d) The City shall file with the Authority and the Assignees a written certificate of the City stating the City's determination that the estimated fair rental value, for each remaining Rental Period and in the aggregate, of the Property remaining after release of the Released Property is at least equal to the remaining Lease Payments for each remaining Rental Period and in the aggregate; and (e) The City shall file with the Authority and the ssi ees such other information, documents and instruments as the Authority or the i nees shall reasonably request, including (if requested by the Assignees) evidence of the insurable value of the Property to be remaining following release of the Released Property, indicating that such value is in excess of the then unpaid principal component of the Lease Payments and such endorsements to the title policy delivered on the Closing Date. Upon the satisfaction of all such conditions precedent, the Term of this Lease Agreement will thereupon end as to the Released Property. The City is not entitled to any reduction, diminution, extension or other modification of the Lease Payments whatsoever as a result of such release. The Authority and the City shall execute, deliver and cause to be recorded all documents required to discharge this Lease Agreement of record against the Released Property. Section 4.7. Substitution of Property. (a) In the event of damage or destruction of the Property due to earthquake or other uninsured casualty for which rental interruption insurance is not available or in the event that following the condemnation of all or a portion of the Property the fair rental value of the Property remaining after such condemnation is less than the remaining Lease Payments due under this Lease Agreement, the City shall substitute under the Site and Facility Lease and this Lease Agreement one or more parcels of unimpaired and unencumbered real property, the fair rental value of which, for each remaining Rental Period and in the aggregate, shall be at least equal to the remaining Lease Payments hereunder. (b) If for any reason the City is unable to so substitute real property for the Property with a fair rental value at least equal to the remaining Lease Payments hereunder, the City shall use its best efforts to obtain other financing in an amount necessary to prepay the principal component of the Lease Payments not supported by the fair rental value of the substituted property, if any. -15- Fi N • F ARTICLE V MAINTENANCE; TAXES; INSURANCE; AND OTHER MATTERS Section 5.1. Maintenance, Utilities, Taxes and Assessments. Throughout the Term of this Lease Agreement, as part of the consideration for the rental of the Property, all improvement, repair and maintenance of the Property are the sole responsibility of the City, and the City will pay for or otherwise arrange for the payment of all utility services supplied to the Property, which may include, without limitation, janitor service, security, power, gas, telephone, light, heating, water and all other utility services, and shall pay for or otherwise arrange for the payment of the cost of the repair and replacement of the Property resulting from ordinary wear and tear or want of care on the part of the City or any assignee or sublessee thereof. In exchange for the Lease Payments herein provided, the Authority agrees to provide only the Property, as hereinbefore more specifically set forth. The City waives the benefits of subsections 1 and 2 of Section 1932, Section 1933(4) and Sections 1941 and 1942 of the California Civil Code, but such waiver does not limit any of the rights of the City under the terms of this Lease Agreement. The City will pay or cause to be paid all taxes and assessments of any type or nature, if any, charged to the Authority or the City affecting the Property or the respective interests or estates therein; provided that with respect to special assessments or other governmental charges that may lawfully be paid in installments over a period of years, the City is obligated to pay only such installments as are required to be paid during the Term of this Lease Agreement as and when the same become due. The City may, at the City's expense and in its name, in good faith contest any such taxes, assessments, utility and other charges and, in the event of any such contest, may permit the taxes, assessments or other charges so contested to remain unpaid during the period of such contest and any appeal therefrom unless the Authority shall notify the City that, in its reasonable opinion, by nonpayment of any such items the interest of the Authority in the Property will be materially endangered or the Property or any part thereof will be subject to loss or forfeiture, in which event the City will promptly pay such taxes, assessments or charges or provide the Authority with full security against any loss which may result from nonpayment, in form satisfactory to the Authority. The City shall promptly notify the Assignees of any tax, assessment, utility or other charge it elects to contest. Section 5.2. Modification of Property. The City has the right, at its own expense, to make additions, modifications and improvements to the Property or any portion thereof. All additions, modifications and improvements to the Property will thereafter comprise part of the Property and become subject to the provisions of this Lease Agreement. Such additions, modifications and improvements may not in any way damage the Property, or cause the Property to be used for purposes other than those authorized under the provisions of state and federal law; and the Property, upon completion of any additions, modifications and improvements made thereto under this Section, must be of a value which is not substantially less than the value thereof immediately prior to the making of such additions, modifications and improvements. Section 5.3. Public Liability Insurance. The City shall maintain or cause to be maintained throughout the Term of this Lease Agreement a standard comprehensive general liability insurance policy or policies in protection of the City, the Assignees and their respective members, officers, agents, employees and assigns. Said policy or policies shall provide for indemnification of said parties against direct or contingent loss or liability for damages for bodily and personal injury, death or property damage occasioned by reason of the operation of the Property. Such policy or policies must provide coverage with limits of at least $1,000,000 per occurrence, $3,000,000 in the aggregate, for bodily injury and property damage coverage, and -16- .O I M • excess liability umbrella coverage of at least $5,000,000, and in all events in form and amount (including any deductibles) satisfactory to the Assignees. Such insurance may be maintained as part of or in conjunction with any other insurance coverage carried by the City (including, with ssi nees' prior written consent, a self insurance program), and may be maintained in whole or in part in the form of the participation by the City in a joint powers authority or other program providing pooled insurance. The City will apply the proceeds of such liability insurance toward extinguishment or satisfaction of the liability with respect to which such proceeds have been paid. Section 5.4. Casualty Insurance. The City will procure and maintain, or cause to be procured and maintained, throughout the Term of this Lease Agreement, casualty insurance against loss or damage to all buildings situated on the Property and owned by the City, in an amount at least equal to the greater of the replacement value of the insured buildings and the aggregate principal amount of the Lease Payments outstanding, with a lender's loss payable endorsement. Such insurance must, as nearly as practicable, cover loss or damage by all "special form" perils. Such insurance shall be subject to a deductible of not to exceed $250,000. Such insurance may be maintained as part of or in conjunction with any other insurance coverage carried by the City (including, with the ees' prior written consent, a self insurance program), and may be maintained in whole or in part in the form of the participation by the City in a joint powers authority or other program providing pooled insurance. The City will apply the Net Proceeds of such insurance as provided in Section 6.2. Section 5.5. Rental Interruption Insurance. The City will procure and maintain, or cause to be procured and maintained, throughout the Term of this Lease Agreement, rental interruption or use and occupancy insurance to cover loss, total or partial, of the use of the Property and the improvements situated thereon as a result of any of the hazards covered in the insurance required by Section 5.4, in an amount at least equal to the maximum Lease Payments coming due and payable during any future 24 month period. Such insurance may be maintained as part of or in conjunction with any other insurance coverage carried by the City, and may be maintained in whole or in part in the form of the participation by the City in a joint powers authority or other program providing pooled insurance; provided that such rental interruption insurance shall not be self- insured by the City. The City will apply the Net Proceeds of such insurance towards the payment of the Lease Payments allocable to the insured improvements as the same become due and payable. Section 5.6. Worker's Compensation Insurance. If required by applicable California law, the City shall carry worker's compensation insurance covering all employees on, in, near or about the Property and, upon request, shall furnish to the Authority certificates evidencing such coverage throughout the Term of this Lease Agreement. Such insurance may be maintained as part of or in conjunction with any other insurance coverage carried by the City (including a self insurance program), and may be maintained in whole or in part in the form of the participation by the City in a joint powers authority or other program providing pooled insurance. Section 5.7. Recordation Hereof; Title Insurance. On or before the Closing Date, the City shall, at its expense, (a) cause this Lease Agreement, the Site and Facility Lease and the Assignment Agreements, or a memorandum hereof or thereof in form and substance approved by Bond Counsel, to be recorded in the office of the Orange County Recorder with respect to the Property, and (b) obtain a CLTA title insurance policy insuring the Assignees' interests in the leasehold estate established under the Site and Facility Lease and hereunder in the Property, subject only to Permitted Encumbrances, in an amount equal to the original principal components of the Lease Payments. The City will apply the Net Proceeds of such insurance as provided in Section 6.2. -17- 80A-62 Section 5.5. Insurance Net Proceeds: Form of Policies. All insurance policies (or riders) required by this Article V and provided by third party insurance carriers shall be taken out and maintained with responsible insurance companies organized under the laws of one of the states of the United States and qualified to do business in the State, and shall contain a provision that the insurer shall not cancel or revise coverage thereunder without giving written notice to the insured parties at least ten days before the cancellation or revision becomes effective. Each insurance policy or rider required by Sections 5.3, 5.4 and 5.5 and provided by third party insurance carriers shall name the City and the i s as insured parties and the Assignees as loss payees and shall include a lender's loss payable endorsement for the benefit of the Assignees. In the case of coverage pursuant to Section 5.3, the Authority and the Assignees shall be added as an additional insureds. Prior to the Closing Date, the City will deposit with the Assignees policies (and riders and endorsements, if applicable) evidencing any such insurance procured by it, or a certificate or certificates of the respective insurers stating that such insurance is in full force and effect. Before the expiration of any such policy (or rider), the City will furnish to the Assignees evidence that the policy has been renewed or replaced by another policy conforming to the provisions of this Article V unless such insurance is no longer obtainable, in which event the City shall notify the ssi nees of such fact. Section 5.9. Installation of City's Personal Property. The City may at any time and from time to time, in its sole discretion and at its own expense, install or permit to be installed other items of equipment or other personal property in or upon the Property. All such items shall remain the sole property of the City, in which the Authority has no interest, and may be modified or removed by the City at any time. The City must repair and restore any and all damage to the Property resulting from the installation, modification or removal of any such items. Nothing in this Lease Agreement prevents the City from purchasing or leasing items to be installed under this Section under a lease or conditional sale agreement, or subject to a vendor's lien or security agreement, as security for the unpaid portion of the purchase price thereof, provided that no such lien or security interest may attach to any part of the Property. Section 5.10. Liens. The City will not, directly or indirectly, create, incur, assume or suffer to exist any mortgage, pledge, lien, charge, encumbrance or claim on or with respect to the Property, other than as herein contemplated and except for such encumbrances as the City certifies in writing to the Assignees do not materially and adversely affect the leasehold estate in the Property hereunder and for which the Assignees provides its prior written approval, which approval shall be at Assignees' sole discretion. Except as expressly provided in this Article V, the City will promptly, at its own expense, take such action as may be necessary to duly discharge or remove any such mortgage, pledge, lien, charge, encumbrance or claim, for which it is responsible, if the same shall arise at any time. The City will reimburse the Assignees for any expense incurred by it in order to discharge or remove any such mortgage, pledge, lien, charge, encumbrance or claim. Section 5.11. Advances. If the City fails to perform any of its obligations under this Article V, the Authority may take such action as may be necessary to cure such failure, including the advancement of money, and the City shall be obligated to repay all such advances as additional rental hereunder, with interest at the rate set forth in Section 43(c). Section 5.12. Environmental Covenants. (a) Compliance with Laws, No Hazardous Substances. The City will comply with all Applicable Environmental Laws with respect to the Property and will not use, store, generate, treat, transport, or dispose of any Hazardous Substance thereon or in a manner that would cause any Hazardous Substance to later flow, migrate, leak, leach, or otherwise come to rest on or in the Property. -15- 80A-63 (b) Notification of Assignees, The City will transmit copies of all notices, orders, or statements received from any governmental entity concerning violations or asserted violations of Applicable Environmental Laws with respect to the Property and any operations conducted thereon or any conditions existing thereon to the , and the City will notify the ss' a in writing immediately of any release, discharge, spill, or deposit of any Hazardous Substance that has occurred or is occurring that in any way affects or threatens to affect the Property, or the people, structures, or other property thereon, provided that no such notification shall create any liability or obligation on the part of the s i ees. (c) Access for Inspection. The City will permit the Assignees, its agents, or any experts designated by the Assignees to have full access to the Property during reasonable business hours for purposes of such independent investigation of compliance with all Applicable Environmental Laws, provided that the ssi nees has no obligation to do so, or any liability for any failure to do so, or any liability should it do so. Section 5.13. City Consent to AsSignment Agreements. The Authority's rights under this Lease Agreement (excluding the right to receive notices, the right to reimbursement of costs and to indemnification), including the right to receive and enforce payment of the Lease Payments, and the Site and Facility Lease, are being assigned to the ss' ees pursuant to the Assignment Agreements. The City hereby consents to such assignment and to any additional assignment of such rights by the Assignees or its assignees. The City agrees to execute all documents, including notices of assignment and chattel mortgages or financing statements, which may be reasonably requested by the ees or its assignees to protect their interests in the Property and in this Lease Agreement. -19- ,• l • ARTICLE VI EMINENT DOMAIN; USE OF NET PROCEEDS Section 6.1. Eminent Domain. If all of the Property shall be taken permanently under the power of eminent domain or sold to a governmental entity threatening to exercise the power of eminent domain, the Term of this Lease Agreement shall cease as of the day possession shall be so taken. If less than all of the Property shall be taken permanently, or if all of the Property or any part thereof shall be taken temporarily under the power of eminent domain, (1) this Lease Agreement shall continue in full force and effect and shall not be terminated by virtue of such taking and the parties waive the benefit of any law to the contrary, and (2) there shall be a partial abatement of Lease Payments in an amount equal to the application of the Net Proceeds of any eminent domain award to the prepayment of the Lease Payments hereunder, in an amount to be agreed upon by the City and the ees such that the resulting Lease Payments represent fair consideration for the use and occupancy of the remaining usable portion of the Property. Section 6.2. Application of Net Proceeds (a) From Insurance Award. (i) Any Net Proceeds of insurance against damage to or destruction of any part of the Property collected by the City in the event of any such damage or destruction shall be deposited by the City promptly upon receipt thereof in a special fund with the Assignees designated as the "Insurance and Condemnation Fund." (ii) Within ninety (90) days following the date of such deposit, the City shall determine and notify the Authority and the Assignees in writing of its determination either (A) that the replacement, repair, restoration, modification or improvement of the Property is not economically feasible or in the best interest of the City and the Net Proceeds, together with other moneys available therefor, are sufficient to cause the prepayment of the principal components of all unpaid Lease Payments pursuant to Section 9.3 hereof, or (B) that all or a portion of such Net Proceeds are to be applied to the prompt replacement, repair, restoration, modification or improvement of the damaged or destroyed portions of the Property and the fair rental value of the Property following such repair, restoration, replacement, modification or improvement will at least equal the unpaid principal component of the Lease Payments. (iii) In the event the City's determination is as set forth in clause (A) of subparagraph (ii) above, such Net Proceeds shall be promptly applied to the prepayment of Lease Payments and other amounts pursuant to Section 9.3 of this Lease Agreement; provided, however, that in the event of damage or destruction of the Property in full, such Net Proceeds may be so applied only if sufficient, together with other moneys available therefor, to cause the prepayment of the principal components of all unpaid Lease Payments, all accrued and unpaid interest, Prepayment Premiums described in Section 9.2, and all other costs related to such prepayments pursuant to Section 9.3 of this Lease Agreement and otherwise such Net Proceeds shall be applied to the prompt replacement, repair, restoration, modification or improvement of the Property; provided further, however, that in the event of damage or destruction of the Property in part, such Net Proceeds may be applied to the prepayment of Lease Payments only if the resulting Lease Payments following such prepayment from Net Proceeds represent fair consideration for the remaining portions of the Property and otherwise such Net Proceeds shall be applied to the prompt replacement, repair, -20- .O R M • restoration, modification or improvement of the Property, evidenced by a certificate signed by a City Representative. (iv) In the event the City's determination is as set forth in clause (B) of subparagraph (ii) above, such Net Proceeds shall be applied to the prompt replacement, repair, restoration, modification or improvement of the damaged or destroyed portions of the Property by the City, and until the Property has been restored to its prior condition, the City shall not place any lien or encumbrance on the Property that is senior to this Lease Agreement without the prior written consent of the ssi nee , at its sole discretion. (b) From Eminent Domain Azoard. If all or any part of the Property shall be taken by eminent domain proceedings (or sold to a government threatening to exercise the power of eminent domain) the Net Proceeds therefrom shall be deposited by the City in the Insurance and Condemnation Fund and shall be applied and disbursed as follows: (i) If the City has given written notice to the Authority and the Assignees of its determination that (A) such eminent domain proceedings have not materially affected the operation of the Property or the ability of the City to meet any of its obligations with respect to the Property under this Lease Agreement, and (B) such proceeds are not needed for repair or rehabilitation of the Property, the City shall so certify to the Authority and the Assignees, and the City shall credit such proceeds towards the prepayment of the Lease Payments pursuant to Section 9.3 of this Lease Agreement. (ii) If the City has given written notice to the Authority and the Assignees of its determination that (A) such eminent domain proceedings have not materially affected the operation of the Property or the ability of the City to meet any of its obligations with respect to the Property under this Lease Agreement, and (B) such proceeds are needed for repair, rehabilitation or replacement of the Property, the City shall so certify to the Authority and the ssi nees, and the City shall apply such amounts for such repair or rehabilitation. (iii) If (A) less than all of the Property shall have been taken in such eminent domain proceedings or sold to a government threatening the use of eminent domain powers, and if the City has given written notice to the Authority and the Assignees of its determination that such eminent domain proceedings have materially affected the operation of the Property or the ability of the City to meet any of its obligations with respect to the Property under the Lease Agreement or (B) all of the Property shall have been taken in such eminent domain proceedings, then the City shall credit such proceeds towards the prepayment of the Lease Payments pursuant to Section 9.3 of this Lease Agreement. (iv) In making any determination under this Section 6.2(b), the City may, but shall not be required to, obtain at its expense, the report of an independent engineer or other independent professional consultant, a copy of which shall be filed with the Authority and the Assignees. Any such determination by the City shall be final. (c) From Title Insurance. The Net Proceeds from a title insurance award shall be deposited by the City in the Insurance and Condemnation Fund and credited towards the prepayment of Lease Payments required to be paid pursuant to Section 9.3 of this Lease Agreement. Section 6.3. Abatement of Lease Payments in the Event of Damage or Destruction. Lease Payments shall be abated during any period in which, by reason of damage or destruction, there is substantial interference with the use and occupancy by the City of the Property or any portion thereof to the extent to be agreed upon by the City and the Assignees. The parties agree that the amounts of the Lease Payments under such circumstances shall not be less than the amounts of the unpaid Lease Payments as are then set forth in Exhibit C, unless such unpaid amounts are determined to be greater than the fair rental value of the portions of the Property not damaged or destroyed, based upon an appropriate method of valuation, in which event the Lease Payments shall be abated such that they represent said fair rental value. Such abatement shall continue for the period commencing with such damage or destruction and ending with the substantial completion of the work of repair or reconstruction as evidenced by a Certificate of a City Representative to the Authority and the Assignees. In the event of any such damage or destruction, this Lease Agreement shall continue in full force and effect and the City waives any right to terminate this Lease Agreement by virtue of any such damage and destruction. Notwithstanding the foregoing, there shall be no abatement of Lease Payments under this Section 6.3 to the extent that (a) the proceeds of rental interruption insurance or (b) amounts in the Insurance and Condemnation Fund are available to pay Lease Payments which would otherwise be abated under this Section 6.3, it being hereby declared that such proceeds and amounts constitute special funds for the payment of the Lease Payments. _22_ .O M • ARTICLE VII OTHER COVENANTS OF THE CITY Section 7.1. Disclaimer of Warranties. THE AUTHORITY MAKES NO AGREEMENT, WARRANTY OR REPRESENTATION, EITHER EXPRESS OR IMPLIED, AS TO THE VALUE, DESIGN, CONDITION, MERCHANTABILITY OR FITNESS FOR ANY PARTICULAR PURPOSE OR FITNESS FOR THE USE CONTEMPLATED BY THE CITY OF THE PROPERTY OR ANY PORTION THEREOF, OR ANY OTHER REPRESENTATION OR WARRANTY WITH RESPECT TO THE PROPERTY OR ANY PORTION THEREOF. THE CITY ACKNOWLEDGES THAT THE CITY LEASES THE PROPERTY AS -IS, IT BEING AGREED THAT ALL OF THE AFOREMENTIONED RISKS ARE TO BE BORNE BY THE CITY. In no event is the Authority liable for incidental, indirect, special or consequential damages, in connection with or arising out of this Lease Agreement for the existence, furnishing, functioning or use of the Property by the City. Section 7.2. Access to the Property; Grant and Conveyance of Right of Entry. The City agrees that the Authority, and the Authority's successors or assigns, has the right at all reasonable times, following at least 48 hours written notice provided to the City, to enter upon and to examine and inspect (to the extent permitted by law and public policy) the Property or any part thereof. The City further agrees that the Authority, and the Authority's successors or assigns shall have such rights of access to the Property or any component thereof, following at least 48 hours written notice provided to the City, as may be reasonably necessary to cause the proper maintenance of the Property if the City fails to perform its obligations hereunder. Neither the Authority nor any of its assigns has any obligation to cause such proper maintenance. The City further grants, conveys and confirms to the Authority, for the use, benefit and enjoyment of the Authority, its successors and assigns in interest to the Property, including the Assignees and its sublessees, and their respective employees, invitees, agents, independent contractors, patrons, customers, guests and members of the public visiting the Property, a right of entry which shall be irrevocable for the Term of this Lease Agreement over, across and under the property of the City adjacent to the Property to and from the Property for the purpose of: (a) ingress, egress, passage or access to and from the Property by pedestrian or vehicular traffic; (b) installation, maintenance and replacement of utility wires, cables, conduits and pipes; and (c) other purposes and uses necessary or desirable for access to and from and for operation and maintenance of the Property. Section 7.3. Release and Indemnification Covenants. The City hereby indemnifies the Authority, the Assignees and their respective directors, officers, agents, employees, successors and assigns against all claims, losses and damages, including legal fees and expenses, arising out of (a) the use, maintenance, condition or management of, or from any work or thing done on the Property by the City or the City's employees, agents, contractors, invitees or licensees, (b) any breach or default on the part of the City in the performance of any of its obligations under this Lease Agreement, (c) any negligence or willful misconduct of the City or of any of its agents, contractors, servants, employees or licensees with respect to the Property, (d) any intentional misconduct or negligence of any sublessee of the City with respect to the Property, (e) the acquisition, construction, improvement and equipping of the Property, (f) the clean -up of any Hazardous Substances or toxic wastes from the Property, or (g) any claim alleging violation of any Applicable Environmental Laws, or the authorization of payment of the costs thereof. No indemnification is made under this Section 7.3 or elsewhere in this Lease Agreement for willful misconduct or gross negligence under this Lease Agreement by the Authority, the Assignees or their respective officers, agents, employees, successors or assigns. The indemnification hereunder shall continue in full force and effect notwithstanding the full payment of all -23- • • obligations under this Lease Agreement or the termination of the Term of this Lease Agreement for any reason. The City and the Authority each agree to promptly give notice to each other and the ssi nees of any claim or liability hereby indemnified against following learning thereof. Section 7.4. Assignment by the Authority. The Authority's rights, title and interests under this Lease Agreement, including the right to receive and enforce payment of the Lease Payments to be made by the City hereunder, have been assigned to the si ; provided that the Authority's rights to indemnification and payment or reimbursement for any costs or expenses hereunder have been retained by the Authority to the extent such rights accrue to the Authority and shall have been assigned to the i e s to the extent such rights accrue to the Assignees. The City hereby consents to such assignment. Whenever in this Lease Agreement any reference is made to the Authority, such reference shall be deemed to refer to the Assignees (including its assignees). The Assignees may make additional assignments of its rights, title and interests herein, but no such assignment will be effective as against the City unless and until the Assignees has filed with the City at least five (5) Business Days' prior written notice thereof and an executed copy of an investor's letter addressed to the City and the Authority substantially in the form of the letter delivered by the Assignees on the Closing Date. The City shall pay all Lease Payments hereunder to the ssi nees, as provided in Section 43(h) hereof, or under the written direction of the assignee named in the most recent assignment or notice of assignment filed with the City. During the Term of this Lease Agreement, the City will keep a complete and accurate record of all such notices of assignment. Section 7.5. Assignment and Subleasing by the City. This Lease Agreement may not be assigned, mortgaged, pledged or transferred by the City. The City may sublease the Property, or any portion thereof, with the prior written consent of the Assignees, at the Ajsi� nees' sole discretion, subject to all of the following conditions: (a) This Lease Agreement and the obligation of the City to make Lease Payments hereunder shall remain obligations of the City, and any sublease shall be subject and subordinate to this Lease Agreement. (b) The City shall, within 30 days after the delivery thereof, furnish or cause to be furnished to the Authority and the Assignees a true and complete copy of such sublease. (c) No such sublease by the City may cause the Property to be used for a purpose other than as may be authorized under the provisions of the laws of the State. (d) The City shall furnish the Authority and the Assignees with a written opinion of Bond Counsel stating that such sublease does not cause the interest components of the Lease Payments to become includable in gross income for purposes of federal income taxation or to become subject to personal income taxation by the State. (e) Any such sublease shall be subject and subordinate in all respects to the Site and Facility Lease and this Lease Agreement. Notwithstanding the foregoing, in connection with any sublease entered into for financing purposes, the principal component of the then remaining Lease Payments plus the principal component of the sublease payments shall not exceed the fair market value of the Property. Section 7.6. Amendment of Lease Agreement. This Lease Agreement may be amended with the prior written consent of the Authority and the Assignees (at the Assignees' sole -24- 80A-69 discretion) provided such amendment does not, in the Assignees' sole judgment, adversely affect the ssi nees. Section 7.7. Tax Covenants. (a) Generally. The City will not take any action or permit to be taken any action within its control which would cause or which, with the passage of time if not cured would cause, the interest components of the Lease Payments to become includable in gross income of the Assignees for federal income tax purposes. (b) Private Activity Bond Limitation. The City will ensure that the proceeds of the Lease Payments are not so used as to cause the City's obligations hereunder to satisfy the private business tests of Section 141(b) of the Tax Code or the private loan financing test of Section 141(c) of the Tax Code. (c) Federal Guarantee Prohibition. The City will not take any action or permit or suffer any action to be taken if the result of the same would be to cause the Lease Payments to be "federally guaranteed" within the meaning of Section 149(b) of the Tax Code. (d) No Arbitrage. The City will not take, or permit or suffer to be taken, any action with respect to the proceeds of the Lease Payments which, if such action had been reasonably expected to have been taken, or had been deliberately and intentionally taken, on the Closing Date would have caused the Lease Payments to be "arbitrage bonds" within the meaning of Section 148(a) of the Tax Code. (e) Arbitrage Rebate. The City will take any and all actions necessary to assure compliance with Section 148(f) of the Tax Code, relating to the rebate of excess investment earnings, if any, to the federal government, to the extent that such section is applicable to the Lease Payments. Section 7.8. Financial Statements: Budgets. Within two hundred ten (210) days following the end of each Fiscal Year of the City during the Term of this Lease Agreement, the City will provide the Authority and the Assignees with a copy of its audited financial statements for such Fiscal Year. Such audited financial statements shall include the City's Comprehensive Annual Financial Report ( "CAFR "), including such information as is required by applicable Government Accounting Standards Board pronouncements and applicable State law. Within thirty (30) days of the end of each fiscal year, the City will provide the Assignees with a copy of its annual budget and any interim updates or modifications to such budget. The City hereby agrees to provide the Assignees with such other information as may be reasonably requested by the Assignees. Section 7.9. Records and Accounts. The City covenants and agrees that it shall keep proper books of record and accounts of its operations, in which complete and correct entries shall be made of all transactions relating to the City. Said books and records shall at all reasonable times be subject to the inspection of the Assignees upon 72 hours' prior notice. Section 7.10. Observance of Laws and Regulations. The City will well and truly keep, observe and perform or cause to be kept, observed and performed all valid and lawful . obligations or regulations now or hereafter imposed on it by contract, or prescribed by any law of the United States, or of the State, or by any officer, board or commission having jurisdiction or control, as a condition of the continued enjoyment of any and every right, privilege or franchise now owned or hereafter acquired and enjoyed by the City, including the City's right to exist and carry on business as a municipal corporation, to the end that such rights, privileges and franchises shall be maintained and preserved, and shall not become abandoned, forfeited or in any manner impaired. -25- 80A-70 Section 7.11. Notices. During the Term of this Lease Agreement, the City shall provide to the Assignees: (a) immediate notice by telephone, promptly confirmed in writing, of any event, action or failure to take any action which constitutes an Event of Default under this Lease Agreement, together with a detailed statement by a City Representative of the steps being taken by the City to cure the effect of such Event of Default. (b) prompt written notice of any Material Litigation, or any investigation, inquiry or similar proceeding by any Governmental Authority. (c) with reasonable promptness, such other information respecting the City, and the operations, affairs and financial condition of the City as the i nees may from time to time reasonably request. -26- 80A -71 ARTICLE VIII EVENTS OF DEFAULT AND REMEDIES Section 8.1. Events of Default Defined. Any one or more of the following events constitutes an Event of Default hereunder: (a) Failure by the City to pay any Lease Payment or other payment required to be paid hereunder at the time specified herein. (b) Failure by the City to observe and perform any covenant, condition or agreement on its part to be observed or performed hereunder, other than as referred to in the preceding clause (a) of this Section, for a period of 30 days after written notice specifying such failure and requesting that it be remedied has been given to the City by the Assignees. However, if in the reasonable opinion of the City the failure stated in the notice can be corrected, but not within such 30 -day period, the Authority and the Assi nees shall not unreasonably withhold their consent to an extension of such time (for a period not to exceed 60 days) if corrective action is instituted by the City within such 30 -day period and diligently pursued until the default is corrected. (c) The filing by the City of a voluntary petition in bankruptcy, or failure by the City promptly to lift any execution, garnishment or attachment, or adjudication of the City as a bankrupt, or assignment by the City for the benefit of creditors, or the entry by the City into an agreement of composition with creditors, or the approval by a court of competent jurisdiction of a petition applicable to the City in any proceedings instituted under the provisions of the Federal Bankruptcy Code, as amended, or under any similar federal or State act now existing or which may hereafter be enacted. (d) Any statement, representation or warranty made by the City in or pursuant to this Lease Agreement or its execution, delivery or performance shall have been false, incorrect, misleading or breached in any material respect on the date when made. (e) Any default occurs under any other agreement for borrowing money, lease financing of property or otherwise receiving credit under which the City is an obligor, if such default (i) arises under any other agreement for borrowing money, lease financing of property or provision of credit provided by the Assignees or any affiliate of the AAggnees or (ii) arises under any obligation under which there is outstanding, owing or committed an aggregated amount in excess of $500,000. (f) Any default by the City to observe any covenant, condition or agreement on its part to be observed or performed under the Site and Facility Lease. (g) Any court of competent jurisdiction shall find or rule that the Site and Facility Lease or this Lease Agreement is not valid or binding against the City. Section 8.2. Remedies on Default. Whenever any Event of Default has happened and is continuing, the Authority may exercise any and all remedies available under law or granted under this Lease Agreement; provided, however, that notwithstanding anything herein to the contrary, there shall be no right under any circumstances to accelerate the Lease Payments or otherwise declare any Lease Payments not then in default to be immediately due and payable. Each and every covenant hereof to be kept and performed by the City is expressly made a condition and upon the breach thereof the Authority may exercise any and all rights granted hereunder; provided, that no termination of this Lease Agreement shall be effected either by operation of law or acts of the parties hereto, except only in the manner herein expressly _27_ 80A -72 provided. Upon the occurrence and during the continuance of any Event of Default, the Authority may exercise any one or more of the following remedies: (a) Enforcement of Payments Without Termination. If the Authority does not elect to terminate this Lease Agreement in the manner hereinafter provided for in subparagraph (b) hereof, the City agrees to and shall remain liable for the payment of all Lease Payments and the performance of all conditions herein contained and shall reimburse the Authority for any deficiency arising out of the re- leasing of the Property, or, if the Authority is unable to re -lease the Property, then for the full amount of all Lease Payments to the end of the Term of this Lease Agreement, but said Lease Payments and /or deficiency shall be payable only at the same time and in the same manner as hereinabove provided for the payment of Lease Payments hereunder, notwithstanding such entry or re -entry by the Authority or any suit in unlawful detainer, or otherwise, brought by the Authority for the purpose of effecting such re -entry or obtaining possession of the Property or the exercise of any other remedy by the Authority. The City hereby irrevocably appoints the Authority as the agent and attorney -in -fact of the City to enter upon and re -lease the Property upon the occurrence and continuation of an Event of Default and to remove all personal property whatsoever situated upon the Property, to place such property in storage or other suitable place in Orange County for the account of and at the expense of the City, and the City hereby exempts and agrees to save harmless the Authority from any costs, loss or damage whatsoever arising or occasioned by any such entry upon and re- leasing of the Property and the removal and storage of such property by the Authority or its duly authorized agents in accordance with the provisions herein contained. The City agrees that the terms of this Lease Agreement constitute full and sufficient notice of the right of the Authority to re -lease the Property in the event of such re -entry without effecting a surrender of this Lease Agreement, and further agrees that no acts of the Authority in effecting such re- leasing shall constitute a surrender or termination of this Lease Agreement irrespective of the term for which such re- leasing is made or the terms and conditions of such re- leasing, or otherwise, but that, on the contrary, in the event of such default by the City the right to terminate this Lease Agreement shall vest in the Authority to be effected in the sole and exclusive manner hereinafter provided for in subparagraph (b) hereof. The City agrees to surrender and quit possession of the Property upon demand of the Authority for the purpose of enabling the Property to be re -let under this paragraph. Any rental obtained by the Authority in excess of the sum of Lease Payments plus costs and expenses incurred by the Authority for its services in re- leasing the Property shall be paid to the City. (b) Termination of Lease. If an Event of Default occurs and is continuing hereunder, the Authority at its option may terminate this Lease Agreement and re -lease all or any portion of the Property, subject to the Site and Facility Lease. If the Authority terminates this Lease Agreement at its option and in the manner hereinafter provided due to a default by the City (and notwithstanding any re -entry upon the Property by the Authority in any manner whatsoever or the re- leasing of the Property), the City nevertheless agrees to pay to the Authority all costs, loss or damages howsoever arising or occurring payable at the same time and in the same manner as is herein provided in the case of payment of Lease Payments and Additional Payments. Any surplus received by the Authority from such re- leasing shall be applied by the Authority to Lease Payments due under this Lease Agreement. Neither notice to pay rent or to deliver up possession of the premises given under law nor any proceeding in unlawful detainer taken by the Authority shall of itself operate to terminate this Lease Agreement, and no termination of this Lease Agreement on account of default by the City shall be or become effective by operation of law, or otherwise, unless and until the Authority shall have given written notice to the City of the election on the part of the Authority to terminate this Lease Agreement. The City covenants and agrees that no surrender of the Property, or of the remainder of the Term hereof or any termination of this Lease Agreement shall be valid in any manner or for any purpose whatsoever unless stated or accepted by the Authority by such written notice. -28- (c) Proceedings at Law or In Equity. If an Event of Default occurs and continues hereunder, the Authority may take whatever action at law or in equity may appear necessary or desirable to collect the amounts then due and thereafter to become due hereunder or to enforce any other of its rights hereunder. (d) Remedies under the Site and Facility Lease. If an Event of Default occurs and continues hereunder, the Authority may exercise its rights under the Site and Facility Lease. Section 8.3. No Remedy Exclusive. No remedy herein conferred upon or reserved to the Authority is intended to be exclusive and every such remedy shall be cumulative and shall be in addition to every other remedy given under this Lease Agreement or now or hereafter existing at law or in equity. No delay or omission to exercise any right or power accruing upon the occurrence of any Event of Default shall impair any such right or power or shall be construed to be a waiver thereof, but any such right and power may be exercised from time to time and as often as may be deemed expedient. In order to entitle the Authority to exercise any remedy reserved to it in this Article VIII it shall not be necessary to give any notice, other than such notice as may be required in this Article VIII or by law. Section 8.4. Agreement to Pay Attorneys' Fees and Expenses. If either party to this Lease Agreement defaults under any of the provisions hereof and the nondefaulting party should employ attorneys (including in -house legal counsel) or incur other expenses for the collection of moneys or the enforcement or performance or observance of any obligation or agreement on the part of the defaulting party herein contained, the defaulting party agrees that it will on demand therefor pay to the nondefaulting party the reasonable fees of such attorneys (including allocable costs and expenses of in -house legal counsel, if any) and such other expenses so incurred by the nondefaulting party. Section 8.5. No Additional Waiver Implied by One Waiver. If any agreement contained in this Lease Agreement is breached by either party and thereafter waived by the other party, such waiver is limited to the particular breach so waived and will not be deemed to waive any other breach hereunder. Section 8.6. Assignees to Exercise R ghts. Such rights and remedies as are given to the Authority under this Article VIII have been assigned by the Authority to the Assignees, to which assignment the City hereby consents. Such rights and remedies shall be exercised solely by the Assignees. -29- • A A .� ARTICLE IX PREPAYMENT OF LEASE PAYMENTS Section 9.1. Security Deposit. Notwithstanding any other provision of this Lease Agreement, the City may on any date secure the payment of the Lease Payments in whole or in part by depositing with the Assignees or a fiduciary reasonably satisfactory to the Assignees, in trust, an amount of cash, which shall be held in a segregated trust or escrow fund under a trust or escrow agreement that is in form and content acceptable to the , which cash so held is either (a) sufficient to pay such Lease Payments, including the principal and interest components thereof, in accordance with the Lease Payment schedule set forth in Exhibit C, or (b) invested in whole in non - callable Federal Securities maturing not later than the dates such funds will be required to make Lease Payments or any prepayment in an amount which is sufficient, in the opinion of an independent certified public accountant (which opinion must be in form and substance, and with such an accountant, acceptable to the Assignees and addressed and delivered to the Assignees), together with interest to accrue thereon and without reinvestment and together with any cash which is so deposited, to pay such Lease Payments when due under Section 43(a) or when due on any optional prepayment date under Section 9.2, as the City instructs at the time of said deposit; provided, however, that at or prior to the date on which any such security deposit is established, the City shall deliver to the Assignees an opinion of Bond Counsel (in form and substance acceptable to the Assignees) to the effect that any such security deposit will not adversely affect the excludability of the interest component of Lease Payments from gross income of the ssi nees for federal income tax purposes. In the event of a security deposit under this Section with respect to all unpaid Lease Payments, (i) the Term of this Lease Agreement shall continue, (ii) all obligations of the City under this Lease Agreement, and all security provided by this Lease Agreement for said obligations, shall thereupon cease and terminate, excepting only (A) the obligation of the City to make, or cause to be made, all of the Lease Payments from such security deposit and, to the extent of any deficiency, as rent payable from other legally available funds of the City, and (B) the release and indemnification obligations of the City under subparagraphs (f) and (g) of Section 7.3, and (iii) under Section 4.5, the Authority's leasehold interest in the Property will vest in the City on the date of said deposit automatically and without further action by the City or the Authority. The City hereby grants a first priority security interest in and the lien on said security deposit and all proceeds thereof in favor of the Assignees. Said security deposit shall be deemed to be and shall constitute a special fund for the payment of Lease Payments in accordance with the provisions of this Lease Agreement and, notwithstanding anything to the contrary herein, Lease Payments therefrom shall not be subject to abatement under Section 6.3 hereof to the extent payable from the funds held by the Assignees or the fiduciary as described in the first sentence of this Section 9.1. Section 9.2. Optional Prepayment. Section 9.3. Mandatory Prepayment From Net Proceeds of Insurance or Eminent Domain. The City shall be obligated to prepay the unpaid principal components of the Lease Payments in whole or in part in such order of prepayment as shall be selected by the City on -30- any date, together with any accrued and unpaid interest, , if applicable7 :_ the _...__.° __,_..'_ ed :_ S...:e_ "2 and any other costs related to such prepayment, from and to the extent of any proceeds of insurance award or condemnation award with respect to the Property to be used for such purpose under Section 6.2. The City and the Authority hereby agree that such proceeds, to the extent remaining after payment of any delinquent Lease Payments, shall be credited towards the City's obligations under this Section 9.3. -31- .O M �I ARTICLE X MISCELLANEOUS Section 10.1. Notices. Any notice, request, complaint, demand or other communication under this Lease Agreement shall be given by first class mail or personal delivery to the party entitled thereto at its address set forth below, or by facsimile transmission or other form of telecommunication, at its number set forth below. Notice shall be effective either (a) upon transmission by facsimile transmission or other form of telecommunication, (b) 48 hours after deposit in the United States of America first class mail, postage prepaid, or (c) in the case of personal delivery to any person, upon actual receipt. The Authority, the City and the Assignees may, by written notice to the other parties, from time to time modify the address or number to which communications are to be given hereunder. If to the City: City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 Attention: Executive Director, Finance and Management Services Phone: (714) 647-5295 If to the Authority: Santa Ana Financing Authority c/o City of Santa Ana 20 Civic Center Plaza Santa Ana, CA 92701 Finance and Management Services Phone: (714) 647-5295 If toI) APF: Western Alliance Bancorporation One East Washington Street, 14`x' Floor Phoenix, AZ 85004 Attention: Senior Vice President Municipal Investment Manager Phone: (602) 797 -3634 Imo: Compass Bank, an Alabama banking corporation Attention: Phone: (_) — If to COPF: Capital One Public Funding, LLC 275 Broadhollow Road Melville, NY 11747 Attention: Phone: (_) _- Section 10.2. Binding Effect. This Lease Agreement inures to the benefit of and is binding upon the Authority, the City and their respective successors and assigns. Section 10.3. Severability. If any provision of this Lease Agreement is held invalid or unenforceable by any court of competent jurisdiction, such holding will not invalidate or render unenforceable any other provision hereof. Section 10.4. Net - net -net Lease. This Lease Agreement is a "net- net -net lease" and the City hereby agrees that the Lease Payments are an absolute net return to the Authority, free and clear of any expenses, charges or set -offs whatsoever. -32- 80A -77 Section 10.5. Further Assurances and Corrective Instruments. The Authority and the City agree that they will, from time to time, execute, acknowledge and deliver, or cause to be executed, acknowledged and delivered, such supplements hereto and such further instruments as may reasonably be required for correcting any inadequate or incorrect description of the Property hereby leased or intended to be so or for carrying out the expressed intention of this Lease Agreement. Section 10.6. Execution in Counterparts. This Lease Agreement may be executed in several counterparts, each of which is an original and all of which constitutes one and the same instrument. Section 10.7. Applicable Law. This Lease Agreement is governed by and construed in accordance with the laws of the State. Section 10.8. Captions. The captions or headings in this Lease Agreement are for convenience only and in no way define, limit or describe the scope or intent of any provisions or section of this Lease Agreement. -33- FOODYAWOO IN WITNESS WHEREOF, the Authority and the City have caused this Lease Agreement to be executed in their respective names by their duly authorized officers, all as of the date first above written. Attest: Attest: Name SANTA ANA FINANCING AUTHORITY By— Name Title Secretary CITY OF SANTA ANA City Clerk -34- . ' A .� By— Name Title EXHIBIT A DESCRIPTION OF THE SITE All that certain real property situated in Orange County, State of California, described as follows: E; ibit A Page 1 80A -80 The Facility consists of EXHIBIT B DESCRIPTION OF THE FACILITY Exhibit B EXHIBIT C -1 SCHEDULE OF LEASE PAYMENTS (payable to Western Alliance Public Financel Lease Payment Principal Interest Date Component Component 1/1/15 7/1/15 1/1/16 7/1/16 1/1/17 7/1/17 1/1/18 7/1/18 1/1/19 7/1/19 1/1/20 7/1/20 1/1/21 7/1/21 1/1/22 7/1/22 1/1/23 7/1/23 1/1/24 7/1/24 TOTAL (1) Applicable interest rate is % per annum. Exhibit C -1 M Total Lease Payment EXHIBIT C -2 SCHEDULE OF LEASE PAYMENTS movable to Compass Bank, an Alabama banking cornorationl Lease Total 1'a gilt i a Interest Lease Date Com oo nent Component Lit 7115 1116 7 1 7 1 7 1118 7115 1 1 1 7 1 1/1/20 7/1/20 !L11-21 71 L21 1122 71 22 1123 71 23 1124 71 24 TOTAL (71 Auolicable interest rate is % per annum Exhibit C -2 m . EXHIBIT C -3 SCHEDULE OF LEASE PAYMENTS (payable to Capital One Public Funding LLC Lase .'Fatal Payment Principal Interest Lease Date Component Com on Went Sri 1/1/15 7 1 1 7116 1 1 17 7117 1/1/18 7/1/18 1 1 19 7119 1 1 2 7 1 2 121 7/1/21 L/- 7L 22 1123 71 23 1124 71 24 1125 71 25 1126 7 1 2 laz2Z 7/1/27 1128 T T L (II Ag7licable interest rate is 3 75% per anngm Exhibit C -3 .ol om EXHIBIT CA SCHEDULE OF TOTAL LEASE PAYMENTS Lease Total Pa men Princi latu-UA Lease Date ComizQnQnt. Com on nent Payment 1 1 15 1116 7116 1 17 1/17 IZIJ-1-8 7118 1 1 1 7 1 1 1 1 7/1/20 1/1/21 7 1 1122 7 1 22 1123 7 1 23 11 24 7 1 24 1 1 2 1 2 1 26 71 26 1127 71 27 1 1 2 TOTAL Exhibit C -4 m . FOODYMOR EXHIBIT 6 MEMORANDUM OF LEASE AGREEMENT . , . M . . Quint & Thinurig LLP 04/30/14 AFTER RECORDATION RETURN TO: Quint & Thimmig LLP 900 Larkspur Landing Circle, Suite 270 Larkspur, CA 94939 -1726 Attention: Brian D. Quint, Esq. THIS TRANSACTION IS EXEMPT FROM CALIFORNIA DOCUMENTARY TRANSFER TAX PURSUANT TO SECTION 11928 OF THE CALIFORNIA REVENUE AND TAXATION CODE. THIS DOCUMENT IS EXEMPT FROM RECORDING FEES PURSUANT TO SECTION 27383 OF THE CALIFORNIA GOVERNMENT CODE. MEMORANDUM OF LEASE AGREEMENT This MEMORANDUM OF LEASE AGREEMENT (this "Memorandum of Lease Agreement "), is entered into as of June 1, 2014, by and between the SANTA ANA FINANCING AUTHORITY, a joint exercise of powers authority organized and existing under the laws of the State of California, as lessor (the "Authority'), and the CITY OF SANTA ANA, a municipal corporation and chartered city organized and existing under the laws of the State of California, as lessee (the "City "), who agree as follows: Section 1. The Lease. The City leases from the Authority and the Authority leases to the City, certain real property described in Section 2 hereof, and the improvements situated upon said real property, upon the terms and conditions, and for the term, more fully set forth in the Lease Agreement, dated as of June 1, 2014, by and between the Authority, as lessor, and the City, as lessee (the "Lease Agreement "), all of the provisions of which are hereby incorporated into this Memorandum of Lease Agreement by reference. Section 2. Leased Premises; Term. The Authority leases, lets and demises unto the City and the City leases, hires and takes from the Authority, those certain parcels of real property situated in Orange County, State of California, more particularly described in Exhibit A attached hereto and made a part hereof (collectively, the "Site "), and those certain improvements on the Site, more particularly described in Exhibit B attached hereto and made a part hereof (the "Facility "). The Lease Agreement is for a term commencing on the date of recordation of this Memorandum of Lease Agreement and ending on July 1, 2028, or such earlier or later date on which the Lease Payments (as defined in the Lease Agreement) are paid in full or provision has been made for such payment in accordance with the Lease Agreement. Section 3. Assignment Agreement of Lessor's Rights Under Lease Agreement. Pursuant to separate assignment agreeellts, each dated as of June 1, 2014, by and between the Authority and Western Alliance Public Finance compass Bank an Alabama-bariking corporation and Capital One Public Funding lamas assignees (collectively, the "Assignees "), recorded concurrently herewith, the Authority has assigned, transferred and delivered to the Assignees, all of its rights, title and interest in, to and under the Site and Facility Lease (as defined in the Lease Agreement) and the Lease Agreement. Section 4. Provisions Binding on Successors and Assigns. Subject to the provisions of the Lease Agreement relating to assignment and subletting, the Lease Agreement shall inure to the 19014.10 F• A • • L • benefit of and shall be binding upon the Authority and the City and their respective successors and assigns, including the Assignees. Section 5. Purpose of Memorandum. This Memorandum of Lease Agreement is prepared for the purpose of recordation, and it in no way modifies the provisions of the Lease Agreement. Section 6. Execution. This Memorandum of Lease Agreement may be executed in several counterparts, each of which shall be an original and all of which shall constitute but one and the same instrument. -2- DY A • ' IN WITNESS WHEREOF, the Authority has caused this Memorandum of Lease Agreement to be executed in its corporate name by its duly authorized officers; and the City has caused this Memorandum of Lease Agreement to be executed in its name by its duly authorized officers, as of the date first above written. Attest: Name Attest: Name Secretary City Clerk -3- . ' A .� SANTA ANA FINANCING AUTHORITY By — Name Title CITY OF SANTA ANA By Name Title [NOTARY ACKNOWLEDGMENTS TO BE ATTACHED] .' m 1WM0011131 _1 DESCRIPTION OF THE SITE All that certain real property situated in Orange County, State of California, described as follows: Exhibit A Page 1 80A -93 The Facility consists of EXHIBIT B DESCRIPTION OF THE FACILITY Exhibit B i l m o m EXHIBIT 7 ASSIGNMENT AGREEMENTS .l, 1 ., Quint & Thimmig LLP AFTER RECORDATION RETURN TO: Quint & Thimmig LLP 900 Larkspur Landing Circle, Suite 270 Larkspur, CA 94939 -1726 Attention: Brian D. Quint, Esq. 05/28/14 THIS TRANSACTION IS EXEMPT FROM CALIFORNIA DOCUMENTARY TRANSFER TAX PURSUANT TO SECTION 11922 OF THE CALIFORNIA REVENUE AND TAXATION CODE. THIS DOCUMENT IS EXEMPT FROM RECORDING FEES PURSUANT TO SECTION 27383 OF THE CALIFORNIA GOVERNMENT CODE. ASSIGNMENT AGREEMENT (Compass Bank, an Alabama banking corporation) For Value Received, the SANTA ANA FINANCING AUTHORITY (the "Authority ") without recourse does hereby sell, assign and transfer to COMPASS BANK, an Alabama banking corportion (the "Assignee "), and its successors and assigns, (i) a portion of its rights, title and interest in and to the Lease Agreement, dated as of June 1, 2014, in the amounts shown on Exhibit A attached hereto, a memorandum of which has been recorded concurrently herewith, by and between the Authority, as sublessor, and the City of Santa Ana (the "City "), as sublessee (said Lease Agreement and any supplements, amendments, annexations, extensions or renewals thereof arereferred to hereinafter as the "Lease Agreement "), as well as its rights to enforce payment of Lease Payments (as defined in the Lease Agreement) when due or otherwise to protect its interests and exercise all remedies in the event of a default or termination by the City under the Lease Agreement; provided that the Authority's rights to indemnification and payment or reimbursement for any costs or expenses thereunder have been retained by the Authority to the extent such rights accrue to the Authority and shall have been assigned to the Assignee to the extent such rights accrue to the Assignee, (ii) except for the Authority's obligation under Section 4 thereof, all of its rights, title and interest in and to the Site and Facility Lease, dated as of June 1, 2014, which has been recorded concurrently herewith, by and between the City, as lessor, and the Authority, as lessee (the "Site and Facility Lease "), and (iii) all moneys, sums and amounts now due or hereinafter to become due under the Lease Agreement. The Site and Facility Lease and the Lease Agreement delivered to the Assignee are duly executed duplicate originals that comprise the entire writing, obligation and agreement between the Authority and the City respecting the leases made thereunder and the lease payments made therefor. The Authority represents and warrants as follows: (1) it has made no prior sale or assignment of any interest in the Site and Facility Lease and the Lease Agreement; (2) that the Lease Agreement and the Site and Facility Lease are genuine and in all respects are what they purport to be; and 19014.10 • ' A • .� (3) that the Assignee is not liable for and does not assume responsibility for the performance of any of the covenants, agreements, duties or obligations specified in the Lease Agreement to be kept, paid or performed by the Authority, with exception of such covenants, agreements, duties and obligations (if any) which are expressly made the responsibility of the Assignee under the Lease Agreement. The Authority further represents and warrants that as of the date of this Assignment Agreement, the Lease Agreement and the Site and Facility Lease are in full force and effect and the City is not in default of any of the terms set forth therein. By its acceptance of this Assignment Agreement, the Assignee represents and warrants (i) the price it has paid in consideration for assignment of the Site and Facility Lease and the Lease Agreement is $ ; (ii) that it reasonably expects to hold the Lease Agreement for its own account and does not presently expect to sell, assign, or otherwise transfer the Lease Agreement, subject to the Assignee's right to dispose of or otherwise deal with its property (including the Lease Agreement) as it determines to be in its best interests from time to time; and (iii) that it will treat the Lease Agreement as an investment for federal income tax purposes. This Assignment Agreement shall be construed and governed in accordance with the laws of the State of California applicable to contracts made and performed in the State of California. Any provision of this Assignment Agreement found to be prohibited by law shall be ineffective only to the extent of such prohibition, and shall not invalidate the remainder of this Assignment Agreement. This Assignment Agreement binds and inures to the benefit of the parties and their respective successors and assigns. In the event of litigation between the Authority and the Assignee arising under this Assignment Agreement, the prevailing party shall be entitled to recover from the other party all costs and expenses, including attorneys' fees which may be those of in -house counsel, incurred by the prevailing party in exercising any of its rights or remedies hereunder or enforcing any of the terms, conditions or provisions of this Assignment Agreement. The descriptions of the Site and the Facility which are the subject of the Site and Facility Lease and the Lease Agreement are set forth in Exhibits A and B attached hereto and by this reference incorporated herein. -2- A .O • This Assignment Agreement may be executed in several counterparts, each of which shall be an original and all of which shall constitute but one and the same instrument. Dated as of June 1, 2014 Attest: Name Secretary ACCEPTANCE OF ASSIGNMENT: COMPASS BANK, an Alabama banking corporation, as Assignee By— Name Title SANTA ANA FINANCING AUTHORITY By Name Title -3- • ' A • • .� EXHIBIT A LEASE PAYMENTS ASSIGNED TO THE ASSIGNEE Lease Total Payment Principal Interest Lease Date Component Component Payment 1/1/15 7/1/15 1/1/16 7/1/16 1/1/17 7/1/17 1/1/18 7/1/18 1/1/19 7/1/19 1/1/20 7/1/20 1/1/21 7/1/21 1/1/22 7/1/22 1/1/23 7/1/23 1/1/24 7/1/24 TOTAL (1) Applicable interest rate is % per annum. Exhibit A Page 80A -100 EXHIBIT B DESCRIPTION OF THE SITE All that certain real property situated in Orange County, State of California, described as follows: Exhibit B Page 1 80A -101 The Facility consists of MMU3.1ir DESCRIPTION OF THE FACILITY Exhibit C Page 1 80A -102 EXHIBIT 8 LETTER AGREEMENT FOR PURCHASE 80A -103 80A -104 Quint & Thimmig LLP LETTER AGREEMENT FOR PURCHASE November 6, 2013 City of Santa Ana 20 Civic Center Plaza Santa Ana, CA, 92701 Attention: City Manager Santa Ana Financing Authority 20 Civic Center Plaza Santa Ana, CA, 92701 Attention: Executive Director 04/30/14 05/28/14 Re: $ Lease Agreement, dated as of June 1, 2014, by and between the Santa Ana Financing Authority and the City of Santa Ana, assigned to Western Alliance Public F� LLC Ladies and Gentlemen: The undersigned, WAFT and CB. collectivelJhe "Purchasers'), offer, upon the following terms, to acquire (i) the rights, title and interest of Santa Ana Financing Authority (the "Authority ") under the Lease Agreement (hereinafter defined), including its rights to receive Lease Payments to be made by the City of Santa Ana (the "City ") under the Lease Agreement, dated as of June 1, 2014 (the "Lease Agreement "), by and between the City and the Authority; provided that the Authority's rights to indemnification and payment or reimbursement for any costs or expenses thereunder have been retained by the Authority to the extent such rights accrue to the Authority and shall have been assigned to the Purchasers to the extent such rights accrue to the Purchasers by entering into arrsenar� ate assignment agreements each dated as of June 1, 2014 (collectively, the "Assignment Agreements "), with the Authority, and (ii) except for the Authority's obligation under Section 4 thereof, the rights, title and interest of the Authority under the Site and Facility Lease, dated as of June 1, 2014 (the "Site and Facility Lease "), by and between the City and the Authority. Capitalized terms not otherwise defined herein shall have the meanings ascribed thereto in the Lease Agreement. 1. Purchase and Purchase Price; Terms of Authority's Obligations. The City and the Authority agree to execute and deliver the Site and Facility Lease and the Lease Agreement, and the Purchasers aagr�ee to purchase the Authority's rights, title and interest under the Lease Agreement, as described more specifically above and in the Assignment Agreements, at an mgrs purchase price of $ . The Lease Payments under the Lease Agreement{ the a-wD lts alloc le to each of the Purchasers and the interest rates applicable thereto shall be as shown in Exhibits A-11,� 2 rid A -3 hereto (with the total of all Lease Payments shown in Exhibit A -4 hem{ . 19014.10 80A -105 2. Use of Funds. The purchase price paid by the Purchasers shall be used by the Authority to pay the City an advance rental of $ , pursuant to Section 4 of the Site and Facility Lease (of which $ shall be paid by WAPF, of which $ shall be paid by CB and of which $ shall be paid by COPF. The City shall use such advance rental payment received from the Authority to (a) defease to maturity $33,550,000 (50 %) of the outstanding 1994 Bonds, and (b) defease and refund the outstanding 1998 Certificates, and (ii) pay the costs related to the preparation, execution and delivery of the Lease Agreement, the Site and Facility Lease, the Assignment Agreements and documents related to the refunding of the Bonds. 3. Disposition of Proceeds. Upon the Closing Date, as defined below, the purchase price paid by the Purchasers shall be transferred by the Purchasers for themselves and on behalf of the Authority, as follows: (a) WATT shall transfer, via wire transfer, to The Bank of New York Mellon Trust Company, N.A., as escrow bank (the "Escrow Bank"), (i) the amount of $ to be deposited in the 1994 Bonds Escrow Fund and applied, with other moneys, to the defeasance to maturity of $33,550,000 (50 %) of the outstanding 1994 Bonds, and (ii) the amount of $ to be deposited in the 1998 Certificates Escrow Fund and applied, with other moneys, to the defeasance and redemption on , 2014, of the outstanding 1998 Certificates. Wire information will be provided prior to the Closing Date. (b) WAPFF shall transfer, via wire transfer, the following amounts to the following entities, in respect of the payment of the costs of the financing transaction: (i) to Quint & Thimmig LLP, as bond counsel, $ (invoice with wire information to be provided prior to the Closing Date); (iii) to Fieldman, Rolapp & Associates, Inc., as financial advisor, $ (invoice with wire information to be provided prior to the Closing Date); (iv) to Kutak Rock as counsel to the Purchasers, $ (invoice with wire information to be provided prior to the Closing Date); (vi) to The Bank of New York Mellon Trust Company, N.A., as escrow bank, $ (invoice with wire information to be provided prior to the Closing Date); and (vii) to Stewart Title Guaranty Company, $ (invoice with wire information to be provided prior to the Closing Date); and -2- 80A -106 (e) COP F shall transfer to the City, $ , to be applied to the City's costs of the transaction or applied to make the first Lease Payment. Wire instructions to be provided prior to the Closing Date. 4. Closing. At 8:00 a.m. California Time, on June 12, 2014, or at such other time or on such earlier or later date as the Purchasers the Authority and the City mutually agree upon (the "Closing Date'), the City will deliver (or cause to be delivered) the Site and Facility Lease and the Lease Agreement executed by the City and the Authority, and the Assignment Agreement] executed by the Authority and the Purchasers, and the Purchasers will pay the purchase price for the Authority's rights, title and interest in the Site and Facility Lease and the Lease Agreement as set forth in Section 1 hereof in federal or other immediately available funds. 5. Representations and Warranties of the City. The City represents and warrants to the Purchasers that: (a) The City is a municipal corporation organized and existing under the Constitution and the laws of the State of California (the "State "), and has all necessary power and authority to enter into and perform its duties under this Agreement and the Site and Facility Lease and the Lease Agreement (collectively, the "City Documents "). (b) To the best knowledge of the City, neither the execution and delivery of the City Documents, or the execution this Agreement, and compliance with the provisions on the City's part contained therein, nor the consummation of any other of the transactions herein and therein contemplated, nor the fulfillment of the terms hereof and thereof, materially conflicts with or constitutes a material breach of or default under nor materially contravenes any law, administrative regulation, judgment, decree, loan agreement, indenture, bond, note, resolution, agreement or other instrument to which the City is a party or is otherwise subject, nor does any such execution, delivery, adoption or compliance result in the security interest or encumbrance of any nature whatsoever upon any of the properties or assets of the City under the terms of any such law, administrative regulation, judgment, decree, loan agreement, indenture, bond, note, resolution, agreement or other instrument, except as provided by the City Documents. (c) The City Documents have been duly authorized by the City, and, assuming due authorization, execution and delivery by the other parties thereto, will constitute legal, valid and binding agreements of the City enforceable in accordance with their respective terms, except as the enforcement thereof may be limited by bankruptcy, insolvency, moratorium, reorganization, fraudulent conveyance or other laws affecting the enforcement of creditors' rights generally and by the application of equitable principles if sought and by the limitations on legal remedies imposed on actions against cities in the State of California. (d) There is no consent, approval, authorization or other order of, or filing with, or certification by, any regulatory agency having jurisdiction over the City required for the execution and delivery of the City Documents or the consummation by the City of the other transactions contemplated by the City Documents. (e) To the best of the knowledge of the City, there is, and on the Closing Date (as hereinafter defined) there will be, no action, suit, proceeding or investigation at law or in equity before or by any court or governmental agency or body pending or threatened against the City to restrain or enjoin the payments to be made pursuant to the Lease Agreement, or in any way contesting or affecting the validity of the City Documents or the authority of the City to approve this Agreement, or enter into the City Documents or contesting the powers of the City to enter -3- 80A -107 into or perform its obligations under any of the foregoing or in any way contesting the powers of the City in connection with any action contemplated by this Agreement or to restrain or enjoin the payment of Lease Payments, nor is there any basis for any such action, suit, proceeding or investigation. (f) By official action of the City prior to or concurrently with the execution hereof, the City has duly authorized and approved the execution and delivery of, and the performance by the City of the obligations on its part contained in the City Documents and the consummation by it of all other transactions contemplated by this Agreement. (g) The City is not in breach of or default under any material applicable law or administrative regulation of the State of California or the United States or any material applicable judgment or decree or any loan agreement, indenture, bond, note, resolution, agreement or other instrument to which the City is a party or is otherwise subject and in connection with which the City is obligated to make payments from its own funds, and no event has occurred and is continuing which, with the passage of time or the giving of notice, or both, would constitute a default or an event of default under any such instrument the consequence of which could be to materially and adversely affect the performance of the City under the City Documents. (h) The City will deliver all opinions, certificates, letters and other instruments and documents reasonably required by the Purchasers and this Agreement. (i) Any certificate of the City delivered to the Purchasers shall be deemed a representation and warranty by the City to the Purchasers as to the statements made therein. (j) As of the time of acceptance hereof and as of the Closing Date the City does not and will not have outstanding any indebtedness which is secured by a lien on the City's general fund except as disclosed to the Purchasers. (k) The financial statements of, and other financial information regarding the City delivered to the Purchasers fairly present the financial position and results of the operations of the City as of the dates and for the periods therein set forth and the audited financial statements have been prepared in accordance with generally accepted accounting principles consistently applied. (1) Between the date of this Agreement and the date of Closing Date, the City will not, without the prior written consent of the Purchasers, offer or issue any certificates, notes or other obligations for borrowed money, or incur any material liabilities, direct or contingent, secured by a lien on the City's general fund. 6. Conditions Precedent to the Closing. Other conditions precedent to the Closing are: (a) The delivery by the City of a certified copy of (i) the resolution of the City Council authorizing the execution and delivery by the City of the Site and Facility Lease and the Lease Agreement, together with an incumbency certificate of the City, and (ii) the resolution of the Board of Directors of the Authority authorizing the execution and delivery by the Authority of the Site and Facility Lease, the Lease Agreement and the Assignment Agreements, together with an incumbency certificate of the Authority; (b) The delivery by the City of the fully executed Site and Facility Lease, Lease Agreement and Assignment Agreements in form and substance acceptable to the Purchasers; -4- 80A -108 (c) The execution and delivery by the City of an Internal Revenue Service Form 8038 -G in a form acceptable to Special Counsel and the Purchasers (d) Delivery of a legal opinion addressed to the City, with a reliance letter to each of the and the Purchasers dated the Closing Date, of Quint & Thimmig LLP, as Special Counsel, with respect to (i) the validity and enforceability of the Lease Agreement, the Site and Facility Lease, and the Assignment Agreements by and against the City and the Authority (as applicable), (ii) the tax - exempt status of the interest component of the Lease Payments, and (iii) such other matters as may be requested by the Purchasers in form and substance acceptable to the Purchasers; (e) The delivery of a certificate dated the Closing Date and signed by the City Manager, or such other officer of the City as the City Council may approve, to the effect that: (i) to the best knowledge of the City, there are no actions or proceedings against the City pending and notice of which has been served on the City or threatened that materially adversely affect the City's ability to pay the Lease Payments or to perform its obligations under the Site and Facility Lease and Lease Agreement; (ii) the representations and warranties of the City contained in this agreement and the Lease Agreement are true and correct in all material respects on and as of the Closing Date with the same effect as if made on the Closing Date; and (iii) the City acknowledges receipt from the Purchasers, on behalf of the Authority, of the advance rental payment specified in Section 4 of the Site and Facility Lease; (f) The delivery by the City of a title policy for the property that is the subject of the Site and Facility Lease and Lease Agreement in form acceptable to the Purchasers; (g) The execution and delivery by the City of a certificate as to arbitrage; and (h) The delivery by each of the Purchasers of an investor letter in form and substance as attached hereto as Exhibit B. (i) Such other documents as may be reasonably requested by the Purchasers. 7. Events Permitting the Purchasers to Terminate. The Purchasers may terminate ibeir obligation to purchase the Authority's rights, title and interest under the Site and Facility Lease and the Lease Agreement before the Closing Date if any of the following occurs: (a) any legislative, executive or regulatory action (including the introduction of legislation) or any court decision that, in the judgment of the Purchasers casts sufficient doubt on the legality of or the tax - exempt status of the interest component of obligations such as those represented by the Lease Agreement and the Lease Payments so as to materially impair the marketability or to materially reduce the market price of such obligations, in the reasonable opinion of the Purchasers (b) any action by the Securities and Exchange Commission or a court that would require registration of the Lease Agreement under the Securities Act of 1933, as amended; or (c) any event occurs or becomes known that has a material adverse effect on the financial condition of the City or on the ability of the City or the Authority to perform under the Site and Facility Lease, the Lease Agreement or the Assignment Agreements. -5- 80A -109 -6- 80A -110 IN WITNESS WHEREOF, the parties hereto have executed and entered into this Letter Agreement for Purchase by their officers thereunto duly authorized as of the day and year first above written. The foregoing is hereby agreed to and accepted as of the date first above written: CITY OF SANTA ANA By Name Title SANTA ANA FINANCING AUTHORITY By Name Title -7- WESTERN ALLIANCE PUBLIC FINANCE By— Name Title COMPASS BANK. an Alabama banking cor orp ation By Name Title lid_ Name Title 80A -111 EXHIBIT A -1 SCHEDULE OF LEASE PAYMENTS (payable to Western Alliance Public Financel Lease Total Payment Principal Interest Lease Date Component Component Payment 1/1/15 7/1/15 1/1/16 7/1/16 1/1/17 7/1/17 1/1/18 7/1/18 1/1/19 7/1/19 1/1/20 7/1/20 1/1/21 7/1/21 1/1/22 7/1/22 1/1/23 7/1/23 1/1/24 7/1/24 TOTAL (1) Applicable interest rate is % per annum. Exhibit A -1 80A -112 EXHIBIT A -2 CHEDULE OF LEASE PAYMENTS (payable to Compass Bank, an Alabama banking corporation) Lease Total Payment Pr n i a Iniffi5l Lmac Date ComDOnent Com ov nent Payment 1115 7/1/15 1 1 16 7116 1117 7/1/17 1/1/18 7118 1119 7119 1/1/20 7 1 1 1[22 7122 1123 7123 1124 7124 TOTAL (1) Applicable interest rate iG % per atmttm Exhibit A -2 80A -113 EXHIBIT A -3 SCHEDULE OF LEASE PAYMENTS (payable to Capital One Public Funding LLC LuaQ Total Payment Princi a InterestL � Date Component Com oro nent Payment 1/1/15 7115 7/1/16 1 1 17 7117 1 1 7/1/18 1119 7119 1120 7 1 2 1/1/2 1/2 1LI 7/1 LL 23 71 L23 1124 71 24 1125 71 25 1126 711126 1/1/27 7 1 1 Ll L28 TMAL (].l�uulicable interest rate is 3.75% per annum Exhibit A -3 80A -114 EXHIBIT A -4 SCHEDULE OF TOTAL LEASE PAYMENTS LQaae Total Payment Principal Interest Lease Date Component Component Uwlellt 7 1 1 1,1 1fi 7116 1 1 17 7117 1/1/18 7/1/18 1 1 19 7119 1120 7 1 2 1/1/22 71 22 1123 7123 1124 7124 1125 7125 1 1 2 7 1 2 1/1 /27 M 27 1128 TOTAL Exhibit A -4 80A -115 EXHIBIT B FORM OF INVESTOR LETTER City of Santa Ana 20 Civic Center Plaza Santa Ana, CA, 92701 Attention: City Manager Santa Ana Financing Authority 20 Civic Center Plaza Santa Ana, CA, 92701 Attention: Executive Director Re: $ Lease Agreement, dated as of June 1, 2014, by and between the Santa Ana Financing Authority and the City of Santa Ana, assigned to Western Alliance Public Ladies and Gentlemen The undersigned, (the "Purchaser'), has agreed to acquire (i) a portion of the rights, title and interest of Santa Ana Financing Authority (the "Authority ") under the Lease Agreement, dated as of June 1, 2014 (the "Lease Agreement "), by and between the City of Santa Ana (the "City ") and the Authority, including its rights to receive lease payments to be made by the City under the Lease Agreement. In connection with such purchase, the Purchaser hereby agrees and certifies to the Authority and the City that: (a) The Purchaser has sufficient knowledge and experience in financial and business matters, including purchase and ownership of municipal and other obligations of a nature similar to the Lease Agreement to be able to evaluate the risks and merits of the investment represented by the purchase of the rights, title and interest of the Authority under the Lease Agreement. (b) The Purchaser is acquiring the rights, title and interest of the Authority under the Lease Agreement for its own account and not with a view to, or for sale in connection with, any distribution thereof or any part thereof. The Purchaser has not offered to sell, solicited offers to buy, or agreed to sell the rights, title and interest of the Authority under the Lease Agreement or any part thereof, and the Purchaser has no current intention of reselling or otherwise disposing of such rights, title and interest under the Lease Agreement provided, however, such representation shall not preclude the Purchaser from transferring or selling of the rights, title and interest under the Lease Agreement in accordance with the Lease Agreement. The Purchaser is not acting in a broker - dealer capacity in connection with its purchase of the rights, title and interest of the Authority under the Lease Agreement. (c) As a sophisticated investor, the Purchaser has made its own credit inquiry and analysis with respect to the City and the Lease Agreement and has made an independent credit decision based upon such inquiry and analysis and in reliance on the truth, accuracy, and completeness of the representations and warranties of the City set forth in the Lease Agreement and in the information set forth in any materials submitted to the Purchaser by the City. The City has furnished to the Purchaser all the information which the Purchaser, as a reasonable investor, has requested of the City as a result of the Purchaser having attached significance Exhibit B Page 1 80A -116 thereto in making its investment decision with respect to the Lease Agreement, and the Purchaser has had the opportunity to ask questions of and receive answers from knowledgeable individuals concerning the City and the Lease Agreement. The Purchaser is able and willing to bear the economic risk of the purchase and ownership of the rights, title and interest of the Authority under the Lease Agreement. (d) The Purchaser understands that the Lease Agreement has not been registered under the United States Securities Act of 1933 or under any state securities laws. The Purchaser agrees that it will comply with any applicable state and federal securities laws then in effect with respect to any disposition of the Lease Agreement by it, and further acknowledges that any current exemption from registration of the Lease Agreement does not affect or diminish such requirements. (e) The Purchaser has authority to purchase the rights, title and interest of the Authority under the Lease Agreement and to execute any instruments and documents required to be executed by the Purchaser in connection with the purchase of the rights, title and interest of the Authority under the Lease Agreement. The undersigned is a duly appointed, qualified, and acting officer of the Purchaser and is authorized to cause the Purchaser to make the representations and warranties contained herein on behalf of the Purchaser. (f) The Purchaser acknowledges that rights, title and interest of the Authority under the Lease Agreement are transferable with certain requirements, as described in the Lease Agreement. (g) The Purchaser acknowledges that the Lease Agreement is exempt from the requirements of Rule 15c2 -12 of the Securities and Exchange Commission and that the City has not undertaken to provide any continuing disclosure with respect to the Lease Agreement but that the City has agreed to provide other ongoing information to the Purchaser. By— Name Title Exhibit B Page 2 80A -117 80A -118 EXHIBIT 9 1994 BONDS ESCROW AGREEMENT 80A -119 80A -120 Quint & Thimmig LLP ESCROW DEPOSIT AND TRUST AGREEMENT by and among the SANTA ANA FINANCING AUTHORITY the CITY OF SANTA ANA and 04/30/14 05/28/14 THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Escrow Bank Dated June 12, 2014 Relating to the defeasance of a portion of the Santa Ana Financing Authority Police Administration and Holding Facility Lease Revenue Bonds, Series 1994A 19014.10 80A -121 ESCROW DEPOSIT AND TRUST AGREEMENT This Escrow Deposit and Trust Agreement (this "Escrow Deposit and Trust Agreement "), dated June 12, 2014, is by and among the SANTA ANA FINANCING AUTHORITY, a joint exercise of powers authority organized and existing under and by virtue of the laws of the State of California (the "Authority "), the CITY OF SANTA ANA, a municipal corporation and chartered city organized and existing under and by virtue of the laws of the State of California (the "City "), and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., a national banking association organized and existing under the laws of the United States of America, as escrow bank (the "Escrow Bank "). WITNESSETH: WHEREAS, the Authority has heretofore issued its $107,399,438.50 Santa Ana Financing Authority Police Administration and Holding Facility, Series 1994A, of which $67,100,000 remains outstanding (the "1994 Bonds "), the proceeds of which were used to finance the costs of the construction and equipping of a police administration and holding facility (the "1994 Project'); WHEREAS, the 1994 Bonds were issued pursuant to the terms of an indenture, dated as of March 1, 1994, as amended (the "1994 Indenture "), by and between the Authority and Meridian Trust Company of California, since succeeded by the Escrow Bank, as trustee thereunder (the "1994 Trustee "); WHEREAS, in order to provide for the repayment of the 1994 Bonds, the Authority leased certain real property and improvements (the "1994 Property ") to the City pursuant to a lease agreement, dated as of March 1, 1994, as amended (the "1994 Lease Agreement'), under which the City agreed to make lease payments to the Authority (the "1994 Lease Payments ") from moneys in its General Fund and the City has budgeted and appropriated sufficient amounts in each year to pay the full amount of principal of and interest on the 1994 Bonds; WHEREAS, the City has determined that it is in the best interests of the City at this time to provide for the payment of 50% of the remaining 1994 Lease Payments (the "Defeased 1994 Lease Payments "), and to refinance certain other obligations, and, as a result thereof, to provide for the defeasance of $33,550,000 (50 %) of the outstanding 1994 Bonds (the "Defeased 1994 Bonds ") to maturity, and to that end, the City proposes to enter into a new lease agreement, dated as of June 1, 2014, by and between the Authority and the City (the "Lease Agreement'); WHEREAS, the Authority and the City propose to provide for the payments described above and to appoint the Escrow Bank as their agent for the purpose of applying said deposit to provide for the payment of the Defeased 1994 Lease Payments in accordance with the instructions provided by this Escrow Deposit and Trust Agreement and of applying said Defeased 1994 Lease Payments to the defeasance of the Defeased 1994 Bonds and the Escrow Bank desires to accept said appointment; WHEREAS, the Authority and the City wish to provide for the payment described above and to enter into this Escrow Deposit and Trust Agreement for the purpose of providing the terms and conditions for the deposit and application of amounts so deposited; WHEREAS, to obtain moneys to make such deposit and for other purposes, the Authority proposes to assign and transfer certain of its rights under the Lease Agreement to Western Alliance Public Finance, Com Rank,_an Alabama banking wx orafion and Capital 80A -122 One Public Funding LLC (collectively, the "Assignees "), pursuant to th see certain assignment agreements, each dated as of June 1, 2014, by and between the Authority and the Assignees (the "Assignment Agreements "), whereby the Assignees will make a payment of $ to or to the order of the City for such purpose; WHEREAS, the Escrow Bank has full powers to act with respect to the irrevocable escrow and trust created herein and to perform the duties and obligations to be undertaken pursuant to this Escrow Deposit and Trust Agreement. NOW, THEREFORE, in consideration of the foregoing and of the mutual covenants herein set forth, the parties hereto do hereby agree as follows: Section 1. Discharge of Defeased 1994 Bonds. The City hereby irrevocably elects to defease the Defeased 1994 Lease Agreement and the Defeased 1994 Bonds. A schedule of the Defeased 1994 Bonds and the 1994 Bonds that will not be defeased (the "Non - Defeased 1994 Bonds ") is set forth in Exhibit A attached hereto and by this reference incorporated herein. Section 2. Appointment of Escrow Bank. The Authority and the City hereby appoint the Escrow Bank as escrow bank for all purposes of this Escrow Deposit and Trust Agreement and in accordance with the terms and provisions of this Escrow Deposit and Trust Agreement, and the Escrow Bank hereby accepts such appointment. Section 3. Establishment of Escrow Fund. There is hereby created by the Authority and the City with, and to be held by, the Escrow Bank, as security for the payment of the Defeased 1994 Lease Payments and the Defeased 1994 Bonds as hereinafter set forth, an irrevocable escrow to be maintained in trust by the Escrow Bank on behalf of the Authority and the City and for the benefit of the owners of the Defeased 1994 Bonds, said escrow to be designated the "Escrow Fund." All moneys and securities deposited in the Escrow Fund shall be held as a special fund for the payment of the principal of and interest on the Defeased 1994 Bonds in accordance with the provisions of the 1994 Indenture. The City hereby irrevocably instructs the Escrow Bank, and the Escrow Bank hereby agrees, to use the moneys and securities on deposit in the Escrow Fund to pay the principal of and interest on the Defeased 1994 Bonds in accordance with the instructions set forth in Section 6 hereof. If at any time the Escrow Bank shall receive actual knowledge that the moneys in the Escrow Fund will not be sufficient to make any payment required by Section 6 hereof, the Escrow Bank shall notify the City of such fact and the City shall immediately cure such deficiency. The Escrow Bank shall have no liability for such deficiency. Section 4. Deposit into Escrow Fund. (a) The City shall cause to be transferred to the Escrow Bank for deposit into the Escrow Fund the amount of $ in immediately available funds, derived as follows: (i) $ from amounts paid by the Assignees pursuant to the Assignment Agreements and (ii) $ from the reserve account held by the 1994 Trustee with respect to the 1994 Bonds (the "1994 Reserve Account "). (b) The Escrow Bank shall invest $ of the moneys deposited into the Escrow Fund pursuant to the preceding paragraph in the U.S. Treasury Securities —State and Local Government Series (" L ") set forth in Exhibit B attached hereto and by this reference incorporated herein (the "Escrowed Federal Securities ") and shall hold the remaining $ in -2- 80A -123 cash, uninvested. The Escrowed Federal Securities shall be deposited with and held by the Escrow Bank in the Escrow Fund solely for the uses and purposes set forth herein. If the Escrow Bank learns that the Department of the Treasury or the Bureau of Public Debt will not, for any reason, accept a SLGS subscription, the Escrow Bank shall promptly request alternative written investment instructions from the City with respect to escrowed funds which were to be invested in the Escrowed Federal Securities. The Escrow Bank shall follow such instructions and, upon the maturity of any such alternative investment, the Escrow Bank shall hold funds uninvested and without liability for interest until receipt of further written instructions from the City. In the absence of investment instructions from the City the Escrow Bank shall not be responsible for the investment of such funds or interest thereon. The Escrow Bank may conclusively rely upon the City selection of an alternative investment as a determination of the alternative investment's legality and suitability and shall not be liable for any losses related to the alternative investments or for compliance with any yield restriction applicable thereto. (c) The Escrow Bank may rely upon the conclusion of , as contained in its r ran opinion and accompanying schedules (the "Report "), dated June 12, 2014, that the Escrowed Federal Securities mature and bear interest payable in such amounts and at such times as, together with cash on deposit in the Escrow Fund, will be sufficient to pay the principal of and interest on the Defeased 1994 Bonds to maturity. (d) The Escrow Bank shall not be liable or responsible for any loss resulting from its full compliance with the provisions of this Escrow Deposit and Trust Agreement. (e) Any money left on deposit in the Escrow Fund after the final maturity of the Defeased 1994 Bonds shall be transferred to the Trustee and applied to the payment of debt service on the Non - Defeased 1994 Bonds. Section 5. Application of 1994 Funds. On the date of deposit of amounts paid by the Assignees pursuant to the Assignment Agreements in the Escrow Fund pursuant to Section 4, the Escrow Bank, as 1994 Trustee, is hereby directed to transfer all moneys in the 1994 Reserve Account ($ ) to the Escrow Bank for deposit in the Escrow Fund. Section 6. Instructions as to Application of De!osit. The moneys deposited in the Escrow Fund pursuant to Section 4 shall be applied by the Escrow Bank for the sole purpose of paying the principal of and interest on the Defeased 1994 Bonds to maturity as set forth in Exhibit C attached hereto and by this reference incorporated herein. Section 7. Investment of Any Remaining Moneys. The Escrow Bank shall invest and reinvest the proceeds received from any of the Escrowed Federal Securities, and the cash originally deposited into the Escrow Fund, for a period ending not later than the next succeeding interest payment date relating to the Defeased 1994 Bonds, in Federal Securities pursuant to written directions of the City; provided, however, that (a) such written directions of the City shall be accompanied by (i) a certification of an independent certified public accountant or firm of certified public accountants of favorable national reputation experienced in the refunding of obligations of political subdivisions that the Federal Securities then to be so deposited in the Escrow Fund, together with the cash then on deposit in the Escrow Fund, together with the interest to be derived therefrom, shall be in an amount at all times at least sufficient to make the payments specified in Section 6 hereof, and (ii) an opinion of nationally recognized bond counsel ( "Bond Counsel ") that investment in accordance with such directions will not affect, for Federal income tax purposes, the exclusion from gross income of interest due with respect to the Defeased 1994 Bonds, and (b) if the City directs such investment or reinvestment to be made in United States Treasury Securities -State and Local Government -3- 80A -124 Series, the City shall, at its cost, cause to be prepared all necessary subscription forms therefor in sufficient time to enable the Escrow Bank to acquire such securities. In the event that the City shall fail to file any such written directions with the Escrow Bank concerning the reinvestment of any such proceeds, such proceeds shall be held uninvested by the Escrow Bank. Any interest income resulting from investment or reinvestment of moneys pursuant to this Section 7 and not required for the purposes set forth in such verification, shall, promptly upon the receipt of such interest income by the Escrow Bank, be transferred to the Trustee and applied to the payment of debt service on the Non - Defeased 1994 Bonds. Section 8. Substitution or Withdrawal of Federal Securities. The City may, at any time, direct the Escrow Bank in writing to substitute Federal Securities for any or all of the Escrowed Federal Securities then deposited in the Escrow Fund, or to withdraw and transfer to the City any portion of the Federal Securities then deposited in the Escrow Fund, provided that any such direction and substitution or withdrawal shall be simultaneous and shall be accompanied by (a) a certification of an independent certified public accountant or firm of certified public accountants of favorable national reputation experienced in the refunding of obligations of political subdivisions that the Federal Securities then to be so deposited in the Escrow Fund together with interest to be derived therefrom, or in the case of withdrawal, the Federal Securities to be remaining in the Escrow Fund following such withdrawal together with the interest to be derived therefrom, together with the cash then on deposit in the Escrow Fund, shall be in an amount at all times at least sufficient to make the payments specified in Section 6 hereof; and (b) an opinion of Bond Counsel that the substitution or withdrawal will not affect, for Federal income tax purposes, the exclusion from gross income of interest on the Defeased 1994 Bonds. In the event that, following any such substitution of Federal Securities pursuant to this Section 8, there is an amount of moneys or Federal Securities in excess of an amount sufficient to make the payments indicated by such verification, such excess shall be transferred to the Trustee and applied to the payment of debt service on the Non - Defeased 1994 Bonds. Section 9. Compensation to Escrow Bank. The City shall pay the Escrow Bank full compensation for its duties under this Escrow Deposit and Trust Agreement, including out -of- pocket costs such as publication costs, prepayment or redemption expenses, legal fees and other costs and expenses relating hereto. Under no circumstances shall amounts deposited in the Escrow Fund be deemed to be available for said purposes. Section 10. Liabilities and Obligations of Escrow Bank. The Escrow Bank shall have no obligation to make any payment or disbursement of any type or incur any financial liability in the performance of its duties under this Escrow Deposit and Trust Agreement unless the City shall have deposited sufficient funds with the Escrow Bank. The Escrow Bank may rely and shall be protected in acting upon the written instructions of the City or its agents relating to any matter or action as Escrow Bank under this Escrow Deposit and Trust Agreement. The Escrow Bank and its respective successors, assigns, agents and servants shall not be held to any personal liability whatsoever, in tort, contract, or otherwise, in connection with the execution and delivery of this Escrow Deposit and Trust Agreement, the establishment of the Escrow Fund, the acceptance of the moneys deposited therein, the sufficiency of the uninvested moneys held hereunder to accomplish the purposes set forth herein, or any payment, transfer or other application of moneys by the Escrow Bank in accordance with the provisions of this Escrow Deposit and Trust Agreement or by reason of any non - negligent act, non - negligent omission or non - negligent error of the Escrow Bank made in good faith in the conduct of its duties. The recitals of fact contained in the "whereas' clauses herein shall be taken as the statement of the City, and the Escrow Bank assumes no responsibility for the correctness thereof. The Escrow Bank makes no representations as to the sufficiency of the uninvested moneys to accomplish the purposes set forth herein or to the validity of this Escrow Deposit and Trust Agreement as to the City and, except as otherwise provided herein, the Escrow Bank -4- 80A -125 shall incur no liability in respect thereof. The Escrow Bank shall not be liable in connection with the performance of its duties under this Escrow Deposit and Trust Agreement except for its own negligence, willful misconduct or default, and the duties and obligations of the Escrow Bank shall be determined by the express provisions of this Escrow Deposit and Trust Agreement. The Escrow Bank may consult with counsel, who may or may not be counsel to the City, and in reliance upon the written opinion of such counsel shall have full and complete authorization and protection in respect of any action taken, suffered or omitted by it in good faith in accordance therewith. Whenever the Escrow Bank shall deem it necessary or desirable that a matter be proved or established prior to taking, suffering, or omitting any action under this Escrow Deposit and Trust Agreement, such matter (except the matters set forth herein as specifically requiring a certificate of a nationally recognized firm of independent certified public accountants or an opinion of counsel) may be deemed to be conclusively established by a written certification of the City. The Escrow Bank may conclusively rely and shall be fully protected in acting or refraining from acting upon any resolution, certificate, statement, instrument, opinion, report, notice, request, consent, order, approval or other paper or document believed by it to be genuine and to have been signed or presented by the proper party or parties. Anything in this Escrow Deposit and Trust Agreement to the contrary notwithstanding, in no event shall the Escrow Bank be liable for special, indirect, punitive or consequential loss or damage of any kind whatsoever (including but not limited to lost profits), even if the Escrow Bank has been advised of the likelihood of such loss or damage and regardless of the form of action. -5- 80A -126 The City hereby assumes liability for, and hereby agrees (whether or not any of the transactions contemplated hereby are consummated), to the extent permitted by law, to indemnify, protect, save and hold harmless the Escrow Bank and its respective successors, assigns, agents, servants, employees, directors and officers from and against any and all liabilities, obligations, losses, damages, penalties, claims, actions, suits, costs, expenses and disbursements (including legal fees and disbursements) of whatsoever kind and nature which may be imposed on, incurred by, or asserted against, at any time, the Escrow Bank (whether or not also indemnified against by any other person under any other agreement or instrument) and in any way relating to or arising out of the execution and delivery of this Escrow Deposit and Trust Agreement, the establishment of the Escrow Fund, the retention of the moneys therein and any payment, transfer or other application of moneys by the Escrow Bank in accordance with the provisions of this Escrow Deposit and Trust Agreement, or as may arise by reason of any act, omission or error of the Escrow Bank made in good faith in the conduct of its duties; provided, however, that the City shall not be required to indemnify the Escrow Bank against its own negligence or willful misconduct. The indemnities contained in this Section 10 shall survive the termination of this Escrow Deposit and Trust Agreement or the resignation or removal of the Escrow Bank. The City acknowledges that to the extent regulations of the Comptroller of the Currency or other applicable regulatory entity grant the City the right to receive brokerage confirmations of security transactions as they occur, the City specifically waives receipt of such confirmations to the extent permitted by law. The Escrow Bank will furnish the City monthly cash transaction statements which include detail for all investment transactions made by the Escrow Bank hereunder. No provision of this Escrow Deposit and Trust Agreement shall require the Escrow Bank to expend or risk its own funds or otherwise incur any financial liability in the performance or exercise of any of its duties hereunder, or in the exercise of its rights or powers. The Escrow Bank may execute any of the trusts or powers hereunder or perform any duties hereunder either directly or by or through agents, attorneys, custodians or nominees appointed with due care and shall not be responsible for any willful misconduct or negligence on the part of any agent, attorney, custodian or nominee so appointed. The City may remove the Escrow Bank initially appointed, and any successor thereto, and may appoint a successor or successors thereto, but any such successor shall be a bank or trust company doing business in the State of California, having a combined capital (exclusive of borrowed capital) and surplus of at least fifty million dollars ($50,000,000), and subject to supervision or examination by federal or state authority. If such bank or trust company publishes a report of condition at least annually, pursuant to law or to the requirements of any supervising or examining authority above referred to, then for the purposes of this Section 10 the combined capital and surplus of such bank or trust company shall be deemed to be its combined capital and surplus as set forth in its most recent report of condition so published. The Escrow Bank may at any time resign by giving 30 days written notice of resignation to the City. Upon receiving such notice of resignation, the City shall promptly appoint a successor and, upon the acceptance by the successor of such appointment, release the resigning Escrow Bank from its obligations hereunder by written instrument, a copy of which instrument shall be delivered to each of the City, the resigning Escrow Bank and the successor. If no successor shall have been so appointed and have accepted appointment within 30 days after the -6- 80A -127 giving of such notice of resignation, the resigning Escrow Bank may petition any court of competent jurisdiction for the appointment of a successor, Section 11. Amendment. This Escrow Deposit and Trust Agreement may be modified or amended at any time by a supplemental agreement which shall become effective when the written consents of the owners of one hundred percent (100 %) in aggregate principal amount of the Defeased 1994 Bonds shall have been filed with the Escrow Bank. This Escrow Deposit and Trust Agreement may be modified or amended at any time by a supplemental agreement, without the consent of any such owners, but only (1) to add to the covenants and agreements of any party, other covenants to be observed, or to surrender any right or power herein or therein reserved to the City, (2) to cure, correct or supplement any ambiguous or defective provision contained herein, or (3) in regard to questions arising hereunder or thereunder, as the parties hereto or thereto may deem necessary or desirable and which, in the opinion of counsel, shall not materially adversely affect the interests of the owners of the Defeased 1994 Bonds or the Assignees and that such amendment will not cause interest on the 1994 Bonds or with respect to the Lease Agreement to become subject to federal income taxation. In connection with any contemplated amendment or revocation of this Escrow Deposit and Trust Agreement, prior written notice thereof and draft copies of the applicable legal documents shall be provided by the City to each rating agency then rating the 1994 Bonds. Section 12. Severability. If any section, paragraph, sentence, clause or provision of this Escrow Deposit and Trust Agreement shall for any reason be held to be invalid or unenforceable, the invalidity or unenforceability of such section, paragraph, sentence clause or provision shall not affect any of the remaining provisions of this Escrow Deposit and Trust Agreement. Notice of any such invalidity or unenforceability shall be provided to each rating agency then rating the 1994 Bonds. Section 13. Notice of Escrow Bank and City. Any notice to or demand upon the Escrow Bank may be served and presented, and such demand may be made, at the principal corporate trust office of the Escrow Bank as specified by the 1994 Trustee in accordance with the provisions of the 1994 Indenture. Any notice to or demand upon the City shall be deemed to have been sufficiently given or served for all purposes by being mailed by first class mail, and deposited, postage prepaid, in a post office letter box, addressed to such party as provided in the 1994 Indenture(or such other address as may have been filed in writing by the City with the Escrow Bank). Section 14. Merger or Consolidation of Escrow Bank. Any company into which the Escrow Bank may be merged or converted or with which it may be consolidated or any company resulting from any merger, conversion or consolidation to which it shall be a party or any company to which the Escrow Bank may sell or transfer all or substantially all of its corporate trust business, provided such company shall be eligible to act as trustee under the 1994 Indenture, shall be the successor hereunder to the Escrow Bank without the execution or filing of any paper or any further act. Section. 15. Execution in Several. Counterparts. This Escrow Deposit and Trust Agreement may be executed in any number of counterparts and each of such counterparts shall for all purposes be deemed to be an original; and all such counterparts shall together constitute but one and the same instrument. Section 16. Business Days. Whenever any act is required by this Escrow Deposit and Trust Agreement to be done on a specified day or date, and such day or date shall be a day other than a business day for the Escrow Bank, then such act may be done on the next succeeding business day. -7- 80A -128 Section 17. Governing Law. This Escrow Deposit and Trust Agreement shall be construed and governed in accordance with the laws of the State of California. IN WITNESS WHEREOF the parties hereto have caused this Escrow Agreement to be executed in their respective names by their respective duly authorized officers, all as of the day and year first above written. Attest: Name Secretary Attest: Name City Clerk SANTA ANA FINANCING AUTHORITY By— Name Title CITY OF SANTA ANA By Name Title THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Escrow Bank By Name Title -8- 80A -129 EXHIBIT A SCHEDULE OF DEFEASED 1994 BONDS AND NON - DEFEASED 1994 BONDS Maturity Date (July 1) 2015 2016 2017 2018 2019 2024 Defeased 1994 Bonds $2 15om 2.672.500 8 .2 19.300.000 Non - Defeased 1994 Bonds 672 2,840 3.017.500 ,2 9,3 Exhibit A 80A -130 Total $ 5,030,000 5,345,000 5,680,000 6,035,000 6,410,000 38,600,000 EXHIBIT B SCHEDULE OF ESCROWED FEDERAL SECURITIES Type Maturity Coupon Principal Price Cost Accrued SLGS 07/01/14 SLGS 01/01/15 SLGS 07/01/15 SLGS 01/01/16 SLGS 07/01/16 SLGS 01/01/17 SLGS 07/01/17 SLGS 01/01/18 SLGS 07/01/18 SLGS 01/01/19 SLGS 07/01/19 SLGS 01/01/20 SLGS 07/01/20 SLGS 01/01/21 SLGS 07/01/21 SLGS 01/01/22 SLGS 07/01/22 SLGS 01/01/23 SLGS 07/01/23 SLGS 01/01/24 SLGS 07/01/24 Exhibit A 80A -131 Total EXHIBIT C PAYMENT SCHEDULE Date Principal 01/01/15 07/01/15 01/01/16 07/01/16 01/01/17 07/01/17 01/01/18 07/01/18 01/01/19 07/01/19 01/01/20 07/01/20 01/01/21 07/01/21 01/01/22 07/01/22 01/01/23 07/01/23 01/01/24 07/01/24 Exhibit A Total Interest Payment 80A -132 80A -133 80A -134 EXHIBIT 10 1998 CERTIFICATES REDEMPTION REQUEST 80A -135 80A -136 Quint & Thimmig LLP REDEMPTION REQUEST June 4, 2014 The Bank of New York Mellon Trust Company, N.A. 100 Pine Street, Suite 3100 San Francisco, CA 94111 Attention: Ms. Sheila A. Bowman, Senior Associate Re Redemption Request Regarding: City of Santa Ana Certificates of Participation (1998 City Hall Expansion Project) Ladies and Gentlemen: 04/30/14 05/28/14 As successor trustee (the "Trustee') with respect to the City of Santa Ana Certificates of Participation (1998 City Hall Expansion Project), dated as of January 1, 1998 (the "1998 Certificates "), you are hereby notified of the election of the City of Santa Ana (the "City ") to redeem, on July 7, 2014, pursuant to that certain Trust Agreement, dated as of January 1, 1998, by and among the City, the Santa Ana Financing Authority (the "Authority ") and the Trustee, all outstanding 1998 Certificates at a price equal to 100% of the principal amount thereof, plus accrued interest to the date fixed for redemption. The City intends to fund the redemption of the 1998 Certificates from a portion of the proceeds of a lease financing to be sold to Western Alliance Public Finance. Comuass Bank. an Alabama banking cornoration to close on You are hereby instructed to provide, no later than June 7, 2014, conditional notice of redemption of the 1998 Certificates to occur on July 7, 2014, substantially in the form attached hereto as Exhibit A. Please note that the redemption of the 1998 Certificates is conditional upon the receipt of the proceeds of the 2014 Lease Financing. In connection with your acting on the instructions of the Authority and the City to provide a rescindable notice to redeem the 1998 Certificates, the City agrees to reimburse the Trustee for all out -of- pocket costs and expenses incurred by the Trustee related to or arising from any rescission of the notice of redemption and further agrees to indemnify and hold harmless the Trustee, its officers, directors, employees and agents from and against any claims, losses, damages, costs, liabilities, expenses or attorney's fees resulting from the fact that the notice of redemption of the 1998 Certificates states that the redemption date is conditional upon receipt of the proceeds of the 2014 Lease Financing, or the rescinding of the notice of redemption of the 1998 Certificates by the Trustee upon instruction from the City. THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. By— Name Title CITY OF SANTA ANA By— Name Title 80A -137 19014.10 80A -138 EXHIBIT A CONDITIONAL NOTICE OF FULL /FINAL REDEMPTION OF City of Santa Ana Certificates of Participation (1998 City Hall Expansion Project) Maturity Amount Redemption Interest CUSIP Date Called Premium Price (1) Rate Number 1/1/2017 $1,315,000 — $1,315,000 4.700% 80108N CM2 1/1/2019 $ 980,000 — $ 980,000 4.700% 80108N CP5 1/1/2028 $5,720,000 — $5,720,000 4.700% 80108N CY6 (1) Accrued interest to be added. CONDITIONAL NOTICE is hereby given that the City of Santa Ana (the "City ") has conditionally called for redemption on July 7, 2014 (the 'Redemption Date "), the outstanding City of Santa Ana Certificates of Participation (1998 City Hall Expansion Project), as described above (the "Certificates "), at a price equal to 100% of the principal amount thereof, plus accrued interest to the date fixed for redemption (the 'Redemption Price "). The Certificates are being conditionally called for redemption on the Redemption Date subject to the provisions of the succeeding paragraph of this notice, and pursuant to the provisions of the governing documents of the Certificates. The Conditional Notice of Redemption, and the payment of the Redemption Price on the Redemption Date, is subject to the receipt of funds in an amount sufficient to pay in full the specified redemption price of all of the Certificates on or before the Redemption Date, resulting from a negotiated lease financing, expected to be funded on or about June 12, 2014. In the event such funds are not received by the Redemption Date, this notice shall be null and void and of no force and effect. The Certificates delivered for redemption shall be returned to the respective owners thereof, and said Certificates shall remain outstanding as though this notice of conditional redemption had not been given. Notice of a failure to receive funds, and cancellation of this redemption, shall be given by the Trustee by first class mail, postage prepaid, to the registered owners of the Certificates. On the Redemption Date, the Redemption Price will become due and payable upon each Certificate and interest with respect thereto shall cease to accrue from and after the Redemption Date. Payment of principal will be made upon presentation on and after July 7, 2014, at the following addresses: By First Class / Reeistered/ Certified Mail: The Bank of New York Mellon Global Corporate Trust P.O. Box 396 East Syracuse, NY 13057 Express Delivery Only: The Bank of New York Mellon Global Corporate Trust 111 Sanders Creek Parkway East Syracuse, NY 13057 By Hand Only: The Bank of New York Mellon Global Corporate Trust Corporate Trust Window 101 Barclay Street, l" Floor New York, NY 10286 Owners of Bonds presenting their certificates in person for the same day payment must surrender their certificate by 1:00 p.m. on the prepayment date and a check will be available for pickup after 2:00 p.m. Checks not picked up by 4:30 p.m. will be mailed to the Certificate holder by first class mail. If payment of the Redemption Price is to be made to the registered owner of the Certificate, you are not required to endorse the Certificate to collect the Redemption Price. 80A -139 Under the Economic Growth and Tax Relief Reconciliation Act of 2003, 28% of the Redemption Price will be withheld if tax identification number is not properly certified. The Form W -9 may be obtained from the Internal Revenue Service. Neither the City nor The Bank of New York Mellon Trust Company, N.A., as trustee, shall be held responsible for the selection or use of the CUSIP number, nor is any representation made as to its correctness as shown in the Redemption Notice. It is included solely for convenience of the Holders. Dated: June _, 2014 80A -140 THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee 80A -141 80A -142 EXHIBIT 11 1998 CERTIFICATES ESCROW AGREEMENT 80A -143 80A -144 Quint & Thinunig LLP ESCROW DEPOSIT AND TRUST AGREEMENT by and between the CITY OF SANTA ANA and 04/30/14 05/28/14 THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Escrow Agent Dated June 12, 2014 Current refunding the City of Santa Ana Certificates of Participation (1998 City Hall Expansion Project) ].9014.10 80A -145 ESCROW DEPOSIT AND TRUST AGREEMENT This Escrow Deposit and Trust Agreement (this "Escrow Deposit and Trust Agreement'), dated June 12, 2014, is by and between the CITY OF SANTA ANA, a municipal corporation and chartered city organized and existing pursuant to the laws of the State of California (the "City "), and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., a national banking association organized and existing under the laws of the United States of America, as escrow agent (the "Escrow Agent'). WITNESSETH: WHEREAS, the City has heretofore caused the execution and delivery of its $12,450,000 Certificates of Participation (1998 City Hall Expansion Project) (the "1998 Certificates ") evidencing and representing the fractional undivided interests of the owners thereof in lease payments (the "1998 Lease Payments ") to be made by the City as the rental for certain property pursuant to a lease agreement, dated as of January 1, 1998 (the "1998 Lease Agreement'), with the Santa Ana Financing Authority (the "Authority ") to finance the expansion of Santa Ana City Hall, currently outstanding in the principal amount of $8,015,000; WHEREAS, the 1998 Certificates were executed and delivered pursuant to the terms of a trust agreement, dated as January 1, 1998 (the "1998 Trust Agreement'), by and among the City, the Authority and Harris Trust Company of California, since succeeded by The Bank of New York Mellon Trust Company, N.A., as trustee thereunder (the "1998 Trustee "); WHEREAS, in order to provide for the repayment of the 1998 Certificates, the Authority leased certain property to the City pursuant to the 1998 Lease Agreement under which the City agreed to make the 1998 Lease Payments in sufficient amounts in each year to pay the full amount of principal and interest with respect to the 1998 Certificates; WHEREAS, the City has determined that, as a result of favorable financial market conditions and for other reasons, it is in the best interests of the City at this time to refinance the City's obligation to make the 1998 Lease Payments under the 1998 Lease Agreement, and to refinance certain other obligations, and, as a result thereof, to provide for the redemption of the 1998 Certificates and, to that end, the City proposes to lease certain real property and improvements (the "Property ") to the Authority and to lease -back the Property from the Authority pursuant to that certain Lease Agreement, dated as of June 1, 2014 (the "Lease Agreement'); WHEREAS, the City proposes to make the deposit of moneys and to appoint the Escrow Bank for the purpose of applying said deposit to provide for the prepayment of the 1998 Lease Payments in accordance with the instructions provided by this Escrow Deposit and Trust Agreement and of applying said 1998 Lease Payments to the redemption of the 1998 Certificates in accordance with the 1998 Trust Agreement and the Escrow Bank desires to accept said appointment; WHEREAS, to obtain moneys to make such deposit and for other purposes, the Authority proposes to assign and transfer certain of its rights under the Lease Agreement to Western Alliance Public Finance Compass Bank an Alabama banking corporation and_Cital One Public Fund ding LLC (collectively the "Assignees'), pursuant to those certain asgnment agrreements, each dated as of June 1, 2014, by and between the Corporation and the Assignees 80A -146 (collectively the "Assignment Agreements. "), whereby the Assignees will make a payment of $ to or to the order of the City; WHEREAS, the City wishes to make such a deposit with the Escrow Bank and to enter into this Escrow Deposit and Trust Agreement for the purpose of providing the terms and conditions for the deposit and application of amounts so deposited; and WHEREAS, the Escrow Bank has full powers to act with respect to the irrevocable escrow and trust created herein and to perform the duties and obligations to be undertaken pursuant to this Escrow Deposit and Trust Agreement. NOW, THEREFORE, in consideration of the foregoing and of the mutual covenants herein set forth, the parties hereto do hereby agree as follows: Section 1. Discharge of 1998 Certificates. The City hereby irrevocably elects to pay and discharge all indebtedness payable by the City under the 1998 Trust Agreement and the 1998 Lease Agreement. Section 2. Appointment of Escrow Bank The City hereby appoints the Escrow Bank as escrow bank for all purposes of this Escrow Deposit and Trust Agreement and in accordance with the terms and provisions of this Escrow Deposit and Trust Agreement, and the Escrow Bank hereby accepts such appointment. Section 3. Establishment of Escrow Fund. There is hereby created by the City with, and to be held by, the Escrow Bank, as security for the payment of the 1998 Lease Payments as hereinafter set forth, an irrevocable escrow to be maintained in trust by the Escrow Bank on behalf of the City and for the benefit of the owners of the 1998 Certificates, said escrow to be designated the "Escrow Fund." All moneys deposited in the Escrow Fund shall be held as a special fund for the redemption of the 1998 Certificates in accordance with the provisions of the 1998 Trust Agreement. The City hereby irrevocably instructs the Escrow Bank, and the Escrow Bank hereby agrees, to use the moneys on deposit in the Escrow Fund to pay the principal and interest with respect to the 1998 Certificates in accordance with the instructions set forth in Section 6 hereof. If at any time the Escrow Bank shall receive actual knowledge that the moneys in the Escrow Fund will not be sufficient to make any payment required by Section 6 hereof, the Escrow Bank shall immediately notify the City of such fact and the City shall immediately cure such deficiency. The Escrow Bank shall have no liability for such deficiency. Section 4. Deposit into Escrow Fund. (a) The City shall cause to be transferred to the Escrow Bank for deposit into the Escrow Fund the amount of $ in immediately available funds, derived as follows: (i) $ from amounts paid by the Assignees pursuant to the Assignment Agreements (ii) $ from the lease payment fund held by the 1998 Trustee with respect to the 1998 Certificates (the "1998 Lease Payment Fund "). (b) The Escrow Agent shall hold all amounts deposited in the Escrow Fund in cash, uninvested. The moneys held by the Escrow Agent in the Escrow Fund shall be used solely for the purposes set forth herein. (c) The Escrow Agent may rely upon the conclusion of , as contained in its opinion and accompanying schedules (the "Report ") dated June 12, 2014, that the cash on -2- 80A -147 deposit in the Escrow Fund, will be sufficient to redeem the outstanding 1998 Certificates in full on 2014, at 100% of the principal amount thereof, together with accrued interest to such date, without premium. (d) The Escrow Agent shall not be liable or responsible for any loss resulting from its full compliance with the provisions of this Escrow Deposit and Trust Agreement. (e) Any money left on deposit in the Escrow Fund after payment in full of the 1998 Certificates, and the payment of all amounts due to the Escrow Agent hereunder, shall be paid to the City. Section 5. Application of 1298 Funds. On the date of deposit of amounts paid by the Assignees pursuant to the Assignment Agreements in the Escrow Fund pursuant to Section 4, the Escrow Bank, as 1998 Trustee, is hereby directed to transfer all moneys in the 1998 Lease Payment Fund ($ ) to the Escrow Bank for deposit in the Escrow Fund. Section 6. Instructions as to Application of Deposit. The moneys deposited in the Escrow Fund pursuant to Section 4 shall be applied by the Escrow Agent for the sole purpose of redeeming the outstanding 1998 Certificates in full on. 2014, at 100% of the principal amount thereof, together with accrued interest to such date, without premium, as set forth in Exhibit A attached hereto and by this reference incorporated herein. The City has previously requested that the Escrow Bank, in its capacity as 1998 Trustee, and the Escrow Bank, as 1998 Trustee, has agreed, to give timely notice of the redemption of the 1998 Certificates on 2014. Section 7. Compensation to Escrow Bank. The City shall pay the Escrow Bank full compensation for its duties under this Escrow Deposit and Trust Agreement, including out -of- pocket costs such as publication costs, prepayment or redemption expenses, legal fees and other costs and expenses relating hereto. Under no circumstances shall amounts deposited in the Escrow Fund be deemed to be available for said purposes. Section 8. Liabilities and Obligations of Escrow Bank. The Escrow Bank shall have no obligation to make any payment or disbursement of any type or incur any financial liability in the performance of its duties under this Escrow Deposit and Trust Agreement unless the City shall have deposited sufficient funds with the Escrow Bank. The Escrow Bank may rely and shall be protected in acting upon the written instructions of the City or its agents relating to any matter or action as Escrow Bank under this Escrow Deposit and Trust Agreement. The Escrow Bank and its respective successors, assigns, agents and servants shall not be held to any personal liability whatsoever, in tort, contract, or otherwise, in connection with the execution and delivery of this Escrow Deposit and Trust Agreement, the establishment of the Escrow Fund, the acceptance of the moneys deposited therein, the sufficiency of the uninvested moneys held hereunder to accomplish the purposes set forth herein, or any payment, transfer or other application of moneys by the Escrow Bank in accordance with the provisions of this Escrow Deposit and Trust Agreement or by reason of any non - negligent act, non - negligent omission or non - negligent error of the Escrow Bank made in good faith in the conduct of its duties. The recitals of fact contained in the "whereas' clauses herein shall be taken as the statement of the City, and the Escrow Bank assumes no responsibility for the correctness thereof. The Escrow Bank makes no representations as to the sufficiency of the uninvested moneys to accomplish the purposes set forth herein or to the validity of this Escrow Deposit and Trust Agreement as to the City and, except as otherwise provided herein, the Escrow Bank shall incur no liability in respect thereof. The Escrow Bank shall not be liable in connection with the performance of its duties under this Escrow Deposit and Trust Agreement except for its -3- 80A -148 own negligence, willful misconduct or default, and the duties and obligations of the Escrow Bank shall be determined by the express provisions of this Escrow Deposit and Trust Agreement. The Escrow Bank may consult with counsel, who may or may not be counsel to the City, and in reliance upon the written opinion of such counsel shall have full and complete authorization and protection in respect of any action taken, suffered or omitted by it in good faith in accordance therewith. Whenever the Escrow Bank shall deem it necessary or desirable that a matter be proved or established prior to taking, suffering, or omitting any action under this Escrow Deposit and Trust Agreement, such matter (except the matters set forth herein as specifically requiring a certificate of a nationally recognized firm of independent certified public accountants or an opinion of counsel) may be deemed to be conclusively established by a written certification of the City. The Escrow Bank may conclusively rely and shall be fully protected in acting or refraining from acting upon any resolution, certificate, statement, instrument, opinion, report, notice, request, consent, order, approval or other paper or document believed by it to be genuine and to have been signed or presented by the proper party or parties. Anything in this Escrow Deposit and Trust Agreement to the contrary notwithstanding, in no event shall the Escrow Bank be liable for special, indirect, punitive or consequential loss or damage of any kind whatsoever (including but not limited to lost profits), even if the Escrow Bank has been advised of the likelihood of such loss or damage and regardless of the form of action. The Escrow Bank agrees to accept and act upon instructions or directions pursuant to this Escrow Deposit and Trust Agreement sent by unsecured e -mail, facsimile transmission or other similar unsecured electronic methods, provided, however, that, the Escrow Bank shall have received an incumbency certificate listing persons designated to give such instructions or directions and containing specimen signatures of such designated persons, which such incumbency certificate shall be amended and replaced whenever a person is to be added or deleted from the listing. If the City elects to give the Escrow Bank e -mail or facsimile instructions (or instructions by a similar electronic method) and the Escrow Bank in its discretion elects to act upon such instructions, the Escrow Bank's understanding of such instructions shall be deemed controlling. The Escrow Bank shall not be liable for any losses, costs or expenses arising directly or indirectly from the Escrow Bank's reliance upon and compliance with such instructions notwithstanding such instructions conflict or are inconsistent with a subsequent written instruction. The City agrees to assume all risks arising out of the use of such electronic methods to submit instructions and directions to the Escrow Bank, including without limitation the risk of the Escrow Bank acting on unauthorized instructions, and the risk of interception and misuse by third parties. The City hereby assumes liability for, and hereby agrees (whether or not any of the transactions contemplated hereby are consummated), to the extent permitted by law, to indemnify, protect, save and hold harmless the Escrow Bank and its respective successors, assigns, agents, servants, employees, directors and officers from and against any and all liabilities, obligations, losses, damages, penalties, claims, actions, suits, costs, expenses and disbursements (including legal fees and disbursements) of whatsoever kind and nature which may be imposed on, incurred by, or asserted against, at any time, the Escrow Bank (whether or not also indemnified against by any other person under any other agreement or instrument) and in any way relating to or arising out of the execution and delivery of this Escrow Deposit and Trust Agreement, the establishment of the Escrow Fund, the retention of the moneys therein and any payment, transfer or other application of moneys by the Escrow Bank in accordance with the provisions of this Escrow Deposit and Trust Agreement, or as may arise by reason of any act, omission or error of the Escrow Bank made in good faith in the conduct of its duties; provided, however, that the City shall not be required to indemnify the Escrow Bank against its own negligence or misconduct. The indemnities contained in this Section 8 shall -4- 80A -149 survive the termination of this Escrow Deposit and Trust Agreement or the resignation or removal of the Escrow Bank. The City acknowledges that to the extent regulations of the Comptroller of the Currency or other applicable regulatory entity grant the City the right to receive brokerage confirmations of security transactions as they occur, the City specifically waives receipt of such confirmations to the extent permitted by law. The Escrow Bank will furnish the City monthly cash transaction statements which include detail for all investment transactions made by the Escrow Bank hereunder. No provision of this Escrow Deposit and Trust Agreement shall require the Escrow Bank to expend or risk its own funds or otherwise incur any financial liability in the performance or exercise of any of its duties hereunder, or in the exercise of its rights or powers. The Escrow Bank may execute any of the trusts or powers hereunder or perform any duties hereunder either directly or by or through agents, attorneys, custodians or nominees appointed with due care and shall not be responsible for any willful misconduct or negligence on the part of any agent, attorney, custodian or nominee so appointed. The City may remove the Escrow Bank initially appointed, and any successor thereto, and may appoint a successor or successors thereto, but any such successor shall be a bank or trust company doing business in the State of California, having a combined capital (exclusive of borrowed capital) and surplus of at least fifty million dollars ($50,000,000), and subject to supervision or examination by federal or state authority. If such bank or trust company publishes a report of condition at least annually, pursuant to law or to the requirements of any supervising or examining authority above referred to, then for the purposes of this Section 8 the combined capital and surplus of such bank or trust company shall be deemed to be its combined capital and surplus as set forth in its most recent report of condition so published. The Escrow Bank may at any time resign by giving 30 days written notice of resignation to the City. Upon receiving such notice of resignation, the City shall promptly appoint a successor and, upon the acceptance by the successor of such appointment, release the resigning Escrow Bank from its obligations hereunder by written instrument, a copy of which instrument shall be delivered to each of the City, the resigning Escrow Bank and the successor. If no successor shall have been so appointed and have accepted appointment within 30 days after the giving of such notice of resignation, the resigning Escrow Bank may petition any court of competent jurisdiction for the appointment of a successor Section 9. Amendment. This Escrow Deposit and Trust Agreement may be modified or amended at any time by a supplemental agreement which shall become effective when the written consents of the owners of one hundred percent (100 %) in aggregate principal amount of the 1998 Certificates shall have been filed with the Escrow Bank. This Escrow Deposit and Trust Agreement may be modified or amended at any time by a supplemental agreement, without the consent of any such owners, but only (1) to add to the covenants and agreements of any party, other covenants to be observed, or to surrender any right or power herein or therein reserved to the City, (2) to cure, correct or supplement any ambiguous or defective provision contained herein, or (3) in regard to questions arising hereunder or thereunder, as the parties hereto or thereto may deem necessary or desirable and which, in the opinion of counsel, shall not materially adversely affect the interests of the owners of the 1998 Certificates or the Assignees, and that such amendment will not cause interest on the 1998 Certificates or with respect to the Lease Agreement to become subject to federal income taxation. In connection with any contemplated amendment or revocation of this Escrow Deposit and Trust Agreement, prior written notice thereof and draft copies of the applicable legal documents shall be provided by the City to each rating agency then rating the 1998 Certificates. -5- 80A -150 Section 10. Severability. If any section, paragraph, sentence, clause or provision of this Escrow Deposit and Trust Agreement shall for any reason be held to be invalid or unenforceable, the invalidity or unenforceability of such section, paragraph, sentence clause or provision shall not affect any of the remaining provisions of this Escrow Deposit and Trust Agreement. Notice of any such invalidity or unenforceability shall be provided to each rating agency then rating the 1998 Certificates. Section 11. Notice of Escrow Bank and City. Any notice to or demand upon the Escrow Bank may be served and presented, and such demand may be made, at the principal corporate trust office of the Escrow Bank as specified by the 1M Trustee in accordance with the provisions of the 1998 Trust Agreement. Any notice to or demand upon the City shall be deemed to have been sufficiently given or served for all purposes by being mailed by first class mail, and deposited, postage prepaid, in a post office letter box, addressed to such party as provided in the 1998 Trust Agreement(or such other address as may have been filed in writing by the City with the Escrow Bank). Section 12, Merger or Consolidation of Escrow Bank. Any company into which the Escrow Bank may be merged or converted or with which it may be consolidated or any company resulting from any merger, conversion or consolidation to which it shall be a party or any company to which the Escrow Bank may sell or transfer all or substantially all of its corporate trust business, provided such company shall be eligible to act as trustee under the 1998 Trust Agreement, shall be the successor hereunder to the Escrow Bank without the execution or filing of any paper or any further act. Section 13. Execution in Several Counterparts. This Escrow Deposit and Trust Agreement may be executed in any number of counterparts and each of such counterparts shall for all purposes be deemed to be an original; and all such counterparts shall together constitute but one and the same instrument. Section 14. Business Days. Whenever any act is required by this Escrow Deposit and Trust Agreement to be done on a specified day or date, and such day or date shall be a day other than a business day for the Escrow Bank, then such act may be done on the next succeeding business day. Section 15. Governing Law. This Escrow Deposit and Trust Agreement shall be construed and governed in accordance with the laws of the State of California. -6- 80A -151 IN WITNESS WHEREOF the parties hereto have caused this Escrow Agreement to be executed in their respective names by their respective duly authorized officers, all as of the day and year first above written. CITY OF SANTA ANA By Name Title Attest: Name City Clerk THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Escrow Bank By Name Title -7- 80A -152 EXHIBIT A REDEMPTION SCHEDULE Maturing Called Date Principal Principal Interest 7/7/14 — $8,015,000 Exhibit A 80A -153 Redemption Total Premium Payment 80A -154 EXHIBIT 12 1998 CERTIFICATES TERMINATION AGREEMENT 80A -155 80A -156 Quint & Thimmig LLP AFTER RECORDATION RETURN TO: Quint & Thimmig LLP 900 Larkspur Landing Circle, Suite 270 Larkspur, CA 94939 -1726 Attention: Brian D. Quint, Esq. 04/30/14 THIS TRANSACTION IS EXEMPT FROM CALIFORNIA DOCUMENTARY TRANSFER TAX PURSUANT TO SECTION 11929 OF THE CALIFORNIA REVENUE AND TAXATION CODE. THIS DOCUMENT IS EXEMPT FROM RECORDING FEES PURSUANT TO SECTION 27383 OF THE CALIFORNIA GOVERNMENT CODE. TERMINATION AGREEMENT Dated as of June 1, 2014 by and among the SANTA ANA FINANCING AUTHORITY the CITY OF SANTA ANA, CALIFORNIA and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Trustee Relating to the Refunding of the $12,450,000 City of Santa Ana Certificates of Participation (1998 City Hall Expansion Project) 19014.10 80A -157 TERMINATION AGREEMENT This TERMINATION AGREEMENT is dated as of June 1, 2014, and is by and among the SANTA ANA FINANCING AUTHORITY (the "Authorky=2 the CITY OF SANTA ANA, CALIFORNIA (the "City "), and THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. (as successor trustee to Harris Trust Company of California, N.A.), as trustee (the "1998 Trustee "). WITNESSETH: WHEREAS, the City and the Authority " Authefity have heretofore entered into an Lease Agreement, dated as of January 1, 1998 (the "1998 Lease "), pursuant to which the Authority and the City entered into a transaction for the lease financing of certain facilities (the "1998 Project "), and the City agreed to make certain lease payments (the "1998 Lease Payments ") to the Authority; WHEREAS, pursuant to an Assignment Agreement, dated as of January 1, 1998 (the "1998 Assignment Agreement "), by and between the Authority and the 1998 Trustee, the Authority assigned to the 1998 Trustee, among other things, its rights to receive 1998 Lease Payments from the City under the 1998 Lease and the right to exercise such rights and remedies conferred on the Authority under the 1998 Lease to enforce payment of the 1998 Lease Payments; WHEREAS, pursuant to a Trust Agreement, dated as of January 1, 1998, by and among the City, the Authority and the 1998 Trustee, the 1998 Trustee agreed, among other matters, to execute and deliver certificates of participation (the "1998 Certificates ") representing undivided fractional interests of the owners thereof to receive 1998 Lease Payments made by the City; WHEREAS, the 1998 Lease Agreement provides that in the event that the City deposits, or causes the deposit on its behalf of moneys for the prepayment of the 1998 Lease Payments, then all of the obligations of the City under the 1998 Lease Agreement and all of the security provided by the City for such obligations, excepting only the obligation of the City to make the 1998 Lease Payments from said deposit, shall cease and terminate, and unencumbered title to the 1998 Project shall be vested in the City without further action by the City or the Authority; WHEREAS, the City has determined that, as a result of favorable financial market conditions and for other reasons, it is in the best interests of the City at this time to refinance the City's obligation to make the 1998 Lease Payments under the 1998 Lease Agreement and, as a result thereof, to provide for the redemption of the 1998 Certificates to and including 2014, and to that end and for other purposes, the Authority proposes to lease certain real property and improvements from the Authority pursuant to that certain Lease Agreement, dated as of Lune 1, 2014 (the "Lease Agreement "), a memorandum of which has been recorded concurrently herewith; WHEREAS, to obtain moneys to make such deposit, the Authority proposes to assign and transfer certain of its rights under the Lease Agreement to Western Alliance Public Finance. C txtRass .Bauk an Alabama bankin &� rRQmt4Qn and Capital One Public Funding,LLC (collectively, the "Assignees'), pursuant to thQs . Certain assignment agreements, each dated as of June 1, 2014, by and between the Authority and the Assignees, whereby the Assignees will make a payment of $ to or to the order of the City; WHEREAS, upon deposit of a portion of such amounts for prepayment of the 1998 Lease Payments, the 1998 Lease Agreement and the agreements related thereto need not be 80A -158 maintained (except as otherwise provided below), and the parties hereto now desire to provide for the termination of such documents as provided herein. NOW, THEREFORE, in consideration of the foregoing and for other consideration the receipt and sufficiency of which are hereby acknowledged, the parties hereto do hereby agree with respect to the document to which it is a party or an assignee: Section 1. Termination. (a) By virtue of the deposit of amounts for prepayment of the 1998 Lease Payments, all obligations of the City under the 1998 Lease Agreement shall cease and terminate, excepting only the obligation of the City to make, or cause to be made, all payments from such deposit and title to the 1998 Project shall vest in the City on the date of said deposit automatically and without further action by the City or the Authority. Said deposit and interest earnings thereon shall be deemed to be and shall constitute a special fund for the prepayment of the 1998 Lease Payments. (b) In accordance with the foregoing, the following agreements (including any option to 3e contained therein), are hereby terminated and are of no further force or effect date hereofl: (i) Site and Facility Lease, dated as of January 1, 1998, by and between the City and the Authority, recorded on January 21, 1998, as Instrument No. 19980031193, Orange County Records (the "Site and Facility Lease "); (ii) 1998 Lease Agreement, recorded on January 21, 1998, as Instrument No. 19980031194, Orange County Records; and (iii) 1998 Assignment Agreement, recorded on January 21, 1998, as Instrument No. 19980031195, Orange County Records. (c) From and after the date hereof, none of the parties shall have any further rights or obligations thereunder. Section 2. Execution in Counterparts. This Termination Agreement may be executed in several counterparts, each of which shall be an original and all of which shall constitute but one and the same instrument. -2- 80A -159 IN WITNESS WHEREOF, the parties hereto have duly executed this Termination Agreement. Attest. Name r r Attest: Name City Clerk ►��61 /_ \�I� % \�CNI�CIl�[� IIfO.I�]C��'1 By Name CITY OF SANTA ANA By— Name Title THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Escrow Bank By— Name Title -3- 80A -160 NOTARY ACKNOWLEDGMENTS TO BE INSERTED 80A -161 EXHIBIT A DESCRIPTION OF THE SITE All that certain real property situated in Orange County, State of California, described as follows PARCEL A: LOTS 41 TO 51 INCLUSIVE OF TRACT NO. 2752, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS SHOWN ON A MAP RECORDED IN BOOK 79, PAGES 30 AND 31 OF MISCELLANEOUS MAPS, RECORDS OF SAID COUNTY. PARCELB: THAT PORTION OF LOT 56 OF TRACT NO. 2752, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS SHOWN ON A MAP RECORDED IN BOOK 79, PAGES 30 AND 31 OF MISCELLANEOUS MAPS, RECORDS OF SAID COUNTY, DESCRIBED AS FOLLOWS: BEGINNING AT THE SOUTHWEST CORNER OF LOT 50 OF SAID TRACT NO. 2752; THENCE NORTH 000 06'36" WEST ALONG THE WESTERLY LINES OF LOTS 50 AND 51 OF SAID TRACT, A DISTANCE OF 170.00 FEET; THENCE SOUTH 89° 53'24" WEST 225.769 FEET; THENCE SOUTH 00° 22' 06" EAST 171.016 FEET TO THE NORTHWEST CORNER OF LOT 46 OF SAID TRACT NO. 2752; THENCE NORTH 890 3754" EAST ALONG THE NORTHERLY LINES OF LOTS 46 AND 47 OF SAID TRACT, A DISTANCE OF 225.00 FEET TO THE POINT OF BEGINNING. PARCEL C: THAT PORTION OF LOT 56 OF TRACT NO. 2752, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS SHOWN ON A MAP RECORDED IN BOOK 79, PAGES 30 AND 31 OF MISCELLANEOUS MAPS, RECORDS OF SAID COUNTY, DESCRIBED AS FOLLOWS: BEGINNING AT THE NORTHWEST CORNER OF LOT 46 OF SAID TRACT NO. 2752; THENCE NORTH 000 22'06" WEST 171.016 FEET; THENCE SOUTH 89° 53'24" WEST 223.244 FEET; THENCE SOUTH 000 13'03" WEST 172.032 FEET TO THE NORTHWEST CORNER OF LOT 44 OF SAID TRACT NO. 2752; THENCE NORTH 89° 37' 54" EAST ALONG THE NORTHERLY LINES OF LOTS 44 AND 45 OF SAID TRACT, A DISTANCE OF 225.00 FEET TO THE POINT OF BEGINNING. PARCEL D: THAT PORTION OF LOT 56 OF TRACT NO. 2752, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS SHOWN ON A MAP RECORDED IN BOOK 79 PAGES 30 AND 31 OF MISCELLANEOUS MAPS, RECORDS OF SAID COUNTY, DESCRIBED AS FOLLOWS: BEGINNING AT THE NORTHWEST CORNER OF LOT 44 OF SAID TRACT NO. 2752; THENCE NORTH 000 13' 03" EAST 172.032 FEET; THENCE SOUTH 89° 53' 24" WEST 299.99 FEET TO THE WESTERLY LINE OF SAID LOT 56; THENCE SOUTH 00° 04'39" EAST ALONG THE WESTERLY LINE OF SAID LOT 56, A DISTANCE OF 173.377 FEET TO THE SOUTHWEST CORNER OF SAID LOT 56; THENCE NORTH 890 3754" EAST ALONG THE SOUTHERLY LINE OF SAID LOT 56, A DISTANCE OF 299.11 FEET TO THE POINT OF BEGINNING. PARCEL E: THAT PORTION OF LOT 56 OF TRACT NO. 2752, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS SHOWN ON A MAP RECORDED IN BOOK 79, PAGES 30 AND 31 OF MISCELLANEOUS MAPS RECORDS OF SAID COUNTY, DESCRIBED AS FOLLOWS: Exhibit A Page 1 80A -162 BEGINNING AT A POINT ON THE WESTERLY LINE OF SAID LOT 56, DISTANT NORTH 00° 04'39" WEST 299.69 FEET FROM THE SOUTHWESTERLY CORNER OF SAID LOT 56; THENCE NORTH 89° 29'24" EAST 300.00 FEET; THENCE SOUTH 00° 04'39" EAST 128.403 FEET; THENCE SOUTH 89'53'24" WEST 299.99 FEET TO THE WESTERLY LINE OF SAID LOT 56; THENCE NORTH 00° 04' 39" WEST ALONG SAID WESTERLY LINE, A DISTANCE OF 126.31 FEET TO THE POINT OF BEGINNING. PARCEL F: THAT PORTION OF LOT 56 OF TRACT NO. 2752, IN THE CITY OF SANTA ANA, COUNTY OF ORANGE, STATE OF CALIFORNIA, AS SHOWN ON A MAP RECORDED IN BOOK 79, PAGES 30 AND 31 OF MISCELLANEOUS MAPS, RECORDS OF SAID COUNTY, DESCRIBED AS FOLLOWS: BEGINNING AT A POINT ON THE WESTERLY LINE OF SAID LOT 56, DISTANT NORTH 00° 04' 39" WEST 299.69 FEET FROM THE SOUTHWESTERLY CORNER OF SAID LOT 56; THENCE NORTH 00° 04' 39" WEST ALONG SAID WESTERLY LINE 275.19 FEET TO THE BEGINNING OF A TANGENT CURVE CONCAVE SOUTHEASTERLY AND HAVING A RADIUS OF 25.00 FEET; THENCE NORTHERLY AND EASTERLY ALONG SAID CURVE THROUGH A CENTRAL ANGLE OF 890 34'03" A DISTANCE OF 39.08 FEET; THENCE TANGENT TO SAID CURVE AND ALONG THE NORTHERLY LINE OF SAID LOT 56, NORTH 89° 29'24" EAST 275.19 FEET; THENCE SOUTH 00° 04'39" EAST 300.00 FEET; THENCE SOUTH 89'29'24" WEST 300.00 FEET TO THE POINT OF BEGINNING. Exhibit A Page 2 80A -163 80A -164 EXHIBIT 13 FORM OF OPINION OF SPECIAL COUNSEL 80A -165 80A -166 Quint & Mimmig LLP FORM OF FINAL OPINION OF BOND COUNSEL [Letterhead of Quint & Thimmig LLP] June 12, 2014 04/30/14 City of Santa Ana 20 Civic Center Plaza Santa Ana, California, 92701 Re: $ Lease Agreement, dated as of June 1, 2014, by and between the Santa Ana Financing Authority and the City of Santa Ana, assigned to Western Alliance- Public Finance Compass Bank an Alabama banking corporation and Capital One Public Funding LLC Ladies and Gentlemen We have acted as special counsel to the City of Santa Ana (the "City') in connection with the execution and delivery of the $ Lease Agreement, dated as of June 1, 2014 (the 'Lease Agreement'), and the Site and Facility Lease, dated as of June 1, 2014 (the "Site and Facility Lease'), each by and between the City and the Santa Ana Financing Authority (the "Authority "). The Authority has assigned its rights under the Lease Agreement and the Site and Facility Lease to Western —Alliarbce Public Finance. Compass Bank. an Alabama banking corporation and apital Ome Public Funding. LLC (collectively, the "Assignees "), pursuant to separate assignment agreement, each dated as of June 1, 2014, by and between the Authority and the Assignees (collectively, the "Assignment Agreements "). Capitalized terms used herein and not otherwise defined have the• meanings ascribed thereto in the Lease Agreement. In connection with this opinion, we have examined such law and such certified proceedings, certifications, and papers as we have deemed necessary to render this opinion. As to questions of fact material to our opinion, we have relied upon the representations of the City contained in the Lease Agreement and the certified proceedings and other certifications of public officials and others furnished to us. In the course of our representation, nothing has come to our attention that caused us to believe that any of the factual representations upon which we have relied are untrue, but we have not undertaken to verify them by independent investigation. Based upon the foregoing, we are of the opinion, under existing law, that: 1. The City has been duly created and is validly existing as a municipal corporation and chartered city under and by virtue of the laws of the State of California with the power to enter into the Site and Facility Lease and the Lease Agreement and to perform the agreements on its part contained therein. 2. The Site and Facility Lease and the Lease Agreement have been duly authorized, executed, and delivered by the City and the Authority and constitute the valid and binding obligations of the City and the Authority enforceable in accordance with their respective terms. 19014.10 80A -167 City of Santa Ana June 12, 2014 Page 2 3. The obligation of the City to make Lease Payments pursuant to the Lease Agreement does not constitute a debt of the City or of the State of California or of any political subdivision thereof within the meaning of any constitutional or statutory debt limitation or restriction and does not constitute an obligation for which the City is obligated to levy or pledge any form of taxation or for which the City has levied or pledged any form of taxation. 4. The assignment of the Lease Payments and certain other rights by the Authority to the Assignees under the Assignment Agreements constitutes the valid and binding obligation of the Authority enforceable in accordance with its terms. 5. Subject to the City's compliance with certain covenants, the interest component of the Lease Payments is excludable from gross income of the owners thereof for federal income tax purposes and is not included as an item of tax preference in computing the alternative minimum tax for individuals and corporations under the Internal Revenue Code of 1986, as amended (the "Code "), but is taken into account in computing an adjustment used in determining the federal alternative minimum tax for certain corporations. Failure to comply with certain of such covenants could cause the interest component of the Lease Payments to be includable in gross income for federal income tax purposes retroactively to the date of delivery of the Lease Agreement. 6. The interest component of the Lease Payments is exempt from personal income taxation imposed by the State of California. We express no opinion regarding any collateral tax consequences arising with respect to the Lease Agreement. The rights of the Assignees and the enforceability of the Site and Facility Lease, the Lease Agreement and the Assignment Agreements may be subject to bankruptcy, insolvency, reorganization, moratorium and other similar laws affecting creditors' rights heretofore or hereafter enacted and may also be subject to the exercise of judicial discretion in accordance with principles of equity or otherwise in appropriate cases. Our opinion represents our legal judgment based upon such review of the law and the facts that we deem relevant to render our opinion and is not a guarantee of a result. This opinion is given as of the date hereof and we assume no obligation to revise or supplement this opinion to reflect any facts or circumstances that may hereafter come to our attention or any changes in law that may hereafter occur. Very truly yours, FORM • • 80A -169 80A -170 EXHIBIT 14 3RD MODIFICATION TO 1994 GROUND LEASE 80A -171 80A -172 Quint & Thimmig LLP 04/30/14 05/28/14 AFTER RECORDATION PLEASE RETURN TO: Quint & Thimmig LLP 900 Larkspur Landing Circle, Suite 270 Larkspur, CA 94939 -1726 Attention: Brian D. Quint, Esq. THIS TRANSACTION IS EXEMPT FROM CALIFORNIA DOCUMENTARY TRANSFER TAX PURSUANT TO SECTION 11929 OF THE CALIFORNIA REVENUE AND TAXATION CODE. THIS DOCUMENT IS EXEMPT FROM RECORDING FEES PURSUANT TO SECTION 27383 OF THE CALIFORNIA GOVERNMENT CODE. THIRD MODIFICATION TO GROUND LEASE (Amending that certain Ground Lease, dated as of March 1, 1994, as amended, by and between the City of Santa Ana and the Santa Ana Financing Authority) Dated as of June 1, 2014 by and between the CITY OF SANTA ANA, as Lessor and the SANTA ANA FINANCING AUTHORITY, as Lessee Relating to Santa Ana Financing Authority Police Administration and Holding Facility Lease Revenue Bonds, Series 1994A 19014.10 80A -173 THIRD MODIFICATION TO GROUND LEASE THIS THIRD MODIFICATION TO GROUND LEASE, dated as of June 1, 2014, is by and between the CITY OF SANTA ANA, a municipal corporation and chartered city organized and existing under and by virtue of the laws of the State of California (the "City'), and the SANTA ANA FINANCING AUTHORITY, a joint exercise of powers authority organized and existing under and by virtue of the laws of the State of California, as lessee (the "Authority "), modifying that certain Ground Lease, dated as of March 1, 1994, by and between the City and the Authority, and recorded on March 22, 1994, as document number 94- 0201357, in the Official Records of Orange County, California, as modified by that certain Modification of Ground Lease, dated as of September 1, 1994, by and between the City and the Authority, and recorded on March 20, 1995, as document number 95- 0111187 in the Official Records of Orange County, California, as modified by that certain Second Modification of Ground Lease, dated as of July 28, 1997, by and between the City and the Authority, and recorded on August 5, 1997, as document number 19970373119 in the Official Records of Orange County, California, and as amended by that certain First Amendment to Ground Lease, dated as of February 1, 2004, by and between the City and the Authority, and recorded on February 25, 2004, as document number 2004000143852 in the Official Records of Orange County, California (the "Ground Lease "); WITNESSETH: WHEREAS, the City and the Authority have heretofore entered into the Ground Lease, pursuant to which the City leased certain real property, described in Exhibit A thereto, together with the improvements thereof (the "Property ") to the Authority and the Authority leased the Property from the City; WHEREAS, the Authority and the City have heretofore entered into that certain Lease, dated as of March 1, 1994, by and between the Authority and the City, and recorded on March 22, 1994, as document number 94- 94- 0201358, in the Official Records of Orange County, California, as modified by that certain Modification of Lease, dated as of September 1, 1994, by and between the Authority and the City, and recorded on March 20, 1995, as document number 95- 0111188 in the Official Records of Orange County, California, as modified by that certain Second Modification of Ground Lease, dated as of July 28, 1997, by and between the Authority and the City, and recorded on August 5, 1997, as document number 19970373120 in the Official Records of Orange County, California, as amended by that certain First Amendment to Lease, dated as of February 1, 2004, by and between the Authority and the City and tke A�tMaf'ty, and recorded on February 25, 2004, as document number 2004000143853 in the Official Records of Orange County, California, and as modified by that certain Third Modification thereto being recorded concurrently herewith (the "Lease Agreement'), pursuant to which the Authority leased the Property to the City and the City leased the Property from the Authority; WHEREAS, the City has determined that it is necessary to amend the description of the Property, as set forth in the Ground Lease and the Lease Agreement to release the existing Property and to substitute other real property and improvements therefor; WHEREAS, Section 2.06 of the Lease Agreement authorizes amendment of the Ground Lease and the Lease Agreement to substitute the Property, subject to certain conditions precedent set forth therein; and NOW, THEREFORE, in consideration of the above premises and of the mutual covenants hereinafter contained and for other good and valuable consideration, the parties hereto agree as follows: 80A -174 SECTION 1. Amendment of the Ground Lease. (a) The description of the Property contained in Exhibit A to the Ground Lease is hereby amended by releasing and terminating from the Ground Lease all property described in Exhibit A attached thereto. The resulting description of the Property shall be as described in Exhibit B attached hereto which shall modify and replace in its entirety Exhibit A attached to the Ground Lease. (b) By virtue of such substitution, the City hereby leases to the Authority and the Authority hereby leases from the City, the Property, as now described in Exhibit B attached hereto. SECTION 2. Ground Lease in Full Force and Effect. Except as amended by this Third Modification to Ground Lease, the Ground Lease remains in full force and effect. SECTION 3. Execution in Counterparts. This Third Modification to Ground Lease may be executed in several counterparts, each of which shall be an original and all of which shall constitute but one and the same instrument. SECTION 4. Applicable Law. This Third Modification to Ground Lease shall be governed by and construed in accordance with the laws of the State of California. -2- 80A -175 IN WITNESS WHEREOF, the City and the Authority have caused this Third Modification to Ground Lease to be executed by their respective officers thereunto duly authorized, all as of the day and year first above written. Attest: Name Attest: Name City Clerk Secretary CITY OF SANTA ANA By — Name Title SANTA ANA FINANCING AUTHORITY By— Name Title -3- 80A -176 [NOTARY ACKNOWLEDGMENTS TO BE ATTACHED] 80A -177 MIT"I MM RELEASED PROPERTY All that certain real property situated in Santa Ana, State of California, described as follows: Exhibit A Page 1 80A -178 EXHIBIT B DESCRIPTION OF THE RESULTING PROPERTY All that certain real property situated in Santa Ana, State of California, described as follows: Exhibit D 80A -179 ,:1 ffl :1 EXHIBIT 15 3RD MODIFICATION TO 1994 LEASE AGREEMENT 80A -181 80A -182 Quint & Thinunig LLP 04/30/14 05/28/14 AFTER RECORDATION PLEASE RETURN TO: Quint & Thimmig LLP 900 Larkspur Landing Circle, Suite 270 Larkspur, CA 94939 -1726 Attention: Brian D. Quint, Esq. THIS TRANSACTION IS EXEMPT FROM CALIFORNIA DOCUMENTARY TRANSFER TAX PURSUANT TO SECTION 11929 OF THE CALIFORNIA REVENUE AND TAXATION CODE. THIS DOCUMENT IS EXEMPT FROM RECORDING FEES PURSUANT TO SECTION 27383 OF THE CALIFORNIA GOVERNMENT CODE. THIRD MODIFICATION TO LEASE AGREEMENT (Amending that certain Lease, dated as of March 1, 1994, as amended, by and between the Santa Ana Financing Authority and the City of Santa Ana and the) Dated as of June 1, 2014 by and between the SANTA ANA FINANCING AUTHORITY, as Lessor and the CITY OF SANTA ANA, as Lessee Relating to Santa Ana Financing Authority Police Administration and Holding Facility Lease Revenue Bonds, Series 1994A 19014.10 80A -183 THIRD MODIFICATION TO LEASE AGREEMENT THIS THIRD MODIFICATION TO LEASE AGREEMENT, dated as of June 1, 2014, is by and between the SANTA ANA FINANCING AUTHORITY, a joint exercise of powers authority organized and existing under and by virtue of the laws of the State of California, as lessor (the "Authority'), and the CITY OF SANTA ANA, a municipal corporation and chartered city organized and existing under and by virtue of the laws of the State of California (the "City "), modifying that certain Lease, dated as of March 1, 1994, by and between the Authority and the City, and recorded on March 22, 1994, as document number 94 -94- 0201358, in the Official Records of Orange County, California, as modified by that certain Modification of Lease, dated as of September 1, 1994; by and between the Authority and the City, and recorded on March 20, 1995, as document number 95- 0111188 in the Official Records of Orange County, California, as modified by that certain Second Modification of Ground Lease, dated as of July 28, 1997, by and between the Authority and the City, and recorded on August 5, 1997, as document number 19970373120 in the Official Records of Orange County, California, and as amended by that certain First Amendment to Lease, dated as of February 1, 2004, by and between the Authority and the City and- the - Authority, and recorded on February 25, 2004, as document number 2004000143853 in the Official Records of Orange County, California (the "Lease Agreement'); WITNESSETH: WHEREAS, the City and the Authority have heretofore entered into that certain Ground Lease, dated as of March 1, 1994, by and between the City and the Authority, and recorded on March 22, 1994, as document number 94- 0201357, in the Official Records of Orange County, California, as modified by that certain Modification of Ground Lease, dated as of September 1, 1994, by and between the City and the Authority, and recorded on March 20, 1995, as document number 95- 0111187 in the Official Records of Orange County, California, as modified by that certain Second Modification of Ground Lease, dated as of July 28, 1997, by and between the City and the Authority, and recorded on August 5, 1997, as document number 19970373119 in the Official Records of Orange County, California, as amended by that certain First Amendment to Ground Lease, dated as of February 1, 2004, by and between the City and the Authority, and recorded on February 25, 2004, as document number 2004000143852 in the Official Records of Orange County, California, and as modified by that certain Third Modification thereto being recorded concurrently herewith (the "Ground Lease "), pursuant to which the City leased certain real property, described in Exhibit A thereto (the "Property ") to the Authority and the Authority leased the Property from the City; WHEREAS, the Authority and the City have heretofore entered into the Lease Agreement, pursuant to which the Authority leased the Property to the City and the City leased the Property from the Authority; WHEREAS, the City has determined that it is necessary to amend the description of the Property, as set forth in the Ground Lease and the Lease Agreement to release the existing Property and to substitute other real property and improvements therefor; WHEREAS, Section 2.06 of the Lease Agreement authorizes amendment of the Ground Lease and the Lease Agreement to substitute the Property, subject to certain conditions precedent set forth therein; and WHEREAS, any such substitution of the Property requires that: (a) the City files with the Authority, the Trustee and the Bond Insurer (as defined in the Lease Agreement) an amended Exhibit A to the Lease Agreement which adds F..T1A--. - thereto a description of such substitute Property and deletes therefrom the description of the former Property; (b) the City certify in writing to the Authority, the Trustee and the Bond Insurer that the remaining useful life of such substitute Property meets or exceeds the remaining term of the Lease Agreement serves the purposes of the City, and constitutes property that is unencumbered; (c) the City certifies to the Authority, the Trustee and the Bond Insurer that the fair rental value of the Property following such substitution is at least equal to the Base Rental (as defined in the Lease Agreement) payments attributable to the Property prior to such substitution, as determined by an MAI appraisal of the Property after said substitution; (d) the City furnishes the Authority, the Trustee and the Bond Insurer with a written Opinion of Counsel (as defined in the Lease Agreement), that the amendments providing for the substitution have been duly authorized, executed and delivered and constitute the valid and binding obligations of the City and the Authority enforceable in accordance with their terms; (e) the City obtains a title insurance policy insuring the City's leasehold interest in the substituted Property; (f) the City furnishes the Authority, the Trustee and the Bond Insurer with a written opinion of the City Attorney of the City to the effect that the exceptions, if any, contained in the title insurance policy referred to above do not interfere with the beneficial use and occupancy of the substitute Property by the City for the purposes of leasing or using the substitute Property; (g) the City furnishes the Authority, the Trustee and the Bond Insurer with a written Opinion of Counsel (as defined in the Lease Agreement), stating that such substitution does not cause the interest components of the interest on the Bonds (as defined in the Lease Agreement) to become subject to federal income taxes; (h) the City furnishes the Authority, the Trustee and the Bond Insurer with evidence that the City has complied with the covenants contained in clauses (1) and (2) of Section 6.03 of the Lease Agreement (relating to insurance) with respect to the substitute Property; (i) the City furnishes the Authority, the Trustee and the Bond Insurer with evidence that the City has delivered to any rating agency then rating the Bonds copies of the Certificates and appraisal described in paragraphs (b) and (c) above; (j) the City certifies to the Authority, the Trustee and the Bond Insurer that the substitute Property is of the same or greater essentiality to the City as was the former Property; and (k) the City obtains the prior written consent to such substitution from the Bond Insurer; NOW, THEREFORE, in consideration of the above premises and of the mutual covenants hereinafter contained and for other good and valuable consideration, the parties hereto agree as follows: -2- 80A -185 SECTION 1. Amendment of the Lease Agreement (a) The description of the Property contained in Exhibit A to the Lease Agreement is hereby amended by releasing and terminating from the Lease Agreement all property described in Exhibit A attached thereto. The resulting description of the Property shall be as described in Exhibit B attached hereto which shall modify and replace in its entirety Exhibit A attached to the Lease Agreement. (d) By virtue of such substitutions, the Authority hereby leases to the City and the City hereby leases from the Authority, the Property, as now described in Exhibit B attached hereto. SECTION 2. Other Conditions Satisfied. The City hereby certifies that (a) the City has certified in writing to the Authority, the Trustee and the Bond Insurer that the remaining useful life of such substitute Property meets or exceeds the remaining term of the Lease Agreement, serves the purposes of the City, and constitutes property that is unencumbered, (b) the City has certified to the Authority, the Trustee and the Bond Insurer that the fair rental value of the Property following such substitution is at least equal to the Base Rental (as defined in the Lease Agreement) payments attributable to the Property prior to such substitution, as determined by an MAI appraisal of the Property after said substitution; (c) the City has furnished the Authority, the Trustee and the Bond Insurer with a written Opinion of Counsel (as defined in the Lease Agreement), that the amendments providing for the substitution have been duly authorized, executed and delivered and constitute the valid and binding obligations of the City and the Authority enforceable in accordance with their terms; (d) the City has obtained a title insurance policy insuring the City's leasehold interest in the substituted Property; (e) the City has furnished the Authority, the Trustee and the Bond Insurer with a written opinion the City Attorney of the City to the effect that the exceptions, if any, contained in the title insurance policy referred to above do not interfere with the beneficial use and occupancy of the substitute Property by the City for the purposes of leasing or using the substitute Property; (f) the City has furnished the Authority, the Trustee and the Bond Insurer with a written Opinion of Counsel (as defined in the Lease Agreement), stating that such substitution does not cause the interest components of the interest on the Bonds (as defined in the Lease Agreement) to become subject to federal income taxes; (g) the City has furnished the Authority, the Trustee and the Bond Insurer with evidence that the City has complied with the covenants contained in clauses (1) and (2) of Section 6.03 of the Lease Agreement (relating to insurance) with respect to the substitute Property; (h) the City has furnished the Authority, the Trustee and the Bond Insurer with evidence that the City has delivered to any rating agency then rating the Bonds copies of the Certificates and appraisal described in paragraphs (a) and (b) above; -3- 80A -186 (i) the City has certified to the Authority, the Trustee and the Bond Insurer that the substitute Property is of the same or greater essentiality to the City as was the former Property; and (j) the City has obtained the prior written consent to such substitution from the Bond Insurer. SECTION 3. Lease Agreement in Full Force and Effect. Except as amended by this Third Modification to Lease Agreement, the Lease Agreement remains in full force and effect. SECTION 4. Execution in Counterparts. This Third Modification to Lease Agreement may be executed in several counterparts, each of which shall be an original and all of which shall constitute but one and the same instrument. SECTION 5. Applicable Law. This Third Modification to Lease Agreement shall be governed by and construed in accordance with the laws of the State of California. -4- 80A -187 IN WITNESS WHEREOF, the Authority and the City have caused this Third Modification to Lease Agreement to be executed by their respective officers thereunto duly authorized, all as of the day and year first above written. Attest: Name Attest: Name Secretary City Clerk SANTA ANA FINANCING AUTHORITY By Name Title CITY OF SANTA ANA By Name Title . . [NOTARY ACKNOWLEDGMENTS TO BE ATTACHED] . ffl .. EXHIBIT A RELEASED PROPERTY All that certain real property situated in Orange County, State of California, described as follows: Exhibit A Page 1 80A -190 EXHIBIT B DESCRIPTION OF THE RESULTING PROPERTY All that certain real property situated in Orange County, State of California, described as follows: Exhibit D 80A -191 80A -192 EXHIBIT 16 CONSENT OF 1994 BOND INSURER 80A -193 80A -194 Quint & Thimmig LLP $107,399,438.50 SANTA ANA FINANCING AUTHORITY Police Administration and Holding Facility Lease Revenue Bonds, Series 1994A CONSENT OF INSURER The undersigned hereby states and certifies: 4/30/14 5/02/14 (i) that the undersigned is an authorized officer of National Public Finance Guarantee Corporation, as successor to MBIA Insurance Corporation, as financial guaranty insurer (the "Insurer "), for the captioned bonds (the 'Bonds "), and as such, is familiar with the facts herein and is authorized and qualified to execute and deliver this certificate on behalf of the Insurer; (ii) that on March 23, 1994, the Santa Ana Financing Authority (the "Authority ") issued its $107,399,438.50 Santa Ana Financing Authority Police Administration and Holding Facility, Lease Revenue Bonds, Series 1994A (the "1994 Bonds "), the proceeds of which were used to finance the costs of the construction and equipping of a police administration and holding facility (the "1994 Project'); (iii) that the 1994 Bonds were issued pursuant to the terms of an indenture, dated as of March 1, 1994 (the "1994 Indenture "), by and between the Authority and Meridian Trust Company of California, since succeeded by The Bank of New York Mellon Trust Company, N.A., as trustee thereunder (the "1994 Trustee "); (iv) that in order to provide for the repayment of the 1994 Bonds, the Authority leased certain real property and improvements (the "Original 1994 Property ") to the City of Santa Ana (the "City ") pursuant to a lease agreement, dated as of March 1, 1994, as amended (the "1994 Lease Agreement'), under which the City agreed to make lease payments to the Authority (the "1994 Lease Payments ") from moneys in the City's General Fund and the City has budgeted and appropriated sufficient amounts in each year to pay the full amount of principal of and interest on the 1994 Bonds; (v) that, in 1997, following the completion of the 1994 Project, the 1994 Lease Agreement was modified to provide that the 1994 Project and the site thereof would substitute for the Original 1994 Property (the "Final 1994 Property ") and all of the Original 1994 Property, other than the site of the 1994 Project, was released; (vi) that on February 26, 2004, the Authority issued its $38,845,000 Santa Ana Financing Authority Police Administration and Holding Facility, Lease Revenue Refunding Bonds, Series 2004, to provide for the defeasance of a portion of the 1994 Bonds (the "2004 Bonds "); (vii) that the 2004 Bonds were issued under the 1994 Indenture, amended by a supplement thereto, on a parity with the 1994 Bonds, and the 1994 Lease Agreement was amended to provide that the 2004 Bonds, as wells as the 1994 Bonds, would be secured by the 1994 Lease Payments; (viii) that on November 16, 2004, the Insurer issued its reserve fund surety bond in the amount of $4,613,906.25 (the "Surety Bond ") which funded 50% of the reserve hind requirement for the 1994 Bonds and the 2004 Bonds, releasing that amount of cash from the reserve fund for the 1994 Bonds and the 2004 Bonds for use by the City; 19014.10 80A -195 (ix) that provision has been made for the full payment of the 2004 Bonds and the 2004 Bonds are no longer outstanding; (x) that the 1994 Bonds are currently outstanding in the principal amount of $67,100,000; (xi) that the Authority and the City propose to defease to maturity $33,550,000 principal amount (50 %) of the 1994 Bonds (the "Defeased 1994 Bonds'); (xii) that in connection with such defeasance, and pursuant to Sections 5.03(c) and 8.01(c) of the 1994 Indenture, the Authority and the City have requested that the Insurer maintain the full amount of the Surety Bond with respect to the non - defeased 1994 Bonds, so that the Surety Bond will provide the full amount of the reserve requirement of the non - defeased 1994 Bonds, and agree not to reduce the full amount of the Surety Bond; (xiii) that, in consideration of the reduction of the outstanding principal amount of the 1994 Bonds and the Insurer's obligation to provide its insurance therefor, the Insurer hereby consents and agrees that following the defeasance of the Defeased 1994 Bonds, it will maintain the full amount of the Surety Bond with respect to the non - defeased 1994 Bonds, so that the Surety Bond will provide the full amount of the reserve requirement of the non - defeased 1994 Bonds, and agrees not to reduce the full amount of the Surety Bond; (xiv) that in connection with the defeasance of the Defeased 1994 Bonds, and pursuant to Section 2.06 of the 1994 Lease Agreement, the Authority and the City have proposed a further modification of the 1994 Lease Agreement to release of the police administration building, transfer tunnel and parking structure portions of the Final 1994 Property, leaving only the holding facility and the site thereof as the Property leased under the Lease Agreement; (xv) that, in consideration of the reduction of the outstanding principal amount of the 1994 Bonds and the Insurer's obligation to provide its insurance therefor, the Insurer hereby consents and agrees to the release of the police administration building, transfer tunnel and parking structure portions of the Final 1994 Property, leaving only the holding facility and the site thereof as the Property leased under the Lease Agreement, subject to the Insurer's receipt of the following: (a) certification by the City that the remaining useful life of the Property, as amended, meets or exceeds the remaining term of the Lease Agreement, serves the purposes of the City and is otherwise unencumbered, (b) certification by the City that the value of the Property, as amended, is at least equal to the remaining principal amount of the Lease Agreement, as determined by an appraisal of the amended Property, (c) a written Opinion of Counsel (as defined in the Lease Agreement), that the amendments have been duly authorized, executed and delivered and constitute the valid and binding obligations of the City and the Authority enforceable in accordance with their terms, and (d) the City furnishes the Authority, the Trustee and the Bond Insurer with evidence that the City has delivered to any rating agency then rating the Bonds copies of the Certificates and appraisal described in paragraphs (b) and (c) above; and 80A -196 (xvi) that capitalized terms used herein and not otherwise defined shall have the same meanings ascribed to them as in the 1994 Indenture, as amended, or the 1994 Lease Agreement, as amended. Dated: 2014 NATIONAL PUBLIC FINANCE GUARANTEE CORPORATION, as successor to MBIA Insurance Corporation, as Insurer By Name Title 80A -197 A . . 1 EXHIBIT 17 SAFA RESOLUTION APPROVING AN AMENDMENT TO THE LEASE AGREEMENT RELATING TO THE FINANCING AND REFINANCING OF THE PARKING STRUCTURE ADJACENT TO THE STATE APPELLATE COURT BUILDING 80A -199 80A -200 RESOLUTION NO. A RESOLUTION OF THE SANTA ANA FINANCING AUTHORITY APPROVING AN AMENDMENT TO THE LEASE AGREEMENT RELATING TO THE FINANCING AND REFINANCING OF THE PARKING STRUCTURE ADJACENT TO THE STATE APPELLATE COURT BUILDING IN SANTA ANA, CALIFORNIA, APPROVING FORM AND AUTHORIZING EXECUTION OF RELATED DOCUMENTS AND APPROVING OFFICIAL ACTIONS BE IT RESOLVED BY THE BOARD OF DIRECTORS (THE 'BOARD ") OF THE SANTA ANA FINANCING AUTHORITY (THE "AUTHORITY "), AS FOLLOWS: WHEREAS, the City of Santa Ana (the "City ") entered into transactions with the Authority in 2007 to finance and refinance the construction of a parking structure adjacent to the State Appellate Court Building in Santa Ana, California (the `Project'); WHEREAS, in connection with the financing of the Project, the City entered into the Lease Agreement, with the original principal amount of $8,470,000; WHEREAS, lease payments made by the City under the Lease Agreement were assigned by the Authority to All Points Public Funding, LLC, now known as Capital One Public Funding, LLC (the "Assignee "), as investor; and WHEREAS, the Assignee has agreed to reduce the interest component of lease payments made under the Lease Agreement to 3.60% from 4.78191203% and to remove the prepayment premium in the event of a prepayment of the principal component of lease payments by the City; NOW, THEREFORE, it is hereby ORDERED and DETERMINED, as follows: Section 1. Findings and Determinations. The Council hereby finds and determines that the foregoing recitals are true and correct. Section 2. Approval of First Amendment to Lease Agreement. The Council hereby approves a first amendment to the Lease Agreement, amending and supplementing the Lease Agreement, in the form on file with the Secretary (the "First Amendment'), together with such additions thereto and changes therein as the Chair, the Executive Director or the Treasurer, or any designee thereof (the "Designated Officers ") shall deem necessary, desirable or appropriate, the execution of which shall be conclusive evidence of the approval of any such additions and changes. The Designated Officers, each acting alone, are hereby authorized and directed to execute, and the Authority is hereby authorized and directed to attest to, the final form of the First Resolution No. 2014 -XXX Page 1 of 3 80A -201 Amendment for and in the name and on behalf of the Authority. The Board hereby authorizes the delivery and performance of the First Amendment. Section 3. Official Actions. The Chair, the Executive Director, the Treasurer, and all other appropriate officials of the Authority, are hereby authorized and directed to execute such other agreements, documents and certificates and to take such other actions as may be necessary to effect the purposes of this resolution and the financing herein authorized. Section 4. Effective Date. This Resolution shall take effect upon its adoption by the Board. PASSED AND ADOPTED by the Board of Directors of the Santa Ana Financing Authority this 3rd day of June, 2014, by the following vote: APPROVED AS TO FORM: Sonia R. Carvalho, General Counsel Bv: Jose Sandoval, Assistant General Counsel SANTA ANA FINANCE AUTHORITY a 80A -202 Chair Resolution No. 2014 -XXX Page 2 of 3 AYES: Boardmembers: NOES: Boardmembers: ABSTAIN: Boardmembers: NOT PRESENT: Boardmembers: CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Secretary to the Board, do hereby attest to and certify that the attached Resolution No. 2014 -XXX to be the original resolution adopted by the Santa Ana Financing Authority on Date: 80A -203 Maria D. Huizar, Secretary to the Board Resolution No. 2014 -XXX Page 3 of 3 80A -204 EXHIBIT 18 CITY RESOLUTION APPROVING AN AMENDMENT TO THE LEASE AGREEMENT RELATING TO THE FINANCING AND REFINANCING OF THE PARKING STRUCTURE ADJACENT TO THE STATE APPELLATE COURT BUILDING 80A -205 80A -206 RESOLUTION NO. 2014 -XXX A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA APPROVING AN AMENDMENT TO THE LEASE AGREEMENT RELATING TO THE FINANCING AND REFINANCING OF THE PARKING STRUCTURE ADJACENT TO THE STATE APPELLATE COURT BUILDING IN SANTA ANA, CALIFORNIA, APPROVING FORM AND AUTHORIZING EXECUTION OF RELATED DOCUMENTS AND APPROVING OFFICIAL ACTIONS BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS FOLLOWS: WHEREAS, the City entered into transactions with the Santa Ana Financing Authority (the "Authority ") in 2007 to finance and refinance the construction of a parking structure adjacent to the State Appellate Court Building in Santa Ana, California (the 'Project'); WHEREAS, in connection with the financing of the Project, the City entered into the Lease Agreement, with the original principal amount of $8,470,000; WHEREAS, lease payments made by the City under the Lease Agreement were assigned by the Authority to All Points Public Funding, LLC, now known as Capital One Public Funding, LLC (the "Assignee "), as investor; and WHEREAS, the Assignee has agreed to reduce the interest component of lease payments made under the Lease Agreement to 3.60% from 4.78191203% and to remove the prepayment premium in the event of a prepayment of the principal component of lease payments by the City; NOW, THEREFORE, it is hereby ORDERED and DETERMINED, as follows: Section 1. Findings and Determinations. The Council hereby finds and determines that the foregoing recitals are true and correct. Section 2. Approval of First Amendment to Lease Agreement. The Council hereby approves a first amendment to the Lease Agreement, amending and supplementing the Lease Agreement, in the form on file with the City Clerk (the "First Amendment'), together with such additions thereto and changes therein as the Mayor, the City Manager, the Executive Director of Finance, or any designee thereof (the "Designated Officers ") shall deem necessary, desirable or appropriate, the execution of which shall be conclusive evidence of the approval of any such additions and changes. The Designated Officers, each acting alone, are hereby authorized and directed to execute, and the City is hereby authorized and directed to attest to, the final form of the Resolution No. 2014 -XXX Page 1 of 3 80A -207 First Amendment for and in the name and on behalf of the City. The Council hereby authorizes the delivery and performance of the First Amendment. Section 3. Official Actions. The Mayor, the City Manager, the Executive Director of Finance, the City Clerk, and all other appropriate officials of the City, are hereby authorized and directed to execute such other agreements, documents and certificates and to take such other actions as may be necessary to effect the purposes of this resolution and the financing herein authorized. Section 4. Effective Date. 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 June, 2014. APPROVED AS TO FORM: Sonia R. Carvalho, City Attorney Bv: Jose Sandoval, Chief Assistant City Attorney Miguel A. Pulido Mayor AYES: Councilmembers: NOES: Councilmembers: ABSTAIN: Councilmembers: NOT PRESENT: Councilmembers: Resolution No. 2014 -XXX Page 2 of 3 ,:1 1: CERTIFICATE OF ATTESTATION AND ORIGINALITY I, MARIA D. HUIZAR, Clerk of the Council, do hereby attest to and certify that the attached Resolution No. 2014 -XXX to be the original resolution adopted by the City Council of the City of Santa Ana on Date: 80A -209 Maria D. Huizar, Clerk of the Council Resolution No, 2014 -XXX Page 3 of 3 80A -210